INTEGRATED WATERSHED MANAGEMENT

Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein and Runia Mowla Language and Production Editor Robin N. Leslie

On-line eBook
All parts of this book may be downloaded for personal and scientific use.

Produced and published with funding from Danida Danish International Development Assistance under Programme Support to the Integrated Watershed Development and Management Area of Study at the Asian Institute of Technology

Published by Asian Institute of Technology AIT P.O.Box 4, Klong Luang, Pathumthani 12120, Thailand www.ait.ac.th

Asian Institute of Technology All rights reserved August 2005

ii

CONTENTS Preface ................................................................................................................... 1. Institutions and Rural Development Community Development Groups and Watershed Management Activities in Dhading District, Nepal .............................................................................. Arjun Kumar Thapa Institutional Analysis of Watersheds With and Without External Assistance in the Hills of Nepal .................................................................................... Shrutidhar Tripathi Community Development Groups and Farm Conservation in Chhabdi Watershed, Nepal Gehendra Keshari Upadhyaya Institutional Coordination for Watershed Management in Dhading District, Nepal Puspa Ram Thapa ......... vii

17

39

57

Linkages among Land, Water and Forest Resources and Their Institutional Dynamism in Chitwan District, Nepal .................................................................................. Kanchan Thapa Differentiating Active and Passive User Groups for Watershed Management in the Western Hills of Nepal .......................................................................... Basan Shrestha Participation of Disadvantaged People in Watershed Management in Makawanpur District, Nepal .......................................................................... Dandi Ram Bishwakarma Integrated Natural Resource Conservation: Peoples Perceptions and Participation in Nepal ......................................................................................................... Shiva Kumar Wagle Forest Land-use Dynamics and Community-based Institutions in a Mountain Watershed in Nepal: Implications for Forest Governance and Management. ........................ Ambika Prasad Gautam Institutional Development for Community-based Natural Resource Management in Upland Areas of Thailand ............................................................................. Nitaya Kijtewachakul

75

95

113

131

151

197

iii

2. Managing Forest Resources Impact of Community Forestry in the Middle Hills of Nepal: A Case Study of Tinau Watershed .................................................................... Vijay Singh Shrestha The Impacts of a Community Forestry Project in a Northwest Watershed of Cambodia Chan Danith Institutionalizing Forest User Groups Via Community Forestry in Tanahun District, Nepal Rameshwar Pandit Evaluation of the Initial Results of Natural Forest Allocation to Thuy Yen Thuong Village, Central Vietnam ................................................................................................ Ngo Tri Dung Prospects for Institutional Sustainability in Community Forestry in Nepal Narendra Prasad Shah ...................

219

245

263

281

299

Community Forestry and Its Impact on Watershed Condition and Productivity in Nepal Krishna Prasad Ghimire Prospects for Commercial Production of Non-timber Forest Products in Nepal Shree Bhagwan Prasad Gupta ..........

313

331

Participation in Natural Forest Resource Management in Pursat Province, Cambodia Ouk Kunka

...

351

Market Analysis of Major Products from Community-managed Forests in the Foothill Watersheds of Nepal ................................................................ Bhim Nath Acharya Capacity Assessment of the Development Planning Process for Community Forestry in Nepal ........................................................................................................... Bhoj Raj Khanal Prospects for Promoting Non-timber Forest Products in the Mountains of Nepal Bishnu Hari Pandit .......

371

391

413

3. Water Resources Management Local Irrigation Institutions in Changing Watershed Conditions: A Study of Jhikhu Khola Watershed ................................................................. Kanchana Upadhyay Performance Indicators for Irrigation Management in Indonesia Murtiningrum iv .................................

425

445

Strengthening Water User Communities to Improve Irrigation Management in Cambodia Keang Ngy Flood Control and Water Resource Management of the Day River Basin, Red River Delta, Vietnam ................................................................................................. Ngo Van Sinh Water Demand Forecast and Management Modelling in Kathmandu Valley, Nepal Pratistha Pradhan Assessment of Groundwater Potential for Irrigation in Bangladesh Shahriar Md. Wahid ......

459

477

497

.............................

515

Application of the AnnAGNPS Model for Watershed Quality Assessment in the Siwalik Hills of Nepal ............................................................................... Sangam Shrestha Water Balance Analysis in Ea Knir Catchment, Daklak, Vietnam Tran Thi Trieu Farmers Participation in Irrigation Management in Vietnam Pham Phu Ngoc ...............................

531

557

.......................................

581

4. Understanding Watershed and Land-use Dynamics Land-use Adjustment Based on Watershed Classification Using Remote Sensing and GIS Aye Thiha Land Suitability Assessment and Participatory Land-use Planning and Management in a Microwatershed of Orissa, India ............................................................... Sharmistha Swain Determinants of Soil Erosion in Tropical Steeplands: A Case Study of Kim Noi Sub-watershed, Vietnam .................................................................................. Le Thi Thu Huong Impact of the Land Allocation Programme on Land Use and Land Management in Laos Phonesane Vilaymeng GIS-assisted Erosion Risk Assessment in the Chittagong Hill Tract, Bangladesh Md. Moqbul Hossain Gender Analysis for Land Management and Conservation in Central Vietnam Tran Thi Hai ........... 601

615

637

657

677

.............

703

Development of a Location-specific Soil Resistance to Erosion (SRE) Index: A Case Study from Northeast Thailand ........................................................... Binaya R. Shivakoti v

719

Determination of a Location-specific Soil Hydraulic Quality (SHQ) Index: A Case Study from Northeast Thailand ............................................................. Mohammad Gausul Azam Dynamics of the Physico-Chemical Erodibility Factors of Soil under Different Management Scenarios in the Watersheds of Chiang Mai, Thailand ................... Assefa Gizaw Meka Land-use Changes and Their Driving Forces in Northeastern Thailand Khin Mar Cho .....................

739

761

777

Factors Influencing Land-use Change in Areas with Shifting Cultivation in Bangladesh Golam Rasul

797

5. Integrated Land Management The Sustainability of Traditional and Modern Agricultural Land Use in Vietnam Nguyen Dinh Thi Farmers Approaches to Soil-fertility Management in the Hills of Nepal Basu Dev Regmi .......... 813

...................

835

Farming Systems in Northeastern Thailand: Characterization and Implications for Sustainability ........................................................................................... Md. Mainul Hasan Community-based Fishery Management in Battambang Province, Cambodia Nom Sophearith. ...............

855

867

Women in Land Management and Conservation: A Case Study from the Middle Hills of Nepal .......................................................................................................... Shabnam Shivakoti Aryal Traditional Cottage Industry Development in the Upper Andhikhola Watershed, Nepal: Problems and Prospects .................................................................................. Megh Bahadur Nepali Effects of Poverty Alleviation and Sustainable Natural Resource Management in Lao PDR ...................................................................................................... Liengsone Somphathay Contribution of Agroforestry to Livelihoods in Bara and Rautahat Districts, Nepal Lal Bahadur Prasad Kurmi .......

885

911

929

937

Impacts of the Upland Conversion Project in the Yangtze River Watershed on Farmers Livelihoods ...................................................................................................... Shao Wen vi

945

Preface Integrated watershed management is an effective means for the conservation and development of land and water resources. As an interdisciplinary approach, it integrates the socio-cultural and economic as well as the biophysical and technological aspects of development. An over-riding concern of integrated watershed development is the improvement of the livelihoods of local communities on a sustainable basis. This requires balancing their economic needs and expectations with environmental concerns so as to avert degradation of the natural resource base, in particular soil and water components. Governments and development institutions are increasingly recognizing that full community participation is essential for sustainable watershed development. With growing local participation, indigenous knowledge is now significantly influencing the planning, design, and implementation of watershed development programmes. Long-term changes and development are more likely to be adopted if communities have a say in the decision-making process. Sustainability also increases if local resources are more efficiently utilized and the use of or need for external inputs is minimized. This book has been published in electronic format to target the vast audience that the world wide web serves. It highlights different aspects of integrated watershed development for resource-poor smallholders in Asia. The papers are syntheses of research projects, which were undertaken by students of the Asian Institute of Technology (AIT) in Bangkok between 2000 and 2004. The contents provide an overview of a broad spectrum of current issues of significance and concern for rural development in the higher altitudes of Asia. The studies exclusively deal with smallscale and community-level watershed development. The overall focus is on the peoples perspectives of development and their roles and options in this process. Very different scenarios of typical smallholder mountain farming and forest-user communities are described and analysed from their socio-economic and biophysical perspectives. Constraints to and options for development are discussed. The book is structured into five thematic sections, which cover the institutional, socio-economic, and biophysical aspects of watershed management. 1. Institutions and rural development explores the roles of community-based institutions and local watershed management. 2. Managing forest resources focuses on different models of forest utilization, with emphasis on community-forestry experiences from Cambodia, Nepal, and Vietnam. 3. Water resources management discusses water use and water allocation for communitymanaged small-scale irrigation schemes. 4. Understanding watershed and land-use dynamics introduces approaches for the evaluation of watershed resources, the driving forces for land-use change, and the effects of land use on land quality. 5. Integrated land management gives examples of different watershed-management approaches and their effects on the livelihoods of local communities. The book contributes to the wider discussion on people-centred and people-initiated integrated development. It demonstrates that resource exploitation and the well being of the people are intrinsically related. The contents reveal that sustainable development is not possible without the conservation of natural resources. vii

Because of its broad scope and the wide range of original source material, this book is also a reference manual on current issues and trends for researchers and development practitioners who are concerned with participatory approaches in small-scale community-level watershed development, particularly in Asia. The editors

The Integrated Watershed Management Programme at AIT Since 2000, the Asian Institute of Technology (AIT) has been implementing the interdisciplinary postgraduate degree programme Integrated Watershed Development and Management (IWDM). The programme was developed in cooperation with the Royal Veterinary and Agricultural University (KVL), Denmark, and DHI Water and Environment, Denmark, and has been funded by the Danish International Development Assistance (Danida). The programme has adopted an interdisciplinary and integrated approach to education, research, and development, combining on-campus with outreach activities aiming at enhancing education and action-oriented research in the region. The main disciplines and fields of studies contributing to the programme are regional and rural development planning, agricultural systems, natural resources management, and water resources management. Courses are offered at Master and PhD levels. Since 2000, more than 50 students have graduated and are now disseminating the knowledge they have acquired throughout Asia. The editors can be contacted via e-mail at: Michael Zoebisch: m.zoebisch@gmx.net Khin Mar Cho: khinmarcho@yahoo.com San Hein: heins@ait.ac.th Runia Mowla: runiamowla@yahoo.com Robin N. Leslie, language and production editor: rnleslie@loxinfo.co.th

viii

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

COMMUNITY DEVELOPMENT GROUPS AND WATERSHED MANAGEMENT ACTIVITIES IN DHADING DISTRICT, NEPAL Arjun Kumar Thapa1

Introduction Nepal is situated in the central Himalayas and has several watersheds, which are drained through three major river systems: the Sapta Koshi in the east, the Karnali in the west, and the Sapta Gandaki in the middle. Of the total watershed area of the country, 0.4, 1.5, and 11.7 percent of the watersheds are in very poor, poor, and fair condition respectively. Land and water are the major natural resources available in Nepal; more than 90 percent of the population depends on these resources for their livelihoods. The slopes of upland areas, which were once covered with forests and vegetation, have been heavily degraded and converted to agricultural land. Soil erosion from these areas has not only reduced productivity, but also caused flooding, pollution, and loss of life and property downstream. A 3 recent estimate of such soil loss is 271 million m /year. A typical hill watershed contributes total sediment of 21 t/ha/year between 1-2 mm of soil depthr per year (APROSC, 1997). The Department of Soil Conservation and Watershed Management (DSCWM) under the Ministry of Forest and Soil Conservation (MFSC), is mandated to conserve and manage watersheds using a community-based approach with the broad objective of raising the income of rural families by contributing to improvement of the ecological conditions of the watersheds. A major effort by the DSCWM over the last two decades has been the mobilization of local people through the formation of Community Development Groups (CDGs) and involvement of members in all stages of watershed management activities. In 1996, HMG/DSCWM/DANIDA launched a pilot project to establish CDGs as non-governmental organizations; as such, the strengthening of local institutions would lead to the sustainable use of scarce and dwindling natural resources in the watershed. The CDGs have carried out various watershed management activities with the assistance of the District Soil Conservation Office (DSCO) in the study area. In the past DSCO implemented watershed management activities according to its policies and strategies; these were mainly based on annual physical targets rather than programme sustainability. According to Karki and Sharma (1999), the past approach to watershed management consisted of top-down planning, implementation, and monitoring of watershed management activities. Targets were fixed based on the budget available and the programme was entirely guided by the government. Finally programme personnel abandoned the users once programme support was withdrawn. Bogati, (1999) indicated that the institutional aspect, which plays a vital role not only for effective implementation of programme activities but also for the sustainability of development activities, has been ignored. Development activities frequently fail in the long run due to the lack of local viable institutions that are able to carry out both management and maintenance.

MSc. Thesis (Ref. No. NR-01-08), Asian Institute of Technology, Bangkok, Thailand. August 2001. Examination Committee - Dr. Ganesh P. Shivakoti (Chair), Dr.Gopal Bahadur Thapa, Dr. Michael A. Zoebisch

Therefore, there is a need to study organizational performance and its sustainability, as well as factors influencing performance in terms of effectiveness, efficiency, and sustainability. So, the overall objective of the study is to analyse the performance and organizational sustainability of selected CDGs in the study area. The study area Adam Khola sub-watershed was selected for the study; it comes under the jurisdiction of two village development committees, Kumpur and Kelleri (Figure 1) of Dhading District. Geographically the area lies between 27 47 and 27 50 latitude and 84 50 and 84 57 longitude with physical coverage of 1 907.8 ha (Hansen et al., 1995). The climate is mostly sub-tropical humid and warm temperate humid. As the study area is in the Middle Mountain region of the country, hills and mountains dominate most of the topography. The northern part of the study area has steeper gradients than the southern side. There is also some small flat land area with gentle slopes to the northeast. The total forest area in the watershed is 365.4 ha which is equivalent to 19.2 percent of the total study area. The types of vegetation depend on slope gradient and other aspects.

Figure 1. The study area in Dhading District

The study area comprises agricultural land, forest land, shrubland, and grazing land. According to Hansen et al. (1995), 36.2 percent (690.5 ha) of the watershed area is covered by irrigated land and 18.2 percent (347.8 ha) by non-irrigated land. Similarly 19.2 percent (365.4 ha) of the total area is occupied by forest land, 16.2 percent (310 ha) by shrubland, and 10.2 percent (194.1 ha) by grazing land. The condition of the sub-watershed is poor, mainly due to deforestation, overgrazing, cultivation on marginal land, stream bank cutting, gullies, and landslides. Occurrences of both natural and humaninduced erosion have been reported (Hansen et al., 1995). There are 16 CDGs comprising 666 households within the study area. Among the 16 CDGs, four groups, namely Amelichap, Chotetar, Janachetana, and Bungeshwori were selected using the following criteria: high demand by the local people; types and numbers of activities accomplished; accessibility to the road and market facilities; and the number of households included in the organization. The 2

Amelichap and Janachetana groups were considered as accessible areas with higher numbers of households (AAHNH). The Bungeshwori and Chotetar groups were considered as areas difficult to access with lower numbers of households (ADALNH). DSCO/DANIDA has been assisting CDG watershed management since1996. The CDGs are important local institutions for the welfare of the community and continuity of watershed management activities in the future. DANIDA has also supported different DSCOs that assist CDGs with watershed management activities. Demography of the study area Family size has been correlated with labour contribution (Adhikari, 1996). Relatively large household size means relatively more labour for farming. Therefore it was assumed that the rate of participation differs among the family size. Based on the number of individuals in the households, Shrestha (1991) has classified the household size into three different groups: Small = (1-4), Medium = (5-7), and Large = (> 8). Based on this classification the sampled households were categorized accordingly. Most of the families fall into the medium category. The general assumption is that people of working age can contribute relatively more than people of non-working age. People of working age are more aware of development activities and their potential contribution for development activities is higher. Therefore, the respondents age is an important determinant of participation as it affects labour contribution and involvement in decision making (Adhikari, 1996). The law prohibits employment in any activity below the age of 16 (Paudel, 2000). However, in practice, farming households use their children, even as young as 10, to collect fodder and fuelwood; fetch water; carry manure to the farmyard; shepherd livestock; or look after their siblings while the parents conduct farming activities. The age of the respondents ranges from 17 to 75 years. Most of the respondents interviewed in each of the CDGs belonged to the economically active group (about half of the respondents were young and adult). This group formed about 90 percent of the available human resources in each CDG. In most cases the average age of the respondents was around 41 years. There is a strong social caste system in Nepal. The ethnic groups prevalent in the study area are: Brahman, Chettri, Gurung, Kami, Damai, Sarki, Magar, and Newar. Based on ethnic composition, Janachetana CDG is a heterogeneous community whereas Bungeshwori comprises three-fourths of the Magar community. Of the total households sampled in Amelichap, nearly two-thirds of the community is Brahman; this applies to Chotetar also. The Gurung community is the least prevalent comprising only 3 percent of the sampled households in Janachetana CDG. Ninety-five percent of the respondents are subsistence farmers who have fragmented parcels of land averaging 1 ha. With no alternative off-farm activities, farming is the only option. Only a negligible percentage of the respondents are engaged in services and business. It is obvious that sources of financial income for the local people are very scarce. Some family members in Bungeshwori CDG work elsewhere. Household earnings are a significant determinant of socio-economic status. Respondents were asked about their household income from different sources. The mean annual income of Bungeswori CDG was relatively higher, as household members work in services. Farmland is the most important asset and a strong indicator for determining the socio-economic status of the households. The farmland

is divided into two types: Bari land (non-irrigated) and Khet land (irrigated). In the study area, most of the farmers have rain-fed farmland. Performance of Community Development Groups The CDGs devise a community development plan that is supposed to reflect development perspectives as perceived by the community, addressing natural resource management and other development needs. The plan is the basis for approaching different line agencies for support. With technical assistance from DSCO, CDGs directly implement programme activities via peoples participation. Fundamentally, the community development committee (CDC) is responsible for coordination among CDG members and concerned offices for managing and accomplishing programme activities. In this regard the performance of the CDGs was studied for conflict resolution, information sharing, satisfaction derived from programme activity, benefit sharing, decision making, peoples participation, and transparency. Efficiency, work accomplished according to the plan and available resources, technical soundness of the accomplished work, resource utilization, and use of cost-effective methods were considered also. Performance of the CDGs in the Water Source Protection Programme Water sources are springs and kuwas (small irrigation ponds). Water source protection refers to vegetative and structural erosion control measures applied in the source and its catchments and all distribution systems. The objective of this programme is to improve the quality and regime of water through conservation of soil and water. Preventive as well as the rehabilitative measures have been taken to avoid possible water-induced damage by integrating different watershed management activities. Activities like tree and grass plantation, diversion canal and check dam construction, and gully plugging are conducted. In some cases, potable drinking water facilities are also provided. The most tangible benefit is the availability of drinking water. Effectiveness Conflict resolution for resource allocation CDGs with more households had lower levels of conflict than CDGs with fewer households because they had more available resources. In this regard more than half of the respondents agreed that there has never been dispute among the members for resource allocation. However, in Bungeshwori disputes occur due to the scattered distribution of the households and allocation of resources to areas where most people live, disregarding remoter inhabited areas. Information sharing Effective communication is as much a basic prerequisite to the attainment of organizational goals as effective application of group dynamic techniques (Dwivedi, 1979), while lack of information and communication lead to passiveness, dissatisfaction, complaints, and low community participation. In order to assess communication and sharing of information among community members, they were asked how often they deliver (share) information with other members. This occurred most frequently in Janachetana CDG. The site office situated at Bhaldanda (Janachetana CDG) and the local motivators 4

appointed by DSCO facilitated information dissemination and sharing among community members. This was less effective in Amelichap. Satisfaction Satisfaction derived from the programme There was a significant difference in satisfaction among the members regarding programme activity (Table 1). Respondents from Chotetar followed by Amelichap expressed comparatively higher levels of satisfaction. The lowest level of satisfaction was found in Janachetana. These differences can be attributed to the variation in the number of households benefiting directly. The lower level of satisfaction in Bungeshwori can also be attributed to the lower number of beneficiaries.
Table 1. Levels of satisfaction derived from the programme activity
Category CDG Not satisfied No. Amelichap (N=35) Chotetar (N=14) Janachetana (N=6) Bungeshwori (N= 24) 2 3 5 % 5.7 4.5 20.8 Middling No. 2 2 28 7 % 5.7 14.3 41.8 29.2 Satisfied No. 17 3 27 11 % 48.6 21.4 40.3 45.8 Fully satisfied No. 14 9 9 1 % 40.0 64.3 13.4 4.2

Source: Field Survey (2001) Note: No. = number, % = corresponding percentage of the total number of respondents, N= number of sampled households

Benefit sharing Benefits (cash income savings from programme activities and drinking water facilities) derived from programme activities are shared among members. This is decided by the CDC and the beneficiaries. They formulate acceptable norms and rules and assure equitable benefit sharing. Most of the respondents were satisfied with benefit sharing. The lower level of satisfaction expressed in Janachetana could be attributed to most of the households not having access to the drinking water system developed with financial and technical assistance from DSCO. In Amelichap (satisfied with the drinking water facility), a secondary benefit is the irrigation facility derived from the wastewater from the drinking water system. Conversely, in Bungeshwori the lowest level of satisfaction was recorded. Decision making The role of CDG members in decision making is an important aspect for smooth running of programme activities. There are two opposing schools of thought regarding the decision-making structure: one asserts that local organizations need strong executive leadership to deal decisively with the environment; the other relies more on maximum consensus and widespread participation of individuals in decision making. Heller (1973), cited in Joshi et al. (1997) suggests that the success of a local organization in terms of decision-making structure is important. MacKenzie (1993) found that consensus is important not only for reaching an acceptable decision but also for building long-term trust and support for outcomes (MacKenzie 1993 cited in Margerum 1999).

Decision making for implementing rules and regulations Decision making was effective in AAHNH (Janachetana CDG) where more than half of the sampled households agreed to make consensus decisions. This is attributable to the higher literacy rate, exposure to the external environment, frequent contact with outsiders, and cooperation of local leaders. ADALNH had weaker decision making, (Chotetar CDG). Members who break rules are punished. Punishments are recorded in the CDG constitutions, developed by the CDG members. More punishment was found in Janachetana and less punishment in Amelichap. Decision making for resource allocation Since the resources are scarce and peoples demands are higher, different CDGs have different decision-making processes: by committee members, in the assembly, and by the elite (or their influence). This was effective in Janachetana, followed by Amelichap. This is attributable to the higher literacy rate and the positive attitude towards programme activities. Participation in programme activities Peoples participation is viewed as a dynamic group process in which all members of a group contribute to the attainment of common objectives, share the benefits accruing from group activities, exchange information and experience for common interest, and follow the rules, regulations, and other decisions made by the groups (Mishra, 1996). Organizational reasons for participation in collaborative efforts include efficiency, access to resources and reduction of uncertainty through the development of collective rules (Wood and Gary, 1991 cited in Margerum, 1999). Furthermore, Colfer and Wadley (2001), specify that increased participation provides a means for conflict resolution and empowerment. Peoples participation is the basic input that the people can provide. Poor local people can contribute labour in lieu of cash. There was good participation in Amelichap but this was not so evident in Janachetana. Lower levels of participation and interest are because the majority of the respondents are getting benefits from the Nepal Water for Health (NEWAH) programme rather than the programme assisted by DSCO. Transparency maintained in programme activity Removal of mistrust, apprehension, and misunderstanding among the CDG members is essential not only for smooth functioning of the programme but also for establishing effective and long-term partnerships within the community. In order to maintain transparency about programme activities, especially financial aspects, provisions are made in the CDG constitution; for example, the treasurer should disclose income and the expenditure of resources at the general (community) assembly. In this context, an obligatory provision is made to open a joint account between the CDG chairperson and treasurer or secretary in a nearby bank; all transactions are conducted through their joint signatures. Proper documentation is also essential for transparency. Therefore training on record keeping has also been given to CDG members for proper archiving. The higher level of satisfaction with transparency was in Janachetana CDG (Table 2). This can be attributed to the higher frequency of meetings and the higher numbers at the meetings, as well as the higher literacy rate. The respondents in Chotetar expressed a lower level of satisfaction. Less than one-fourth of the respondents expressed their full satisfaction (Table 2) for transparency maintained within the community. The majority were dissatisfied. One-fourth of the sampled households, which is the highest figure among the studied CDGs, was annoyed about auditing. 6

Table 2. Satisfaction regarding transparency

Category CDG Not satisfied No. Amelichap (N=35) Chotetar (N=14) Janachetana (N=67) Bungeshwori (N=24) 3 2 1 3 % 8.6 14.3 1.5 12.5 Somewhat satisfied No. 6 4 11 2 % 17.1 28.6 16.4 8.3 Satisfied No. 14 5 25 9 % 40.0 37.7 37.3 37.5 Fully satisfied No. 12 3 30 10 % 34.3 21.4 44.8 41.7

Source: Field Survey (2001) Note: No. = number, % = corresponding percentage of the total number of respondents, N= number of sampled households

Efficiency Efficiency comprises achieving existing objectives with acceptable use of resources (Carnall, 1995). It was obvious from the study that financial resources are scarce and the resources made available by the agency concerned as well as community contributions (financial) were not sufficient to meet the needs of the local people. Work accomplishment according to the plan and budget For each and every activity a budget and plan are prepared with the assistance of field technicians for programme implementation. While preparing the estimates, local people are informed about their contributions in conducting programme activities and the cost to be borne by the concerned agency. Timely accomplishment of the activity with desirable use of resources is necessary. Respondents from Bungeshwori CDG expressed the highest level of satisfaction for work accomplishment according to the prepared plan and budget. Technical efficiency Technical soundness is important. Respondents were asked to judge the quality of accomplished activity. In Chotetar, most of the respondents were very positive about programme activity because they regarded it as important. During a field visit it was also found that the system was functioning well and delivering efficient services to the resource users. Efficient utilization of resources Mishandling of physical and financial resources causes considerable damage to the people and ultimately leads to economic loss. Respondents were asked if they thought resources were being used efficiently. Most of the respondents in Bungeshwori believed that resources had been utilized efficiently (Table 3). In Amelichap, respondents were not so confident about this.

Table 3. Accomplishment of work with efficient utilization of resources

Category CDG Dont know No. Amelichap (N=35) Chotetar (N=14) Janachetana (N=67) Bungeshwori (N=24) % Somewhat agree No. 2 6 5 1 % 5.7 42.9 7.5 4.2 No. 16 6 27 8 Agree % 45.7 42.9 40.3 33.3 Fully agree No. 17 2 35 15 % 48.6 14.3 52.2 62.5

Source: Field Survey (2001) Note: No. = number, % = corresponding percentage of the total number of respondents, N= number of sampled households

Priority to adopt cost effective methods As financial resources are scarce, care needs to be exercised about choosing cost-effective methods for constructing development activities. Choice of bioengineering techniques, alternatives for high cost materials, use of locally available skilled human resources, and generation of maximum peoples participation in programme activities are considered in this context. Performance of CDGs in the trail improvement programme According to Sthapit (1994), a trail refers to the existing trail (narrow path), which is susceptible to gully formation that causes erosion upslope or downslope, thus inconveniencing human and livestock traffic. Trail improvement refers to the vegetative and structural measures applied to protect the trail from erosion and to improve the trail for general traffic. The main objective of this programme is to reduce erosion from unmanaged trails, protect them from erosion, and to improve the trail for general traffic. Effectiveness Method for dispute resolution Janachetana CDG had fewer conflicts among the members (Table 4). Most respondents agreed that there had never been conflict for resource allocation. In Amelichap and Bungeswori CDGs only onetenth of the respondents indicated no conflict. This indicates that they are relatively ineffective in resolving problems compared to the other two CDGs. Some respondents were interested in other programmes.

Table 4. Dispute for resource allocation

Category CDG Frequently No. Amelichap (N=35) Chotetar (N=14) Janachetana (N=67) Bungeshwori (N=24) 2 3 % 14.3 12.5 Sometimes No. 9 7 9 9 % 25.7 50.0 13.4 37.5 No. 13 4 21 10 Seldom % 37.1 28.6 31.3 41.7 Never No. 13 1 37 2 % 37.1 7.1 55.2 8.3

Source: Field Survey (2001) Note: No. = number, % = corresponding percentage of the total number of respondents, N= number of sampled households

Information sharing among the members Respondents were asked how often they reported programme activities. The best information sharing was in Janachetana because members were interested in the programme and found it useful. In Bungeshwori, information was reported by the katuwal (a local person appointed by the villagers to deliver messages). He is responsible for delivering messages that are of concern to the villagers. Every household is obliged to provide cash or in-kind support for his services. However, despite this arrangement, most messages were delivered mutually by fellow members at meetings and informally during personal visits. Satisfaction derived from programme activity The trail improvement programme is in high demand by local people in the study area because everyone benefits equally. The direct benefit being easy traffic for local people as well as livestock. Some people have complained about soil-erosion problems due to the poor condition of trails. The 24 respondents from Bungeshwori were mostly satisfied with implementation of the trail improvement programme. (This CDG is quite distant from the highway and they need easy and frequent access to reach it.) Benefit sharing One of the direct benefits is savings. Usually not less than 10 percent of the total programme cost is deposited in the CDG bank by each group. The rest is obtained from external assistance and distributed among the beneficiaries who are involved in construction work. None of the respondents, except Chotetar, was dissatisfied with benefit sharing in the programme. Chotetar members had a low level of participation. Apart from cash income, it is difficult to quantify other benefits. It is assumed that the major benefit is trafficable roads. Decision making for implementing rules and regulations There was a significant difference in decision making in the CDGs. Relatively effective decision making occurred in areas accessible to infrastructure facilities. Again, higher literacy rates and interest in the programme are reasons for better performance.

Level of participation This was higher in Bungeshwori (Table 5). Higher satisfaction encourages higher participation and greater interest. Local farmers were interested in cash income from the programme but in one case (Janachetana) respondents indicated pressure by other members households who did not participate in the programme would not receive benefits from the CDG. In Chotetar participation was lower.
Table 5. Level of peoples participation in the trail improvement programme
Categories CDG Not good No. Amelichap (N=35) Chotetar (N=14) Janachetana (N=67) Bungeshwori (N=24) % Middling No. 2 2 2 1 % 5.7 14.3 3.0 4.2 No. 23 11 42 8 Good % 65.7 78.6 62.7 33.3 Excellent No. 10 1 23 15 % 28.6 7.1 34.3 62.5

Source: Field Survey (2001) Note: No. = number, % = corresponding percentage of the total number of respondents, N= number of sampled household

Satisfaction with transparency Janachetana CDG expressed highest satisfaction for transparency. Nobody was dissatisfied. About one-tenth of the respondents in Bungeshwori and Amelichap were dissatisfied. The level of satisfaction was also lower in Chotetar and Bungeshwori. Efficiency Work accomplishment according to the plan and budget This programme is labour intensive and good management of human resources is crucial. For efficient utilization of resources and time, local people arbitrarily divided the work among different sections. Each ad hoc group is responsible for the assigned management tasks. Most respondents in Bungeshwori and Janachetana agreed that the work had been accomplished according to the prepared plan and budget. Janachetana and Bungeshwori CDGs were more efficient. This higher efficiency is attributed to the higher level of peoples participation (Table 6) and their self-generated interest.
Table 6. Work accomplishment according to the plan and budget
Category CDG Never No. Amelichap (N=35) Chotetar (N=14) Janachetana (N=67) Bungeshwori (N=24) 1 % 4.2 Sometimes No. 5 4 3 2 % 14.3 28.6 4.5 8.3 Most often No. 26 8 30 7 % 74.3 57.1 44.8 29.2 No. 4 2 34 14 Always % 11.4 14.3 50.7 58.3

Source: Field Survey (2001) Note: No. = number, % = corresponding percentage of the total number of respondents, N= number of sampled households

10

Technical efficiency Work should be accomplished with an acceptable standard of quality. However, in the rural context there is no hard and fast rule regarding the quality of work to be measured. Therefore it is difficult to judge quality of work in the rural context especially where the work has been accomplished by local people. In response to technical efficiency of the trail improvement programme, no one was dissatisfied with the quality of work. Priority to adopt cost-effective methods In order to minimize programme cost, discussions are held among beneficiaries about adopting costeffective methods during surveying and preparing estimates with field technicians. Respondents were asked how many precautionary measures had been taken to adopt cost-effective methods to reduce programme cost. With the exception of Amelichap, more than two-thirds of the respondents in all of the CDGs consented to prioritize cost-effective methods. A field visit revealed that all of the construction work had been done using locally available resources and in most of cases, bioengineering techniques had been used for plugging small gullies and diversion channels. CDGs and conservation ponds Ponds are hydrological lifelines in rural areas. In this study, conservation ponds refer to small ponds constructed principally for trapping wastewater/runoff to reduce soil erosion and to enhance soil moisture availability to the crops. The CDC, with CDG members, selects appropriate locations for conservation pond construction. Twelve and eight ponds were constructed in Janachetana and Amelichap respectively; Chotetar and Bungeshwori had one conservation pond each. Since the establishment of conservation ponds, beneficiaries have derived cash income by selling off-season vegetables like cauliflower, cucumber, beans, ladys fingers, chili, squash, and tomatoes. Mostly, the vegetable products are sold directly to local middlemen and sometimes in Kathmandu Vegetable Wholesale Market. Effectiveness Disputes in benefit sharing The main benefit is irrigation facilities. Despite the lower number of households more disputes occurred in ADALNH compared to AAHNH because no strict rules and regulations had been formulated. The fewer disputes in AAHNH are attributable to the good relationships among the members and a good conflict resolution mechanism within the community Information sharing among the members Sharing of information regarding programme activities was effective in AAHNH (Table 7). In this regard, 52.2 percent of the respondents agreed to share information at meetings. Again, the good relationships among the members was the primary factor. In ADALNH (Chotetar) only about onefourth of the respondents communicated under the Always category; poorer relationships among members were responsible for this low level.

11

Table 7. Information sharing among the members

Category CDG Dont care No. Amelichap (N=35) Chotetar (N=14) Janachetana (N=67) Bungeshwori (N=24) 3 % 21.4 Sometimes No. 8 3 7 % 22.9 4.5 29.2 Most often No. 18 6 29 9 % 51.4 42.9 43.3 37.5 Always No. 9 5 35 8 % 25.7 35.7 52.2 33.3

Source: Field Survey (2001) Note: No. = number, % = corresponding percentage of the total number of respondents, N= number of sampled households

Satisfaction derived from the programme The respondents from AAHNH were more satisfied with the programme because of the cash benefits derived from off-season farming practices. The ADALNH were less satisfied. Benefit sharing among the members Irrigation (the main benefit) enhanced cash income as beneficiaries sold their off-season farm produce to the nearby market. In this regard the AAHNH were pleased with the programme, although benefit sharing is not relevant in this context; the respondents were satisfied because of higher income. Decision making for implementing rules and regulations It was compulsory for every household to participate in maintenance of the system. No one was allowed to use water out of turn. Better consensus decision making was prevalent in accessible areas with higher populations. In areas where people had been deriving more benefits, better rules and regulations were exercised compared to lower income-generating groups. Peoples participation in programme activity The AAHNH was effective in mobilizing peoples participation compared to the ADALNH, benefits being the powerful motivation factor. Some sources of cash income were dubious. Transparency maintained among the members Good mutual understanding among the members, community decision making by consensus, frequent meetings, and proper record keeping help to maintain good transparency among the members in AAHNH. This is not the case in ADALNH. Efficiency Work accomplishment according to the plan and budget There was no significant difference between the CDGs regarding work accomplishment. This indicates that all of the CDGs work efficiently in the conservation pond programme. Some of the respondents 12

in ADALNH complained about delay in budget release and untimely availability and delivery of construction material which hampered programme activities. Accomplishment of work with efficient utilization of resources A more or less similar level of efficiency was observed in all of the CDGs (Table 8). Besides human and financial resources, the important material resource in this activity was cement, which is expensive and perishable.
Table 8. Accomplishment of work with efficient utilization of resources
Category CDG Dont agree No. Amelichap (N=35) Chotetar (N=14) Janachetana (N=67) Bungeshwori (N=24) 1 1 1 % 2.9 1.5 4.2 Somewhat agree No. 3 3 10 5 % 8.6 21.4 14.9 20.8 No. 17 4 20 6 Agree % 48.6 28.6 29.9 25.0 Fully agree No. 14 7 36 12 % 40.0 50.0 53.7 50.0

Source: Field Survey (2001) Note: No. = number, % = corresponding percentage of the total number of respondents, N = number of sampled households

Technical efficiency of accomplished work Most of the work was accomplished by the local users without the external assistance of skilled human resources. The ponds constructed in the study area were in good condition and operating well. In Chotetar, service delivery (required quantity of water) was unavailable from the pond. Priority to adopt cost-effective methods Beneficiaries made maximum use of locally available resources in order to reduce the cost of the programme. Nevertheless, the responses reveal that they are not very effective in adopting costeffective methods, probably because of their dependency on external resources, especially cement, which elevates the cost of construction as well as adding financial burden. Sustainability of CDGs A legitimized and effective organization is essential to achieve goals. Therefore the CDGs were formed to develop sustainable management of institutions for the continuation, maintenance, and dissemination of skills related to soil conservation and watershed management practices. The basic objective underlying the formation of CDGs has been to search for alternatives that could be sustained in the future (APROSC, 1997). Most donors report a strong correlation between the sustainability of development outcomes and the effectiveness of institutional intervention (Morgan and Qualman, 1996). Furthermore, they also clarify that achieving some sort of institutional sustainability is an ongoing process rather than an end state.

13

Peoples attitudes When the funding and the implementing agencies withdraw support from the project area it is the peoples attitude and participation that determines the future of the system. Therefore whether the system can be sustained or not depends mostly upon the households degree of responsibility, i.e. the programmes have been implemented for their benefit and they themselves should take care of the system. Respondents revealed that they are more interested in direct benefits like water source protection, income generation, and irrigation canal improvement rather than programmes with longer gestation periods before benefit distribution. ADALNH respondents expressed their reluctance to contribute to programme activities, Mainly because watershed management is dependent on external resources and resources allocated by DSCO are insufficient to run the programme. Also local people are relatively poor at record keeping of financial transactions. Necessity of peoples participation in watershed management The policy of the watershed management programme is to involve local people in every stage of the programme so they can manage the resources by themselves and fulfill their basic needs by generating income. Most of the respondents strongly expressed the need for peoples participation for watershed management. No one disagreed. Political support The CDG as an institution is inevitably a part of village political life and political support to development work; this enhances smooth and effective functioning of development programmes. Therefore the stronger the political support the better the success of the particular programme activity will be. Overall political support for watershed management activities to CDGs was not encouraging. This is attributable to lack of coordination with local leaders and their biases. Human resource development The development of local human resources has been the focus of DSCO for effective watershed management and organizational sustainability. User group capacity building is crucial for the formation of viable user groups. Training is gradually increasing and extending to a wider audience of farmers. The training includes adult literacy, account and record keeping, income generation, skills development, nursery techniques, bee keeping, horticulture, vegetable production, and mushroom production. If the types of training requested by the farmers differ from the regular training (e.g. agriculture, livestock, cottage industries etc.) being conducted by DSCO, then DSCO coordinates with line agencies to provide the requested training. Most of the respondents from Chotetar expressed their full support for human resource development. However in Janachetana and Bungeshwori, respondents perceived comparatively lower levels of human resource development. Fund mobilization The promotion of group savings as the basis for revolving credit facilities for group members has also been an important factor in sustaining community-based groups. Presently the main sources of income 14

are savings from the programme activities, monthly savings, membership fees, and interest from investment. However the user groups are accumulating funds in an impressive manner by pooling individual resources. In this manner most of them are now saving money. User groups are found to be lending money at a rate of 24 percent per month for CDG members. Despite the higher interest rate, farmers reported they are willing to accept the charge, promising to repay within the time frame fixed by the CDGs. Community organizations with more households, especially Janachetana, invested saving funds. Only nominal funds were mobilized for purchasing improved varieties of seeds, goats, urea, and household utilities. Formal registration The formal registration of the CDG affords the organizational status of NGO. However there are some legal problems with the formally registered organizations (Karki and Sharma, 1999). A CDG registered under the NGO framework is always a non-profit making corporate body. Thus the NGO framework is not helpful in promoting the individual profit-sharing expectations of CDG members. Participation in maintenance work Participation in water source protection was relatively better in areas where there is a scarcity of drinking water. In most cases, the respondents seemed to have reduced interest in participating in maintenance work (Chotetar and Amelichap) compared to participation at the programme implementation stage. Money is being extracted from saving funds (Chotetar and Amelichap) for drinking water system maintenance. However most of the work needs higher labour contribution. The highest rating of more than one-third, for the water source protection programme, belonged to Janachetana; percentage-wise, Bungeswori had the highest rating of 58.3 percent for the trail improvement programme; a more or less similar rating was found in all of the CDGs for the conservation pond programme. This difference in the level of peoples participation indicates that participation in maintenance work depends on their needs. External support There has been some support in dissemination of technology and programme activities. Remarkably, Janachetana has been successful in drawing significant resources from NEWAH for the drinking water system programme and Janachetana households are benefiting. This indicates that the Janachetana CDG is running its programme activities efficiently. Conclusion Most of the households depend on subsistence agriculture due to scant opportunity for off-farm activities. This has a negative effect on land productivity, which ultimately leads to a decline in the socio-economic condition of the watershed inhabitants. In this regard the CDGs are playing an important role in the better management of watersheds and socio-economic improvement. The CDGs nearest to infrastructure facilities with higher numbers of households were better at watershed management activities. Democratic decision making for resource allocation and benefit sharing as well as transparency and communication is essential to reduce disputes and maintain good relationships among the members. Positive attitudes, higher participation in programme activities, sufficient funding and its mobilization, external assistance, and favourable political support (coordination) are fundamental for the better performance and sustainability of the community organization. 15

Literature cited Adhikari, R. 1996. Participatory Rural Development in Nepal: Comparative Study of GO, NGO and Locally Initiated Projects in Syangja District. Asian Institute of Technology, Thailand. APROSC. 1997. Socioeconomic Studies of Selected Sub-Watersheds in the Districts of Rasuwa, Nuwakot and Dhading, (Vol. IV), Base Line Survey and Institutional Development Modalities of Kumpur Sub-Watershed Dhading. Nepal/Denmark Watershed Management Project, Project Support Office, Kathmandu. Nepal. Bogati, R. 1999. DANIDA Supported Soil Conservation and Watershed Management Program in Nepal. Proceedings of DANIDAs Third International Workshop on Watershed Development, Kathmandu, Nepal. Carnall, C.A. 1995. Managing Change in Organizations. Prentice Hall, London. Colfer, C.J.P. & Wadley R.L. 1999. Scoring and Analysis Guide for Assessing Human Well Being. Center for International Forestry Research (CIFOR), Indonesia. Dwivedi, R.S. 1979. Human Relation and Organizational Behavior. Mohan Primlani, Oxford and IBH Publishing Co., India. Hansen, J.M.; Shrestha, B.D. & Pudasaini, B. 1995. Biophysical Survey of Dhading, Rasuwa and Nuwakot Districts and Selected Sub-Watersheds. Department of Soil Conservation, Ministry of Forest and Soil Conservation (MOFS) and Danish International Development Assistance (DANIDA), Kathmandu, Nepal. Joshi, N.; Jali, N.M. & Hamid, A.H. 1997. Organizational structure, performance and participation: forest user groups in the Nepal Hills. In G. Shivakoti, G. Varughese, E. Ostrom, A. Shukla and G. Thapa (eds). People and Participation in Sustainable Development: Understanding the Dynamics of Natural Resource System. Proceedings of an International Conference. Institute of Agriculture and Animal Science /Tribhuvan University, Rampur, Chitwan, Nepal. HMG/CBS. 2000. Statistical Pocket Book, Nepal. National Planning Commission Secretariat, Central Bureau of Statistics, Kathmandu, Nepal. Karki, B.B. & Sharma, R.K. 1999. Community Development Group Registration Study. Development Vision, Nepal. Margerum, R.D. 1999. Integrated Environmental Management: The Foundation for Successful Practice, Environmental Management. Springer Verlag, New York Inc., Vol. 24, No. 2, pp.158. Mishra, B. 1996. A successful case of participatory watershed management at Ralegan Siddhi village in District Ahmadnagar, Maharastra India. In P.M. Sharma and M.P. Wagle (eds). A Case Study of Peoples Participation in Watershed Management in Asia, part 1: Nepal, China and India . PWMTA-WMTUH-FARM, Field Document No. 4, Kathmandu, Nepal. Morgan, P. & Qualman, A. 1996. Institutional and Capacity Development, Result Based Management and Organizational Performance. Canadian International Development Agency (CIDA). Paudel, G.S. 2000. Farmer Led Management Practices in the Hills of Nepal: A Comparative Study of Watersheds With and Without External Intervention. Doctoral Thesis. AIT, Bangkok, Thailand. Shrestha, M. 1991. Parental Attitude towards Education: Gender Analysis in the Context of an Urban Fringe Community, Nepal. AIT Masters Thesis. Bangkok, Thailand. Sthapit, K. 1994. Concept of Soil and Watershed Conservation in Hilly and Plain Areas. Department of Soil Conservation and Watershed Management, Kathmandu, Nepal.

16

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

INSTITUTIONAL ANALYSIS OF WATERSHEDS WITH AND WITHOUT EXTERNAL ASSISTANCE IN THE HILLS OF NEPAL Shrutidhar Tripathi1

Introduction Mountain and upland watersheds constitute 25 percent of the earths land surface. However, little understanding of mountain specificity by planners and policy-makers and the inability of development efforts to harness local niches have aggravated economic woes and threatened prospects for mountain development. The Hindu Kush-Himalaya is one of the youngest mountain systems in the world and thus subject to high rates of natural erosion. Rivers originating in the region carry much more silt than those originating elsewhere. Furthermore, prevailing socio-economic conditions contribute to serious erosion and watershed instability. The Himalayan Kingdom of Nepal is experiencing environmental and ecological degradation which increases soil erosion thereby reducing farm productivity. Cultivation on the mountainous terrain has raised questions about the suitability of intensive land-use practices that threaten the condition of watersheds where soil-erosion rates are already high owing to the fragile ecosystem. The ever-increasing population in the hills of Nepal has increased pressure on natural resources. With no access to better quality lands and no off-farm employment opportunities, local people have removed forest and grass cover to fulfill their basic needs for food, fodder, fuelwood, and timber. Nepal is reported to have the highest livestock density per unit of cultivated land in the world. Assorted species of livestock are sources of draught power, dairy products, meat, and manure. Therefore, reducing the number of livestock directly impacts farm productivity as most of the farming activities are carried out with livestock. Hill farming requires the net transfer of nutrients from the forest and rangeland, through fodder and leaf litter, to animals. Fodder and grasses are used to make up the feed deficit and leaf litter is mixed with dung to fertilize the farmland. Due to limited arable land with highly fragmented and small land-holdings; low productivity; extension of cultivation to less productive marginal and steeply sloping land; decline in the use of organic manure; and lack of improved agricultural inputs and off-farm employment opportunities, poor farming households have to rely on the forests and public land for livestock rearing. The watershed management programme was initiated by the Department of Forest in July 1966 through the project Survey and Demonstration for the Development and Management of the Trisuli Watershed A Pilot Project. In most cases, policies and programmes for mountain watersheds had been designed and implemented using a centralized top-down approach, which allows little scope for adjusting to situations at the local level. This type of compartmental approach often proved to be unsustainable in the context of Nepalese mountain watershed management.

MSc. Thesis (Ref. No. RD-01-11), Asian Institute of Technology, Bangkok, Thailand. August 2001. Examination Committee - Dr. Gopal B. Thapa (Chair), Prof. Karl E. Weber, Dr. Michael A. Zoebisch

17

The top-down approach has numerous pitfalls, especially the non-involvement of watershed inhabitants in management planning, which questions the success and validity of the programmes (Chambers, 1993; Brooks, 1993). Currently, bottom-up planning has been encouraged to muster farmers participation for the sustainability of watershed management projects, with emphasis on increasing productivity while conserving the resource base. The concept of integrated watershed management planning has been institutionalized and a participatory group approach has become mandatory as a means to plan, implement, and maintain programmes while sharing benefits. Developing sense of ownership, generating self-help attitudes among local people, reducing the cost of project implementation, and sustaining the achievements of the project are some reasons to motivate people to participate in watershed management. An integrated watershed management project needs to address all the problems in the watershed area be they socio-economically related or natural resources related. A number of watershed management projects have been completed and are running in the hills of Nepal. A successful watershed management project is expected to have positive spillover effect in adjacent watersheds with similar socio-economic and biophysical conditions. In mountain watersheds, the level of community development, including the socio-economic condition, influences the extent of natural resource management (NRM) and the knowledge and capacity of the community. One of the major indicators to assess the level of community development is the presence and functionality of community level institutions. High public participation in resource management activities can be expected only in those communities where local institutions are functioning well because these institutions act as a binding force among otherwise scattered people. Community forest groups, irrigation groups, and drinking water management groups are working in the field of NRM, whereas agricultural groups, cooperatives, and savings/credit groups are associated with natural resource conservation for improving social cohesion and enhancing the economic condition of the local people. Therefore, institutional analysis has become a useful tool in the field of communitybased NRM for understanding how local communities manage resources and how improvements in management can be initiated. The Begnas Tal-Rupa Tal (BTRT) Watershed Management Project had applied a participatory approach to watershed management. Involvement of existing local institutions and the formation of new local institutions was mandatory to get the local people involved in project activities. This project was initiated in 1985, completed its first phase in 1989, and a second phase in 1994. Various reports and papers on the BTRT Project have claimed that the institutional building of local organizations like the Community Development Conservation Committee (CDCC), user groups, cooperatives, and local NGOs are some outstanding examples of the achievements of the BTRT project. This research has studied the impact of the functioning of all kinds of local institutions in relation to the management status of natural resources. The common approach/technique for impact evaluation is to compare before and after situations, which heavily relies on baseline data and/or the memories of the settlers. As far as this researcher knows, so far, no one has conducted any research to appraise institutional aspects in relation to watershed management by comparing two watersheds with and without incentives. Soil-erosion rates vary significantly according to location, slope gradient, and land-use type but the estimated rates 60 t/ha/year of average soil loss in the upper Andhikhola Watershed of the western region; and 33 t/ha/year in the Tinau Watershed of the central region provide sufficient clues that resources are being degraded at a considerable rate. Increasing cropping intensity has been sought as an alternative to declining crop yields and food deficits. Cropping intensification demands higher amounts of inputs including farmyard manure (FYM) and chemical fertilizers (Schreier et al., 1995). But, declining resources required to produce FYM and farmers inability to purchase chemical 18

fertilizers have impeded increases in farm productivity. The hill farmers have traditionally followed integrated soil-management practices based on their indigenous knowledge. Local organizations are being mobilized by a number of watershed management projects. Viable local institutions enable peoples participation in planning, implementation, and maintenance of project activities (Jensen, 1995). The main thrust of institutional building in watershed management is to examine management procedures that secure better performances from local organizations. Institutional capacity, which guides the institutional performance, can be strengthened to improve the work performance of local organizations. In the past, grassroot institutions have managed forest, rangeland, and water resources successfully in the hills of Nepal (Gurung, 1995; Poudel, 1997; ICIMOD, 1986). Mountain watershed plans are targeted at the more marginalized groups in the watershed, such as women, the landless, and marginal farmers. Any watershed management activities should serve to address equity in the watershed where most investment is taking place on the land. Until recently, programmes and projects aimed at improving the socio-economic conditions of the people tended to be initiated, designed, and implemented by top level agencies and institutions without systematic consultation and involvement of the intended beneficiaries. Participation in watershed management is an area that has failed to capture the needs and aspirations of watershed inhabitants. The social, economic, institutional, and biophysical conditions in the watershed are expected to be better than areas without any projects. Accomplishment of objectives is better with a high degree of peoples participation. The specific objectives are: to assess the status of farmland, forest, and grazing land resources from watershed settlers perspectives; to assess the structural and functional systems of local organizations and their role in the management of natural resources; to evaluate the efficiency of local institutions in mustering public participation in natural resource conservation and management; and to suggest policies for strengthening local institutional capacity for watershed management. The study area Two watersheds, namely, Begnas Tal-Rupa Tal Watershed, hereafter referred to as the Project Watershed and Kali Khola Watershed, hereafter referred to as the Non-project Watershed were selected (Figure 1). The Bijayapur Khola River separates these two watersheds. The Non-project Watershed was selected because its biophysical and social structure is sufficiently similar and comparable with the Project Watershed. In addition, it is accessible and close to the Project Watershed. Therefore, it was easy to collect data from both watersheds in a given period of time. Biophysical and socio-economic conditions of the study area Biophysical condition Project Watershed The Project Watershed is located 10 km northeast of Pokhara City. It covers an area of about 173 km2 including two major lakes Begnas Tal and Rupa Tal. The watershed is characterized by a complex and heterogeneous topography with mazes of irregular ridges and spurs, and gentle to very steep slopes. It has steep north- and south-facing slopes of 40-65 and 35-40 respectively. The elevation 19

Pokhara

Study Area in Kaski District

Figure 1. The study area in Kaski District

20

ranges from 600 m at the valley bottom to 1 417 m at Thulakot. The valley bottom is characterized by relatively low relief, gentler slopes, and a lower dissection index (<0.3/km2 ). The sloping margins of lowlands are subject to intensive terrace-forming; as a result the area is prone to erosion. Hillside slopes are moderate and occupy around 45 percent of the area; they are densely populated. The elevation ranges from 760 to 1 070 m comprising Tari and Bari lands. This part of the watershed is mostly dry. There are surrounding highly elevated ridges and spurs, exceeding 1 070 m. Thin layers of soil, steep slopes, and low soil moisture permit either pasture or forest land uses (Basnet, 1992). The Syankhudi Khola and Dobhan Khola rivers drain the watershed. The Syankhudi Khola and its tributaries drain into the Begnas Tal, whereas the Dobhan Khola and its tributaries drain into the Rupa Tal. The former has 76 stream segments and drainage density of 5.5 km/km2 whereas the latter has 180 stream segments and drainage density of 5.09 km/km2 . The area receives about 70 to 90 percent of the annual rainfall from the southwest monsoon in the rainy season. Natural vegetation accounts for nearly 40 percent of the total watershed area. The predominant species of the subtropical forests are Katus (Castanopsis indica), Chilaune (Schima wallichii), and Sal (Shorea robusta ); other species include Ebgelhardtia spicata , Syzygium cumini, Myrica esculenta, and Rhus javanica. Temperate forest species include Quercus glaunea, Euraya accuminate , Prunus cerasoides and various species of Rhododendron. The general types of soil in the Project Watershed are alluvial at the valley bottom and laterite soil on the hill slopes. Loamy soil at higher altitudes and on steep slopes is less favourable for cultivation owing to low soil depth and leaching (Basnet, 1992). About 50 percent of the land is under cultivation with slightly more cultivation of Bari lands (rainfed) than on Khet land (irrigated). Khet lands are located in the low-lying areas around lakes and rivers. The population density is 233 persons/km2 whereas agricultural density is as high as 535 persons/km2 . The average literacy rate is 67 percent (male 86 percent and female 48 percent) which is far greater than the national average of 33 percent (Basnet, 1992). Non-project Watershed The Non-project Watershed is located in the upper Pokhara Valley of Kaski District, about 15 km from Pokhara City. Most of this watershed occurs in the valley bottom, which is nearly flat. Major land-use types are forests, scrubland, grazing land, and agricultural land (Table 1). A large area of land was converted from forest and scrubland into agricultural land between 1957 and 1988. Nearly all scrublands in the watershed are remnants of former forest lands. The total area under scrub- and grazing land declined by about 41 percent (nearly 443 ha) from 1957 to 1978. As a result, agricultural land use in the watershed increased by about 33 percent, i.e. 27 ha/year between 1957 and 1988 (Thapa, 1990).
Table 1. Non-project Watershed (land use)
Land use Forest Pasture and scrub Agriculture A -8.2 -41.1 +32.8 B -1.2 -24.1 +7.5 C -9.3 -55.6 +42.7

Source: Thapa (1990) A = Proportionate change between 1957 and 1978 B = Proportionate change between 1978 and 1988 C = Proportionate change between 1957 and 1988

21

The climate is sub-tropical and sub-humid; the monsoon rainfall is characterized by hot and wet summers, and cold and dry winters. In the forests of higher altitudes, the predominant species of trees are Arundinaria intermedia (Nigalo ). In the middle region, Fratrinus floribundas (Langri), and Quercus lanuginosa (Baajh) are predominant whereas in the lower section Shorea robusta (Sal), Schima wallichii (Chilaune), Castanopsis indica (Katus), Myrica esculenta (Kafal), Debregesia salicifolia (Dar), and Alnus nepalensis (Utis) are predominant tree species. The general types of soil in the watershed are alluvial on the valley bottom and laterite soil on the hill slopes. Social conditions Watershed settlers live in heterogeneous social conditions in terms of household structure, available labour force, occupations, and employment patterns. These factors determine the overall economic condition of households. The farm household is the fundamental unit of the farming systems. It has its own scope within which household members interact to satisfy their requirements. Household size, age structure, gender, educational level, occupations, farm size, land types, and other farm resources are the major variables influencing the farm households income and ultimately the level of their participation in resource management activities.
Table 2. Gender composition in the two watersheds
Gender f Male Female Total Gender ratio 249 281 530 0.89 Project watershed(n=103) % 47 53 0.96 Mean 2.42 2.73 5.15 Non-project watershed(n=109) f 289 308 594 % 49 51 Mean 2.65 2.85 5.5

Source: Household survey (2001) f = Frequency

The gender ratio in the Project Watershed was slightly lower than the Non-project Watershed, i.e. there were more women than men in both the study watersheds (Table 2). But 96 percent of the households in the Project Watershed and nearly 84 percent of the households in the Non-project Watershed were headed by men. Most of the population in the Project Watershed had primary level education while nearly one-fourth of the population had secondary level education in the Non-project Watershed. Up to primary level, the percentage of women was higher but above primary level, men dominated. Economic condition Household income came from crop farming and livestock raising, and from non-agricultural sources. The economic status of the household depended largely on the land-holding size, total production, and number of livestock. Agricultural systems In an agrarian society, as in the study area, land-holding size has significant importance in determining the overall economic condition of the household. The average land-holding in the Project Watershed 22

was nearly 13.5 ropani per household (1 ropani = 0.05 ha), which was slightly higher than the Nonproject Watershed. However, the average size of Phantkhet, which is considered the best quality land, was nearly double in the Non-project Watershed. Tarikhet shared the largest proportion of the total land size in both watersheds. The average number of parcels per household was about three in both watersheds; however, land fragmentation in the Non-project Watershed was slightly higher due to relatively lower average land-holding size. The size of average land cultivated per household was smaller than the average land-holding size. This was because farmers did not farm in Kharbari or jungle land (Table 3).
Table 3. Area cultivated by land type
Type of land Project Watershed(n = 103) Average area per hh in ropani Phantkhet Tarikhet Gharbari Bari Average 1.7 (2.9) 5.2 (6.9) 3.5 (3.0)** 2.0 (2.9)** 12.3 Percent of total land 13.4 42.4 28.0 16.3 100.0 Non-project Watershed(n = 109) Average area per hh in ropani 1.9 (2.9) 4.4 (4.0) 2.0 (1.6)** 1.0 (1.6)** 9.3 Percent of total land 20.9 47.6 21.0 10.5 100.0

Source: Household survey 2001 NB: * Significantly different at 0.05 confidence level (two tailed t-test) ** Significantly different at 0.01 confidence level (two tailed test) Figures in parentheses are standard deviations in the respective category 1 ha = 20 ropani

Three percent of the households in the Project Watershed were landless. Small farmers who constituted 44 percent of the total households in the Project Watershed and 37 percent in the Nonproject Watershed owned only 17 percent of the total land. Medium farmers, who represented 30 percent in the Project Watershed and more than 50 percent in the Non-project Watershed, owned 50 percent of the total farmland per household. Millet occupied third position in terms of production per unit of land in the Project Watershed while this applied to maize in the Non-project Watershed. The average income from fruit farming per household in the Project Watershed was significantly higher than the average income from fruit farming in the Non-project Watershed. About 68 percent of the total households in the Project Watershed and 80 percent of the total households in the Non-project Watershed had food deficits from their own production. The average number of large ruminants per household in the Project Watershed was significantly higher than the Non-project Watershed but in contrast, the average income from large ruminants in the Non-project Watershed was significantly higher than the Project Watershed. In the Non-project Watershed, medium farmers dominated livestock raising. Cropping systems Altogether 19 types of cropping pattern in the Project Watershed and 16 types of cropping pattern in the Non-project Watershed were observed. In the Project Watershed, more farmers practised fruit cultivation and coffee farming than in the Non-project watershed. Normally, farmers choice over specific types of cropping pattern depends upon land types, irrigation facilities, access to technology, access to market, and farmers preference over certain crops. Adoption of agroforestry was also observed more in the Project Watershed. According to farmers of the Project Watershed, coffee 23

farming, in this area, was introduced by the BTRT project. In the Project Watershed, cropping intensity was highest in the Gharbari followed by Bari, whereas in the Non-project Watershed, the highest cropping intensity was observed in the Bari land followed by Gharbari. The average cropping intensity was higher in the Non-project Watershed than the average cropping intensity in the Project Watershed. Three agricultural cooperatives were operating in the Non-project Watershed. In a subsistence economy with small land-holdings, crop diversification ensures farmers food supply. Role of local institutions in agricultural systems The types of local institutions operating in the Project and in the Non-project Watersheds and their objectives differed; thus differences in watershed agricultural systems were observed. In the Project Watershed, the BTRT project had promoted conservation farming during project implementation via the CDCC. According to local farmers, the BTRT project informed farmers of the importance of farmland management and techniques to manage farmlands. The effect was reflected by higher cropping diversification in the Project Watershed. Cooperatives play a significant role in enabling local farmers by providing technical as well as credit support. Local institutions can motivate farmers to adopt innovations. The main focus of the BTRT project was resource conservation; hence the farmers in the project area were more concerned with resource conservation than farmers in the nonproject area. Contrariwise, cooperatives were promoting intensive use of farmland resources to increase production in the Non-project Watershed; hence farmers were using their farmland more intensively than farmers in the project area. Major problems in the farming systems Lack of quality inputs was a constraint perceived by farmers in both watersheds. For many farmers in the Non-project Watershed lack of farm labour was another constraint, but this was not the case in the Project Watershed. Inadequate access to extension services plagued both watersheds (Table 4).
Table 4. Major problems in farming
Major problems Project Watershed (n=103) f Lack of water for irrigation Lack of quality agricultural inputs Insufficient farm labour Inadequate access to the extension service and disease problems Natural disaster Total Source: Household survey (2001) f = Frequency of response 83 66 10 28 30 217 % 38.2 30.0 4.6 13.4 13.8 Non-project Watershed (n=109) f 75 36 37 26 10 174 % 40.8 19.6 20.1 14.1 5.4

For livestock raising, insufficiency of water, feed, fodder and grazing space hindered farmers in both watersheds. Disease too was noted by both groups but rated higher in the Non-project Watershed.

24

Household cash income from non-agricultural sources Of the total number of people involved, 70 percent in the Project Watershed and 80 percent in the Non-project Watershed were male. In the Non-project Watershed, more women worked as waged labourers. In terms of the total average income from the non-agriculture sector, the highest average income came from petty business followed by the service sector in the Project Watershed. These two sectors shared more than three-fourths of the total average non-farm income per household. Average income per household from the service sector, from pensions, and from remittances in the Nonproject Watershed was higher (most people being involved in the service sector inside and outside the country). Status of farmland, forest, and grazing land In an agrarian society land is the major means of sustenance for the people. The amount of farm produce entirely depends upon the quality of land especially in those areas where farmers are not able to supply additional inputs to the farming system. In addition to this, farmers in mountain watersheds largely depend upon their surrounding natural resources to fulfill their various household requirements such as fodder, fuelwood, and timber and non-timber forest products. Farmers of both watersheds were asked about their opinion on the status of natural resources based on their observations of the last 20 years. Soil erosion from farmlands The intensity of soil erosion in different types of land varied. Phantkhet was not highly prone to accelerated soil erosion and landslides because they occurred on the valley floor. Gharbari and Bari were characterized by convex levelled terraces. Soil erosion in all types of land in the Non-project Watershed was increasing, while it was decreasing in the Project Watershed. Within the Project Watershed, decreasing soil erosion was highest in Bari because of tree planting over the last 20 years. In the Non-project Watershed, 65 percent of the respondents believed that soil erosion in Khet was increasing. Land productivity The study revealed that land productivity in both watersheds was decreasing. About half of the people of both watersheds experienced decreasing crop yields in Khet. About 54 percent of the total respondents in the Project Watershed and 47 percent in the Non-project Watershed thought that the productivity of Bari land was also decreasing. Farmland management Farmlands were degrading in both watersheds. Loss of fertile topsoil due to soil erosion and decrease of land productivity due to nutrient mining were two major reasons. However, watershed settlers have been practising various kinds of land management practices to mitigate the rate of soil erosion and nutrient mining.

25

Household involvement in land management There were more households adopting farmland management practices in the Project Watershed; 90 percent adopted land management practices in Tarikhet whereas only 24 percent performed land management practices in Phantkhet. In the Non-project Watershed, most households conducted land management activities in Bari land while few households adopted land management practices in Gharbari. Bari lands were cultivated most intensively. External intervention by the BTRT in the Project Watershed improved farmland management practices. In the Project Watershed, about 89 percent of the households had trees in Gharbari whereas 65 percent of the households had trees in Gharbari in the Non-project Watershed. Similarly, in case of Bari lands, more households had trees in the Project Watershed. Legume cultivation Legumes convert unavailable atmospheric nitrogen into available nitrogenous nutrients. Growing legumes as an intercrop with maize predominated in both watersheds. In the Project Watershed, about 48 percent of the households adopted legume cultivation whereas only about 28 percent of the households adopted legume cultivation in the Non-project Watershed. In the Project Watershed, most farmers grew legumes in Gharbari while non-project farmers opted for Phantkhet to grow legumes (Table 5).
Table 5. Legume cultivation
Land types Project Watershed(n = 103) No. of household with particular types of land Phantkhet Tarikhet Gharbari Bari 31 65 97 55 f % Non-project Watershed(n = 109) No. of households with particular types of land 41 87 85 40 f %

3 3 43 14

9.7 4.6 44.3 25.5

11 16 4 6

26.8 18.4 4.7 15.0

Source: Household survey (2001)

NB: f = frequency of response % = Percentage of households which practised legume cultivation in respective types of land

Legume cultivation was not very popular in the study area mainly because most of the farmers were unaware of the multiple benefits of legume cultivation. Besides, shortage of labour and relatively small land-holding size were also reasons why farmers were not interested in practising legume cultivation. Application of chemical fertilizers and organic manure Farmers applied chemical fertilizers and compost or FYM. Application of mineral fertilizer in both watersheds was very low. Of the total amount of chemical fertilizers applied, nearly 57 percent in the Project Watershed and about 67 percent in the Non-project Watershed was applied in Gharbari only. Availability of FYM and compost largely depended upon the total number of livestock per household and availability of leaf litter. Non-project farmers applied higher amounts of compost and FYM than project farmers. 26

Fertilizer sufficiency Seventy percent of project farmers and 41 percent of non-project farmers thought that the amounts of fertilizer they were applying were insufficient. However, the overall situation in the non-project area was better in terms of fertilizer sufficiency. Most project farmers were unable to apply the recommended doses of chemical fertilizer owing to their low income from non-farm sources. Fodder availability Farmers needed fodder to raise livestock; and leaf litter to make compost and FYM. Community pasture and forests, national as well as community forests, are sources of fodder. The severity of the problem was highest in community pasture (57 percent project respondents and 40 percent nonproject respondents). Fodder availability from private land was decreasing in both watersheds; however, the magnitude was higher in the Project Watershed. Non-project households considered growing fodder in their own fields because they observed rapidly decreasing availability of fodder in the forest and community pasture. Status of important resources The Project Watershed was in better condition in the context of state of forest area and quality of prevailing forests. Total forest area has increased over the last 20 years (it has been decreasing in the non-project area). Dependency on forest and grazing land Generally both watersheds depended on fuelwood. Forests can be divided into two categories based on the management of this resource. Most project households harvested forest products from the community forest, whereas for non-project households, very few had access to the community forest. Most non-project households entered the national forest to extract forest resources. Only one community forest operated in the Non-project Watershed. Local people in the Non-project Watershed were not eager to take over forest as community forest because of conflicts among users; however, they had formulated some rules to manage their surrounding forest. Harvesting of forest products In the study area, watershed settlers harvested forest products from community forests and national forests. Community forests Community forests were the only source of forest products for the people of the Project Watershed (also livestock grazing). In the Non-project Watershed, about one-tenth used the community forest for fodder collection, followed by livestock grazing the rest used national forest. This shows that non-project households had greater access to community forest.

27

National forest Most non-project households relied on national forest for the extraction of all kinds of forest resources. As in the community forest, the frequency of fodder collection was highest. Frequency of fuelwood collection occupied second position followed by frequency of livestock grazing in the Non-project Watershed. Access to national forest was relatively easy. Settlers suggestions for improving the status of resources Responses obtained from the non-project households were more valid than the project households because the latter lacked interaction with national forest. More than 56 percent indicated the need for forest guards and fencing to prevent illegal extraction of forest products and to control intrusion by livestock. For community forest, most people thought that there was a need to develop a feeling of ownership and responsibility among forest users by creating awareness and providing capacity building training to forest user groups. Conflicts among the users to utilize group funds had started to take place in some of the community forests. Some respondents thought that the area of grazing land had decreased over time, mostly because of encroachment, which had aggravated pressure of livestock on existing grazing land. Respondents further suggested that patches of degraded grazing land should be provided to the local community so people could plant grasses and fodder trees to supplement the fodder and grass requirements and improve the resource status at the same time. Local institutions More local institutions operated in the Project Watershed. The number of community forest user groups (C-FUGs) was highest (8), whereas in the Non-project Watershed, only one C-FUG was found. Two community development groups operated in the Project Watershed; no such group was found in the Non-project Watershed. The BTRT project had formed many community development groups to implement its programme. According to respondents, during the project period, project staff used to organize group meetings that discussed community conservation and development issues. Most mother groups and savings-credit groups were of this type. C-FUGs focused mainly on the management of forest resources. Agricultural cooperatives and agriculture development groups strove for agricultural development in both watersheds. C-FUGs were also formed by the BTRT project. In the Non-project Watershed, mother groups organized tree-planting in wasteland. In the Project Watershed, all but one savings-credit group were established by the Village Development Program. Three-fourths of C-FUGs were established by the BTRT project. People of the Project Watershed admitted that it was project inspiration that motivated them to form user groups. To take over forests as community forest, the formation of user groups was a precondition, hence, people formed groups with project assistance. In most instances, conservation groups formed by the project to carry out plantation activities were merged to form a C-FUG. To implement these package programmes, a service centre took the initiative to form specific groups such as vegetable farming group, fruit cultivation group, and bee keeping group. All mother groups of both watersheds and community development groups in the Project Watershed had yet to be registered. Community development groups were formed by the BTRT project. Membership In some instances, membership rules provided distinct identifications to groups, for example some institutions had rules to include only economically marginal households such as groups formed under 28

the Small Farmers Development Program. Community forestry and mother groups belonged to this type. In large inclusive groups, higher castes and rich people always dominated in decision making. Similarly, one of two youth clubs and an agricultural development group in the Project Watershed did not have any members belonging to lower castes, as there was not a single lower caste household in their areas. But in the two agricultural developmental groups in the Project Watershed and in the single agricultural group in the Non-project Watershed, lower castes were not group members though there were some lower caste households. Extension agents held full authority to form agricultural development groups. Peoples involvement in local institutions About 78 percent and 64 percent of the households were members of at least one local institution in the Project and in Non-project Watersheds respectively. Most households that were members of any local institution indicated that they did not have spare time to join. More than one-fourth of nonmember households posited unawareness about the presence of such local institution or apathy towards them as reasons for not being members of any local institution (Table 6).
Table 6. Membership of local institutions
Project Watershed f Member of at least one institution Reasons for not joining any group No time Unaware of or not interested in local institutions No improvement in economic condition of households through group activities Ignored by the society Source: Household survey (2001) f = frequency of households 80 20 9 2 0 % 78.0 64.5 29.0 6.5 0.0 Non-project Watershed f 70 28 16 2 7 % 64.0 52.8 30.2 3.8 13.2

Some households in both watersheds had membership in more than one institution. Being members of more than one institution had both advantages and disadvantages from the watershed management perspective. Households were not able to attend every meeting and group work organized by institutions. The absence of some members in group work discouraged other members who participated in group activities. Most households joined groups with the expectation that they would be able to use group resources in times of need. The settlers became members of mother groups and savings-credit mobilization groups so that they could get credit easily and use other group resources free of charge. Motives behind joining groups With the exception of households belonging to agricultural development groups, most households in both watersheds joined local institutions for community development activities. People formed agricultural development groups for their tangible benefits. About one-fourth of the households in the Project Watershed were members of C-FUGs because of the abundance of such groups, but in the Non-project Watershed only 7 percent of households were C-FUG members as there was only one C-FUG. More households were involved in savings-credit groups in the Non-project Watershed. For other groups, most households were members because their friends and neighbours suggested this. 29

Role of local institutions in farming systems and in farmland management Provision of support services including agricultural credit, training, and extension services is essential to enable farmers to adopt conservation measures. All local institutions in both watersheds contributed to agricultural systems and farmland management. The majority of farmers in both watersheds considered the activities were conducive to agricultural production and land management. C-FUGs Significantly more C-FUGs operated in the Project Watershed contributing both to agricultural production and farmland management. Many project households were motivated to manage their farmland by planting trees through C-FUGs, of which some had their own tree nurseries. C-FUGs provided credit to households for farming. One C-FUG had bought an improved breed of male buffalo for crossbreeding. In order to promote livestock raising, this group had planted grass species around the community forest area. C-FUG members were also involved in construction and maintenance of irrigation canals. Through C-FUGs, many farmers received training on fruit farming, apiculture, and livestock development. Agricultural development groups Agricultural development groups were found in both watersheds. Members of an agriculture development group in the Project Watershed practised apiculture with the support of the District Agriculture Development Office. Similarly, in the Non-project Watershed, a vegetable production group became the main motivational factor for a large group of farmers to start vegetable cultivation at a commercial scale. Agricultural group members shared their experiences with fellow farmers who were interested in following them. Many members of agriculture development groups received training on farmland management practices from the District Agriculture Development Office and the District Soil Conservation Office. The trained farmers planted fruit and fodder trees on their farmland for multiple benefits. In the Non-project Watershed, however, planting of fodder trees and forages was not widespread. Farmers who were raising livestock, particularly the improved breed, planted fodder trees and forages on their farmland for commercial purposes. Mother groups Mother groups were very effective for mobilizing women in both watersheds. Most mother groups were generating group funds from group savings and voluntary donations. They were using their group funds to provide credit to members for any purpose. In addition to social and infrastructure development activities, mother groups also worked in land management and resource conservation activities. Members of these groups organized and actively participated in tree and shrub planting activities on community barren lands. In some mother groups, there was a system of labour exchange. Mother groups in both watersheds were functioning effectively. As a consequence, mother groups of the Project Watershed were working more in resource management activities than mother groups in the Non-project Watershed. Mother groups of the Non-project Watershed concentrated more on community development activities.

30

Youth clubs There were two youth clubs in each watershed. Performing community development activities was the main objective. The clubs also organized tree plantation activities in the Project Watershed near the lake. One club also mobilized its members to motivate local people to conduct resource management activities. Savings-credit groups These groups were promoted either by the Small Farmers Development Program or by the UNDPsupported Village Development Program (VDP). These groups were generating group funds by regularly collecting savings from members. These funds were used to provide credit to members at low interest rates. Group members were provided with various training related to production and skill development by the programmes. Village level specialists assisted local farmers. Many households practised vegetable farming, livestock raising, and fruit tree planting because of these savings-credit groups. Households obtained credit for initial investment at low interest rates. Earlier, they used to borrow from moneylenders at 60 percent interest; subsequently they obtained credit at 18 percent interest. Agricultural cooperatives Three agricultural cooperatives operated in the Non-project Watershed; there was not a single cooperative in the Project Watershed. A cooperative in the Non-project Watershed was promoting dairy farming. As a whole, local institutions in the Project Watershed were paying more attention to farmland management and resource management than local institutions in the Non-project Watershed. Regarding agricultural system promotion, local institutions, specifically cooperatives, of the Non-project Watershed were more effective than local institutions in the Project Watershed. Farmers in the Nonproject Watershed put little effort into managing farmlands and other resources compared to farmers in the Project Watershed. Most often farmers adopted new land management techniques when they realized the effect of land degradation on crop production. Since, farmers of the Non-project Watershed were using their farmlands intensively with scant regard to land management, this land was degrading. Functioning of local institutions The objectives of established local institutions can be achieved only when they function effectively and efficiently. There are many seen and unseen factors that directly or indirectly influence the overall functioning of local institutions. These factors largely depend upon the social structure, social norms and their practice, which vary. Rules and regulations Rules help in maintaining discipline among group members; however, there is always the possibility whereby institutions without written rules can function better than institutions with written rules. Almost four-fifths of local institutions in the Project Watershed and 70 percent of local institutions in the non-project area had written rules. All C-FUGs had their operational and managerial rules in written form in both watersheds. Two-thirds of mother groups in both watersheds did not have rules in written form. This was mainly because local women formed these groups, and they thought that written rules were not necessary. Similarly, one-third of agricultural development groups in the Project 31

Watershed and the only agricultural development group in the Non-project Watershed did not have written rules. Some mother group members indicated that merely having strong and sound formal rules did not ensure better output if the member were not committed. Similarly, for agricultural development groups as well, two-thirds of the total did not have written rules, while the only agricultural group in the Non-project Watershed did not have rules in written form. Group meetings and participation The functioning of local institutions also depended upon how frequently the group members met. Group meetings generate information flow among group members. All mother groups in the Project Watershed met regularly every month but in the Non-project Watershed, mother groups only met when they needed to conduct a group activity. The agricultural development group in the Non-project Watershed functioned better than the Project Watershed. Some members from savings-credit groups, C-FUGs, mother groups, and local development groups did not attend group meetings regularly because group activities could not be performed due to inadequate resources. Decision making Most C-FUGs in the Project Watershed practised majority vote decision making. In the Nonproject Watershed, influenced decision making was practised in the only C-FUG. There was no significant difference in decision-making criteria of C-FUGs between the Project Watershed and the Non-project Watershed. Mother groups in the Project Watershed were more effective in this respect than the mother groups of the Non-project Watershed. Conflicts Frequent conflicts among group members hinder effective functioning in local institutions. In all types of institutions, except for the agricultural development group, there were more conflicts among group members in the Project Watershed than in the Non-project Watershed. Group activities C-FUGs normally undertook activities related to NRM. Agricultural development groups in the Project Watershed organized NRM activities but those in the Non-project Watershed did not organize such group activity. Mother groups, youth clubs, and cooperatives were more concerned with community development activities. C-FUGs were involved in forest protection, forest thinning, and harvesting of forest products. Forest protection was the most critical aspect of user group forestry. Users of some community forests in the Project Watershed also planted trees in open spaces, while the C-FUG in the Non-project Watershed was waiting for District Forest Office support to obtain tree seedlings. Overall functioning of local institutions Within the Project Watershed, there was not much deviation in the level of functioning of institutions. Agricultural development groups were poor in terms of functioning in both watersheds. Some institutions like C-FUGs in the Project Watershed were functioning very well and some institutions such as cooperatives in the Non-project Watershed were functioning almost equally well as C-FUGs in the Project Watershed. 32

Sustainability of local institutions Erskine argues that to achieve sustainability in development it is necessary to improve local opportunities for enterprises, wealth, and job creation by helping people attain self-reliance through self-generated and self-sustaining economic and social development. Functioning of local institutions is an essential precondition to become self-reliant in the context of the study area for self-sustaining economic and social development. Local institutions need to perform certain well-defined activities over time with no or minimum external support. Sustainability cannot be measured in absolute terms. Human resource development Training helps in building up managerial ability and confidence among local people contributing to community development, and conservation and management of natural resources. Assessing the effect of training is more important than the number of training events conducted and number of people trained. Households in both watersheds had attended six types of capacity building or skills development training (Figure 2). Agricultural development training incorporated developing farmers skills to practise vegetable farming, apiculture, agroforestry, and crop cultivation. Nearly one-fifth of the total households in the Project Watershed had received training on NRM, whereas in the Non-project Watershed a negligible number of households had attended such training.
Capacity building of households Trained households (%)
45 40 35 30 25 20 15 10 5 0

Saving-credit

Agriculture

Skill development

Local development

NRM

Training types

Project Watershed Non-project watershed

Figure 2. Capacity building of households

Overall, local institutions in the Project Watershed received more training than local institutions in the Non-project Watershed. All C-FUGs of the Project Watershed had attended training on account keeping and resource management, whereas C-FUGs in the Non-project Watershed did not receive any kind of training. C-FUGs in the Project Watershed had been operating ever since the BTRT project was implemented. The BTRT project provided various types of training to the then formed CFUGs for effective management of forests. In addition, these C-FUGs were well-recognized by the District Forest Office, and thus, had opportunities to attend training organized by the District Forest Office. Agricultural groups in the Project Watershed were also better trained than agricultural groups 33

HH attending at least one training

Institutional devt

in the Non-project Watershed. About 65 percent of the total number of trained members came from C-FUGs in the Project Watershed, whereas not a single member of the C-FUG in the Non-project Watershed received training. According to local respondents, the BTRT project played a vital role in providing training to local people and to local institutions that they initiated. Community development user groups were very good in terms of trained human resource in the Project Watershed, while in the Non-project Watershed, cooperatives were also found to have well-trained members. Income generation and mobilization Internal fund generation by local institutions strengthens them financially and permits them to take responsibility for resource management and community development. Local institutions can mobilize their group funds to solve pressing problems related to resource management and community development as well. Thus, fund generation activities, sustainability of local institutions, and watershed management are associated. More than two-thirds of local institutions in the Project Watershed and more than one-fourth of local institutions in the Non-project Watershed collected money regularly from members. All savingscredit groups in both watersheds regularly collected money from members. Two-thirds of mother groups collected money from members regularly in the Project Watershed, whereas only one-third of mother groups followed suit in the Non-project Watershed. Only one-fourth of C-FUGs did likewise in the Project Watershed, while only community forest in the Non-project Watershed was collecting money from members regularly.
Table 7. Financial obligation for members
Institution/groups Project Watershed Yes Mother groups Savings-credit groups Youth clubs Forest user groups Community development Agricultural cooperatives Agriculture development Total Source: Institutional survey (2001) 2 (66.7) 5 (100) 1 (50.0) 2 (25.0) 2 (100) 2 (66.7) 14 (60.9) No 1 (33.3) 0 (0.0) 1 (50.0) 6 (75.0) 0 (0.0) 1 (33.3) 9 (39.1) Non-project Watershed Yes 1(33.3) 3 (100) 1 (50.0) 1 (100) 3 (100) 1 (100) 10 (76.9) No 2 (66.7) 0 (0.0) 1 (50.0) 0 (0.0) 0 (0.0) 0 (0.0) 3 (23.1)

About 66 percent of local institutions in the Project Watershed and nearly 70 percent of local institutions in the Non-project Watershed were using their group funds to provide credit to members (Table 7). About 90 percent of credit institutions in the Project Watershed and 84 percent in the Nonproject Watershed faced loan default problems. Ability to devise and amend rules A local institutions ability to devise and enact rules is also considered as an important contributing factor for their sustainability. Social systems are not static anywhere in the world. They change over time with changing socio-economic conditions and peoples preferences, attitudes, and needs. Therefore, local institutions are expected to have capacity and authority to develop new rules and amend existing 34

rules for their sustainability. Institutions need to modify their existing rules and regulations according to changed needs and preferences of their members with due consideration of their overall objective. Rules are to facilitate better functioning of local institutions not to prevent group members from taking advantage. In this regard, the majority of local institutions in both watersheds were capable and able to annul old rules and regulations and formulate new ones. Linkages to external organizations More households adopted land management practices in the Project Watershed than in the Nonproject Watershed. In the Project Watershed, 90 percent of households adopted land management practice in Tarikhet whereas only 24 percent of households did so in Phantkhet. In the Non-project Watershed, most households conducted land management activities in Bari land while few households did so in Gharbari. External intervention by the BTRT project in the Project Watershed was the major reason for improved land management practices. Local peoples attitudes towards and perception of local institutions cannot be ignored while assessing sustainability. Watershed settlers positive attitudes towards local institutions become an important factor for generating sustainability. About 52 percent of project respondents and nearly 69 percent of non-project respondents considered that local institutions were very important for carrying out local development activities. Similarly, 42 percent of project households and 28 percent of nonproject households thought that local institutions were important for NRM. The overall performance of local institutions in the Project Watershed is better than in the Non-project Watershed. Generally, local institutions in the Project Watershed were inclined more towards sustainability than local institutions in the Non-project Watershed. However, some institutions, such as cooperatives, in the Non-project Watershed were significantly better than institutions in the Project Watershed in terms of sustainability. Similarly, some institutions of the Project Watershed were worse than the Non-project Watershed, for example community development groups. Conclusion Besides biophysical conditions, local institutions can significantly influence the production system adopted by watershed settlers. Local people were widely practising conservation farming like agroforestry, including fruit and coffee cultivation, in the Project Watershed. There is no significant variation in regard to local institutional set-up and overall functioning between the Project and the Non-project watersheds. Though most of the local institutions were established by the BTRT project in the Project Watershed, locally established institutions in the Non-project Watershed were also equally well structured. Despite the fact that BTRT project-established institutions were heavily supported by the project in terms of capacity building and resource generation, nearly all institutions, except C-FUGs, have either already collapsed or are on the verge of collapse. Failure of projectestablished local institutions in delivering services laid the foundation to start new local institutions such as savings-credit groups and mother groups, which were playing roles that project-established groups should have played. The investment of the BTRT project in capacity building of institutions is not justified, as these institutions could not run by themselves after project termination. In terms of structure, some institutions were well structured in both watersheds such as C-FUGs, community development groups, and agricultural cooperatives. Most of the local institutions were engaged in community development and income-generating activities. NRM-related activities are thought to fall primarily in the domain of C-FUGs and community development groups since the project established them for this purpose. The assumption that local institutions are managing natural resources better in 35

the Project Watershed than in the Non-project Watershed, is valid with respect to farmland and forest resource management. For natural resource conservation and management, local institutions in both watersheds were not so successful in generating peoples participation, as they should have been. Hence, the assumption that peoples participation in natural resource conservation and management activities in the Project Watershed is significantly higher than in the Non-project Watershed is rejected. High participation of non-members in group activities in the Non-project Watershed shows that local people are in the thrust of resource management. In short, the BTRT project created many local institutions at the village level in the Project Watershed to implement its programme. Those institutions were provided with every kind of financial, material, and technical support with much emphasis on human resource development to conduct resource management activities. But, as evidenced by this research, the projects investment in aforementioned activities was in vain because the enhanced capabilities and strength of the projectestablished institutions was neither reflected vividly in their functioning nor in terms of resource management and conservation activities. Overall, it can be concluded that a watershed management project does not make any positive difference in resource management and rural livelihoods in the long run if local institutions, through which project activities are implemented, do not function well. The weakly planned current projects have prevented local institutions from achieving sustainability. Any integrated watershed management project should address all problems in the watershed giving due consideration to household level problems. The fact that local people can think of and participate in resource management only with full stomachs should be realized by and reflected in the activities of future watershed management projects. Literature cited Basnet, K. 1992. Population Pressure and Responses in Terrace Cultivation: A Case Study of Begnas Tal Rupa Tal watershed, Pokhara, Nepal. A dissertation submitted for the Degree of Doctor of Philosophy in Geography, Banaras Hindu University, U.P., India. Brooks, K.N. 1993. Challenges in Upland Conservation: Asia and Pacific. FAO Regional Office, Bangkok. Chambers, R. 1993. Challenging the Professionals Frontier for Rural Development. Intermediate Technology Publications, London. Gurung, J.D. 1998. Mountain Women of the Hindu Kush-Himlayas: The Hidden Perspective. Issues in Mountain Development 98/6. ICIMOD, Kathmandu, Nepal. Hacket, S.C. 1998. Environmental and Natural Resources Economics: Theory, Policy, and the Sustainable Society . M.E. Sharpes, New York. ICIMOD. 1986. Managing the Watersheds. Report of the International Workshop on Watershed Management in Hindu Kush- Himalayan Region. ICIMOD, Kathmandu, Nepal. Jensen, J.R.; Seth, S.L.; Sawhney, T.; & Kumar, P. (eds.). 1995. Watershed Development: Ensuring Issues and Framework for Action Plan for Strengthening a Learning Process at All Levels. Proceedings of Danidas First International Workshop on Watershed Development. WDCU Publication No. 1, New Delhi, India. Paudel, G.S. 1997. Integration of Livestock Development with Forest and Rangeland management for Sustainable Development in Syangja District, Nepal. A thesis submitted in the partial fulfillment of the requirements of the degree of Masters of Science, AIT, Bangkok.

36

Schreier, H.; Shah, P.P.; & Brown, S. 1995. Challenges in Mountain Resource management in Nepal: Processes, Trends, and Dynamics in Middle Mountain Watersheds. Proceeding of a workshop held in Kathmandu, Nepal. ICIMOD/IDRC/ UBC, Kathmandu, Nepal. Thapa, G.B. 1990. Integrated Watershed Management in the Upper Pokhara Valley, Nepal. A dissertation submitted in the partial fulfillment of the requirements of the degree of Doctor of Technical Science, AIT, Bangkok.

37

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

COMMUNITY DEVELOPMENT GROUPS AND FARM CONSERVATION IN CHHABDI WATERSHED, NEPAL Gehendra Keshari Upadhyaya 1

Introduction Nepal is a mountainous country with diverse natural resources (CBS, 1994). Farm conservation activities have been implemented through the Department of Soil Conservation and Watershed Management (DSCWM) since 1992 in the form of watershed management projects. Watershed management activities were initiated in Tanahun District because the conditions of the watersheds of the district were highly degraded. Buldi, Chhabdi, and Chiti watersheds were first, second, and third priority watersheds for watershed management activities in Tanahun. Prioritization of watersheds for conservation within the district has been completed, and the implementation of conservation activities in these watersheds has been continued on a priority basis since 1992. The Chhabdi Watershed Management Programme has already completed four years of implementation (DSCO, 1997). The total area of Chhabdi Watershed is 21.04 km 2 and covers parts of Ghansikuwa, Pokharibhanjyang, and Keshabtar Village Development Committees (VDCs) and Ward No 1 of the Vyas Municipality of Tanahun District. An integrated crop-livestock system is predominant. Widely used practices to maintain and improve farm productivity through soil improvement are the use of forest litter, farmyard manure (FYM) and compost, and moisture conservation by constructing small ponds and applying mulches. The farmers have developed terraced cultivation systems in order to minimize soil erosion. The population exerts increasing pressure on the limited farmland and forest resources. As a result farm productivity has declined. Since the forest is also an important component of the farming systems, the sustainability of hill agriculture also depends on how farmers manage, protect, and utilize their farm and forest resources (Basnyat, 1995). The gradual decline in soil fertility due to soil erosion, the reduction of productive forest area, and the misuse of fertilizers and agrochemicals are the major agricultural and environmental problems in Nepal. The farmers as well as agricultural scientists have realized that declining soil fertility and productivity ultimately affect farm productivity and hence farming income. Therefore, the farmers have formed Community Development Groups (CDGs) in the watershed in order to carry out farm conservation measures. The CDGs support the farmers on an individual basis for farm conservation activities and on a community-group basis for conservation work. Farm ponds that are effective in the upland area for proper water utilization and conservation may not work well for the lowland area. The soil-conservation cropping systems practised by upland users are not effective in the lowlands of the watershed. Degradation in the area shows that traditional local conservation practices are inadequate to conserve the soil and its productivity. Thus we need to know the difference between the upland and the lowland CDG efforts on conservation.

MSc. Thesis (Ref. No. AS-02-13), Asian Institute of Technology, Bangkok, Thailand. August 2002. Examination Committee - Dr. Michael A. Zoebisch (Chair), Dr. Ganesh P. Shivakoti, Dr. S. L. Ranamukhaarachchi

39

The CDGs of Chhabdi Watershed have been implementing different farm conservation activities with financial and technical assistance from the Natural Resource Management Sector Assistance Program (NARMSAP). All activities for soil conservation and watershed management are specifically focused on land-productivity conservation and improvement, protection of development infrastructures, natural disaster prevention, extension of conservation education, developing and designing social and community initiatives, and self-reliance mechanisms. This comparative study targets conservation interventions in the uplands and lowlands of the watershed. It will help to determine the range of farmland degradation (especially the erosion hazard scenario) of different land units within the small watershed. It will also help to guide the CDGs to aim for long-term sustainability in planning and implementing farm conservation. The main objective of the study is to identify and evaluate the differences in conservation approaches of the CDGs between the upland and the lowland areas of the watershed and their effects on watershed conservation and land productivity. Selection of the study area Chhabdi Watershed of Tanahun District in the Western Development Region of Nepal was selected (Figure 1) and is 148 km west of Kathmandu. Chhabdi River flows from the Middle Mountains. It drains into the Seti River that ends in the Narayani River. Selection of CDGs There are altogether 16 CDGs with 859 households in the study area. The total population is 5 679 (DSCO, 2000). According to DSCO official records, 10 of these CDGs were established in the first year of the project and were formally registered with the Chief District Office as non-governmental organizations (NGOs). Among the 16 CDGs, four groups two in the uplands and two in the lowland areas were selected from those established in the first year, based on the overall fund disbursement for farm conservation. Accessibility to the highway and market facilities and the number of households included in the organizations were also selection criteria. Socio-economic setting of the study area Livestock are important components for farmers livelihoods. Very limited off-farm income opportunities exist in the watershed, mainly in the form of waged labour. Some of the farmers in the lowland areas operate small tea stalls and groceries. In the past some of the Magars joined the Indian or British armies. In the lowland areas Brahmin and Kshetri families sell milk daily to Damauli town. Demography Households The people in the watershed area settled there a long time ago. There are 231 households in Vyas Municipality, 154 in Keshabtar VDC, 141 in Pokharibhanjyang VDC, and 333 in Ghansikuwa area within Chhabdi Watershed (Table 1).

40

Chhabdi Watershed

Tanahun District

Figure 1. A map of the study area

41

Table 1. CDG households

Area VDC CDG Total no. of households in the CDG 72 71 68 71 No. of sampled households in the CDG 30 30 30 30

Lowland Upland

Ghansikuwa Keshabtar Ghansikuwa Keshabtar

Furlunge Chhabdi Tamung Dharadi Kulung Manjhthar

Ethnicity Tanahun District is rich in cultural diversity with many ethnic and caste groups, such as Magars (26.09 percent), Brahmans (15.21 percent), and Chhetris (12.07 percent) the dominant castes. In the study area there are Brahmans, Chhetris, Baishyas (Magar and Newars) and Sudras (Kamis and Damais). The Magars dominate in the upland areas; 83.3 percent of the households were male led. Population For the study, two CDGs from the uplands and two from the lowland areas were selected. The distribution of the households of the CDGs is shown in Figure 2.

Family Size Distribution 8 6 4 2 0 Furlenge Average Family size. Chhabdi Lowland Tamung Kulung Upland Total CDGs CDGs Average No of male family members No of family member

Average No of female members

Figure 2. Distribution of households in the CDGs

In Nepal, the age group above 16 years is generally considered to be the most active group. On average 4.0 persons/family are the active human resources available in the study area. In terms of human resources, there are very few landless people (< 1 percent of the population) who are also members of the CDGs. They contribute to soil-conservation activities as waged labourers. Education and occupation There are 11 primary schools, two lower secondary schools, and two high schools in the area. This indicates a high level of importance accorded to education. The level of education has much influence on the conservation status of the locality. A field survey showed that the average household head in the lowlands is more educated than the average household head in the uplands. About 62 percent of people in the CDGs has good formal education. This is equivalent to the overall educational level in

42

Tanahun District (63 percent). The role of household heads in farm conservation activities is vital. They give and share ideas that are important for farm conservation. Land-holdings and land tenure The land-holding size is the basic parameter to assess the household economy. The average size of land-holding of the sampled households in the watershed is 0.66 ha/household. This is below the national average of 0.96 ha/household (CBS, 2000). In the uplands people hold more Bari (nonirrigated) land and less Khet (irrigated) land, whereas lowland people hold more Khet land than Bari land. The value of lowland, especially rice fields, is five times higher than that of uplands, for example maize fields. The farmers own most of the agricultural land in the watershed area. Renting land is rare. Household income The main source of household income in the study area is agriculture. Other income-generating activities are waged labour and micro businesses like running small groceries and tea stalls, or outmigration for work. The annual household income of the lowland farmers is slightly higher (NR7 378.00) 2 than that of the upland farmers (NR4 483.00). The survey revealed that both the net family household income and net expenditure for materials for land conservation (such as bamboo, compost, and plant saplings) are higher in the lowland CDGs. Net family household incomes also vary with the location of the CDG. CDG income Background The CDGs in the study area are the institutional basis for implementing soil-conservation and watershed management activities. The surveyed groups developed community development plans that reflect the development perspective as perceived by the community, and that address problems at the farm level as well as the watershed level. For effective mobilization of CDG income, fund administration and proper accounting are crucial. The field survey showed that groups like the Furlunge (lowland) and Tamung Dharadi (upland) maintained good financial records whereas the Chhabdi (lowland) and Kulungmajhthar (upland) did not. There are differences in administrative practices and group management between the groups in the upland and lowland areas. Sources of income of the CDGs Membership The Community Development Committee is an executive body of the CDG that verifies the income of the CDGs by issuing receipts. A voucher is prepared for each income and expenditure separately. Two separate income and expenditure ledgers are maintained for the bank account.

US$1.00 = NR72 (June 2004).

43

Regular savings The more successful CDGs generally exercise regular saving schemes in order to strengthen and mobilize internal resources. Each member is supposed to have a passbook. The savings are also recorded in the savings record. Others The CDGs can apply for funds from other agencies. All members receiving the service from the activity pay fees as a service charge, recorded in the service charge register. Funds raised in these groups are spent on maintenance of conservation works. Local peoples attitudes and perceptions Attitudes and perceptions towards the CDGs were very positive in the context of both farm conservation and community development; but they differed between the upland and the lowland locations of the area. Positive perceptions of the conservation issues were higher in the upland areas than in the lowlands. Perceptions about agroforestry in relation to reducing erosion were also similar. The perceptions on crop rotation, cropping systems, available conservation extension, land slope, terrace improvement, and management and crop productivity management were significantly different between the upland and lowland areas. The upland farmers were positive about almost all of the conservation activities whereas lowland farmer considered only three activities useful. Linkages with other institutions The successful groups established linkages. Furlunge CDG made contact with the National Social Service Co-ordination Committee (NSSCC). The nature of the present support is a grant from DANIDA (NARMSAP). The Furlunge CDG and the Tamung Dharadi CDG were the best resource mobilizers and the most active groups of Chhabdi Watershed. Kulung Manjhthar CDG had the highest balance of funds that indicated inactiveness (slow implementation), indolence (only conducting an activity after other groups have done so), and inability to mobilize resources within time-frames. Chhabdi CDG utilized the resources to some extent but failed to collect sufficient savings due to inactivity among community members and their inadequate and static leadership. Land-use and conservation practices There are various types of land use and conservation activities practised in the watershed to optimize the limited land resources. Population increase also challenges the conservation of the agricultural land area and water and forest resources. The reduction of the livestock population is good on the one hand, but on the other hand there are no alternatives to fill the income gap that was filled by livestock formerly. Land-use and cropping patterns Forest covers about 49 percent and cultivated land approximately 41 percent of the total land area in the district. Land-use intensity is generally highly dependent on the suitability of the land. There are seven major classes of land suitability according to physiography, suitability, limitations, and hazards.

44

The arrangement of classes reflects decreasing opportunities and intensities of land use. Land erosion hazards generally increase from Class I to Class VI. Land use in Chhabdi Watershed The land use of a watershed is important in the context of land and water conservation. The land-use scenario generally gives a picture of the degree of vulnerability of the land to erosion and potential conservation measures. The land-use scenario of Chhabdi Watershed is presented in Table 2.
Table 2. Present land use of Chhabdi Watershed
Land use Sloping terraces Level terraces Fans/tarsValleys Forests Area (ha) 239.41 249.49 83.16 171.36 1 360.87 2 104.29 Source: DSCO (1997) Distribution (%) 11.38 11.86 3.95 8.14 64.67 100.00

Most of the land of Chhabdi Watershed belongs to slope Class IV (Table 3). The watershed has very good forest cover, which is positive from the conservation point of view. Agriculture and forestry are the major land uses. The main concern of the study was agricultural land use and its effects on crop yields in the upland and lowland areas of the watershed, and soil and water conservation at the farm level. These factors directly relate to the conservation of the farms. The distribution of slopes in the watershed is shown in Table 3.
Table 3. Slope distribution in Chhabdi Watershed
Slope class I II III IV V Total Source: DSCO (1997) Slope (%) 0-3 3-15 15-30 30-60 >60 Area (ha) 136.08 108.36 131.04 1 696.05 32.76 2 104.29 Distribution (%) 6.5 5.1 6.3 80.5 1.6 100

The total average land-holding in the uplands is 0.60 ha/household whereas it is 0.71 ha /household in the lowlands. Average Bari land owned by upland farmers (0.52 ha /household) is significantly more than in the lowland areas of the watershed, with only 0.24 ha/household. The average Khet land owned by lowland farmers is 0.46 ha/household. This is significantly more than for the upland farmers (0.07ha/household).

45

Cropping patterns Summer and winter are the two distinct seasons prevailing in the watershed area. The cropping patterns and systems are greatly influenced by these seasons. The majority of farms in the uplands grow maize relayed with millet. Paddy and leguminous crops are grown in the lowlands. Soybean is cultivated on the bunds of rice fields. Lentils and black gram are cultivated to utilize the moisture of the field after the rice harvest. The people in the study area mainly practise monocropping as the first priority (46 percent), mixed cropping (44 percent) as the second, and agroforestry (10 percent) as the third priority. This shows that there is the potential risk of nutrient mining by monocropping because of insufficient application of nutrients in the form of fertilizers and manure. Monocropping especially refers to maize in the uplands and rice in the lowland CDG areas. Mixed cropping comprises maize/soybean or maize/millet as relay crops. Atocarpus lacoocha, Ficus nemoralis, and Bauhinia purpuria are the most common species grown by the farmers. Major crops Maize and rice are the major cereals grown in the watershed. Millet, buckwheat, soybean, black gram, and lentil are minor crops. There is very limited production of vegetables and fruits in the uplands. Some of the lowland farmers have started to grow fruits and vegetables on a limited scale. The major fruit trees in the upland areas are citrus, peach, and pears. Banana, jackfruit, litchi, guava, and pineapples are grown in the lowland areas. Cropping intensity The ratio of total cropped to total cultivated area (i.e. cropping intensity.) does not exceed 120 percent. This is mainly due to lack of irrigation facilities, especially in the lowland areas. Consequently, most of the rice fields in the lowlands are without a crop during winter, and they are opened for free grazing within the community. Livestock Farmers in the watershed area, both in the uplands and lowlands, feel that livestock are the major contributing and income-generating component of the household. However, the livestock population in the watershed area (mainly cattle, buffalo, and goats) has decreased dramatically over the last 20 years due to the lack of human resources. The people are very reluctant to clean cattle sheds because they do not want to soil their hands with cattle dung. Land productivity Land productivity refers to the capacity of the land to contribute to yields. There are several traditional ways in which farmers assess land productivity. Other ways are the assessment of soil quality (colour, texture, and structure) and the opportunity for irrigation and drainage provision. The amount of fertilizer and manure that is required on the farmland is another consideration. The higher the amounts needed, the lower the productivity of the land. The field surveys revealed that the value of the land was also governed by the yield of the crops together with other factor such as irrigation, and proximity to the market and the road. 46

Degradation in different land uses (erosion hazards on the farm and watershed levels) The field survey showed that there is continued degradation of both uplands and lowlands at the farm level and the watershed level. Nutrient replenishment to the soil after crop production is low. Traditionally, compost is applied to the fields in heaps and incorporated into the soil later. The farmers heap at least 15 dokos /ropani (5.89 t/ha) of compost on the farmland first at 3-5 m intervals, and then spread the material after the soil has attained sufficient moisture and the final land preparation is carried out. Sunshine and rainfall lower the quality of the exposed compost on the field. Conservation-oriented farmers incorporate the compost with these factors in mind. Comparative scenario of the seriousness of erosion The majority of the respondents in the upland areas felt that splash and sheet erosion were very serious. The majority of the respondents in the lowlands felt that stream bank erosion followed by rill erosion were the most serious types of soil erosion. Very few respondents in this area believed that splash and sheet erosion were serious. The majority of the respondents in the lowlands felt that stream bank erosion is the most serious type of erosion in the area. On the other hand, Furlunge CDG respondents felt that rill erosion was the most serious form of erosion in their locality. Farm-level degradation Most of the hill farms are characterized by convex terraces. Very often, irrigation is not only beneficial to hill agriculture but it is also a source of soil erosion if the irrigation structures are not maintained properly. Overflow and leakage from the irrigation channels, and the collapsing of the irrigation intake dam are major problems. Soil erosion and problems associated with irrigation are the major causes of degradation of the sloping terraced land (Ojha, 1997). Land degradation is a foreseeable ecological consequence of inappropriate land use and management. Erosion hazard ranking by Furlunge CDG A ranking of erosion-related problems (having hazard potential) in relation to farm conservation was made by the farmers. Furlunge, a lowland community group, in toto gave the top rank to the degradation of trails that pass by and through the farms and hamlets. The respondents expressed that the degraded trails were the nutrient carriers from their farms to the Seti River and the source of the small gullies in the farms and in the hamlets. Erosion hazard ranking by Chhabdi CDG Chhabdi lowland CDG ranked stream bank erosion first because their valuable lowland rice fields near the river course are affected every year by the collapse of embankments. Second was terraceriser failure. Farm landslides and gullies, soil moisture stress, and keeping land fallow were ranked third, fourth, and fifth respectively. Erosion hazard ranking by Tamung CDG The upland CDG, Tamung Dharadi, ranked the diminishing water resources first followed by farm landslides and gullies. The group has faced drying water resources that has led to increased time needed for transport of drinking water. When there is a sudden rise of the water table, plenty of water 47

emerges suddenly in the vicinity of the water source around the original spring. The abrupt rise of the water table during the rainy season makes the land very slippery and vulnerable to erosion. Erosion hazard ranking by Kulung Manjhthar CDG The hill-top CDG Kulung Manjhthar ranked farm landslides and gullies first because they feel that the landslides are due to the failure of slopes during the rainy season. Terrace-riser failure was second. Their livelihoods are based on terrace cultivation and they have been facing terrace-riser failures every year. Soil moisture stress, keeping the land fallow, and stream bank erosion were third, fourth, and fifth respectively. Conservation Seasonal climate changes, the small sizes of land-holdings, and scattered and isolated settlements influence the farming system and determine the nature of farmers survival strategies. The remoteness and inaccessibility of villages, the poor socio-economic conditions of the people, and an underdeveloped market economy also influence the types of crops grown and livestock raised. Cereals, the main staple food, are highly valued by all farmers. Vegetables, spices, and fruits are potential cash crops. Forests and other natural resources are maintained as individual forests, community and leasehold forests, and government forests. Experience has shown that individual forests are the best-managed forests followed by community forests. Forests are associated with the people from birth to death, and even after death to provide wood for cremation. Forests contribute to animal raising and crop production by providing food. Forests contribute to and compliment agricultural and livestock production and promote the quality of life of the rural households by providing many nutritious wild fruits, vegetables, and tubers as well as medicinal herbs and other non-timber forest products. Farmers have strong concerns about the decreasing fertility of the land. Successful CDGs aim to improve their cropping systems through an integrated approach combining rational land utilization and increased cropping intensity on Khet land as permitted by the climate and the available natural resources. On sloping marginal land, the plantation of hedgerows, of bushy perennial fodder and grasses, coffee, bamboo, medicinal herbs, fodder, and forest trees is emphasized. Existing conservation efforts ranked by the CDG farmers The people are applying different conservation measures to cope with the erosion problems. The different conservation options were ranked according to the perceptions of the farmers. There were 10 conservation options available for implementation of the conservation activities by the CDGs. Out of these each respondent was requested to allocate a rank for each conservation effort according to its actual implementation. However, CDGs have changed and now envisage conservation measures for the future to cope with erosion hazards and to maintain or enhance the productivity of the land.

48

Table 4. Overall summary of existing (actual) conservation efforts by the CDG farmers
Lowlands Existing conservation efforts (measures followed) Active and successful Furlunge Less active and unsuccessful Chhabdi Rank Use of conservation ponds Stream bank protection Terrace improvement and management Compost use on farmland Crop and residue management Farm gullies and landslide treatment Practice of agroforestry Use of crop rotation & green manure 4 1 2 1 2 3 5 4 4 1 2 5 3 4 1 2 5 3 Uplands Active and successful Tamung Less active and unsuccessful Kulung Manjhthar

3 5

Summary of existing conservation efforts by the CDG farmers The major efforts in farm conservation by the farmers in the watershed were explored. The study showed that the first priority of the upland CDGs was terrace improvement and management, compost use was second, and agroforestry ranked third. Trail improvement and water source protection and use were not ranked. Crop and residue management and crop rotation and green manuring were only ranked fifth by the lowland CDGs, and were ignored by the upland CDGs. Agroforestry was ranked third by all CDGs, except Chhabdi. Potential conservation measures (conservation measures envisaged for the future) Presently, NARMSAP supports the farmers and CDGs in the study area. This programme cannot support the people and CDGs forever. The people and the CDGs have to sustain the implementation of conservation activities at the farm and watershed levels by themselves in the future. Summary of potential conservation measures of the watershed area These are the conservation measures envisaged for the future by the CDGs of both the upland and the lowland areas. If we consider the watershed as a whole, the first priority is stream bank protection, the second is water source protection and its rational use, and the third is trail improvement. For the lowland area, stream bank protection, trail improvement, and water source protection ranked first, second, and third. These results may help planners and policy-makers to develop more realistic watershed management and conservation projects that build on local initiative and participation. Adoption of new conservation technology Before the introduction of the NARMSAP project to the watershed area, farmers were expected to adopt and implement new conservation technologies. Indigenous knowledge should not be discounted by science. Terracing, runoff diversions, crop rotation, and green manuring are very old indigenous conservation practices.

49

Use of conservation ponds Conservation ponds have been common in the area for a long time. There is much evidence of the existence of old ponds for use by cattle and for irrigation. Some are also used for runoff storage during the rainy season. Therefore, conservation ponds are a traditional technology in the watershed area. Stream bank protection This activity is an old practice. The farmers used bamboo, stones, and forest litter to protect their land that is located near the stream bank. Nowadays the technology has been modified by the use of costly gabion boxes. Therefore this measure is a modified traditional conservation technology. Terrace improvement and management Many terraced lands are being severely degraded because of their convex nature. Terrace improvement has been widely practised in the watershed area. Therefore terraces in the watershed are traditional but their improvement (slope correction of the terrace bench, runoff diversion, provision and planting of grasses and fodder for the risers and bunds) and management is appropriate. Compost use on farmland Farmers have been applying compost to their farmland since antiquity. This practice is traditional. The compost is carried in dokos (baskets made of bamboo) to the nearby farmland. The simple freegrazing system has been developed into the permanent cattle shed and compost pit system. Trail improvement The foot trails in the hilly areas are characterized by the provision of stone steps and landings (leveled portions of the trail). Villagers who have the means (financial and physical) maintain their trails in an excellent condition. The other villagers do not. There are trails in the watershed that have been constructed by past generations. These trails are degraded at different points of the structure. Water-source protection and use In the distant past it was a tradition to conserve and maintain the springs, kuwas and pandheros (traditional types of water sources in the villages). Nowadays concrete structures are used and polyethylene pipelines are laid to supply water directly to nearby hamlets. Crop-residue management Most of the crop residue, especially from maize, millet, and leguminous crops like lentils were incorporated into the soil in the past when there was plenty of fodder for the livestock from the nearby forest. In the upland areas of the watershed, the stalks and root portions of maize and millet are still incorporated into the soil.

50

Farm gullies and landslide treatment The farmers did not know the engineering structures to stabilize the gullies and landslides on their farms. But they were planting grasses and trees in the subsided and gullied areas of their farms. They also practised bhal tarkaune (runoff diversion) to protect their farms from landslides. Practice of agroforestry Agroforestry has been practiced in the watershed area since antiquity, the technology being passed on from generation to generation. The farmers of the watershed were growing fodder and forest trees side by side with crops in the same parcel of land. Use of crop rotation and green manuring The farmers grow leguminous crops on their farms and they also apply green manure to some extent. This practice has been modified through training provided by different agencies (District Agriculture Office and DSCO). This has led to a more systematic application of legumes and green manuring in the farming system. Discussion Institutional aspects of CDGs Formation of CDGs, operation, vision, and planning CDGs are based on already existing groups wherever possible. New groups have been formed to cover the whole watershed. All of the CDGs in Chhabdi Watershed are registered with the District Administration (DAO) Office because all of them want to be legally recognized. All of the CDGs in the study area are registered as local NGOs under the Societies Registration Act of 1976. All CDGs undergo a planning and replanning exercise every year. For planning and implementation purposes, successful, sustainable, and strong CDGs allow their members to split into two groups of male and female members. The proposed plans of the two separate groups are merged into a common single plan for the CDG. Yearly replanning of the CDGs is much influenced by the inflow of knowledge and resources to the CDGs. All CDGs receive help from DSCO to achieve financial and technical support for activities that cannot be supported through DSCO. All of the CDGs were competitive in better accomplishment of conservation activities. The output of the plan is completely dependent on the area potential plan, members experience, CDG networking, internal, and external resources. The area potential plan is a plan that describes the pocket area of the potential income-generating and conservation activity to be implemented in the future (Figure 3).

51

Technical support from GO/NGOs CDG networking Members experience

Literacy classes

Extension materials Internal resources

CDG Vision and Plan

Training External resources Study tour

Area potential plan

School conservation education

Figure 3. Factors influencing the vision and plan of the CDGs
Source: Hertmann (2001).

Income generation and public auditing All CDGs in the study area had been provided with a budget by the project. Active CDGs like Furlunge and Tamung Dharadi were likely to get short-term benefits from this fund. Many income generation activities (IGA) were not land based, affording good opportunities to the landless people of the groups. However, there was still much more to be done in favour of the underprivileged and the women of the CDGs, even for the successful groups like Furlunge and Tamung Dharadi. Most of the successful CDGs underwent public auditing process shortly after completion of the activities. Public auditing satisfied the queries of the general members. Public auditing was a trustbuilding exercise between government offices staff and the CDGs. Complete transparency occurred in the public auditing of these institutions. CDGs and sustainability The government is now giving thought to what needs to be done to foster local institutions/CDGs and the kind of support structures required. A greater political commitment is needed to achieve the sustainability of these groups. Common socio-economic interests can form a strong bond between all the members of the CDGs, including the VDC. Institutional capacity building The CDGs are also village-level NGOs, which are normally involved with organizing labour contributions for the implementation of conservation measures, and the operation and maintenance of these activities. Most executive members are not aware of their responsibilities and management authority. For the growth of local institutions, all members need to follow institutional norms, which are transparent, and politely communicate the organizations limitations, and respect for rules and regulations to the users.

52

It has been widely accepted that in order to promote sustainable CDGs, members involvement is essential in all phases of planning, designing, implementation, and benefit sharing. A properly designed and implemented community mobilization process leads to the emergence of self-governing institutions, which act as sustainable organizations for development. This will enhance development in many other areas of rural life including the vital area of farm conservation and watershed management. Coordination between agencies A basic concern is that support mechanisms are forthcoming only when projects are ongoing and will subsequently disappear as soon as projects are terminated. Clearly, a reasonable time frame is essential to ensure that projects are transformed into a sustainable framework. Confidence building of the CDGs has become an urgent need. Therefore, DSCWM/NARMSAP introduced the District Technical Group (DTG) and the Field Technical Group (FTG), especially for coordination between line agencies and those at the field level, including the CDGs. The FTG was especially designed for the field level. Involvement of women There was very little involvement of women at the beginning of the project, but this gradually developed towards the end. In order to make women equal participants in all development activities, it is not sufficient to introduce constitutional and legislative measures ensuring equal rights and opportunities for women. What is needed is the creation of general awareness and a change of attitudes by both sexes, and dissolving age-old, arbitrary, deeply-rooted prejudices and discrimination against women. However, a greater effort is still needed to help women build their self-confidence, undertake independent actions, become integrated in decision-making processes within communities, and participate in the development process. SWOT analysis of the CDGs in the context of on-farm conservation Intensive discussions were conducted to explore the strengths, weaknesses, opportunities, and threats (SWOT) in relation to farm conservation from the viewpoint of the institutions. Each CDG was asked to express individual viewpoints. The study showed that successful CDGs have active leadership. All CDGs have human and other resources to some extent but some of these groups lack dynamic leadership. Inadequate technical knowledge and slow assembly of members at meetings were the main weaknesses of the CDGs. But there were also threats for the successful groups regarding the management of conservation measures on a sustainable basis. The detailed SWOT scenario is given in Table 5.

53

Table 5. SWOT and farm conservation

Issues Strengths of the CDG. Weaknesses of the CDG. Opportunities for the CDG. Furlunge CDG Resources Labour Active leadership Slow assembly of membersInsufficient education Interested to form cooperatives Demonstration plot establishment Conservation efforts after the phasing out of NARMSAP. High commitment to building a meeting hall Difficult to continue the ongoing conservation efforts Cautious about group upliftment Chhabdi CDG Resources Labour Low farm income Low technical knowledge Favourable implementation capacity at the moment Good prospects for new IGA in the CDGs Tamung CDG Resources Labour Active leadership Inadequate technical knowledge IGA training Improved grass farming, Neem (Azadiracta indica ) and kadam cultivation efforts Kulung CDG Resources Labour Low leadership interest High expenses. Broom grass plantations Honey bee culture

Threats to the CDG.

No timely repayment of loans Very little public participation

Too many gullies are to be treated in the future. Many resources and much labour needed

Marketing roblems, Leadership transfer problem

Erosion hazard scenario of the CDG area at the watershed level Upland CDG area The household owners of the upland CDGs were asked about the seriousness of erosion in their area. This resulted in a distinct erosion-hazard scenario for the upland areas. Almost ninety-seven percent of the upland respondents reported that splash and sheet erosion was very hazardous and serious in their area. The remaining respondents reported landslide hazards in their locality. Lowland CDG area Forty-eight percent of the household heads from this locality reported that stream bank erosion was very hazardous in their locality. Forty-five percent of the household heads reported that the rill erosion was very hazardous. Erosion hazard scenario at the farm level in relation to conservation The study showed that in the lowlands, stream bank erosion was ranked first, followed by degradation of trails, and diminishing water sources in the lowland area (Table 6). Upland CDG area household heads ranked farm landslides and gullies first, diminishing water sources second, and terrace-riser failures third.

54

Table 6. Overall ranking of erosion hazards in relation to farm conservation by area

Erosion hazards in relation to farm conservation Lowland Furlunge Farm landslides and gullies Stream bank erosion Terrace-riser failure Diminishing water source in the village Degradation of trails Moisture stress on the farm Chhabdi 5 1 4 3 2 2 4 Upland Tamung Kulung 1 5 3

All problems related to erosion were significantly different between upland and lowland areas in relation to farm conservation. The study also showed that successful CDGs had fewer hazardous issues than unsuccessful CDGs. Therefore it is interpreted that with more successful CDGs there will be fewer erosion hazards in the CDG area. There are some reasons associated with these erosion hazards (Table 7).
Table 7. The reasons for erosion hazards as presented by the household heads
Problems that induce erosion hazards Stream bank erosion Reasons according to the household heads Destruction of the rice field by flooding of the Chhabdi Khola in the lowland areas of the watershed eventually result in the loss of property and production during the period

Farm landslides & gullies Lives and properties are endangered by this problem in the uplands of the watershed Degradation of trails Trails are conduits for runoff that carries away nutrients from the farmland; ultimately this affects production

Diminishing water source Landslides and gullies occur when there is an abrupt emergence of spring in the village. water during the rainy season due to the sudden rise of the groundwater table Terrace-riser failure Decrease in yield in the crop production area

Conclusion The current land-use patterns and conservation measures were identified and evaluated in the upland and lowland areas of the watershed. The socio-economic status of the CDGs and the farmers were evaluated in relation to their actual conservation efforts, perceptions, and attitudes. Erosion hazard scenarios for the upland and the lowland areas in relation to farmers attitudes and perceptions of land degradation and land management were determined. Maize-based cropping patterns in the uplands and rice-based cropping patterns in the lowlands have been practised continuously. Farmers in both upland and lowland areas of the watershed have large families but small land-holdings. Therefore there is tremendous pressure on the land. The main erosion hazards in the lowlands are stream bank erosion followed by degradation of trails and diminishing water sources in the villages. In the uplands farm landslides and gullies, diminishing water sources, and terrace-riser failure are considered serious even with the application of existing conservation measures. All of the CDGs have changed their focus from actual conservation efforts to conservation measures envisaged for the future. The ranking of erosion hazards, actual conservation measures,

55

and conservation measures envisaged for future, has proved that the farmers have modified their emphasis on priorities and measures for conservation. The adoption of new technology for farm conservation is not the challenge. The farmers believe that they should modify and apply the right traditional conservation measures at the proper location to address the actual erosion hazards prevailing in the watershed. Some of the CDGs are dynamic institutions because of their improving and developing structure, guided by active leadership and production-oriented conservation methods. Legal authorization is assured with the registration of these institutions and their yearly renewal of licenses or certificates as NGOs at the District Administration Office. Effective implementation of conservation activities through networking with other institutions is a distinct characteristic. The current farm conservation activities are not adequate to maintain land productivity. The farmers want to implement potential conservation measures (conservation measures envisaged for future) to maintain land productivity in the future via their own efforts and resources. Literature cited Basnyat, B.B. 1995. Nepals Agriculture Sustainability and Intervention: Looking for New Directions. Wageningen University, Netherlands. CBS. 1994. The Hilly Areas of the Country are Very Prone to Soil Erosion. CBS, Kathmandu, Nepal. CBS. 2000. Statistical Pocket Book, Nepal, 2000. CBS, Kathmandu, Nepal. District Soil Conservation Office. 1997. Subwatershed Management Plan of Chhabdi Khola Chitikhola (Tanahu District), Tanahun, Nepal. District Soil Conservation Office. 2000. Soil Conservation Booklet. (Nepali Version: BhuSamrakshan Pustika), Damauli, Tanahun, Nepal. Hertmann, P. 2001. One hamlet one group one plan in line with decentralization. Steps towards a new watershed management strategy in Nepal. (An unpublished paper.) NARMSAP / SCWMC, Kathmandu, Nepal. Ojha, E.R. 1997. Agricultural Terracing Development Perspectives. Ratna Pustak Bhandar, Kathmandu, Nepal. Thapa, G.B. 1996. Land use management and environment in a subsistence mountain economy in Nepal. Agriculture Ecosystems & Environment, 57: 57-71.

56

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

INSTITUTIONAL COORDINATION FOR WATERSHED MANAGEMENT IN DHADING DISTRICT, NEPAL Puspa Ram Thapa1

Introduction The Hindu Kush-Himalaya is one of the youngest mountain systems in the world. Rivers in this region carry much more silt than those in other regions. Mountain watersheds are susceptible to soil erosion, landslides, and rapid loss of habitat and genetic diversity, owing to their fragile ecosystems, which are characterized by steep slopes, weak rock structure, and poor soils. Mountain people depend on watershed resources for subsistence. The Middle Hills of Nepal occupy 68 percent of the total area. The overwhelming majority of the hill people are farmers; the average land-holding size is less than 0.5 ha, compared to 1.7 ha in the Terai (plains). Rapid population growth, deforestation, unemployment, and land degradation are the major causes of poverty. Diverse types of formal and informal institutions exist in the watersheds with different or overlapping objectives, which have both direct and indirect implications on the management of natural resources. Community development groups (CDGs) are directly involved in natural resource management. Agricultural groups, cooperatives, and savings/credit groups are implicitly associated with natural resource conservation by improving social cohesion, production, and the economic condition of the local people. In Nepal, many international development agencies and non-government organizations (NGOs) are involved in soil conservation and watershed management activities. Local government organizations (GOs), District Development Committees (DDCs), and Village Development Committees (VDCs), are now required to formulate and implement local development. However, these organizations lack management and technical capabilities to carry out development and conservation activities effectively. Watershed management programmes have been implemented in 22 districts of Nepal with DANIDA support under the Natural Resources Management Sector Assistance Program (NARMSAP). Several new institutions have been created for implementation of soil conservation and watershed management activities, while existing organizations have not been taken into consideration. There may be duplication of activities due to implementation of conservation and development projects by several agencies through several community based organizations (CBOs). Likewise, the central level agencies, in many instances, have created their own community groups for implementation of their programmes. Besides duplication of activities, conflict is created between different CBOs. Lack of coordination and cooperation may result in the misuse or inefficient use of development funds. Some CBOs may receive financial help from several agencies, while others may not.

MSc. Thesis (Ref. No. NR-02-07), Asian Institute of Technology, Bangkok, Thailand. August 2002. Examination Committee - Dr. Gopal B. Thapa (Chair), Dr. Apisit Eiumnoh, Dr. Rajendra P. Shrestha

57

Management projects are coordinated effectively by NGOs, GOs, and CBOs, making efficient and effective use of scarce resources. Coordinated action strengthens the existing institutions. Institutional development and strengthening is indispensable for the continuation of activities implemented by external agencies. The major objective of this research was to study the prospects for coordinated planning and implementation of watershed management activities by CBOs with support from the local government, GOs, and NGOs. The study area Kumpur sub-watershed (KSW) was selected for the study; it is under the jurisdiction of three VDCs, namely Kumpur, Sunaulabazar, and Kalleri (Figure 1) of Dhading District. KSW covers an area of about 59 km2 , accounting for three percent of the total area of the district. Since 1996, DSCO/ DANIDA has been assisting CDGs in implementing watershed management activities in this subwatershed. Selection of CBOs There are altogether 56 CBOs numbering 2 514 households in KSW. The CBOs are local institutions directly involved in the execution of watershed management activities supported by DSCO/DANIDA. Two CBOs from the upper part of the watershed and three from the lower part were selected for the survey (Figure 1). Two had homogenous ethnicity while heterogeneous ethnic groups characterized the other three. The Sattaledanda and Baghmara forest user groups (FUGs) were selected from the existing FUGs in KSW. Small farmers cooperatives (Sunaulabazar and Kumpur) were selected for institutional survey. Grassroot level local government (Kumpur, Sunaulabazar) and Kalleri VDC were institutions surveyed at the local level. Selection of development line agencies At the district level, the District Soil Conservation Office (DSCO), District Forest Office (DFO), District Agriculture Development Office (DADO), District Livestock Service Office (DLSO), District Irrigation office (DIO), and District Water Supply Office (DWSO) were chosen for the study. The Women Development Office (WDO) and Cottage Industry Development were also selected, as they are also implementing activities related to watershed management. According to the Local Self Governance Act (1999), the District Development Committee (DDC) is the coordinating body for all development and conservation activities executed by all district level line agencies. The Forest and Environment Protection Society (FEPS) and the Nepal Agro-Forestry Foundation (NAF) were two NGOs selected for the study, as both are engaged in watershed management activities. Profile of the study area Location The KSW is not a typical watershed or catchment in the sense that the area has several distinctly different catchments with separate outlets. KSW is divided into four smaller micro-watersheds, namely Adamkhola, Bijulikhola, Sukaurakhola, and Thoppalkhola. 58

China

India India

Figure 1. Map of Nepal and Dhading District

59

Climate The climate is mostly sub-tropical humid and warm temperate humid. The monthly mean maximum varies from 19C in winter (January) to 26.6C in summer (June). The monthly mean minimum temperature ranges from 7.4C (January) to 20.6C (June). Topography Approximately 83 percent of KSW has slopes of 30. The lowlands comprise river terraces and gentle to rugged topography is found in the upper part of the watershed. The main river systems are the Adamkhola, Bijulikhola, Sukaurakhola, and Thoppalkhola. There are also numerous small river systems, which directly drain into Trishuli River. Natural vegetation The types of vegetation depend on slope and aspect. The northern face of the mountain is well vegetated with mixed broad-leaf forest. Other species found in the watershed area are: Schima wallichi, Magnifera indica, Syzygium cumini, Aegel marmelos, Garuga pinnata, Bauhinia purpurea, Bauhinia verigata, and Ficus spp. Land use The study area comprises arable land, forest land, shrubland, and grazing land (Table 1); 36.2 percent of the watershed area is covered by irrigated land (Khet) and 18.2 percent by non-irrigated land (Bari). Similarly 19.2 percent of the total area is occupied by forest, 16.2 percent by shrubland, and 10.2 percent by grazing land.
Table 1. Land-use categories of the study area
Land-use type Non-irrigated land Irrigated land Shrub Grazing Forest Total Source: APROSC (1997) Area (%) 22.2 21.9 24.9 10.3 20.8 100.0

Watershed condition The condition of KSW is poor mainly due to deforestation, overgrazing, cultivation on marginal land, stream bank cutting, and gullies and landslides. About fifty percent of the forests are not handed over as community forestry with concomitant users rights. The critically degraded conditions of the catchment area are the root cause of unpredictable amounts of sediment generated during high intensity rainfall. River cutting also damages the in-takes of many farmer-managed small irrigation systems.

60

Ethnicity The most prevalent ethnic groups found in the study area are Newars, Brahmins, Gurungs/Ghales, Magars/Majhis, Chhetris, and Kamis/Damais/Sarkis. Based on ethnic composition, Nepalgaon CDG is a heterogeneous community whereas the homogenous Magar community characterizes Kafalchhap CDG. Similarly Changetar CDG is composed of Brahmin households, and most of Bungchung CDG is Ghale. Majhis are traditionally fishers, a low caste and an underprivileged group. Land holdings Based on HMG/CBS (2000), land holdings are divided into three different categories: small, medium, and large. In the watershed area the land holdings are fragmented and more than ninety percent of the households depend on these fragmented parcels of land to eke out a living Thapa (2001). Most of the farmers have rain-fed farmland. Literacy According to the APROSC baseline study report (1997), the overall literacy rate of the population over five years of age was estimated at 60 percent. Male and female literacy rates were estimated at 36 and 24 percent of the total literacy rate in KSW. The literacy rate is highest in Adamkhola microwatershed (65 percent) and lowest in Bijulikhola (50 percent). Among the ethnic groups, the highest percentage of literacy was reported among the Brahmin/Chhetri community (71 percent) followed by Newars (66 percent), and Ghales (60 percent). Occupations and employment Women accounted for fifty-one percent of the total population involved in agriculture. Agriculture was a secondary occupation for over 61 percent of the respondents followed by waged labour (29 percent) in all micro-watersheds. Three percent were engaged in trade. Women were also involved in cottage industries such as woodwork, bamboo and rope making. Existing institutions and organizational structure Institutions have become an important component in the watershed management context. In many situations, local organizations are needed to acts as channels through which local people can participate in the development and implementation of rural development programmes. For watershed management to become a popular endeavour with good promise of success, what is required in the organizational context is a pluralistic political system, which has a broad democratic base, bears public accountability, decentralizes decision-making power, and has a provision of checks and balances for political and administrative power (Thapa, 1993).

61

District level institutions NGOs Formerly, FEPS was working for natural resource management. The main objective of FEPS was to create awareness about conservation and protection of forests and to help local people to develop forest management skills and institutional mechanisms. Later, FEPS was mainly engaged in assisting groups to prepare community forest operational plans and to conduct training programmes on community forest management. FEPS coordinated activities with the District Forest Office and Regional Training Centre, Lalitpur (DANIDA). The main work of FEPS was to facilitate community forest handover and management. NAF is another NGO working in Dhading District conducting similar work. Presently, the GalaundiPokhare Khola Watershed Management programme uses NAF to implement different watershed management activities. NAF had good coordination with DSCO during the pre-planning stage of watershed management activities. NAF also had multidisciplinary staff. Both institutions employed female motivators as group facilitators for their fieldwork. District line agencies DSCO is a government organization responsible for planning and implementing soil conservation and watershed management activities in the district. DSCO has two types of programme: the first is a regular annual programme that is implemented from the governments regular budget. The second is a donor-supported programme. The name of the pilot project was the Nepal-Denmark Watershed Management Project (NEP_DKWMP). This project was designed and implemented to generate experience as a model for the implementation of the Soil Conservation and Watershed Management Component (SCWMC) of the Natural Resource Management Sector Assistance Program (NARMSAP) of His Majestys Government of Nepal (HMG/N). One of the main aims behind implementing this project was to develop replicable participatory planning and implementation based on watershed management programmes. The DFO is the organization responsible for the protection and management of national forest through scientific management. The community forestry programme has been supported by DANIDA since 1990. The programme was divided into two stages: Pre-formation and Post-formation support. Training activities were designed for user groups and DFO staff to promote and facilitate the community forestry programme. The leasehold forestry programme was a target group programme, designed for small farmers who were below the poverty line. The Agricultural Development Bank and DLO offices were the line agencies affiliated with the leasehold forestry development programme, whereas the DFO coordinated and looked after administration formalities for implementation of the leasehold forest programme. DADO was the organization responsible for agricultural extension in the district. The extension programme comprised training, demonstrations, field visits, and workshops. It had major extension activities on cereal and cash crop production, crop protection, horticultural development, vegetable farming, soil-fertility management, and integrated pest management and fisheries development. The DLSO was an organization working in the sector of livestock development in the district. The livestock development programme was divided into veterinary services and livestock management activities. 62

The DLSO had six livestock service centres and eight sub-centres within the district to serve villages. The DLSO implemented extension activities and a pocket package (demonstration) programme for selected types of cattle. The DLSO was also engaged in fodder tree seedling production, improved grass seed production, and distribution of seeds of improved grass to user groups. The DIO was responsible for planning, implementation, and management of irrigation system within the district. It had only district level staff at district headquarters to implement different water supply projects within the district. The Dhading Women Development Office had one liaison office and three field offices within the district. Womens development programmes comprised savings-credit schemes; informal education; public health; child care activities; training on awareness creation; training programmes on account and record keeping, leadership development and resources mobilization, and skills development; study tours; and income generation activities. The major activities of the CSIDB were conducting various training programmes on skill development and entrepreneurship; providing information on rules and policy for industrial establishment; conducting industrial feasibility studies; providing industrial project schemes of feasible industries to entrepreneurs; and registering or renewing cottage and small industries. District Development Committee (DDC) The DDC is an elected body responsible for the overall development of the district. The chairs and vice-chairs of all VDCs in the district elect the chair and vice-chair indirectly. DDC members are also elected indirectly on an Illaka or sub-district basis. Each of Illakas VDC chairs and vice-chairs elect one representative to the DDC. Members of parliament of the concerned district are ex-officio members of the DDC. The DDCs overall plan embodies what VDCs and municipalities plan and undertake. Local level institutions Several institutions are functioning at the local level for natural resource management and community development: The VDC, Ward Committee (WC), Small Farmers Cooperatives (SFC), GOs, and CBOs are the major institutions at the local level. VDC The VDC is a grassroot level autonomous political institution. VDCs can implement programmes with regard to forests, vegetation, biodiversity, and soil conservation in the village development area. Each VDC is divided into nine wards; administered by elected ward committees. VDCs are required to construct and implement village level projects through user committees (UCs). UCs are entitled to collect service charges from users who use the services of the project. Small Farmers Cooperatives Cooperatives are also engaged in physical development work such as irrigation canal improvement, fruit-tree planting, trail improvement, and support for leasehold forestry development. Federated groups of cooperatives at the ward level can handle the natural resource management work within their ward. These cooperatives have the following objectives: To facilitate credit to small farmers for agricultural activities; to mediate between small farmers and the Agriculture Development Bank; to 63

raise the socio-economic status of small farmers through the creation of income and employment opportunities; and to develop the market system and linkages for small farmers. CBOs CBOs in the study area comprise: CDGs, FUGs, WCs, the Progressive Youth Club (PYC), and Majhitar Samudaik Kendra (MSK). CDGs are new institutions responsible for the execution of watershed management activities. They were formed on a settlement/cluster basis and their size depends on village cluster size. The number of members varies from 25 to 105 households. Each CDG has an executive committee, comprising members from 5 to 13 households. Besides soil conservation, the groups carry out community development activities. FUGs are registered in the District Forest Office (DFO). Executive committee members are elected from among group members and their tenure depends on the provision made in the respective groups constitution. Forest resources such as timber, fuelwood, and NTFPs are collected according to the forest operational plan. There are five registered community forests with a total forest area of 99 ha. All committee members are directly elected from local people. The WC is responsible for ward level planning and implementation of development activities supported by the VDC and the DDC. It has 15 executive committee members, excluding a threemember advisory committee. Government organizations (GOs) Government service centres are local level institutions working at the village level; one service centre should cater to four to five VDCs. Service centres implement activities according to guidelines received from concerned district offices. Generally people visit service centres for necessary advice and services. Service centres also serve as bridges between user groups and concerned district line agencies. Coordination in watershed conservation and development planning Dale (1992) defined coordination as the harmonization of work undertaken by different bodies within an organization, through specific mechanisms realized through the execution of specific tasks, which are commonly the responsibility of specific core parts of the organization. Coordination is a tool for promoting integration, in other words, it is a means for promoting linkages of various sorts. It is needed not only to secure teamwork and cooperation but also to prevent conflicts that may arise, while working together to achieve certain stated objectives. Planning process and coordination Planning is a continuous process, which involves decisions about alternative ways of using available resources, with the aim of achieving particular goals at some time in the future. Coordination plays an important role in the successful implementation of any plan or programme, no matter how competent the organization. During the planning process at the district level, generally the DDC and other government line agencies organize four to five meetings. NGOs organize up to four meetings in the process of planning (Table 2).

64

Table 2. Frequency of planning meetings

No. of planning meetings Five times Four times Three times Total Source: Field Survey (2002) NB: Figures in parentheses are percentages Government 4 (44.4) 2 (100) 5 (5.6) 9 (100) 2 (100) NGO

FEPS and NAF hold planning meetings according to donor requirements. In general, they hold planning meetings four times a year and the participants are staff and user group representatives (Table 2). They discuss community activities and prioritize them. There is lack of trust between NGOs and government institutions. Government institutions perceive NGOs as highly paid and informal contractors with the incentive of tax-free provision. NGOs carry out activities on a short-term basis. All government institutions are trying to practise for intra- and inter-agency consultation for planning. Effectiveness in coordination between the agencies depends on the interpersonal relationships of the officials. DDC: planning process and coordination The Local Development Officer (LDO) working under the DDC arranges a meeting of all district line agency officers, NGO representatives, and representatives of the Association of Trade and Industries in order to prepare the programme for the forthcoming fiscal year. The DDC arranges a meeting of the plan formulation committee for further elaboration of the proposed activities. The District Development Project Coordination Committee (DDPCC) has about 30 days to air its views. The DDC chair heads this committee. This committee comprises the vice-chair and all conveners of the four plan formulation committees, all development-related district line agency chiefs, and the LDO. The LDO acts as a member-cum-secretary of the project coordination committee. Initially, plans are prepared by the ward assemblies and then submitted to the VDC. VDCs propose the plans at village assemblies for discussion. Village assemblies discuss the proposed plans, and approve them on a prioritized basis. After approval of plans by the assemblies, VDCs submit the proposed plans to the DDC for approval. The remaining proposed activities from ward assemblies and user groups are sorted out and sent to the concerned line agencies for consideration under their plans. The joint plan formulation committee, in principle, can facilitate coordination to some extent. The chair allows 15 to 20 minutes for each development officers programme presentation. For example, a farmer-managed irrigation canal improvement programme is jointly implemented by the DSCO, DIO, DADO, and the DDC in the district. Farmers groups can approach more than one agency for assistance. In such circumstances, funds are likely to be allotted by more than one development agency, if the programmes are not presented by the development agencies to the joint plan formulation committee. In KSW, DSCO takes care of all farmer-managed canals to prevent duplication.

65

DADO: planning process and coordination DADO has a District Agriculture Development Committee (DADC), formed by guidelines in the Agriculture Perspective Plan (APP). Although the DADC meeting is held once a month, there is no mutual discussion between members as expected by the APP. Moreover, so-called farmers representatives are village level leaders affiliated with different political parties. Most of the time, these representatives attend meetings at different offices to receive meeting allowances. Thus, their opinions and inputs do not reflect farmers real needs. The DADC is especially designed for coordination between the district level line agencies, including farmers group representatives, NGOs, and the private sector for implementation of the long-term Agriculture Development Plan. DADO has worked according to guidelines provided by the ministry and the department. As a result, impact on the planning process has not been effective as targeted by meetings and workshops. DSCO: planning process and coordination DSCO is the government line agency for implementing soil-conservation and watershed management programmes. DSCO has been implementing a sub-watershed management programme in the KSW. The programme has been supported by the NEP-DKWMP since July 1996. The project intends to integrate ward, VDC, and district level planning and implementation processes. All project activities are implemented through DSCO. At the district level, coordination and integration take place through the District Technical Group (DTG). DSCO plays a role as member secretary of the DTG. DSCO staff are mainly mid-level technicians and motivators. Planning process and coordination at the local level VDCs have a mandate to formulate and implement village level development plans financed by their own resources, development block grants received from the government (Rs.500 000/year), and from projects or NGOs which may happen to be in place. At the local level, the VDC is the focal point for coordination because it is the grassroot level government organization. Budget ceilings and planning guidelines are provided by the DDC to the VDC for village level planning. Similarly, district line agencies will provide guidelines to service centres for annual plan formulation. Planning The VDC will initially conduct one meeting for planning, and then the ward chair will start planning work or arrange ward assembly for annual planning. Cooperatives and CDGs have adopted planning workshops and most CBOs have been pursuing planning meetings (Table 3).

66

Table 3. Planning process by organization

Statement CDGs Sensitization for planning Planning workshop Planning meeting with implementing agencies Y N Y N Y N Source: Institution Survey (2002) NB: Figures in parentheses are percentages 5(100) 3(60) 2(40) 5(100) Types of organization Socialorgs. 2(100) FUG 2(100) 1(50) 1(50) 1(50) Cooperatives 2(100) 2(100) 2(100) 1(33.3) 3(100) 2(66.7) Local govnt 3(100)

1(50) 2(100) 1(50)

Coordination with CDGs The FTG was designed to maintain coordination between CDGs and the VDC during planning. The FTG consists of field technicians of DSCO. Mid-level technicians from different line agencies are supposed to support communities during the plan preparation period. A case study: Pipaldanda drinking water supply project Pipaldanda is a village in Kumpur VDC situated in Ward No. 3. Cultivation depends on rainfall. Pipaldanda is a one-village cluster of Parewatar CDG. Settlers are homogenous Magars. There are nine households. The upland area is cultivated with maize, millet, beans, and lentils. Local people from Pipaldanda approached the VDC for a permanent drinking water supply. But the VDC had inadequate funds for nine households. The estimated budget was NRs. 150 000. Initiative The VDC chair took the initiative to provide a permanent drinking water supply for Pipaldanda village. The VDC chair talked with Parewatar CDG members about the drinking water problem at Pipaldanda. The chair made a commitment with the CDG to provide some funds, if the CDG would include the water supply project for Pipaldanda in its annual work plan. Then CDG executive committee members arranged planning meetings and discussed with Pipaldanda villagers about contributing unskilled labour. Required materials such as cement, iron rods, faucets, and water tanks would be supplied using funds available from DSCO. Coordinated decision The VDC chair coordinated planning and execution of the work with DSCO and CDG members. He arranged a meeting for planning, designing, and estimation of the work. Mid-level technicians and motivators from DSCO, and CDG executive members were present at the meeting. The meeting allocated responsibility: the VDC would purchase polythene pipes at NRs.25 000, DSCO would provide other material and skilled labor costs for masonry, and the users would provide physical labour for transportation and construction work.

67

Chhangetar Community Development Group: A case study Chhangetar CDG of Dhading District is situated in the mid-hills. The major crops grown are maize and millet. In rain-fed areas, villagers cultivate only one crop per year, whereas in irrigated areas they grow cash crops such as vegetables. Some fodder trees are grown on the terrace risers. A dense mixed forest with regenerated Shorea robusta is situated on the uphill side of the CDG, and has been handed over to the group as their community forest. Problems About 30 years ago, Chhangetar area was covered with degraded sub-tropical Shorea robusta forest from which people collected forest products. Heavy grazing and collection of fodder and bedding materials led to forest degradation. Decreased land productivity, and fodder and bedding material scarcity were the major problems faced by the farmers. Gradually people migrated to the foothills. Initiative In 1997, the people of Chhangetar discussed their problems, their future, and possible solutions among themselves. They decided to visit Adamtar field centre of the DSCO to seek assistance. DSCO staff and community held discussions and agreed on the following: Mobilization of people for planning, implementation, maintenance and monitoring of activities Demarcation of boundaries and the formation of a CDG and community development committee as an executive body Rehabilitation of the degraded micro-watershed through the joint efforts of DSCO and Chhangetar inhabitants Contribution of locally available materials e.g., unskilled labour, sand, stone, thatching materials and bamboo by local people Provision of locally unavailable materials, like skilled labour, technical support, and transportation of materials by DSCO Creation of a maintenance fund and pursuance of all follow-up work by the CDG Implementation The people demarcated the boundaries and formed a CDG, which covered about 95 ha of land and included 37 households. The villagers conducted a meeting in the presence of DSCO staff (mid-level technicians and motivators), and identified the main problems: Widespread gullies, landslides and stream bank erosion Lack of vegetation cover Poor condition of irrigation canals Scarcity of drinking water Lack of off-season vegetable farming Decreasing productivity of land Poor condition of foot-trails Poor sanitation

68

In the first year, they decided to improve the irrigation canal and to plant bamboo culms, grass, fodder seedlings, and other multipurpose species which control stream bank erosion. They mainly used vegetative measures to minimize stream bank erosion and to control gully expansion. Training on group mobilization, leadership building, account and record keeping, and rehabilitation measures were given by DSCO. Study tours were conducted for the CDG members. The members visited various rehabilitation areas of Tanhun, Palpa, Pokhara, Dhankuta and Ilam districts. Conservation ponds proved to be very cost effective, but required much labour. The ponds are currently utilized to store water for irrigation of off-season vegetables Coordination in implementation When CDG members realized that the area had high potential for off-season vegetables, they decided to get training on vegetable cultivation. The DSCO organized a meeting with the Chief of DADO. DADO sent staff to Chhangetar for a feasibility study and preparation of a field-level training programme, for the CDG members only. One assistant agriculture officer and one junior technician discussed with CDG members and prepared the field-based training schedule. DADO staff and CDG members agreed on the distribution of responsibilities to conduct the training. Altogether 35 households took part in each training event. The CDG implemented physical construction and income generation activities (raising goats, cultivating ginger, and planting fruit trees). Benefit from activities The economic benefits have been categorized into quantifiable and non-quantifiable benefits. These are described below. Quantifiable Income from the sale of green vegetables (beans, cucumber, pumpkin, cauliflower, radish) A farmer received NRs20 000 to 25 000/0.05 ha through the sale of vegetables 33 out of 37 households used the conservation ponds to irrigate their vegetable farms Non-quantifiable There has been a major change in attitude (positive) Compost making has increased due to stall-feeding. This has contributed to an increase in vegetable as well as cereal crop production Conservation plantation on marginal lands, grass plantation on risers and wastelands, and bamboo plantation in gully and landslide areas have increased vegetative cover and added leaf litter; this has helped to improve the quality of the soil Easily available small-sized timber, fuelwood, fodder, and bedding material from the community forest Newly grown fodder/grass species have helped stall-feeding Women are saving time in fetching water due to water source protection

69

Coordination among development agencies for sericulture in Kumpur sub-watershed: A case study Background Mulberry plantation was a source of fodder for goat raising due to very small-scale planting. The United Nations Development Program launched the Sericulture for Rural Development Program in 1997/1998. The programme had close coordination with the Silk Association of Nepal (SAN). SAN was a national level NGO working for the promotion of sericulture development in Nepal. Kumpur VDC was selected for the sericulture development programme. Initiative The Nepalgaon CDG chair was convinced about the feasibility of the sericulture development programme as he had visited sericulture development activities in Ilam District implemented by SAN. After discussion with household members, he contacted SAN personnel to get technical support for mulberry cultivation within his community group. One technician was provided to study the potential for mulberry cultivation and to teach cultivation techniques. Finally, it was agreed to utilize CDG funds to promote mulberry plantation within the CDG area. DSCO had already set a priority to promote mulberry plantation in and around the farmland because the mulberry seedlings would prevent soil erosion, supply fodder for livestock, and improve peoples livelihoods via sericulture. Coordination Institutions involved for the promotion of sericulture are the Sericulture Development Program (SRDP) under UNDP; the Silk Association of Nepal (SAN); the Sericulture Development Office (SDO); DADO; DSCO; and the CDG. SAN forms a group where there is no existing group and where there is a group, the CDG manages the sub-group for promotion of mulberry planting. SAN also prepares the training package for the farmers and implements the training package at field and central levels. Nepalgaon CDG was responsible for selection of farmers to establish mulberry nurseries and plantation work. Implementation The CDG established one mulberry nursery with technical support from DADO and a budget was arranged from DSCO; this was allocated according to the CDGs annual programme. Interested CDG members planted all seedlings. After two years, farmers were able to supply mulberry seedlings to their neighbours for extension of mulberry cultivation within the CDG area. Silkworm eggs are hatched at the Sericulture Development Office (SDO), Dhunibesi, Dhading District. One-week old silkworms are supplied to farmers by SDO. Masks and Japanese sprayers were distributed to three CDGs free of charge. Farmers can harvest cocoons four times in a year.

70

Coordination mechanism for watershed conservation and development: stakeholders perspective Coordination workshop A workshop was conducted to address the views and suggestions of stakeholders engaged in watershed management activities. All stakeholders attended the workshop with keen interest and actively participated in discussion about planning and implementation of watershed conservation and development activities. Participants from district line agencies realized the need for coordinated planning and implementation of the District Development Plan. They also realized the problem of duplication of activities, inefficient resource use, and mishandling of scarce funds due to lack of coordination in planning and implementation of conservation and development activities. The creation of new CBOs without taking into consideration existing CBOs had discouraged community efforts. Similarly, NGOs were working independently in planning and implementation. VDC chairs were interested in supporting the development activities implemented in their VDCs. Suggested planning mechanism at the district level Service centre plans should be formulated in cooperation with VDCs. NGOs should also consult with VDCs for plan formulation, and they should be guided by the DDC. The planning section of the DDC should be strengthened by employing appropriate capable staff and by providing training to the existing planning staff. The DDC has to develop a master plan for each sector and has to set the vision. This would facilitate coordination and follow up during the planning process. The DDC, VDCs, and service centres should prepare their plans in coordination with CBOs, as they have direct contact with the villagers and are aware of local constraints and opportunities. Suggested implementation mechanism at the district level The existing coordination system between the DDC and line agencies should be strengthened. Meetings have to be organized with sufficient time for discussion with line agencies. While implementing the line agencies programme, there is a communication gap between the concerned agencies, which has created management problems. Therefore the DDC has to create a forum for interaction among the line agencies during implementation. NGOs should also work within the district development-planning framework. In this regard, they have to submit their programmes to the DDC prior to implementation. They also have to maintain close coordination with the DDC during the programme implementation period. Suggested planning mechanism at the local level At the local level, VDCs, WCs, government service centres, SFCs, and CBOs are working for watershed conservation and development. There are two VDC level SFCs in the study area. Cooperatives should liaise with local level institutions such as the CDG, FUG, Agriculture Service Center, Livestock Service Center, Women Group, and farmers groups for effective planning. The Women Group should interact with cooperatives during their discussions on their savings-credit schemes and they should also consult the VDC chair or Ward chair.

71

FUGs are working without consulting the VDC and other agencies. FUGs should invite the VDC, Agriculture and Livestock Service Center, CDG, and SFCs during their planning meetings. There is no interaction among the Agriculture Service Center, Livestock Service Center, and farmers groups during their planning agenda. The irrigation water users group and drinking water users group should consult the VDC during the initial study of projects. The VDC should be the focal point for local level planning. Suggested implementation of coordination at the local level CBOs have to maintain close coordination with the VDC during project implementation. They have to conduct meetings with VDCs before activities are implemented and meetings should concentrate on estimated budget, working procedure, and beneficiaries. Ward committees have to monitor and encourage CBOs, which have implemented activities effectively. Conclusion District office representatives of all institutions are not formally notified at the beginning about the project concept and their perceived roles in the project. Unless and until the roles of each of the district-based institutions are made clear and the mechanism for their involvement in planning and implementation is specified, it will be difficult to attain the objective of integrated sub-watershed management. The DTG and FTG have been formed for coordination of watershed management and development activities. They have facilitated some coordination among district level line agencies through direct personnel contacts, regular meetings, and establishment of common working procedures. From the analysis it was found that the DTG could not coordinate activities effectively. As a result, interagency coordination for planning and implementation did not work effectively. Line agencies have increasingly realized the need for coordinated planning and implementation of conservation and development activities. Since several line agencies are engaged in watershed management-related activities according to objectives set by their concerned ministries, there is a need for coordination between agencies at different hierarchical levels. Both horizontal and vertical coordination are important for the successful planning and implementation of watershed management programmes. Horizontal (inter-agency) coordination is extremely important for efficient planning and implementation of multi-sectoral programmes. The existing coordination mechanism at the district level is simply limited to compilation of sectoral plans prepared by line agencies. The Local Self-governance Act (1999) has emphasized the empowerment of DDCs and VDCs by making them responsible for coordination in planning and implementation of all district development plans. District offices are accountable to the concerned departments and ministries, which provide required budgets and have administrative control over lower level line agencies. The Decentralization Act (1999) recognized the DDC as a coordinator of overall local level development and conservation activities. It has not been provided necessary authority for administrative and financial control over line agencies and other developmental agencies.

72

Literature cited Dale, R. 1992. Organization of Regional Development Work. Ratmalana, Sri Lanka. Thapa, G.B. 1993. Managing Mountain Watershed in Upper Pokhara Valley, Nepal. Monograph, Asian Institute of Technology, Bangkok. Thapa, G.B. 2001. Changing approach to mountain watersheds management in mainland South and Southeast Asia. Journal of Environmental Management.

73

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

LINKAGES AMONG LAND, WATER AND FOREST RESOURCES AND THEIR INSTITUTIONAL DYNAMISM IN CHITWAN DISTRICT, NEPAL Kanchan Thapa1

Introduction Nepal has a rich tradition of community efforts in natural resource management (NRM). The farmermanaged irrigation system (FMIS) has special status in the national economy and food security system and symbolizes democratic values (Pradhan, 2000). Customary norms have delineated water as a community resource with rights and community governance structures for the management and utilization of water by village societies. Apart from these community-based values and norms, state policies and practices have historically been conducive to reinforcing community roles in NRM. As a community resource, water has been well conserved by farmers and used carefully for cultivation. Innumerable traditional canal systems built by farmers since antiquity are still functioning. The enactment of the 1854 Penal Code ( Muluki Ain ) during the Rana period (1846-1951) was a significant landmark in the development and management of canal irrigation systems in the country. The development of irrigation in Nepal can be categorized into two phases (Shah 2001): (1) Prior to the mid-1950s, farmers developed numerous irrigation facilities in the hills and in the Terai using their own resources; (2) from 1956 to 1970, emphasis was on developing infrastructure in the form of government-financed medium and large projects. Forest resources have also been exploited for different purposes from the household level for fuelwood needs to national trading activities for non-timber forest products (NTFPs) and timber. The ownership of forest resources shifted to the government in 1950 after the end of Rana rule. Nationalization of private forest was launched in 1957 to protect forest resources. The forest protection Special Act enacted in 1968 provided forest officials with powers to strengthen the forestry service to protect the forest. Property rights in joint property ownership have been secured via the participatory approach. Successful community forest management has evolved with benefit sharing among the rural poor, including women. There has been a change in resource use to institutional arrangements that govern the resource base. Farmers are able to operate and maintain irrigation infrastructures effectively and receive reliable water supply. Selection of the study area The research was performed in the irrigated and partially irrigated area of Chitwan District (Figure 1). The criteria for the selection of the irrigated area were: the irrigation systems long duration; the existence of locally managed irrigation systems and water-users committees (formal or informal); community forest development in the catchment area; and intensification of agricultural land use across the irrigated command area.

MSc. Thesis (Ref. No. NR-02-11), Asian Institute of Technology, Bangkok, Thailand. August 2002. Examination Committee - Dr. Ganesh P. Shivakoti (Chair), Dr. Michael A. Zoebisch, Dr. Rajendra P. Shrestha

75

The criteria for the selection of the partially irrigated area were: an upland area where the farming system was partially irrigated; community forest development in the catchment area. East Chitwan was chosen as the study area and two study sites were selected in the northeast of Chitwan District.

ST U D Y A R E A

U R

A IN P

C H

K O R

A K

S o u rc e : N P C , 2 0 0 2

R oa d N e tw or k s B o un da r y o f the S tud y A r e a B H AN D A R A BIRE ND R A N AG AR C H AI N P U R K H AI R A H A N I KO RA K LO TH AR P IP L E P IT H U W A R A T N A N A G A R N . P. S H A K T IK H O R S ID D H I

Figure 1. Map of study area

76

C H

K O RA K

AI N PU

Biophysical and socio-economic condition of the study area Description of the study area Chitwan District is located in the southwestern corner of the central development region between o o o o longitude 83 35 to 85 55 east and latitude 27 21 to 27 45 north covering an area of 2 510 km2 . Politically, Chitwan District is divided into 38 Village Development Committees (VDCs) and one municipality (Bharatpur Nagarpalika). About three-fourths of the area is the Chitwan Valley; the lands have high agricultural potential and are relatively flat to almost completely flat. Physiography and water resources The Chitwan Valley is made up of terraces of various ages formed by the Narayani and Rapti river systems. The general slope of the valley floor is towards the south and southwest. Many streams flow into the valley from the Mahabharat and Churia hills, which are either seasonal or ephemeral in character and the volume of the water flow declines during the dry season. The Rapti River is the main water resource in Chitwan; it flows from the northeast to the southwest and ultimately joins the Narayani River system. Perennial rivers like the Lothar and Manahari flow from the eastern boundary. The Dhongre Khola originates from the Lothar River and the Budhi Rapti River emerges from the jungle of KuchKuche located along the banks of the Rapti River. Forest resources The forest resources of Chitwan District consist of sub-tropical evergreen forest at an elevation ranging from 141 to 1 100 m, and sub-temperate evergreen forest which lies at an elevation above 1 100 m. According to the management regime, forest types consist of national forest, community forest (including buffer zone community forest) and leasehold forest, protected areas, and private forest. The forest area of Chitwan District comprises 106 572 ha of forest land (including private forest). Most of the areas under national forest are being handed over to communities under the community forest programme. The climate of Chitwan Valley is sub-tropical monsoon with hot and humid summers and cool dry winters. The months from June to September are hot, humid, and uncomfortable. November through o February are the winter months and the winter temperature can be as low as 7 C in December and January. Over 75 percent of the annual rainfall occurs during the monsoon from June through September with average annual rainfall of 2 000 mm. July and August are the wettest months. The soil of Chitwan Valley constitutes various sediments from the Rapti and Narayani rivers and their tributaries from higher Himalayan mountains, Mahabharat and Churai hills. Sandy loam and loam are the most dominant textural classes of the surface soil with a few patches of sandy clay loam and silty clay loam as well. The soil of East Chitwan is heavier in texture than West Chitwan. The Chitwan Valley soils are among the most fertile in the country. Relatively high content of organic matter with an average of 2.8 percent reflects the recent agricultural history of the valley. Forest, agricultural lands, pasture/grazing lands, settlements, and waste lands are the major landuse types. Rapid deforestation and land clearing for cultivation are the major factors responsible for land-use change in Chitwan Valley. Denudation of arable land along the banks of the Rapti River is a serious threat to agricultural land in eastern Chitwan.

77

Study sites Among the 36 VDCs in Chitwan District, Chainpur and Korak VDCs were selected for the research. Chainpur VDC represented community forest in irrigated land, while Korak VDC represented community forest in partially irrigated land. Chainpur VDC Chainpur VDC lies in between two watersheds, the lowland area of the Kair Khola Watershed and the lowland area of Ladari Khola Watershed. The total area of Chainpur VDC is 2 822 ha. The area has a sub-tropical humid climate characterized by three distinct seasons: a hot, rainy monsoon; a warm, dry winter; and a hot, very dry, windy pre-monsoon. There are 2 002 households. Korak VDC Korak VDC lies in the upland area of Pumpa Khola Watershed, which is adjacent to the Kair Khola Watershed. The total area of the VDC is about 5 074 ha. The population according to 2001 data was about 6 129. The literacy rate of the whole population is about 52 percent. Chipleti Parsa Bazaar is the nearest market place for the buying and selling of daily commodities. The Kalika community forest was selected from this partially irrigated area in order to draw comparisons with the irrigated area in Chainpur VDC. Description of the irrigation systems and forest management Kankali Irrigation Systems (KIS) Kankali Irrigation System (KIS) is located in Wards 8 and 9 of Chainpur VDC. The intake of this irrigation system is located in the vicinity of the Kankali community forest in northeast Chainpur while its command area falls within Wards 8 and 9 of Chainpur. In general this irrigation system has been able to provide considerable support to strengthen the economic status of the inhabitants of the village. Historical perspectives KIS was formerly called the Bhutiya Irrigation System and was managed and operated by the farmers themselves. The system is about 41 years old. During 1985, the irrigation system was rehabilitated and improved with technical assistance from the Asian Development Bank financed East Rapti Irrigation Project (ERIP). Physical infrastructure KIS, at present, is about 4.4 km long, which includes an idle length of about 1 000 m. The alignment of the canal, initially, passes the Kankali community forest, running parallel to the flow of the Kair Khola. The main canal runs from north to south with several branches. Water is diverted into this system through its permanent head-work after water is divided with the Pithwa Irrigation System from the same source (Kair Khola). The head-work is a permanent cement/concrete-gated diversion weir. Since the canal passes the forest and along the flow of the Kair Khola, the canal is protected upstream by the forest and downstream by gabion check dams along the banks of the Kair Khola. 78

Biophysical characteristics of the irrigated area KIS is situated along the foothills of the Mahabaharat Range. It is situated in the lowland area of the Kair Khola Watershed. The soil type of the command area ranges from fine loam to coarse to medium loam. The major land uses are forest, agricultural land, and barren land. Socio-economic characteristics The average size of the sampled households was approximately six members per household. Out of the total respondents, 27 percent were illiterate while 26 percent had higher-level education. Threefourths of the respondents were dependent on agriculture, while 16 percent depended on service and business as their main source of income; the remainder relied on business and waged labour related to agriculture as the main source of income. The ethnic composition of KIS consisted of Brahmins, Chetris, Newars, Tamangs, Magars, Gurungs, Chepangs, and Lamas. Seventy-six percent of the population comprised higher caste people and 24 percent comprised middle caste people.
Table 1. Area currently irrigated by KIS
Khet Mean area Minimum area Maximum area Source: Household Survey (2002) 0.620 0.066 1.980 Bari 0.340 0.099 0.660

Agricultural perspectives Table 1 indicates the area irrigated by KIS. Two crops were planted in both Khet (irrigated land) and Bari (non-irrigated land). About 10 years ago, the major crops were monsoon paddy, wheat, mustard in both Khet and Bari. But due to the seasonal bias of irrigation, the cropping pattern was mainly paddy-fallow-maize. Now the farmers grow three crops in Khet and two crops in Bari. Table 2 shows the difference in production since 10 years ago and the present.
Table 2. Total production of crops between two periods
Crops Rice (monsoon) * Wheat Maize Maize (winter)* Total production present (t) 2.31 0.28 0.98 0.14 Average production 10 years ago (t) 1.47 0.19 0.82 0.06

Source: Household Survey (2002). * Significantly different at the 0.01 level (paired T-Test)

Irrigation water management of KIS KIS has been very effective in ensuring good water management. Farmers grew crops mostly in the Khet region of the command area. The irrigation system was designed to increase agricultural production and cropping intensity. An informal water users association was formed during the construction phase, called the Kulo (Canal) construction committee. It negotiated with the District Forest Office 79

(DFO) for the use of forest products from the national forest (now the Kankali community forest) in the irrigation system. The association was formalized in the late 1980s. Forest management of Kankali community forest With the enactment of the Forest Act (1993) and Forest Regulation (1995), the government initiated the community forest programme under the Ministry of Forest. The Chitwan DFO implemented the community forest programme in Chainpur VDC. Prior to the formation of the community forest, the Chitwan area forest office looked after the forest and there was massive forest degradation. Description of the partially irrigated area Biophysical characteristics The major type of land use is forest, agricultural land, and barren land. Hardwood forest (broad-leaf sal forest) predominates. Agricultural land and forest occupied 366 and 437 ha in 1999 respectively whereas the figures were 195 and 537 ha in 1978 respectively (Bhalla et al., 2000). Socio-economic characteristics The average household size in the study area was 6.3. persons (Table 3). Most of the households were nuclear. There was almost equal distribution of gender.
Table 3. Population distribution in the partially irrigated area
Household population Total Average population per household Maximum population per household Minimum population per household Source: Household Survey (2002) 215 6.32 12 2 Malepo population 115 3.38 8 1 Female population 100 2.94 6 1

The educational status was very low. About 44 percent of the respondents had only been educated to the fifth grade. Most of the respondents worked in the nearby market place as porters and sought other available waged labour. The major ethnic groups were Tamang, Gurung, and Lama (middlecaste). There were other occupational castes such as Biswakarma (lower caste). Out of the total sample, 82 percent was middle class and the remaining 18 percent was lower caste. The average land-holding size for Khet was 0.47 ha with a minimum of 0.06 ha and a maximum of 1.88 ha of land. In Bari, the average landholding was 0.24 ha with a maximum of 0.49 ha of land. In Khet, 59 percent of the households had their own land (less than 0.56 ha) while 20 percent of the households had their own land ranging from 0.56 to 1.12 ha.

80

Agricultural perspectives Maize and finger millet were widely grown in Bari. Upland rice was also cultivated. Over 10 years there have been no changes in the number of crops grown in Bari. The main reason might be the lack of water and poor agricultural inputs. Most of the area was under fallow, which was commonly observed (Table 4).
Table 4. Cropping pattern in the partially irrigated area
Cropping pattern in Khet Paddy-wheat-fallow, maize Paddy-fallow-maize Source: Household Survey (2002) Cropping pattern in Bari Maize-millet-fallow

Regarding the cropping intensity of Khet and Bari separately, the mean cropping intensity in Khet was 165 ha and while the cropping intensity for Bari was 179 ha. Most of the crops had low output. Rice, however, had high productivity while wheat had the lowest output in comparison with other crops. Forest management of Kalika community forest in the partially irrigated area During 1990, the Birendra Nagar VDC initiated protection of the forest. The forest office finally recognized the constitution of the forest after much lobbying with the DFO. The constitution documented the association as Kalika Community Forest User Group and the forest as Kalika User Group Forest. For every forest product, users had to pay a minimum fee for utilization of the forest products (except fodder, leaf litter, and grass). Development and management of the community forest Water adequacy in the irrigated area Most of the area under cultivation in KIS is Khet, although Bari is found. Agricultural fields are sited in close proximity to irrigation systems. Almost half of the respondents reported that there have been changes in water availability in their fields. Currently water availability during the monsoon is sufficient for the entire command area. Water availability index The water availability index (WAI) has been calculated for the monsoon, summer, and winter seasons at two different periods. The WAI from the tail- and head-ends increased during all seasons indicating an increase in water availability situation as the intake is approached. Water availability situation has improved during the last decade. During the summer, water is generally low, but partially sufficient in winter, which is consistent with the weighted average. At the tail-end, except during the monsoon season, users have faced serious scarcity of water during both summer and winter. Fifty-one percent of the respondents feel that cropping patterns have changed or increased in number each year because of changes in water availability. 81

Water adequacy in the partially irrigated area Most of the agricultural lands are located in the lower region and are situated about 8-25 m from the banks of the rivers (Pampa and Kali Khola). Water availability is improving (Table 5). Water in the monsoon season remains adequate while in the other seasons water supply is insufficient. Water availability index During the monsoon season, water remains adequate in the area around streams and rivers. Moreover, natural spring water is also used for agricultural and drinking purposes. Most of the settlements were established after encroachment into the forest area, where shifting cultivation prevailed but now the majority of the former shifting cultivation areas have been permanently converted to agricultural land. In the summer and winter, water remains scarce. The WAI shows that water is insufficient over the area.
Table 5. Changes in cropping in the partially irrigated area
Change in cropping pattern Increasing Constant Decreasing Total Total no. of respondent: 30 Source: Household Survey (2002) Percentage of the respondents 34 66 100

Explaining the dynamics of forest and water inter-relationships The relationship between resources can best be explained through the input and output framework developed by the Institute of Philippine Culture (Veneracion, 1989). This approach has been used in explaining and understanding dynamism under the management regimes of irrigation systems. Prior to the development of the irrigation system Most of the settlers in and around the command area of the irrigation system arrived after the implementation of the malaria eradication programme, which controlled the epidemic in Chitwan Valley. Resettlement programmes were responsible for clearing vast tracts of valuable forests in the Terai. The people of Chainpur realized the need to develop the irrigation system. During and subsequent development of the irrigation system KIS was initiated and constructed by the Chainpur community. The informal water users association was formed during the construction phase. Fines were imposed if there was no participation in the canals construction or non-participants were even barred from utilizing water from the canal. The DFO gave permission for the use of forest products during construction and development of the irrigation system.

82

Improvement in the KIS Population density in the area rose with significant increase in agricultural practices. During 1971, high demand for water and insufficient water supply even in the monsoon season necessitated improvement in the irrigation system. This was not as easy as it seemed. The committee formed during construction of the irrigation system emerged as the main water users committee after water was released for irrigation. Subsequently, farmers were completely dependent on irrigation for water, which raised sustainability issues. Dispute over water management Government-sponsored irrigation was also established in the neighbouring VDC (Pithwa), which shared the same source (Kair Khola). Pithwa VDC had its own water supply intake for drinking purposes, also built by the government, which was supplied by the upstream Kair Khola. The KIS had dual purposes, drinking water and irrigation supply. The water users association had the authority to prohibit free access to the irrigation canal. Upstream appropriators filed a case at the district court against the Kankali water users association for alienating them from use of the water. The court found in favour of the association. The legal costs incurred were much higher than the operation and maintenance costs of the irrigation system. Rehabilitation and improvement of the system by ERIP With the passage of time, the irrigation system faced the consequences of several natural calamities. Collapse of the canal alignment was frequent. There was major improvement in the irrigation system after the launch of the ADB sponsored East Rapti Irrigation Project (ERIP). ERIP started with rehabilitation and improvement of the FMIS in East Chitwan. ERIP contributed about 95 percent whereas the association contributed 5 percent. After the major reform of the irrigation system, there has been an increase in the water availability as the intake can hold more water (due to the permanent head-work). Development of the community forest Comparison of forest management in irrigated and partially irrigated areas Introduction The Institutional Analysis and Development (IAD) framework developed by the workshop on Political Theory and Policy Analysis has been used to assess human incentives and behaviour in the governance and management of the forest (Figure 2).

83

Characteristics of forest resources

Characteristics of community (Partially Irrigated and Irrigated)

Institutional factor

I N C E N T I V E S

A N D

B E H A V I O R

Local forest resource response

Figure 2. Management of forest resources

Source: Modified from IAD Framework

Socio-economic perspectives Most of the land in the irrigated area was under cultivation. Apart from subsistence needs, farmers grew cash crops like vegetables and mustard. Farmers sold surplus crops (wheat, lentils) in the local market. People in the irrigated area were more educated than in the partially irrigated area. Since livestock are integral components of the partially irrigated farming system, the number of head was very high in the area. From the socio-economic point of view, the people in the partially irrigated area were in a poorer condition in terms of agricultural production, food sufficiency, income, and access to basic amenities. Characteristics of the forest resource Both community forests in the study area were located in the same physiographic zone (Mahabharat Range) but the difference in the extent of altitudinal variation was greater in the partially irrigated area. Forest species composition in both areas was similar. Pole-sized trees dominated the structure of the forest in the irrigated area, while the partially irrigated area was dominated by mature trees. It was observed that the extent of fallen trees was greatest in the partially irrigated area. Characteristics of the community forest user group (CFUG) Kankali FUG was the first, officially formed FUG in Chitwan District. The protection of the forest has been ongoing since the start of the Terai Community Forestry Development Project (TCFDP). In Kankali FUG, harvesting of forest species like sal and sandan Has been restricted while in the Kalika FUG, due to the poor socio-economic conditions of the users, dual pricing for the same forest product has been adopted. Comparison of forest management in the study area The main theme of forest management is to protect, manage, and utilize forest to maintain the supply of daily household requirements like fodder and fuelwood in a sustainable manner. The management activities carried out in the community forest vary according to the operational plan. They basically focus on silvicultural operations and enriched plantations. Hitherto, the FUG carried out activities like

84

preparation of fire lines, strict protection, and a few silvicultural operations. People are positive about the management activities. Participation in forest management Participation was measured both at the constitutional and operational level of the FUG. In comparison with the partially irrigated area, users in the irrigated area had less participation in decision-making and FUG management, however, but high participation in benefit sharing (Table 6).
Table 6. FUG participation at the study area
Statement Participation in decision-making Participation in FUG meetings Participation in management activities Participation in utilization (benefit sharing) Aggregate index Partially irrigated 0.7152 0.7333 0.7273 0.7515 0.7318
*

Irrigated 0.6273 * 0.7326 0.7056 0.7843 0.7124

Source: Household Survey (2002) * Significant difference at 95 percent confidence level

Level of understanding on the rules of the constitution The majority of the respondent in both areas was familiar with the rules of the constitution. People in the irrigated area were more familiar with the rules than those in the partially irrigated area as they were more educated. Leadership capacity Local leadership is a major factor in the effective functioning of the FUG. Executive members (leaders) of the FUG were not capable of managing the forest. Users were dissatisfied with their performance. Equitable distribution of forest products After the formation of the community forest, the FUG ensured equitable distribution of forest products among the registered users. Satisfaction with the overall management of forest Users were satisfied with the management of the forest around their community (Table 7).

85

Table 7. Satisfaction in the overall management of the forest

Satisfaction in the overall management of forest Highly satisfied Moderately satisfied Neutral Dissatisfied Highly dissatisfied Total Index of overall satisfaction Score 2 1 0 -1 -2 Partially irrigated 1 (3.0) 23 69.7) 2 (6.0) 4 (12.1) 3 (9.0) 33 (100) 0.4545 * Irrigated 31(36.9) 44(52.4) 1 (1.18) 4 (4.76) 4 (4.76) 84 (100) 1.119*

Source: Household Survey (2002). * Significantly different at 95 percent confidence interval with the T test. Figures in parentheses indicate percentages.

Organizational structure of WUGs and FUGs Organizational structure is an important factor affecting both participation of members and performance of the organization itself. The structure of the organization is dynamic. Organizations change in size, adopt new technologies, face changing environments and cultures, adopt new strategies or refine old ones, and adjust to other organization in their field. Initiative of the establishment The background of FUG and WUG establishment, especially with regard to the transition from informal to formal roles is provided in Table 8.
Table 8. Initiation of organization in the study area
Type of Resources Year Forest 1991 Initiation Community of Ward nos. 3, 8, 9 Community of Ward nos. 8, 9 Before Initial organization Forest protection committee Canal construction committee Mode of formality Informal Initiation Member and DFO, Community Appropriators, ERIP Now Organization FUG Mode of formality Formal

Water

1967

Informal

WUG

Formal

Membership criteria The criteria for membership in forest and irrigation systems were different (Table 9). In the irrigation system, initially the membership was based on the contribution of the users to the construction of irrigation systems. Allocation and distribution of irrigation water differed according to the scale of contribution (depending upon the size of the land) and location of the land in the hydrological boundaries delineated by the irrigation systems.

86

Table 9. Membership criteria in both resource systems

Type of resources Water Forest Source: Institutional Survey (2002) Membership Hydrological Geographical Criteria Landownership Landownership Rules Boundary rules Membership rules

Change in the structure of the organizations There have been many changes in the membership and structure of the WUG since its establishment. During the initial formation of the irrigation system, there were fewer users so membership was lower. Moreover the association was informal. A rise in membership necessitated legislation on wateruse rights. The initial establishment of the forest protection committee generated collective action from the users to protect the forest against ongoing degradation and the association moved into a formal role as a FUG after the rapid improvement of the forest condition. Rules and regulations The rules and regulation of the both organization are documented and specified in their constitutions. The organizations have very important roles in enforcing the rules and regulations. WUG operational rules govern: boundaries (membership), water allocation (rotational basis), and penalties (graduated sanctions, fines). FUG rules govern: harvesting (harvesting of forest products), protection (basis for protection, who, when, how), finance (membership fees etc.), penalties (sanctions, fines), and dos and donts. Decision-making The decision-making process in both systems is highly democratic and decentralized. Both the systems have general assemblies and general meetings. The general assembly (GA) elects new executive committee members, decides on current issues, resolves conflicts, formulates new rules and regulations, and audits financial transactions. Decisions made during the meeting are also ratified at the GA. Both user groups impose fines for not attending the meeting. Resource mobilization In the KIS, mobilization of resources changes as the irrigation system is physically modified. Contributions depend upon the land-holding size. Over time, farmers have also developed rules for cash contributions as part of the resource mobilization process. A service fee was collected by the WUG on the basis of the land-holding size. A service fee analogous with water tax is contributed by each of the WUG members. In the FUG, the community forest has been established with the view that community should be responsible for every forest activity. Secondly, degraded areas have been enriched by plantations. Community development and forest management activities have also mobilized funds.

87

Users attitudes towards user groups In the Kankali WUGs and FUGs, 44 percent of the respondents feel that the user groups are essential for NRM, while 40 percent of the respondents is optimistic about the future. However, most of the users perceived group problems of differing intensity (Table 10).
Table 10. Major problems faced by the user group
Problem faced Leadership Party politics Participation Management Functions Coordination Finance Total Source: Household Survey (2002) Percentage of respondents 44 23 18 9 3 2 2 100.0

Perception of the users towards distribution of the resources Users perceptions about current rules Rules can be formal i.e. in written form or informal (unwritten) with a mutual level of trust and understanding among users. The users themselves have devised most of the rules in the study area. In the FUG, the constitution has been drafted and registered in the DFO. Almost all of the users were familiar with the rules that governed the resources of both user groups (Table 11). Generally, they learned about the rules at meetings, which indicates a good degree of participation.
Table 11. Perceptions about the rules
Perceptions about rules Easy, can be understood Need to be learned Too difficult, hard to understand Total Total no. of respondents Source: Household Survey (2002) WUG 63.4 35.4 1.2 100 86 FUG 58.1 39.5 2.4 100 82

Comparing FUG and WUG rules In the study area, most of the users of the irrigation system are also members of the FUG. Some users are bound by two sets of rules, each for their respective users groups vis--vis forest and water management (Table 12).According to the classification of resources and goods by Tang (1992), both the forest and the irrigation systems are pooled resources.

88

Table 12. Comparison of the rules in use across user groups in the study area
WUG FUG

Service area is defined by the hydrological boundaries Service area is defined by the geographical whereby the users within the boundaries are liable boundaries whereby the users within the boundaries for membership in the WUG are liable for membership in the FUG Rules in use are contained in the constitution and registered in the District Administration Office The community of irrigators themselves adopt and enforce their own rules. So the WUG is liable for enforcing the operational level rules and the governance of the resources Members of the executive committee shall be liable for the enforcement of the rules. Enforcement mechanisms devised include monitoring by the members of the user group Members can hire officials for the monitoring of systems like Panipale The users shall evaluate the performance of the users groups. Users decide the tenure of the officials. The rules allow users to evaluate performance and condemn unsatisfactory work Major decisions should be approved at the GA. Users have the right to criticize the performance of the FUG. Here the collective action of the users counts towards evaluating the effectiveness of the user group Penalty rules Graduated sanctions. Sanctions are imposed depending upon the intensity of non-compliancy Fines Temporary or permanent loss of water access Rules in use are contained in the constitution and registered in the District Forest Office The FUG is responsible for the management of the resources and enforcement of the operational level rules as well as governance of the resources Members of the executive committee shall be liable for the enforcement of the rules. The enforcement mechanism devised includes monitoring by the members of the users Members can hire officials for the monitoring of the systems like forest guards (Ban Haralu) The users shall evaluate the performance of the users groups. Users decide the tenure of the officials. The rules allow users to evaluate performance and condemn unsatisfactory work Major decisions should be approved at the GA. Users have the right to criticize the performance of the FUG. Here the collective action of the users counts towards evaluating the effectiveness of the user group

Penalty rules Graduated sanctions. Sanctions are imposed depending upon the intensity of non-compliancy Fines Temporary or permanent loss of forest access Incarceration (with the help of the DFO) Harvesting rules Harvesting of the product is done according to the OP Harvesting of products other than prescribed in the OP is not allowed

Allocation rules No allocation or distribution rules during periods of water adequacy During periods of water deficit, fixed time slots are assigned to each of the users (depending upon the land-holding size) and distribution follows a rotation basis (in each of the delivery facilities: Main Canal to Branch Canal) No transfer of appropriation shares Source: Institutional Survey (2002)

Most of the collective choice rules are similar. Both user groups have mechanisms for the distribution and allocation of the resources, membership criteria, and resource mobilization. Graduated sanctions are clearly defined for non-compliance.

89

Institutional analysis Legal framework of the forest The government has demonstrated its commitment to the policy of promoting peoples participation by effecting timely changes in forest legislation. The Forest Act of 1961 was enacted to establish state control over all forests following the private Forest Nationalization Act of 1957. The Panchayat Forest Regulation of 1978 was implemented in accordance with the National Forest Plan of 1976. These regulations enabled community management of forest by handing over the forest to local village bodies via the village Panchayat. The forest has been divided into three types of management regime: buffer zone management, government management, and leasehold forest. The buffer zone was delineated in two areas along the boundaries of the Royal National Chitwan Park (RCNP) and Royal Bardia National Park (RBNP). In 1999, the Department of Forest and Soil Conservation approved Buffer Zone Management Guidelines. In sum, the guidelines are designed to promote coordination between park authorities and local villages to protect the parks through responsible management of buffer zone forest resources and to ensure sustainable forest resources for local consumption. Buffer zone FUGs In Chitwan and Makawanpur, district buffer zone management was established in 1997; the Chitwan and Makwanpur forest departments stopped administering the forest land under the buffer zone to remove confusion and inconsistency with the Royal National Chitwan Parks (RNCP) activities. In East Chitwan, there are altogether 18 (under study) buffer zone forests under buffer zone management, under the administration of the RNCP. The Forest Act of 1993 empowers the DFO to hand over any part of a national forest to a user group as a community forest, entitling it to develop, conserve, use, and manage the forest, and to sell and distribute products by independently fixing their prices according to the work plan. According to the FUGs national level database, in the central developmental region, 144 700 ha of forest land had been handed over to the 2 047 FUGs by February 2001. Organization of the FUG In the study area all the national forest around the vicinity of the protected area has been designated as the buffer zone according to the Fourth Amendment of the National Park and Wildlife Conservation Act (1973) (hereafter defined as the Buffer Zone Act). In the study area, all the forest near the RNCP and north of the East-West Highway is designated as buffer zone forest. The voluntary organization formed under the Forest Act and Forest Regulation was called the CFUG. The entire FUG formed under this zone is now called the Buffer Zone Community Forest User Group (BZCFUG) (Table 13).

90

Table 13. Categorization of the FUGS in the study area

FUG categories Registered and handed overnot CFUG BZCFUG Total 8 7 15 Registered but handed over 2 9 11 Not registered and not handed over 1 1 2 Total 11 17 28

Source: Institutional Survey (2002)

Change in status from CFUG to BZCFUG After the promulgation of the Buffer Zone Act, most forest administration under the buffer zone was transferred to the RCNP automatically. So most of the FUGs under the buffer zone were administered by the DFO. After transition, the category changed. This was natural as the new FUG under buffer zone management had different sets of criteria for formation of the FUG (Table 14).
Table 14. Change in status from community to buffer zone management regime
FUG categories Registered and handed overnot Before BZCFUG (CFUG) Now BZCFUG Source: Institutional Survey (2002) 6 7 Registered but handed over 5 9 Neither registered nor handed over 6 1 Total 17 17

Financial sources and management of the FUG fund Membership fees and fees from harvested products were major sources of income. Under the Buffer Zone Act, 30-50 percent of the tax collected from the RCNP is spent in the FUG for community development. Users had to pay minimum fees for products extracted from the forest. The RCNP was very strict about commercialization of timber, while the CFUG was more commercially-oriented. Income was utilized for administrative costs, community development, and forest management activities. The executive committee of the FUG allocated income distribution. Management of the forest Plantation Most of the CFUGs carried out plantation in degraded areas of the forest. While in the BZCFUG, plantation activities were carried out mainly along the banks of the Rapti River for protection against floods. A good example of broad-scale plantation activities is Kumroj Buffer Zone Community Forest which received technical and financial help from different external agencies.

91

Management activities Common practices are preparation of fire lines, forest fencing and silviculture. The most prevalent silvicultural operation is improving the vigour, stocking, composition, productivity, and quality of forest stands. Harvesting of the forest products FUG users are allowed to harvest grasses and forest litter. The harvesting of these products is not restricted. BZCFUG members are noted for not complying with the harvesting rules. Collection of fuelwood has been observed in some FUGs which is not consistent with the operational plan. Monitoring and enforcement Forest guards have been recruited for monitoring of the forest and enforcing FUG rules. In this respect, CFUGS have fewer forest guards than the BZCFUG. If there are no forest guards, users conduct this activity on a rotational basis. An audit committee has also been established to monitor expenditure of FUG funds. Both the DFO and the RCNP also monitor FUG activity through the Area Forest Office. In the BZCFUG, national forest guards occasionally patrol to monitor rhinoceros movements. Conclusion Farmer-managed irrigation systems and community forests have been established. Development of the community forest in the area has been the result of collective action by the users vis vis degradation of the forest. Water availability has improved due to better management of the forest. Greater water availability has raised the socio-economic status of farmers in the area. Over time there have been changes in the state of forest and water resources and the organization of user groups has been restructured. Organizational changes have mainly been characterized by the transition from informal to formal management. Formal water users groups effectively allocated and distributed water to users during times of water scarcity. Similarly, forest users groups have been instrumental in the better management of regenerated forests. Hence the user groups have been successfully governing the natural resources.

92

Literature cited Bhalla, et al. 2000. Degraded Lands in Mid-hills of Central Nepal: A GIS Appraisal in Quantifying and Planning for Sustainable Rehabilitation. Local Initiatives for Biodiversity, Research and Development (LI-BIRD). Pradhan, P. 2000. Farmer-managed irrigation systems in Nepal at the crossroads. Paper presented at Constituting the Commons: Crafting Sustainable Commons in the New Millenium, the Eighth Conference of the International Association for the Study of Common Property, Bloomington, Indiana, USA. Shah, S.G. 2001. Irrigation Development in Nepal. ADB, Kathmandu, unpublished. Tang, S.Y. 1992. Institutions and Collective Action: Self-Governance in Irrigation. San Francisco, CA: ICS. Veneracion, C.C. 1989. Nature and uses of process documentation research. In C.C. Veneracion (ed). A Decade of Process Documentation Research: Reflection and Synthesis. Institute of Philippine Culture and Ateneo De Manila University, Quezon City, Manila.

93

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

DIFFERENTIA TING ACTIVE AND PASSIVE USER GROUPS FOR WATERSHED MANAGEMENT IN THE WESTERN HILLS OF NEPAL Basan Shrestha1

Introduction Mountain watersheds, constituting 25 percent of the total global land area and housing 10 percent of the total global population, are important for a secure and prosperous society (Messerli, 1997 cited in Paudel, 2001). Susceptibility to soil erosion, landslides, rapid loss of habitat and genetic diversity have been the key environmental problems of these watersheds (UNCED, 1992 cited in Paudel, 2001). Public interventions have disregarded the sustainability imperatives of mountain conditions (Jodha, 1992 cited in Erskine, 1997). Mountain watersheds in Nepal are degrading due to natural and anthropogenic causes. Land on steep slopes is now being cultivated to maintain food supply. Moreover, available off-farm employment activities do not play a complementary role in agriculture (Shrestha, 1992 cited in Erskine, 1997). Watersheds can be effectively managed by adopting natural resource management (NRM) that contributes directly to the profitability and sustainability of both agricultural and non-agricultural enterprises (Uphoff, 1986). Local management by users does not necessarily lead to degradation, provided there are effective community-based organizations (CBOs). So CBOs are necessary to pursue conservation and development activities effectively and to increase the welfare of the poor (Heck, 1979, Esman and Uphoff, 1984 cited in Paudel, 2001). Furthermore, watershed development and management efforts are more likely to succeed if they are combined with other activities. This requires considerable local-level coordination and a high degree of local institutional development (Uphoff, 1986). So public interventions should promote local level institutions and steer people-centred development processes to facilitate peoples participation in a more meaningful way. There has been a growing debate on common pool resource (CPR) management ever since Hardins theory of The Tragedy of the Commons (Hardin, 1968), highlighted the problems of free riding and overexploitation generated by lack of property rights to natural resources and controlled access. Experiences in developing countries have shown that local institutional arrangements including customs and social conventions designed to induce cooperative solutions can overcome the collective action problem and help achieve efficiency in the use of such resources (Gibbs and Bromley, 1989, Ostrom, 1990, Bromley, 1992 cited in Adhikari, 2001). The recognition of this fact has led to the implementation of resource conservation and development projects by a number of donor agencies and non-governmental organizations via the formation of user groups (Buffum et al., 2000; CDFWCP, 1999a). These efforts are guided by the fact that sustainable resource management can never be independent of the sustainability of collective human institutions

MSc. Thesis (Ref. No. RD-02-11), Asian Institute of Technology, Bangkok, Thailand. August 2002. Examination Committee - Dr. Gopal B. Thapa (Chair), Dr. Soparth Pongquan, Dr. Ganesh P. Shivakoti

95

that frame resource governance, and that local users are often those with the greatest stakes in the sustainability of resources and institutions. Local organization is the engine to activate and empower people and enhance their capability and enthusiasm in resource management. Failure to achieve project sustainability and failure to organize farmers illustrate a pervasive lack of understanding as to how effective institutions are crafted over time (Ostrom, 1992). For the present study, the stratification of relatively active and passive groups was based on one broad criterion (i.e. regular operation and maintenance) and two complementing criteria (i.e. meetings and group funds). This is illustrated in Figure 1.

Active
Regular operation and maintenance? Yes / No

Passive

Group fund? Yes / No

Meeting after the completion of project? Yes / No

Most obvious factor Contributing factor

Figure 1. General stratification of user groups

The regularity of operation and maintenance was selected as the main criterion because without a high level of group dynamics the regular operation and maintenance of the project-supported activities would not have been possible. The discussion with the VDC representatives decided that those groups which had carried out regular operation and maintenance were active and those which had not carried out regular operation and maintenance were classified as passive. In some active groups, regular operation and maintenance was carried out even without holding formal regular meetings. Those groups which had organized meetings, even if irregularly, were considered as active and those not having any sort of meeting were categorized as passive.

96

In some cases, regular operation was carried out without mobilizing the group fund, because till then regular operation and maintenance did not require any monetary investment. If it was perceived that group funds were essential for operation and maintenance, the groups with group funds were considered as active and those not holding group funds were passive. It was likely that some active groups did not have group funds but regularized their operation and maintenance. So, this criterion was not given much priority. So, it was decided that regular meetings and group funds were to some extent necessary conditions but not sufficient to carry out regular operation and maintenance or for making the group active or passive. The following types of user groups were examined for the present study, i.e. forest user groups (FUGs), gully control user groups (GCUGs), drinking water user group (DWUGs), and trail improvement user groups (TIUGs). The study area Kaski District was selected because a number of watershed management projects had been implemented in this district by several donor agencies. The Begnas Tal Rupa Tal Project (BTRT) had been implemented for 12 years from 1985 to 1997 with support from CARE Nepal. The development study carried out by JICA in close collaboration with local governance bodies, had identified three model areas viz. Kaski North, Kaski East, and Kaski West in the district Kaski District is situated in Gandaki zone, Western Development Region (WDR) of Nepal. It is politically divided into three constituencies, 13 areas (Illakas), 43 Village Development Committees (VDCs), one sub-metropolitan city (Pokhara), and one municipality (Lekhnath). JICA had implemented a watershed management project in six VDCs of Kaski District (Figure 2).

97

Figure 2. Map of the project implementation area in Kaski District

Climate The climate of the district is humid sub-tropical in the south and humid temperate in the north marked by sharp seasonal variation in rainfall and temperature. The temperature decreases gradually as the altitude increases from the valley bottom to the hill slopes. The temperature and rainfall patterns are seasonal (Figure 3). The temperature ranges between 13C and 25.4C.
1000 800 600 400 200 0 May June Sept Mar Apr July Feb Oct Jan Dec Aug Nov 35 30 25 20 15 10 5 0

Month
Precipitation (mm) Minimum temperature Mean temperature (0C) Maximum temperature

Figure 3. Temperature and precipitation of Kaski District

Source: DDC (2001)

98

Mean temperature (0C)

Precipitation (mm)

Land-use pattern Kaski District extends over an area of 201 700 ha (2 017 km2) (Figure 4). Forest was the major type of land use, followed by agriculture. Agriculture
Others 20% Cultivated land 24%

Settlement 11% Forest 45%

In Kaski District, cultivated land was dominated by lowland (Khet, 58.8 percent) and the rest Figure 4. Land-use pattern of Kaski District was upland (Bari) (Figure 5). Rice was the dominant crop. Three cropping patterns of rice100 rice, followed by wheat or potato or maize were 40.8 42.1 80 39.1 50.5 common to all study sites. In Deurali, two rice 60 crops, spring rice followed by normal rice were 40 also practised. In Kristi, mustard was cultivated 60.9 59.2 57.9 49.5 20 after rice. Maize was the most commonly grown upland crop. In Deurali, some farmers cultivated 0 Arba Deurali Kristi Total upland rice, whereas in Kristi some farmers Study site cultivated wheat after millet. In Arba, paddy was Bari land widely grown in the lowlands and farmers sold Khet land it to generate cash income. This sometimes created shortage of rice among the farmers Figure 5. Agricultural land themselves. Forest In Kaski District, with the handing over of forests to user groups, a major change has occurred in forest resources. The users have carried out community development and resource conservation activities by mobilizing the resources generated from community forests. Similarly, the users have contributed to livestock development by growing fodder trees and forages within community forests. These activities have contributed to water source protection and agricultural productivity enhancement. In the study area, informal community forest, followed by transferred community forest under the external initiative prevailed (Figure 6).
69.9 100

Percent

Percent

80 44.7 46.7 40 8.6 20 0 0 Arba 26.7 60

57.3

30.2

7.3

35.5

56.6

3.5

5.3

Deurali

Kristi

Total

Study area
Community forestry (formal) Community forestry (informal) Private forestry Other forestry

Figure 6. Area of different forest types

99

2.3

5.5

In all the study sites, community forests were the main source of fuelwood, fodder, leaf litter, and timber, except in Ward nos. 3 and 8 of Kristi VDC, where timber cutting was not allowed. All the community forests had a good system of forest management, by hiring watchmen, and they had clearly specified boundary, input, harvesting, and penalty rules. Socio-economic condition Population distribution Relatively, Arba and Deurali VDCs had the highest and lowest average household size respectively. Deurali had the lowest population density. Males headed most of the households. Deurali and Arba had respectively, the highest and lowest proportion of households headed by women. Children of mainly school-going age (6 to 15 years) and working people between 25 and 44 years accounted for 50 percent of the total population, followed by people between 16 and 24. Senior citizens had the lowest population. Educational status Literacy level plays a vital role in resource management. The literacy rate of people above six years of age in Kaski District was 56.84 percent (DDC, 2000a). In the study area, more men had attended primary education, whereas many women were illiterate. Employment The type of employment and peoples involvement indicates the level of dependency on natural resources and the availability of human resources for resource conservation and development. According to DDC (2000b), more than 70 percent of the men and more than 85 percent of the women were dependent on agriculture as the major occupation. A considerable proportion of people pursued daily waged work as their major occupation. Infrastructure and institutional development Accessibility People had to travel a considerable distance to collect forest resources (1-2 hour walk) and fetch water (< 1 hour walk). In the study area, more households had a market for agricultural produce located within walking distance of two to four hours from their homesteads. Among the VDCs, Arba had the easiest access to an agricultural market, and Kristi had the easiest access to drinking water and forests for fuelwood collection. Background of the project2 Upon the request of His Majestys Government of Nepal (HMGN), the Japan International Cooperation Agency (JICA) implemented a Forestry Extension Project from 1991 to 1994. The overall goal of the
2

CDFWCP (1999a).

100

project was to improve the natural environment in the Nepalese hills through community resource development and conservation. Scope and formulation of sub-projects The activities supported by the project were deemed sub-projects, which were implemented by user groups. The sub-projects were classified as community level sub-projects and inter-community level sub-projects. For community (ward) level sub-projects, 40 percent of the budget was allocated to each forest/watershed conservation programme and community development programme. Eighty percent (16 percent of the total budget) of the budget for income generation programmes was allocated to womens groups and underprivileged groups, and the rest, 20 percent (4 percent of the total budget) of the budget for income generation was allocated to model farmers. Gender and equity consideration From the projects inception, social and gender issues were the main concerns of both HMGN and JICA. The project paid special attention to women, socially disadvantaged groups, and occupational castes: (1) paying special attention to the roles and responsibilities of women and men in the hill areas and the conditions of socially and economically disadvantaged groups; (2) providing positive support to the programmes for women and disadvantaged groups; (3) promoting their participation in all the processes; and (4) facilitating village women and men to solve their own problems for community development and resource management. Size of user groups Brahmins were the dominant caste, followed by Chhetris. The user groups had some members from disadvantaged caste/ethnic groups. In an institutional survey, not much variation was observed in the group size between active and passive user groups. Advantaged caste groups (Brahmins and Chhetris) dominated in both the active and passive user groups. Ethnic representation in the committee No difference was observed between active and passive user groups in terms of ethnic representation of members on the committee, as both active and passive groups belonged to the same category. The highest difference in the level of ethnic representation was observed between active and passive forest user groups (FUGs). In one passive FUG (Chipleti, Deurali VDC-6) the settlement was dominated by Gurungs, a Tibeto-Burman indigenous group. Womens representation in the committee The operational guideline of the project clearly directed that while forming the user group committee 50 percent of the members should be women. From the institutional survey on the level of women members representation and their contribution to the groups, it was found that all the user groups, irrespective of their status had high levels of female representation and there was no difference between active and passive groups, as in both cases more than 30 percent of the members of their committees were women. It was noted during the field survey that women members of the committee

101

were equally concerned with management. The literature notes that women have considerable knowledge on forest resources and their management. Formalization of user groups Once formalized, the group can approach external organizations for support institutions recognized by external organizations have a better chance of getting financial and technical support. Besides, external organizations are also in need of good community institutions to implement their programmes effectively and efficiently. No difference was observed between active and passive groups with respect to the level of formalization as most were not registered. Rules and regulations Both active and passive groups had ineffective rules and weak enforcement of them and many had no regulations at all. Two passive FUGs (Okhaldhunga, Arba VDC-2 and Chipleti, Deurali VDC-6) had rules but did not apply them properly. Objectives of user groups Overall, members of active groups had better perception of the objectives of their groups than the members of the passive groups. Motivational factors In collective action, the degree of peoples participation is guided by whether members expectations are fulfilled or not. More than two-thirds of the members had benefited communally by undertaking user group activities, irrespective of the status of their groups. Roles and responsibilities Members of active groups were more aware of their roles and responsibilities than the members of passive groups. In passive groups, few members were aware of their roles and responsibilities. In active FUGs, members had a fairly good perception of their roles and responsibilities (i.e. better than passive groups). Sense of collective action A good level of understanding of contributing to collective action leads to a good level of participation in every aspect of collective action. From the institutional perspective, active groups were better than passive groups in terms of members sensing the need for collective action. Leadership From the institutional perspective, active groups had better leadership than passive groups, as they were led by one person only. The best leadership was observed in active FUGs and the highest difference in the level of leadership was between active and passive FUGs. 102

Functionality of user groups In this study, the functionality of user groups was evaluated by how the group: (1) organized meetings; (2) planned activities and made decisions; (3) implemented its activities; (4) operated and maintained its activities; (5) shared benefits among the members; and (6) resolved conflicts. Other criteria were the degree of users participation in activities and womens participation in meetings, planning, and decision-making processes (Figure 7).

Meeting

Womens paticipation Minutes

Status of User Group Active vs. Passive

Functional System

Planning and Decision Making

Planning Participation Satisfaction

Decision-making Womens participation Participation of disadvantaged people

Implementation Operation and Maintenance

Benefit sharing Conflict Resolution

Figure 7. Functions among user groups

Meetings The level of members participation steers the convening of meetings. Based on the fact that a group meeting is the basic requirement for any user groups effectiveness, it was assumed that active groups had better organized meetings than the passive groups. In a discussion with the committee members of the group, it was revealed that all active groups had better capabilities for organizing meetings than passive groups. Usually, active groups held meetings as or when convenient and passive groups did not have such a forum to discuss group activities.

103

Womens participation in meetings The highest and lowest levels of participation were observed among the members of active DWUGs and passive GCUGs. A marked difference in the level of womens participation was observed among TIUGs. One reason was associated with the traditional perceptions of womens roles and obligations and customary family practices, which did not permit women to participate in the public domain. Similarly, lack of time, ability, and gender issues were important among members of passive groups. Minutes The system for taking minutes was not well developed. Some groups had maintained a register to note the name of attendants and the major decisions made by the group. Other groups had recorded only the name of the attendants. Planning and decision-making Planning of any activity sets the stage for all future activities. The stability of the group depends on how the activities are planned, decisions are made, and who is involved in planning and decisionmaking. Planning It was noted that active groups had a relatively better planning system than passive groups, as the majority of active groups planned any activity or even regular operation and maintenance in a joint forum attended by almost all committee members and more than half of the general members. Members of both active and passive groups were moderately satisfied with the planning procedure of their groups. Decision-making Active groups had a better decision making system, as a high proportion of active groups reported that they had adopted the process of deciding by consensus in general meetings attended by almost all committee members and more than half the general members, whereas a high proportion of passive groups reported that a few powerful members of the group undertook major group decisions. Members of both active and passive groups had moderate participation in decision-making. Some groups were dominated by a single caste and there were many users belonging to disadvantaged groups. Womens participation in planning and decision-making In a group discussion with committee members of both groups, it was revealed that women members of active groups had more participation than those of passive groups. All active groups had better participation of women except DWUGs. Participation of disadvantaged people in planning and decision-making Active groups had better participation of occupational castes in planning and decision-making, as none of the passive groups had participation of more than fifty percent of the members belonging to occupational caste groups. 104

Implementation The ultimate aim of forming user groups was to implement activities for resource conservation and development. The implementation strategy adopted by the project was resource management, labour and equipment management, supervision and coordination. Users contributed unskilled labour. The FUGs were formed to implement afforestation activities in community land. One TIUG had carried out landslide control and plantation activities as well. Participation in implementation The members of active groups had better participation in the implementation of project-supported activities than the members of passive groups. The users of active GCUGs had the highest level of participation during the project-supported activities. Lack of time, followed by minimal voluntary contribution by members, and age factors were the main reasons inhibiting participation among members of active groups . It was noted that members of active groups were far more satisfied with the implementation of group activities than those of passive groups. Operation and maintenance The active groups regularly operated and maintained the sub-projects. In an institutional survey with the committee members of the groups, it was revealed that active groups were more competent in terms of regular operation and maintenance of the resources supported by the project, whereas most passive groups reported that they had not undertaken any operation and maintenance. Among all groups, the highest level of operation and maintenance was carried out by active GCUGs. Participation in operation and maintenance The members of active groups had better participation than the members of passive groups, as a higher proportion of users belonging to active groups had often participated and the overwhelming majority of members of passive groups had never participated. The users of active GCUGs had the best level of participation. Benefit sharing The sustainability of the group depends on how benefits are shared among the users. If equity is not maintained, the members are discouraged by collective action. The stability of a group depends on how benefits are shared among the members. Participation in benefit sharing In a household survey with the users, it was observed that members of active groups had better participation in benefit sharing than the members of passive groups. The members of active GCUGs had the highest level of benefit sharing and the highest difference was observed between the members of active and passive GCUGs.

105

Conflict resolution Active groups were better at resolving conflicts arising among the members. Among all groups, active FUGs were best in terms of resolving conflicts. The active groups reported that lack of rules and regulations affected the capability of the groups to resolve conflicts. Overall participation in user group activities Participation in benefit sharing was not considered for the said analysis because only the members of active FUGs and GCUGs had perceived benefits and participated in benefit sharing. The highest difference in overall participation was observed between the members of active and passive GCUGs, as active groups had achieved the highest level of participation in meetings, planning, implementation, and operation and maintenance. Overall satisfaction with user group activities As in the case of overall participation, the satisfaction with benefit sharing was not taken into account for calculating the overall satisfaction. The highest difference in overall satisfaction was observed between the members of active and passive GCUGs, as active groups had reported meetings, planning exercises, implementation activities, and operation and maintenance. The lowest difference in overall participation was observed between active and passive TIUGs. Overall functional system Active groups functioned better than passive groups. Operation and maintenance was the most important factor distinguishing the functioning of active and passive groups. The highest difference in relative performance was observed between active and passive GCUGs.
Meeting 1 0.75 Conflict resolution 0.5 0.25 0

Active group Passive group Planning

Operation and maintenance

Decision making

Implementation

Figure 8. Functional system

106

For analysing overall functionality from the users perspective, four issues viz. overall participation, womens participation in meetings, overall satisfaction, and conflict resolution were considered. From the analysis, it was revealed that active user groups had a better functional system than passive user groups (Figure 8) and the difference was statistically significant.

Overall participation 1 0.75 0.5 0.25 Conflict resolution 0 Womens participation in meeting Active group Passive group

Overall satisfaction
Figure 9. Functional system

These findings suggest that a good functional system ensures continued existence and sustainability of user groups of the same type; the greatest difference was noted between active and passive GCUGs (Figure 9). The smallest difference was noted between active and passive FUGs. Even passive groups had better womens participation at meetings. Internal resources and support systems Group fund Active groups had group funds generated by various activities, whereas passive groups except for one FUG, did not have funds. Active GCUGs had the best fund-generating skills. It was conceded that many active groups generated irregular group funds. Members of active groups were more aware of the importance of group funds Accounting system and transparency Accounting of financial transactions is vital for a groups future. Unsurprisingly it was revealed that active groups had better accounting systems than passive groups, which had no accounting systems. Active GCUGs had the best accounting skills.

107

Human resource mobilization Active groups were better at mobilizing human resources (100 percent participation). Less than 50 percent of passive groups contributed to group activities. Active FUGs and GCUGs had the highest level of mobilization, whereas passive FUGs and DWUGs had the lowest. Active groups were efficient at mobilizing labour for implementation, repair, and maintenance of the facilities, while passive groups could only mobilize labour during the implementation phase, resulting in poor repair, operation, and maintenance. Cooperation among group members The level of cooperation was not an issue as both groups had a high degree of collaboration. Some members of active FUGs considered that differences in caste had inhibited cooperation. Self-reliance Both active and passive groups had moderate levels of self-reliance. As noted above, passive groups were unable to organize themselves for operation and maintenance activities. Active DWUGs and TIUGs were the most self-reliant. Users were confident that they could generate resources if an external agent provided assistance to initiate collective development and conservation activities. Benefits Some active groups (Thapa Ko Chautaro FUG, Arba-5 and Ramadi FUG, Deurali-7) gleaned forest resources like tree trunks, fodder, and thatch grass from the regular pruning and cleaning of community plantations. Other active groups (Saurbote, Kristi VDC-7) possessed cultivated lands that were damaged by landslides. The users regularly harvested forest resources from plantations. Fifty percent of active groups received economic and non-economic benefits from group activities. Fodder and fuelwood symbolized economic benefits. Protection of cultivated land from landslides was the major non-economic benefit. Passive groups perceived that they obtained non-economic benefits only. Perception on contribution of collective action Most of the active groups reported that they benefited moderately from increased crop productivity; 70 percent of passive groups said that collective action had little to contribute. Active GCUGs acquired biomass from plantations in the gully-controlled areas, unlike passive groups. External linkage and support Linkage Organizational activity and sustainability are affected by links to external organizations, be they horizontal or vertical. The linkage provides an opportunity to share ideas, experiences, and even material comforts. Some external agents are statutory and others are ad hoc in nature depending upon the time horizon of their service delivery. The stability of a group depends on how such linkages are established and with whom. 108

Linkage with the Village Development Committee The VDC forms the lower tier in the two-tier system of local governance. Each VDC is divided into nine wards. The members of Jar Kanya active FUG, Arba VDC-1 belonged to another community forestry user group, which was registered with administrative support from the VDC office, as was the Okhaldhunga passive FUG, Arba VDC-2. The members of this group comprised approximately half the members of the newly registered community forest, Lakhupatal Bhadra Bisaune Community Forest User Group. Saurbote, an active FUG, Kristi VDC-7, had established a good linkage with the VDC in the course of registration of the group. During the project period the project brought local government representatives and local people together to identify needs and prioritize activities. Linkage with development organizations There were a number of external organizations working in the study sites notably the Participatory District Development Programme (PDDP) jointly implemented by the United Nations Development Programme (UNDP) and the National Planning Commission (NPC), Rural Reconstruction Nepal (RRN), the Self-developing Economic System Programme of South Asia Partnership Nepal (SAP Nepal), the Garib Sita Bisheshwor Programme, and the Women Development Programme of the Women Development Division under the Ministry of Women and Social Welfare. External financial support The groups can generate external funds from different sources like the VDC fund, I/NGOs, etc. No difference was observed between active and passive user groups in terms of external financial resource mobilization. The major reason for not having any external financial support was that all development organizations working in the study sites had a focus on income-generating activities. Khalte Pandhera, an active FUG located in Arba VDC, Ward no. 5 had generated external financial support from Pokhara Sub-metropolitan Office and Kaski DDC office for the construction of dry stonewalls after the termination of the project. Technical and administrative support Technical and administrative support is provided by line agencies, local government bodies, and development organizations. Both active and passive groups did not receive adequate technical and administrative support from external organizations. Capacity building and empowerment The activities were categorized into: training, study tours, and adult literacy classes (ALCs). Training and study tours were organized at different phases of the sub-projects implementation, depending upon the training needs. ALCs were special training events organized for womens empowerment. The project organized only one training event on group management. FUG active groups received more training than passive groups. Active GCUGs received more training than passive groups, as none of the passive GCUGs reported having attended any training activity. None of the DWUGs had attended training.

109

Overall external linkage and support system Both active and passive groups had poor external linkages and support systems and there was no difference between them. Linkage with development organizations was the most important factor differentiating active and passive groups. Active GCUGs were identified as the best groups in terms of overall external linkage and support systems. Conclusion The status of a user group (active vs. passive) largely depends on how far its members benefit personally and directly from collective action. Unless and until users are convinced of the apparent benefits, they are not going to participate actively in collective action. This issue is very relevant to rural subsistence economies, in which people are compelled to expand farmlands and destroy forest lands to secure food for consumption, fuelwood for domestic energy supply, fodder collection, and for livestock grazing. The situation is further aggravated by scarce off-farm employment opportunities causing seasonal and permanent migration. The types and levels of benefits from collective action depend on a multitude of factors and their inter-relationships. In the case of community plantation, the users accrue forest resources as the direct benefit, besides the communal benefit of land stabilization. Collective action is largely determined by the level of dependence of users on the available resource and accessibility to other sources of forest products to meet their household requirements. The level of dependency also depends on the biophysical suitability of the area in which community plantation is undertaken. Responsible users will consequently conduct regular operation and maintenance of the resources, which will enhance benefits. This situation was applicable to active user groups. For gully and landslide control, users are concerned with the protection of cultivated land from landslides, so they can benefit from reclamation of cultivated land. This will ultimately raise their level of food production and food security in a subsistence rural economy. Thus project intervention for controlling landslides and formation of gullies close to private lands has a significant impact on the users. With the facilitation of training and visits, users can continue their collective efforts when project support finishes

Literature cited Adhikari, B. 2001. Property Rights and Natural Resources: Impact of Common Property Institutions on Community-based Resource Management. Research Proposal on Impact of CPR Institutions on Communitybased Forest Management in Nepal). The University of York, UK. Buffum, B., Chhetri, R.B., Chaudhari, R.K., Shah, R.N. & Thapa, B. 2000. Post-Project Impact Evaluation: Begnas Tal Rupa Tal Watershed Management Project. CARE Nepal, Kathmandu, Nepal. CDFWCP. 1999a. Project Terminal Report. Community Development and Forest / Watershed Conservation Project, Japan International Co-operation Agency (JICA), Kathmandu, Nepal. DDC. 2000a. Kaski District-An Overview. Brochure. District Development Committee, Kaski, Nepal. DDC. 2000b. Summary Database of Kaski District. District Development Committee, Kaski, Nepal.

110

Erskine, J.M. 1997. Sustainability measures for natural resources. In G. Shivakoti, G Varughese, E. Ostrom, A. Shukla and G. Thapa (eds). People and Participation in Sustainable Development: Understanding the Dynamics of Natural Resource Systems . Proceedings of an International Conference held from 17-21 March 1996 at Institute of Agriculture and Animal Science (IAAS), Tribhuvan University (TU), Rampur, Chitwan, Nepal. Workshop in Political Theory and Policy Analysis, Indiana University, Indiana, USA and IAAS, TU, Nepal. Hardin, G. 1968. The tragedy of commons. Science, 162. Ostrom, E. 1992. The rudiments of a theory of the origins, survival and performance of commonproperty institutions. In: D. Bromley, (ed.). Making the Commons Work: Theory, Practice and Policy. Institute for Contemporary Studies, San Fransisco, USA. Paudel, G.S. 2001. Farmers Land Management Practices in the Hills of Nepal: A Comparative Study of Watershed With and Without External Interventions. AIT PhD Dissertation No. RD-01-2. Asian Institute of Technology, Bangkok, Thailand. Uphoff, N. 1986. Local Institutional Development for the Rural Development: An Analytical Sourcebook with Cases. Kumarian Press, USA.

111

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

PARTICIPATION OF DISADVANTAGED PEOPLE IN WATERSHED MANAGEMENT IN MAKAWANPUR DISTRICT, NEPAL Dandi Ram Bishwakarma 1

Introduction Nepal has sharp physiographic, climatic, and societal contrasts, despite its small area. Implementation of integrated watershed development and management (IWDM) programmes and projects is essential to address the watershed degradation problem, as there is close interaction between water and land resources and the socio-economic environment (Dixon and Easter, 1988). Emphasis on peoples participation remains central and largely common to all types of activities related to watershed management (Wagley and Bogati, 2000). Watershed management, being a process whereby natural resources are managed in conjunction with human use, focuses on people-centred development, as peoples livelihoods are a key concern to any development thrust (Dixon and Easter, 1988). Nowadays it is commonly understood that the active participation of all people regardless of their social and economic classes is indispensable for sustainable watershed development and management (Thapa, 2001). Basic knowledge about the system is important for watershed planners in order to promote sustainable and socially balanced watershed development and management. The potency of the caste system varies throughout Nepal, being strongest in rural areas where different castes typically live in individual villages or separate communities (INSEC, 1993; Team Consult, 1999). The societal relationship, largely influenced by gender, class, and caste determines the scope of development (Dale, 2000). Several agencies, organizations, and scholars (CERD, 1999; INSEC, 1993; MLD, 2001; HRW, 2001; Sob, 2001) have claimed that various social and economic classes like Dalits and Tribes have not benefited from most development activities. In the promotion of peoples participation, ignoring the problems associated with project implementation and institutional arrangement is a common weakness among many watershed management efforts (Thapa, 2001). Although participatory plans are prepared, undemocratic representation in bureaucracy, inter-bureaucracy conflict, and lack of project cadres with representatives from disadvantaged groups lessen the effectiveness of the implementation (Team Consult, 1999; Hocking 2000). The existing faulty or ineffective efforts in the peoples participation approach in watershed management projects have increased concerns about understanding real active and equitable participation (Lal, 2000; Wagley and Bogati, 2000). Little attention has been paid to studying socially disadvantaged peoples participation in watershed conservation and development programmes. This is the overall objective of this study.

MSc. Thesis (Ref. No. RD-02-20), Asian Institute of Technology, Bangkok, Thailand. August 2002. Examination Committee - Dr. Gopal B. Thapa (Chair), Dr. Michael A. Zoebisch, Dr. Reidar Dale

113

Selection of the study area Palung sub-watershed located in the northern Makawaknpur District under the working area of the BIWMP was selected (Figure 1). There are 37 districts under the joint management of the government of Nepal and donor agencies. Many watershed projects/programmes in Nepal have adopted the participatory approach. This project has adopted a unique participatory approach, which may become an important lesson for other watershed projects (BIWMP, 2001a).

Palung sub-watershed (study area) Figure 1. Location map of the study area

Makawanpur District

Biophysical condition The study area covers a total of approximately 29 km2 and the watershed extends within 85130" E to 85533"E longitude and 273642" N to 273928"N latitude. Ward Nos. 2-9 of Palung Village Development Committee (VDC) and Ward Nos. 1-5 of Daman VDC are located in Palung subwatershed. The sub-watershed is predominantly mountainous with elevations ranging from 1 660 to 2 551 m. Lands in the small narrow river valleys and in the foothills have bench terraces and are gently sloping, with gradients of less than 15. Hill slope gradients range from 15 to 60. The mean annual temperature ranges from 10o C to 15o C, with the highest mean monthly temperature of 22o C in April and May. The temperature varies according to slope, the south-facing slopes being much warmer than the north-facing slopes. Maximum rainfall of 2 317 mm and minimum rainfall of 1 078.5 mm have been recorded during the past 30 years. The sub-watershed has a dendritic drainage system. The main river has three main tributaries, namely, the Gharti Khola, Khaiti Khola, and Phedigaon Khola. The natural vegetation of the sub-watershed, covering 1 505 hectares (52.44 percent) of the area is dominated by blue pine (Pinus wallichiana), and kharsu (Quesrcus). Other forest species are gurans (Rhodendron arboretrum), nigalo (Arundonariya sp.), and painyu (Prunus cerasoides).

114

The soil type depends on slope aspect and gradient. Generally, lithic sub-groups of soil with loamy skeletal textures were found on steep to very steep mountainous terrain. Typic Rhodic soils, and Dystrochrepts with loamy skeletal textures were found in larger areas of moderately to steeply sloping mountainous terrain. Ethnicity Brahmin/Chhetri castes dominated, followed by Tamangs. Newars and Dalits each constituted less than one-tenth of the population of Palung sub-watershed. Chhetris and Newars (Gopalis) were the main caste/ethnic groups living in the markets. More than three-fourths of the Dalits lived in heterogeneous villages, mostly located in river valleys and foothills. Their concentration was higher in villages with Newars and Brahmins/Chhetris. Socio-economic structure Family size Family organization was patriarchal. The structure and size of a household varied according to caste or ethnic affiliation. The average family size of Palung sub-watershed was higher than the national average, being 5.4 persons/family. By caste and ethnicity, Tamangs had the largest household size of seven, whereas Dalits had about six members. Age structure The greater the number of young children in a family, the lower the involvement of women in community work (Dahal et al., 2002). For the case study area, children below 14 years were proportionately less than one-third of the sampled population. Adults (15-59 years) comprised nearly two-thirds. By caste and ethnicity, the ratio of senior citizens was highest among the Dalits. Adults were most numerous in the Brahmin/Chhetri caste group. Education The illiteracy rate was highest among Dalits. About 37 percent of Dalits was illiterate against 20 percent of Brahmins/Chhetris and 25 percent of Tamangs. Slightly more than one-fourth of the population of Dalits could read and write (Figure 2). The proportion of the population with primary level education was highest among the Dalits (Figure 2). Despite the existence of public and private primary and secondary schools in the area, the school drop out rate was rampant among Dalits as their numbers significantly decreased in secondary and primary level education, while others remained almost stagnant.

115

50 40

Brahmin/ Chhetri Newar Tamang Dalit illiterate just literate primary secondary

percent

30 20 10 0 above secondary

level of education

Figure 2. Educational status by caste/ethnicity

Employment People aged 15-59 years were officially considered to be economically active (Dahal et al., 2002). Likewise, senior citizens of both sexes (above 59 years) irrespective of their caste/ethnicity played active roles in contributing to the household economy and participating in community development work in rural areas. For instance, Dalit senior citizens had greater roles than adults, particularly in caste-based occupations, i.e. tailoring, smithying, and collecting grain from other caste households in lieu of remuneration for work conducted during a whole year; other castes in this age group often worked on farms and reared livestock. Occupations Farming was the major occupation of the settlers, followed by caste-based occupations dominated by smithying and tailoring. Civil service, trading, and waged labour were minor occupations. Only a small percentage of Brahmins/Chhetris, and Tamangs were employed in services, including civil service, teaching, and waged labour. The majority of Dalits earned income from their traditional professions based on a patron-client relationship. The clientcraftsman relationship can be temporary or permanent. Tailoring used a comparatively high degree of labour. On average, a Dalit household serviced about 16 non-Dalit households. Due to the availability of garments in the markets, a Damai household was bonded to provide service to14 non-Dalit households, while on average a Kami household, nearly equal to a Sunar household, was bonded to provide service to about 18 households. On average one blacksmith or goldsmith serviced about 14 and 13 non-Dalit households respectively. Economic status More than half of the Dalit and Tamang people had low economic status. There was a considerable gap in terms of economic status within Tamangs, while this was relatively lower within Dalit and Brahmin/Chhetri castes. Clearly, Brahmins/Chhetris and Newars had better economic status compared to Tamangs and Dalits. About 79 percent of the sub-watershed population was poor (Bhandary, 2001). Only three percent of the population was rich, and the remaining 18 percent belonged to moderate economic classes. Non-Dalits pay Dalits in kind (grain) for their bonded services.

116

Land ownership Irrespective of caste/ethnic affiliation, settlers had very small land-holdings measuring about half a hectare per household but this varied significantly from one caste/ethnic group to another. On average Brahmins/Chhetris had the largest per capita land-holdings, followed by Newars and Tamangs. Dalits, with only 0.47 ropani, had the smallest per capita land-holdings. Farm production and productivity Highly fragmented land-holdings constrained efficient utilization. Settlers purchased rice, which was the staple food crop, from the market using income earned from vegetables. Aware of the benefits, settlers were leasing small parcels of land for vegetable farming. Renting land was popular among Newars, while Dalits rented small parcels of land adjoining their homesteads for kitchen gardens. Peoples dependency on forest resources Peoples dependency on forest resources, i.e. fuelwood, fodder, timber, and leaf litter was high but varied across caste/ethnicity. Overall, settlers depended less on forests for fodder mainly because forests were under community control. Due to low livestock density, private forests supplied adequate amounts of forest. Because of strong restrictions on collection of selected species from the forest and low awareness on forest policy/regulations, settlers were afraid to collect non-timber forest products. Institutional set-up These included VDCs, ward committees; youth clubs; hamlet committees; sub-watershed committees; user groups, including groups for irrigation, drinking water supply, and community forestry; and income generation groups. Involvement of district line agencies and NGOs Governmental organizations included the District Agriculture Office, District Forest Office, District Women Development Office, and Nepal Electricity Authority and Daman Horticulture Center. The NGOs included MIRA, SOLVE, OMNI Nepal, and CEPRED. Makawanpur District Development Committee (DDC) was among several districts facilitated and equipped with resources provided under the Local Government Programme (LGP). The LGP aimed at strengthening local governance so that the districts could initiate their own development activities with intensive public participation. Involvement of VDCs Nepals local government practice started in 1998 only after the establishment of laws and bylaws based on the Local Government Act (1992). The DDC thus, is a political and developmental body for the district. Despite policy frameworks and legislative provision for addressing access, equity and empowerment issues, Dalits had inadequate access to the local government body and its functioning system. Dalit representation in both VDC Assemblies was low in terms of proportion. Owing to their low educational status, low access to information, and low economic status as well as the barrier of caste hierarchy Dalit political performance was repeatedly threatened. Besides, due to the poor political awareness and political attainment of Dalits, they could not lobby for their needed development activities.

117

Other community organizations Local intellectuals formed the Samudyik Sanchar Kendra (Community Information Center) after the flood disaster of 1993. The centre is gradually expanding its activities. Recently it launched a community FM radio station. High costs of membership and very limited openings prevent disadvantaged groups from joining cooperatives. GOs/NGOs in the watershed have also promoted several membership community organizations such as womens groups, cooperatives, and farmers committees. BIWMP-initiated community organizations The Bagmati Integrated Watershed Management Program (BIWMP) was working with new community groups; there were three tiers of community organizations under the programme. They were, in descending rank, (1) the Palung Sub-watershed Conservation Committee (PWCC); (2) Hamlet Committee (Gaon tole Samitee); and (3) Membership Groups such as drinking water and irrigation construction committee, income-generating group, and community forestry group (CFUG). Principally, the PWCC was formed for planning of BIWMP implementation within the sub-watershed, and coordinating BIWMPs activities with two VDCs, Daman and Palung. A VDC vice-chair was the Chair of the PWCC. Each village had one hamlet committee. Each hamlet committee had an executive committee, comprising seven to 11 members. Drinking water user groups were formed to construct the water supply system, distribute water to the users, and provide maintenance services via local manpower. Similarly, CFGs were created to manage forest resources via the users. BIWMP profile Background BIWMP followed on from the Bagmati Watershed Project (BWP), which started in 1975 under joint management by the Commission of European Committees (CEC) and the Department of Soil Conservation and Watershed Management (DSCWM) of the Government of Nepal. In 1985 the project gained support from the European Commission (EC). This period was Phase I. During Phase I, field activities largely concentrated on small-scale engineering packages and soil-conservation measures including terrace improvement, conservation ponds, gully and landslide measures, afforestation, trail improvement, and the construction of a rope bridge. Project evaluation of Phase I was conducted in 1992 and a second phase was designed based on an integrated community-based approach. Bagmati Watershed area The Bagmati Watershed covers an area of 3 500 km2 . The Upper Bagmati Watershed Area covers the whole of the Kathmandu Valley including its source at Shivapuri. From the Chovar Gorge, the river flows into the Middle Bagmati Watershed area across the Mahabharat and Siwalik ranges, including Kulekhani Watershed. People practised subsistence farming. Soil erosion was a serious problem, adversely affecting productivity. This watershed covers the Kulekhani Watershed, including Palung sub-watershed, which is of national importance being the source for one of the countrys major hydroelectricity plants. The Lower Bagmati Watershed area starts once the Bagmati River passes into the flat lands of the Terai. 118

Programme area Phase II of the project focused on 23 sub-watersheds in the Upper and the Middle Bagmati Basin. These 23 priority sub-watersheds lie in five districts: Kathmandu, Lalitpur, Makwanpur, Kavre, and Sindhuli. Barring three sub-watersheds in the Kathmandu Valley, the rest come within the Middle Bagmati Watershed. The total area covered in Phase II was approximately 60 000 ha. Mission and objectives of BIWMP The primary aim of BIWMP II was: To reduce erosion in the Bagmati catchment, and to introduce sustainable improvements in the management of 23 priority sub-watersheds in the Bagmati River catchment, thus improving land productivity and livelihoods of local people (BIWMP, 2001a). The specific objectives of the project were to build up community level institutional capacity to manage watershed resources; to create awareness and stimulate interest in conservation practices; to focus on sustainable participatory integrated watershed management; to promote income generation opportunities favouring women, lower castes, and the poorest; to carry out, at the request of user groups, remedial measures to control erosion hazards that threatened assets; to facilitate field level conservation and infrastructure works; and to share information and experiences. Project operation Owing to the delay in the release of funds, project activities began only in 1999 (BIWMP, 2001a). This resulted in unwanted implications for programme components focused on poor, disadvantaged, and upland settlers. The rush in project implementation in the field meant staff focused mainly on the more accessible and richer communities living in the valley and insufficient attention was paid to the quality of the work undertaken. Project organization Each DCSO was organized into five sectors, namely, social development and capacity building, agriculture and livestock development, enterprise development, infrastructure development, and communication and information. DSCO-Makawanpur managed 10 sub-watersheds under the BIWMP, including Palung sub-watershed. In order to directly interact with sub-watershed settlers during the entire project cycle, Field Center Offices were established and organized in each sub-watershed. In Palung sub-watershed, a Field Officer, a ranger, and a forester, led a team composed of five staff including a social motivator and three women motivators, who came from the same sub-watershed. BIWMPs strategy BIWMP promoted an integrated approach to watershed management. The need to integrate social and economic development was deemed indispensable for sustainable watershed management. BIWMP, thus, made every effort to ensure that people had control over the entire process of planning and implementation, including financial and technical monitoring and evaluation (BIWMP, 2001b). Social issues were also addressed through the representative involvement of women and disadvantaged groups. Community based Watershed Management Groups led the developmental efforts.

119

Disadvantaged people in BIWMP as targeted beneficiaries The BIWMP targeted activities at the rural poor and disadvantaged people. Under the categories of rural poor there were small farmers, marginal farmers, sharecroppers and tenant farmers, landless labourers, rural women, and disadvantaged groups (DAGs). DAGs included Dalits, rural women, widows, destitute children, disabled persons, tribal people, and the poorest of the poor. Some of the BIWMP reports (BIWMP, 2001a; BIWMP, 2001b) referred to a segment of community that had traditional occupations and their lives were constrained by social, economic, political, and organizational barriers. Peoples involvement in community organizations Many scholars of community institutions agree that some form of local organization is needed to provide the structure within which local participation can be organized (Ostrom, 1996). The peoples empowerment objective aimed at strengthening the overall socio-economic condition of women and disadvantaged people, including Dalits. Group formation process This did not follow the requirements. A blanket process of community group formation was followed regardless of the types and objectives of the community organizations. Project staff convened mass meetings according to project convenience and requirement. Delay in budget release and rushing to meet the end of the fiscal year reduced the importance of group formation. VDC officials did not seriously consider inclusion of disadvantaged people in community groups while they were providing assistance to the project. For example, PWCC was formed with the help of VDC officials. The participants of the workshop were VDC leaders, Ward chairs, and village heads. Other people were not invited by the project. Representation Diverse peoples representation in community groups shapes the exercise of power and the allocation of benefits in terms of material and non-material goods (Sengupta, 1996). Relative representation was compared across the caste/ethnic groups and the type of community groups formed in both heterogeneous and homogeneous communities Results of the analysis showed no significant difference in representation in hamlet committees across caste/ethnicity. Majority caste/ethnic groups were influencing the overall decision-making. About one-third of the women were selected for general committee membership. Because sometimes, without positive discrimination, disadvantaged people cannot be involved in community organizations to achieve a power balance (Schrader, 1998). Unfortunately this strategy did not favour Dalits to ensure their adequate representation in community groups. Inadequate knowledge about local socio-economic and political interdependency meant project staff became closer to the local elite. As a result, advantaged people had better information about group formation, which helped them to be nominated or selected. This explained the poor representation of Dalits in groups.

120

Group meetings Hamlet committees and FUGs met mostly irregularly. Most of the community groups set agendas prior to the group meeting. The Chair generally fixed the agenda, although group secretaries and other group members also had input. This occurred because of the different socio-economic status and level of awareness of group members; moreover perceived benefits determined willingness to participate in group meetings regularly. Peoples perceptions of BIWMP community groups Representation in groups The groups were not formed separately to serve any specific caste/ethnic group, instead they were formed according to the nature of activity and spatial coverage. The majority of community group members were satisfied with representation in the community groups. The majority of satisfied nonmembers were Newars and Tamangs, while there were equal proportions for both categories among Brahmins/Chhetris. For Dalits there was significant difference in responses; the majority of nonmembers were not satisfied with their representation in respective community groups. The significant difference in the Dalit caste group was important. Their (minority) satisfaction with representation in the BIWMP community groups was attributable to social tradition. Some of the people, regardless of their caste/ethnicity, indicated that educated people who could read and write and communicate with different organizations should not be excluded from committees while balancing caste/ethnicity in the composition of a committee. Perceived role of community groups The role of community group is to have the appropriate and adequate skills and knowledge for problem identification, prioritization, implementation, monitoring, and evaluation of any activities intended to provide benefits to the community people fairly (Eade, 1997). Overall, respondents were satisfied with the performance of respective community groups. Leadership and division of work in the BIWMP community groups were perceived to be satisfactory by the majority of respondents. Brahmins/Chhetris mostly led community groups. Newars were the most dissatisfied non-Dalit respondents. Peoples participation in planning and implementation Project efforts were supposed to concentrate on peoples participation throughout the entire project cycle from the initial stage of identification and prioritization of community problems to subsequent stages of planning and implementation up to monitoring and evaluation. Peoples participation in the planning process Pre-planning consultation Consultation with people at the beginning of a project is essential to assure peoples participation in planning in subsequent stages of the project cycle. The informal interaction between project staff helps local people to understand about the project. However this did not occur according to plan. The 121

reasons may have been: (1) the absence of a code of ethic for project staff banning them from discriminatory practices connected to the projects performance; (2) lack of project staff, particularly extension staff, belonging to the Dalit caste; (3) staff wishing for better facilities; and, (4) the inability of Dalits to respond to staff as non-Dalits. For instance, Brahmin/Chhetris obtained project information relatively faster compared to other castes/ethnic groups. This implies that project extension at the beginning of the project was biased in favour of powerful and higher caste people. Irrespective of caste/ethnic affiliations, the overwhelming majority of settlers received information from project staff (Table 1).
Table 1. Settlers sources of information about BIWMP
Source of information Village mass meetings Project staff Village leaders Brahmin/Chhetri (n=64) 12.5 84.4 3.2 Newar (n=31) 16.1 67.7 16.1 Tamang (n=54) 9.3 88.9 1.9 Dalit (n=68) 10.3 89.7

Source: Household Survey (2002); n= number of respondents

Village meetings to disseminate information were infrequent. Four village meetings were organized with the attendance of the majority of people just before the hamlet groups formation. Normally project staff convened village meetings through the targeted village leader. The village leaders did not play a significant role in the dissemination of information among fellow villagers. Respondents reported that for a few years, village leaders were not active due to dangers created by Maoist insurgency. Management overhaul It was learned that when a significant change was made in the senior management of the project after two years of project implementation only then did the project adopt standard procedures for planning and implementation. Previously, the project had selected activities on an ad hoc basis and the project head office had played a major role with regard to project decisions (BIWMP, 2001a). A significant change was noticed after project management was overhauled, i.e. the project adopted a more flexible and participatory process in the planning approach. Prioritization of needs Prioritization of needs was in the hands of project staff. Field staff prepared a subjective list of activities to be undertaken. This list was then compared with the list of compiled requests from users and activities were selected. In this mode, the village elite had much influence on selection and the needy people were overlooked. Peoples participation in decision-making The household survey together with focused group discussions and key informant interviews revealed that the decision-making process varied according to the type of community and caste/ethnic hierarchy structure. Members of homogeneous groups took a more active part in discussion than members of heterogeneous groups. Dalits hesitated to sit and debate with non-Dalits.

122

Contribution sharing The form and extent of peoples participation varied with respect to the nature of the activities implemented. Members contributions usually took the form of physical labour. New community groups were formed for management and implementation of all types of construction activities once a construction-oriented activity was ready to be implemented in the field. A cash contribution was made by members of the Shikharkot water supply scheme, which served water to 206 households and nearly one dozen offices. The project bypassed the hamlet committees while implementing its own activities. For instance, the selection of individual beneficiary households for pit latrines, seedling distribution, and income-generating training was conducted by project staff at their personal discretion. Due to poverty, disadvantaged people were constrained by the required contribution to implementation. Dalits pointed out that activities requiring voluntary contribution, like infrastructure development, tree plantation, and participation in meetings prevented them from daily waged labour to support their families. Peoples perceptions of planning and implementation Perception of approach Overall, the settlers had different views about problem identification, prioritization, and decision-making under the BIWMP. Dissatisfaction increased when the expected project support and catalytic role for the identification and prioritization of needs and problems failed to materialize. Dalits and Tamangs were dismayed when their identified needs/problems were not adequately prioritized in the planning process. Some of the community group members realized that there was no appropriate participatory method among groups to identify local peoples needs and prioritize them appropriately. However some respondents belonging to other castes/ethnic groups, except Newars, were satisfied with group decision-making, particularly with respect to implementation of foot-trail, water supply, and gully control activities. Dalits were positive about the management of foot-trail development under the leadership of hamlet committees as they earned some cash during the work. Effectiveness of activities In general, foot-trail improvement, savings and credit, and the drinking water supply system were considered the most successful activities. Despite their poverty, the savings and credit programme was ranked second by Dalits and Tamangs, but Brahmins/Chhetris and Newars ranked it third and fourth respectively. Among the BIWMPs infrastructure activities, settlers perceived foot-trail improvement, drinking water supply, stream bank protection, and a rope bridge as effective activities. Foot-trail improvement achieved the highest score. Peoples perception of roles of project staff The role of project staff was questionable. Assessing the project staffs performance was not an easy task for the respondents. Overall, only about two percent of the respondents expressed no satisfaction with staff performance and a similar percentage declined to answer. The majority of Dalits and Tamangs perceived full cooperation by staff while the majority of the respondents from Brahmins/Chhetris and Newars perceived cooperation to some extent. 123

Distribution of project benefits Peoples decisions on whether to participate in the developmental activities or not is largely determined by perceived benefits (Miller, 1988, cited in Pongquan, 1992; Dale, 2000). As Poudyal (1990) pointed out, the higher the expectation of benefit from the activity is, the higher the rate of participation will be. Distribution of benefits from income-generating and savings-credit programmes Purpose of benefits The objective of the income-generating and group credit activities was to enhance the livelihoods of watershed settlers and to increase employment opportunities by establishing a credit support programme. The major activities carried out were formation of savings and credit groups, provision of training and demonstration programmes on improved agriculture and livestock raising, and formation of cooperatives. Besides, the project had helped to form community organizations and provided opportunities for training and exposure. All these opportunities were created by linking with other project activities like adult literacy classes, training on vegetable farming with a focus on soil conservation, and forest management and infrastructure development. Benefits from the incomegenerating and credit programme included tangible benefits in the form of cash. Approach for disadvantaged people Project staff identified poor and disadvantaged people through participatory rural appraisal (PRA) tools, including market assessment. The project formed 17 income-generating groups (IGGs), comprising a total of 461 members including 25 male members. Male members served as advisors. The next step involved devising rules and norms, enhancing the skill of IGG members, and linking the IGG with Palung Multi Purpose Cooperative Limited, an umbrella organization for each IGG. Training on womens empowerment and skill development was also organized for the IGG members. A savings deposit was a precondition of the credit programme. The staff preferred to provide assistance in extension services to lowland middle-class farmers. Membership of income-generating groups The project formed 17 IGGs in different villages. No IGG was formed from the perspective of caste/ ethnicity. The income generation and savings and credit component covered 461 members from all castes/ethnic groups as of February 2002. Dalits and Newars had relatively higher representation in IGGs, while representation of Brahmins/Chhetris was low. Distribution of credit As discussed earlier, the majority of the poor people were Dalits and Tamangs. Though they were poor and in need of project support, the income-generating programme could not address them adequately. For instance, only four Dalit members out of 63, from three IGGs received a loan. This figure is quite low compared to others (Table 2).

124

Table 2. Households that received a loan

Attributes Number of IGG member households Number of households who received loan Percentage of loan takers Brahmin/Chhetri 193 31 16.1 Newar 60 18 30.0 Tamang 145 33 22.8 Dalit 63 4 6.3

Sources: Palung sub-watershed field office database; BIWMP (2001b).

Income-generating groups were formed by and for women. Only women were eligible to get loans. Dalits were high risk groups. There was strong provision that the intermediate cooperative that sanctioned the loan, ensured that the loan was best utilized and paid back in good time. In general, members received loans ranging from NRs3 000 (for Newars), to NRs35 000 (for Brahmins/Chhetris). From the sampled population one can see that members who were considered to be economically challenged were targeted by the programme (Table 3).
Table 3. Economic level of loan takers
Economic level High economic level Moderate economic level Low economic level Brahmin/ Chhetri (f=31)% 4.9 54.8 38.7 Newar (f=18)% 11.1 61.1 27.8 Tamang (f=33)% Dalit (f=4) % 3.0 48.5 48.5 25.0 75.0

Source: Adopted from database, field office; BIWMP (2001b). f= frequency of IGG members who had received a loan

Multiple benefits of the income generation programme There were economic as well as non-economic benefits. Economic benefits were generated through production schemes supported by loans. IGG members received loans for three types of activities: vegetable cultivation, livestock raising, and retail businesses. Overall, nearly half of the borrowers took loans for vegetable production, as there was an opportunity to supply vegetables to the capital city of Kathmandu and regional city of Hetaunda. The majority of Brahmins/Chhetris used loans for dairy buffalo raising and vegetable production. However, the majority of Newars and Tamangs used the loan for vegetable production. For instance, poultry raising needed the most money (NRs21 250) while piggeries only needed NRs5 000. After receiving training on womens empowerment and participating in literacy classes, members of Seti Ganesh IGG-B of Shrijan basti, Daman VDC banned alcohol in their homes to curb their husbands addiction to alcohol, to stop unnecessary expenditure on alcohol, and to reduce wife-beating incidents. Adequacy of credit All ethnic/caste groups were heavily dependent on relatives for complementary credit. People normally do not prefer to get credit from merchants, as they charge very high interest ranging from 24 to 42 percent annually. The delay in loan delivery through the intermediary finance organization was problematic for IGG members. The length of time for paying back the loan depended on the type of activity under the loan scheme and the ability of the borrower. Loans for buffalo raising and retailers had longer periods with eight installments. Regarding the difference in installments, Newar members had fewer installments while Brahmins/Chhetris had more installments. 125

Utilization of loans Most borrowers used the loans appropriately as envisaged under the scheme, although four Dalits abused the assistance. Benefits from infrastructure and soil-erosion control activities Protection of drinking water sources, construction of footbridges, improving foot-trails, and improving irrigation channels contributed to the local infrastructure. Activities, which provided immediate benefits and had high budget, were attractive to the settlers regardless of their caste/ethnicity. For instance, beneficiaries of foot-trail improvement might come from another village. Likewise, beneficiaries of landslide and gully control activities might come from downstream or upstream settlements. Distribution of benefits Community participation in the form of labour was mandatory for infrastructure activities. Material support constituted cement, high-density polythene pipe, galvanized iron (GI) pipes, construction tools, and GI wire and gabion boxes. Most Tamangs took over landslide control activities. While drinking water systems were the purview of nearly two-thirds of the Brahmins/Chhetris. The remaining Brahmins/Chhetris were covered by stream bank protection so no Dalit population benefited. Immediate benefit during project implementation A blanket cost-sharing mechanism was adopted for project activities. The highest labour contribution was for drinking water systems, followed by stream bank protection. Foot-trails needed the lowest contribution. The project contributed cash and materials. The highest proportion of cash was provided for stream channels, implemented by the contractor. Small bridge construction was also supported by the project. In all construction activities carried out by the user groups, local people worked as semiskilled and unskilled labourers. Benefits from training and extension Benefits from BIWMP training and extension programmes were assessed through secondary information. The objective of the training and extension programme was to improve the institutional, managerial, and technical capacities of project beneficiaries, which determined the projects degree of success. The training events, excursions, and workshops concentrated on improving relevant skills and knowledge related to agriculture, forestry, group management, and health. Women and disadvantaged community group members were the most targeted beneficiaries in accordance with BIWMP protocol. To build womens capacity for managing natural resources, to reduce the gender gap, and to develop awareness of the importance of non-formal education (NFE), literacy classes were held for different groups. Training events and workshops/visits were organized according to physical targets of the project. In response to why they participated in training, key informants largely responded that they were invited by project staff both formally and informally. Informal invitation was a direct nomination by a project staff member according to his knowledge of a perceived need.

126

Non-formal education The project conducted two types of literacy courses for adult women. Overall, the programme was ineffective. Books published by the Ministry of Education, contained general lessons regarding gender role and resource management, but they lacked information on issues related to caste and gender discrimination and inspiring course participants to respect and treat all people equally. Skills development Skills development included training on goat and pig raising, vegetable farming, improved cooking stove (chulo) construction, health, and tailoring. Most of the participants were women. Dalits had the lowest participation in awareness/conservation-related training/workshops, while Brahmins/Chhetris accounted for the highest (41 percent). Most Brahmins/Chhetris and Newars received training on vegetable farming while Tamangs attended training on goat raising. Soil-conservation awareness Training to raise peoples awareness on soil conservation as well improving peoples ability to plan and implement technologies against the problems encountered was conducted. Disadvantaged people were the targeted groups. However it was revealed that the number of Dalit and Tamang trainees was substantially lower than the representation of other ethnic/caste groups. Distribution of benefits from agricultural and forestry-related activities Agriculture The objective of the agricultural development programme cited in the BIWMP document, was to help the farming community to reduce soil erosion and thus increase their incomes and raise their standards of living. Initially, project activities concentrated on the establishment of terraces and improved agricultural practices suitable for irrigated lands. All of these activities provided benefits to people with relatively large irrigated land-holdings. Aware of this, the project started paying attention to upland areas. Project records show that 12 Brahmin/Chhetri and eight Tamang farmers were given tree seedlings for improvement of about four hectares of terraced land. The land belonged to local politicians. No attention was paid to repairing terraces, mostly belonging to disadvantaged people, and damaged by the 1993 flood disaster. Forestry Access to forest resources in Nepal has always been controlled by influential people, politicians, and non-Dalits. The forestry component of the project aimed at promotion of sustainable forest management through the establishment of forest user groups, development of forest management plans, supporting and promoting forest nurseries and development of forest plantations. The expected outcomes were strengthened institutional capacity, increased conservation awareness, and increased income. In this regard, three community forests were handed over to community forest user groups (CFUG). The forest technician (ranger) at the field office conducted training and provided support to the CFUG members.

127

Allocation of benefits from the health programme Through local partners, such as NGOs working in the health sector, the project planned to provide training for health service providers, particularly in the area of reproductive health. The activities carried out were health awareness creation sessions at schools, one mobile health clinic, mebendazole distribution, iron tablet and folic acid distribution, provision of three stretchers, and installation of 51 pit latrines. A small number of people attended the health camp (Table 4).
Table 4. Attendance at the health camp
Activity Participated in health camp* (%) Installation of pit latrine** (no) Percent of beneficiaries from total HH Brahmin/Chhetri (n=64) 22.2 11 1.0 Newar (n=31) 12.5 6 3.5 Tamang/Magar (n=54) 9.2 16 4.2 Dalit (n=68) 5.9 18 12.1

Source: Household Survey (2002)* Database, Field office, BIWMP (2002)**; n = sample size; HH = households

Dalits had the lowest knowledge about sanitation, so Dalits received the highest benefits from such support. The use of newly installed latrines resulted in surprising improvement in sanitary conditions in Dalit villages. Extension of information on reproductive health was limited. Perception of benefits No statistically significant relation was found between the extent of satisfaction within the economic classes of the respondents (Figures 3 and 4). Most respondents, from whatever economic class they represented, reported moderate satisfaction.

6%

10%

100% 80% 60% 40% 20%

32% Full extent Little

52% Some extent Not at all

0%

Brahmin/

Newar Some extent

Tamang Little

Dalit Not at all

Full extent

Figure 3. Peoples overall satisfaction with BIWMPs support

Figure 4. Extent of satisfaction with BIWMPs support by caste/ethnicity

128

The few literate Dalits who were unsatisfied or moderately satisfied indicated that they were expecting benefits not only in change of economic status but also change in social dignity. They perceived that activities like NFE, income generation and infrastructures, and sanitation were improperly packaged as social awareness was missing in the programme. In their view the projects activities should have been able to change unfair social customs, if activities were determined to target Dalits. Conclusion The people-centred management approach has been emphasized in several integrated watershed development and management projects in Nepal, including the Bagmati Integrated Watershed Management Program. Due to differences in abilities, attitudes, and perceptions of watershed settlers, securing active and equitable participation from all caste/ethnic groups has been a challenge to watershed management programmes and projects. Similar to the findings of other scholars interested in Nepals socio-cultural structures and rural development and watershed management, the caste-based socio-economic structure was found in the Palung sub-watershed. Dalits, who lie at the bottom of the social structure, are the minority populace. Moreover, they predominately rely on traditional occupations, which are being threatened by manufactured goods and their traditional skills are disappearing. The BIWMP offered an opportunity for the improvement of settlers socio-economic condition and for natural resource conservation. Though the project was implemented through community groups, Dalit representation in groups was negligible. This, combined with the projects inability to address disadvantaged groups problems led to excluding Dalits from most of the benefits of the watershed management project. Dalits contributed to the implementation of mainly infrastructure-related projects. This provided some short-term economic benefits, but did not enhance the Dalits broader quality of life. Literature cited BIWMP. 2001a. Annual Report 16 July 2000 to 15 July 2001, DSCWM/CEC, Kathmandu. BIWMP. 2001b. Mid Term Review Report of BIWMP, Kathmandu. Committee on the Elimination of Racial Discrimination (CERD). 1999. Fourteenth Report of States Parties Due in 1998: Nepal, CERD/C/337/Add.4, Annex, May 12, 1999. Dahal, D., et al. 2002. National Dalit Strategy Report. Prepared for National Planning Commission for Supporting the Dalits-related Plans and Policies for Preparation of 10th National Five Year Plan of Nepal, Kathmandu, Nepal. Dale, R. 2000. Organizations and Development - Strategies, Structures and Processes, Sage Publications, New Delhi. Dixon, A. & Easter, W. 1988. Integrated watershed management: An approach to resource management. Studies in Watershed Policy and Management, 10: 3-14. Eade, D. 1997. Capacity Building - An Approach to People-centered Development. Oxfam, GB, UK. Hocking, A. 2001. Development Anthropology for BIWMP. Department of Soil and Watershed Management and Commission of European Communities, Kathmandu Nepal. Human Rights Watch (HRW). 2001. Caste Discrimination: A Global Concern. A Report for the United Nations World Conference against Racism, Racial Discrimination, Xenophobia and Related Intolerance, Durban, South Africa, September 2001, Vol.13, No. 3(G).

129

Informal Sector Service Center (INSEC). 1993. Human Right Yearbook-1993, Annex-1 . Kathmandu, Nepal. Lal, R., ed. 2000. Integrated Watershed Management in the Global Ecosystem. Soil and Water Conservation Society, CRC Press, USA. Ministry of Local Development (MLD). 2001. 15 th Country Report. Submitted to UN Committee on the Elimination of Racial Discrimination (CERD), WCAR, Durban South Africa. Ostrom, E. 1996. Diverse form of participation. In G. Shivakoti et al., (ed.). People and Participation in Sustainable Development: Understanding of Dynamic of Natural Resource System. IOAAS, TU, Nepal. Poudyal, L.P. 1990. Peoples Involvement in Planned District Development through Decentralization in Nepal. Doctoral Dissertation, HS-90-2, Asian Institute of Technology, Bangkok. Pongquan, S. 1992. Participatory Development Activities at Local Level: Case Studies in Villages of Central Thailand. Bangkok, Thailand. Schrader, H. 1998. Working Paper No. 270. University of Bielefeld, Faculty of Sociology, Sociology of Development Research Center, Germany. Sengupta. 1996. Diversity in participation. In G. Shivakoti et al., (ed.). People and Participation in Sustainable Development: Understanding of Dynamic of Natural Resource System. IOAAS, TU, Nepal. Sob, D. 2001. Voice of voiceless women of Nepal. Seminar paper presented in World Conference against Racism (WCAR), August 2001, Durban South Africa. Team Consult. 1999. The Condition of the Dalits (Untouchables) in Nepal: Assessment of the Impact of Various Development Interventions. Submitted to UNDP/Nepal, Kathmandu, Nepal. Thapa, G.B. 2001. Changing approach to mountain watersheds management in mainland South and Southeast Asia, Journal of Environmental Management, 27, 5: 667-679. Wagley, M. & Bogati. 2000. State of the art and status of watershed management in Nepal. In K.S. Bendtsen et al. Watershed Development. Proceedings of Danidas Third International Workshop on Watershed Development. Kathmandu, Nepal.

130

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

INTEGRATED NATURAL RESOURCE CONSERVATION: PEOPLES PERCEPTIONS AND PARTICIPATION IN NEPAL Shiva Kumar Wagle 1

Introduction Natural resources in developing countries are under heavy pressure and degradation has increased since the economic growth period of the early 1970s. Proper management of available natural resources is a prerequisite for the development of any community. Integrated natural resource conservation and management encompasses all activities for the management of natural resources in an area or watershed. Common property resources include forest, pastureland, and water, which can be bifurcated into government and community management. Use and management of natural resources both in private and public lands are determined by numerous factors such as individual perceptions at household levels, population pressure, and resource pricing policy at the national level (Thapa and Weber, 1994). Integrated resource management (IRM) is a holistic approach to resource conservation and management that encourages participants to consider many social and environmental interconnections. IRM must bring together a diverse array of people who have a stake in the system including government agencies, community organizations, and other organizations. According to Ervin and Ervin (1982), different factors like the personal and economic status of local people and physical condition of the resource play an important role with regard to their decisions on conservation activities. Agriculture, land management, and forest/tree utilization are integral components of a farming system. The forest produces fuelwood for household energy, grass and tree fodder for livestock feed, timber and poles for household construction and construction of agricultural implements, and leaf litter for animal bedding; the animals in turn provide organic manure for agricultural production. The majority of farmers in developing countries like Nepal exist in a subsistence economy and current agricultural systems cannot ensure subsistence; thus the farmers extend their farmland into fragile marginal land and forests for more production to fulfill their basic needs. The major causes of deforestation are commercial logging, shifting cultivation, lack of rule enforcement and regulations, government resettlement programmes, and high demand for wood, timber, and fodder created by the growing population. Expansion of agricultural land into the forest is the most serious deforestation problem (Thapa and Weber, 1990). Peoples participation is total involvement in conservation activities, i.e. deciding on programmes and activities, fixing priorities, taking initiatives, contributing ideas, material, money, labour, and time. However participation is self-motivated. There are two separate institutions working in the field of resource conservation within the Ministry of Forest and Soil Conservation (MFSC): (1) community forestry user groups (CFUGs) for forest resource conservation and management under the Department of Forest (DOF) and (2) community development groups (soil-conservation user group SCUG) for soil-conservation activities under the Department of Soil Conservation and Watershed Management (DSCWM).
1

MSc. Thesis, Asian Institute of Technology, Bangkok, Thailand. August 2004. Examination Committee - Dr. Ganesh P. Shivakoti (Chair), Dr. Dietrich Schmidt-Vogt, Dr. Ambika P. Gautam

131

There is a growing tendency to hand over resource management responsibility from the state to the community; for example, community forestry in Nepal (Paudel, 1998). In Nepal, the forest resources transferred to the community (community forestry) are managed well; they fulfill the basic needs for forestry products and substantially reduce soil erosion by increasing land cover. The main objective of this research was to understand peoples perceptions and participation in the purview of integrated natural resource conservation how they perceive forest and soilconservation activities and their opinions and attitudes on these activities and how they affect participation. Study area and selection criteria Nepal is politically divided into 75 districts. Rupendehi District is situated in the Terai region with areas in the Siwaliks hills (Figure 1). The Siwaliks house the headwaters of most of the river systems of the Terai and have significant ecological and socio-economic importance. Together, the Terai and Siwaliks account for 27 percent of Nepals total area and approximately 35 percent of the forest resources. Most of the Terai people depend directly or indirectly on the Siwaliks for forest and water resources. Ghamaha sub-watershed (GSW) of the Siwaliks region of Rupandehi District was selected for the study. Within GSW, there are two CFUGs namely Parroha CFUG and Bolbum CFUG. But there is only one SCUG the West Ganganagar SCUG in GSW. All the users of the West Ganganagar SCUG are users of Parroha CFUG. Overview of the district Rupandehi District l has 26 small- and medium-sized rivers. The climate of the district varies from tropical to temperate. The district has a total of 118 731 households and the average household size is 8. Population growth is 3.2 percent and the population density is 526 persons/km2 . The literacy rate is 55 percent. Agricultural products include rice, wheat, maize, mustard, and pulses. The forest area of the district is also divided into production forest, protection forest, and potential community forest (CF) with areas of 7 014 ha (21.9 percent), 18 533 ha (57.9 percent), and 6 459 ha (20.2 percent) respectively. Much of the national forest was handed over as CF in this district. Watershed characteristics The soil- and water-conservation programme in Rupandehi District started with the establishment of the District Soil Conservation Office (DSCO) in 1995. The main programme of the DSCO is integrated resource conservation through peoples participation with the sub-watershed as the management unit. GSW was selected as the study area. The watershed covers 3 339 ha and includes Parroha VDC, Khagda-Bangai VDC, Suryapura VDC, and some parts of Man-Pakadi VDC. Most of the watershed settlers are engaged in agricultural activities like field crop cultivation and animal husbandry. The watershed settlers raise livestock for milk, meat, and ploughing. CF within Ghamaha sub-watershed In GSW, the forest is located only in Parroha VDC. With assistance from the DFO, forest protection started around 1990 after the democratic revolution. In 1994, 500 ha were handed over to the local community as CF. In 1998 the CF area was extended to the whole forest area of Parroha VDC; the total area of the forest was 1 342 ha and there were 3 257 households. Learning from past experience, 132

in 2003 this CF was again divided into three CFUGs: Parroha CFUG; Sainamaina CFUG; and Bolbam CFUG. The GSW covers only Parroh and Bolbam CFs. Parroha CFUG This CFUG lies in the western part of the GSW. There are 1 267 households and the total population is 8 449. This CFUG is heterogeneous socio-economically and land-holding size has a maximum of 1.87 ha. Out of 1 267 households, 71 are involved in soil- and water-conservation groups. About 17 households are users of another CF. The total forest area is 633 ha and the forest type is mixed natural forest of the Siwaliks hills (Table 1). One forest guard has been recruited for patrolling. Block nos. 1-3 are 184, 210, and 239 ha respectively.
Table 1. Forest type of Parroha CFUG
Block no. 1 2 3 Total area (ha) 184 210 239 Forest type Mixed forest Sal forest Sal forest Major species Sal, asna, banjhi, satisal Sal, asna, karma, banjhi, satisal Sal, asna, karma, banjhi, satisal

Source: Operational Plan of Parroha CF (2002)

The user group has its own rules for the collection of forest products which are decided on at committee meetings according to the needs of the users. General rules are: (1) The users collect fodder freely from the CF without any charge; (2) the forest is opened for the collection of fuelwood for five days, three times a year, free of charge. In addition, they can collect fuelwood at a charge of NRs2/bhari2 every Saturday; (3) the users have to pay NRs5 per piece of small wood to collect in the forest directly. In addition to forest protection and management, the users are involved in various development activities to develop their village themselves. Bolbam CFUG This CFUG is also in GSW. There are 801 households and the total population is 4 406. This CFUG is heterogeneous socio-economically and land-holdings reach a maximum of 3.4 ha. Table 2 shows the forest types in the study area.
Table 2. Forest types of Bolbum CFUG
Block no. 1 2 3 4 Total area (ha) 118 85 166 303 Forest type Mixed Mixed Mixed Mixed forest forest forest forest Major species Sal, asna, khair, neem, banjhi Sal, asna, khair, banjhi Sal, asna, banjhi Sal, asna, karma, banjhi, sajan

Source: Constitution and OP of user group (2003)

Back-load of fuelwood or fodder that one person can carry (approximately 40 kg).

133

The total area of CF is 572 ha. All of the forest area lies in the Siwaliks hills and is sub-tropical mixed forest. The major species include sal followed by asna, karma etc. From the management point of view the CF is divided into four blocks. Users collect fodder and fuelwood for their daily needs. Most users have planted trees on their own land and some people also use cow dung as an energy source for cooking. The rules generally followed by this user group are: (1) The users collect fodder freely from the CF without any charge; (2) the user group opens the forest for the collection of fuelwood for five days, three times a year, free of charge; (3) the users have to pay NRs5 per piece of small wood and to collect in the forest directly; (4) timber is collected by committee members using paid labour and stacked in the CF office. Every member can buy timber from the CFUG office. Fuelwood collected from thinning operations is distributed 50/50. The furthest distance from the forest for users is 5 km. To give remote users equal opportunities, the thinning operation are conducted on a 50/50 basis. West Ganganagar user committee for soil conservation This user committee is located in Ward no. 4 of Parroha VDC adjoining the Siwaliks and within Parroha CF around the Ghamaha River. It was formed in 1998 with assistance from the Rupandehi DSCO and registered in the Parroha VDC. All committee users are members of Parroha CFUG. User committee members conduct different conservation and development activities with financial and other support from the DSCO. Such activities include bioengineering for landslide protection, water source protection, watershed conservation, runoff rentention dam construction, bamboo walls for river bank protection, irrigation canal protection, and adequate drinking water supply. Socio-economic characteristics of the households Family size The number of family members in the sampled households ranged from a minimum of one member to a maximum of 22 members. The overall average family size of the respondent households was 6.46 with standard deviation 3.336. The highest mean family size was 7.23 members per family in Parroha CF, without a SCUG. The gender ratio was highest in Bolbum CF (1.38) and lowest in Parroha, without a SCUG (1.05). Ethnicity The castes of respondents were classified into four groups: upper, middle, lower, and Tharu. Brahmins, Chhetri, and Thakuri were included in the upper caste. Magar, Gurung, Newar, Gupta, and Yadav were included in the middle caste. Kami, Damai, Sarki, and Mallaha were included in the lower caste. The community was dominated by middle caste people in Parroha with a SCUG and dominated by upper castes in both Parroha (without a SCUG) and Bolbum CF. The age groups of the respondents ranged from 20-77 years with a minimum of 20 years in both Parroha (with SCUG) and Bolbum CF and a maximum of 77 years in Bolbum CF.

134

Figure 1. Location of the study area (Rupandehi District)

Literacy level Literacy is an important indicator of development; it has a multiplier effect on forest conservation and management. Among the 92 respondents surveyed, 65.5 percent were literate. About 26 percent of the respondents were illiterate whereas 7.6 percent had secondary level education and only one person had college education. About 59 percent had primary education. Only 4 percent of the people had higher education. The study area, Parroha (with a SCUG) could only provide primary education and both Parroha (without CF) and Bolbum could provide secondary education. Occupational characteristics The main occupation of the whole study area was agriculture (78 percent) followed by waged labour (8.7 percent) (Table 3); 7.6 percent of the respondents were engaged in traditional work. A total of 18.8 percent were engaged in waged labour in Parroha (with a SCUG), whereas this was zero in Parroha (without a SCUG) and 2.6 percent in Bolbum CFUG. The farmers were also involved in offfarm activities (waged labour, business).

135

Table 3. Distribution of family members in occupations

Occupation Parroha CF With SCUG (WG) total Agriculture Business Waged labour Service Other/traditional work 72 3 38 10 7 mean 2.25 0.09 1.19 0.31 0.22 Without SCUG total 111 4 11 24 2 mean 3.70 0.13 0.37 0.80 0.07 total 120 5 23 12 10 mean 4.0 0.17 0.77 0.40 0.33 total 303 12 72 46 19 mean 3.29 0.13 0.78 0.50 0.21 Bolbum CF Total

Source: Household Survey (2004)

Land-holdings In an agrarian society, as in the study area, land-holdings have significant importance in determining the overall economic condition of the households. The land-holding classifications varied from landless to 3.4 ha. Most people had their own land but a few (7.6 percent) were landless; the landless used other peoples land for cultivation or depended on waged labour for their livelihoods. Cereal crop production The mean cereal crop production of the study area was 1 382 kg: 798.5 kg in Parroha (with a SCUG), 1 613 kg in Parroha (without a SCUG), and 1 807 kg in Bolbum CF. Most of the production ranged from 500-1 500 kg per household; 27 percent of the households grew less than 500 kg. Analysis of variance (ANOVA) of mean cereal crop production within the three study groups revealed significant difference in mean cereal crop production. The production of cereal crops indicates the food balance of the family, which in turn reflects the time available for natural resource conservation activities. About 26 percent of the respondents had food sufficiency from their own production and 29 percent had more than required; 44.6 percent was food deficit (Table 4).
Table 4. Food balance among respondents
Food balance of family Parroha CF With SCUG (WG) For less than six months For six months For one year Exceeding one year 11 (34.4) 11 (34.4) 8 (25.0) 2 (6.3) Without SCUG 8 (26.7) 2 (6.7) 6 (20.6) 14 (46.7) 7 (23.3) 2 (6.7) 10 (33.3) 11 (36.6) 26 (28.3) 15 (16.3) 24 (26.1) 27 (29.3) Bolbum CF Total

Source: Household Survey (2004). The figures in parentheses represent the percentage of respondents

Cash income The major source of cash income in the study area was sale of cereal crops, vegetables, waged labour, and services. Other income sources were businesses, house rent, and traditional occupations. Most people had income ranging from NRs10 000-60 000. A few people (6.5 percent) had annual cash income of less than NRs10 000; conversely 28 percent people had annual cash income exceeding NRs60 000. The relationship between income group and study group was tested through the chi-

136

square test and the difference was significant. The cash income of households reflects the economic and social status of the family. The expenditure of the household directly depends on the cash income of households. Livestock Livestock is an integral feature of the Nepalese farming system. Almost all respondents in the study area had cattle. Popular livestock were goats/sheep, cattle, and buffalo. They were used for manure, milk, meat, and ploughing. Goats/sheep predominated followed by livestock raised for power. The mean livestock number of the study area was 3.40 head. Sixty-three percent of the respondents regarded irrigation as a problem and 30 percent were concerned about fodder. Lack of labour (1.5 percent) and grazing land (1.5 percent) were minor constraints. Some households used the forest for grazing their livestock as well. Generally goats foraged in the CF. Cattle and buffalo were stall-fed.
Table 5. Test statistics of importance of natural resources in the sampled households
Test statistics Chi-square Pearson Correlation Test variable Grouping variable Test value = 18.442 -0.234
2

P value 0.005 0.036

Sig. level 0.05 0.05

Importance of forest Study group 1. WAI of importance of forest 2. Distance from house to forest

When a chi-square test was performed on the importance of forest, there was significant difference in the mean of perceived importance of forest among the three study groups (Table 5). In a correlation test, there was negative correlation between the WAI of importance of forest and forest distance from the households. This indicates that those people who lived close to the forest perceived the forest to be more important for their households. Knowledge on resource conservation The most important conservation activity is forest conservation followed by irrigation canal protection; prevention and control of landslides; plantation on owned land; flood control; water source protection; thinning, pruning, and weeding in the forest; cultivating suitable land; plantation in the forest; runoff retention dam construction; and horticulture. Participation in any conservation activity depends on the importance of the activity for the concerned households. The highest WAI of importance for conservation activity was 0.9299 for forest conservation and the lowest WAI was 0.4167 for fruit tree plantation. ANOVA revealed that the difference in mean was significant for plantation on forest land, landslide control, flood control, runoff retention dam construction, water source protection, cultivating suitable land, irrigation canal protection, and fruit tree plantation. People living in sloping land areas were concerned about landslide control while those who lived around rivers focused on flood control. Users attributed natural resource destruction to: fire, uncontrolled cutting of forest, users ignorance, over-grazing, lack of periodic afforestation, lack of conservation measures, population increase, and political instability.

137

Natural disasters Sustainable management and utilization of natural resources play an important role for prevention and control of natural disasters. Overall trends in natural disasters were decreasing in Parroha (with SCUG) but remained constant in both Parroha (without SCUG) and Bolbum CF. SCUG users who lived near rivers at the foothills of the Siwaliks have been affected by flooding and landslides more frequently in recent years. Availability and sufficiency of forest products About 28.4 percent of the respondents considered that forest product availability was sufficient, 37.5 percent perceived no change since CF, and 34.1 percent perceived that availability was lower since CF (Table 6). Regarding less availability of forest products, most users said that after the implementation of CF, there was no opportunity for free cutting. Other indicators were high population of the study area and high price of forest products charged by the CFUG.
Table 6. Availability of forest products
Availability of FP Enough Same as before Less than before WAI Parroha CF 20 (33.9) 22 (37.3) 17 (28.8) 0.6802 Bolbum CF 5 (17.2) 11 (37.9) 13 (48.8) 0.5707 Total 25 (28.4) 33 (37.5) 30 (34.1) 0.6441

Source: Field Survey (2004). (Score: 1= enough, 0.66= same as before, 0.33= less than before)

Almost all users depended on fuelwood as an energy source. Women claimed shortage of fuelwood for cooking and blamed the collection rules for the shortage. There was negative correlation between the total number of household members and sufficiency of forest products, and the correlation was significant (Table 7). This indicates that forest products available from the CF were insufficient for large households.
Table 7. Sufficiency of forest product from the CF
Parroha CF Sufficiency of forest products Enough General Less than required WAI With SCUG 1 (3.1) 31 (96.9) 0 0.6706 Without SCUG Bolbum CF 3 (3.3) 80 (88.9) 7 (7.8) 0.6457 Pearson Correlation = -0.331 (between WAI of sufficiency of forest products and number of family members); correlation was significant at 0.01 level. Total Test statistics

1 (3.4) 1 (3.4) 26 (89.7) 23 (79.3) 2 (6.9) 5 (17.2) 0.6490 0.6186

Source: Field Survey (2004). (Score: 1 = enough, 0.66 = general, 0.33 = less than required)

Most of the users were dependent on the CF for forest products. The greatest need was wood for charcoal (only used by blacksmiths), followed by inter alia , fuelwood, thatching grass, and leaf/ litter. Dependency on the forest was higher in Parroha CF (with SCUG) than elsewhere. The frequency of collection depended on the collection rules followed by the users in both CFs. The mean frequency of collection was higher in Parroha (with SCUG). Generally women were more involved in the collection of forest products. 138

Benefits from community forestry Out of a total of 92 respondent surveyed, 81 persons said they benefited to a certain degree from the implementation of CF and the soil-conservation programme, nine people argued that they did not benefit, whereas two gave no opinion. Seventy-nine respondents reported that they had not suffered loss since programme implementation.
Table 8. Perceived benefits from CF and soil-conservation activity
Test statistics ANOVA t-test t-test Test variable WAI of perceived benefits WAI of perceived benefits WAI of perceived benefits Grouping variables Study group CF with SCUG and CF without SCUG Gender (male and female) Test value F= 3.871 t= 2.782 t= 2.152 P value 0.044 0.013 0.047 Sig. value 0.05 0.05 0.05

ANOVA revealed there was significant difference in perceived benefits among the three study groups (Table 8). Similarly, the independent sample t-test showed the difference in perceived mean benefits was significant with gender also. Perception of benefits was higher in Parroha CF (with SCUG) which indicated that people close to the forest benefited more than others. Similarly there was gender imbalance in benefit distribution. Peoples participation in CF and soil-conservation activities Men were more interested in collecting timber whereas women were more concerned with fuelwood and fodder. Level of participation Participation was studied at two levels. Firstly, participation of households in discussions and sharing ideas with CFs and SCUGs and secondly representation during community work. It can be inferred from Figure 2 that most of the respondent households did not participate in discussions or share ideas on the CF programme. Around 6.5 percent of the households always participated in discussions and shared ideas; almost all of the users participated in group work when the CFUG requested assistance one reason being penalty for defaulters in all three groups for not participating in group work, but there was no penalty for not attending discussions or meetings. Participation in different activities (participation of respondents) A CFUG should typically hold meetings of the entire assembly of users to address issues on CFUG administration, CF management or distribution of benefits from the CF. Both CFUGs had large number of households and they held general assembly meetings with all the users only once a year. To address management and other problems, Parroha CFUG was divided into five sub-groups and Bolbum CFUG was divided into seven sub-groups. People held meetings within sub-groups on different issues. Decisions of their group meetings were again discussed during the executive committee meeting and the major decisions were taken by the executive committees.

139

70 60 50

Percent

40

Study group
30 20 10 0 always often occassionally never Parroha CF with SCUG (west Ganganager SC) Parroha CF without SCUG Bolbum CF

participation on discussion and giving idea in CFUG

Figure 2. Participation in discussions and sharing ideas with the CFUG

Participation at the time of group formation The persons who participated more at the time of group formation would participate in resource conservation activities as well. Less than one-third of the respondents participated at the time of user group formation in both Parroha (without CF) and Bolbum CF whereas almost two-thirds of the respondents participated in the soil-conservation group. When a chi-square test was performed on gender and participation in group formation, there was significant difference in gender participation at the time of group formation. Participation in CFUG group meetings Very few people were involved in discussions and sharing ideas. An independent sample t-test revealed that the difference in the mean of participation was significant with gender. Similarly in the same test, the difference in the mean of participation was significant with and without SCUGs. The findings indicated that participation at group meetings was higher for combined CFUGs and SCUGs and gender imbalance was noticed in group meeting attendance (Table 9).
Table 9. Test statistics for participation in group meetings
Test statistics t-test t-test Test variables WAI of participation in group meetings WAI of participation in group meetings Grouping variables Gender (male & female) CF with SCUG and CF without SCUG Test value t= 2.374 t=2.352 P value 0.020 0.021 Sig. level 0.05 0.05

Participation in CFUG operation decisions Participation was very low; only 5 percent always participated in operational decision-making and more than 63.3 percent never participated. Committee members were more involved than general

140

members in regular decisions on CF. Men were more active than women. For ANOVA on the mean of operational decisions within land-holding groups and also regarding positions on committee, there was significant difference in both means. Participation in forest product collection There was higher participation in fodder and fuelwood collection compared to other products for all the three groups (Table 10). Seventy-one percent of the respondents never entered the forest directly to collect wood because CF rules prohibited free access; timber could be obtained from the CF office.
Table 10. Test statistics of participation in forest product collection
Test statistics ANOVA Test variables WAI of participation in forest product collection Grouping variables Household distance group Test value F= 7.245 P value 0.000 Sig. level 0.05

ANOVA revealed that participation in forest product collection was significantly different with distance of households to the CF, i.e. remote users obtained less benefits. Participation in soil-conservation groups There was more participation in the SCUG than the CF. In the study area, the SCUG was very small with only 71 households living in a small village; thus it was easier to inform all users on any decisions reached. Although the participation in the SCUG was higher than the CF, a t-test showed that the difference in mean of participation by gender was significant. Knowledge about functioning of the SCUG Flow of information about decisions Most positions on the executive committee were occupied by elite members who controlled harvesting, product distribution, and mobilization of funds. Regarding decision-making methods, around 60 percent of the respondents said that they had no idea how decisions were made. The flow of information about group decisions on CF was very low in both CFs but slightly higher in the SCUG vis vis the soil-conservation programme. It seems that SCUGs were more aware about group work. In all studied groups, 50 percent of the respondents never learned about group decisions (Table 11).

141

Table 11. Distribution of information about group decisions

Information about group decision With SCUG About CF Always Often Rarely Never 9 (28.1) 3 (9.1) 11 (34.4) 9(28.1) About SCUG 10 (31.3) 4 (12.5) 10 (31.3) 8 (25.0) 1 (3.3) 1(3.3) 11(36.7) 17 (56.7) 0 2 (6.7) 13 (43.3) 15 (50.0) Parroha CF Without SCUG Bolbum CF

Source: Household Survey (2004). The figures in parentheses represent percentages.

Flow of information about group work The flow of information about group work was more than the flow of information about group decisions. In Parroha (with SCUG), most people always knew about their group work while in Parroha (without CF) and Bolbum CF most people rarely knew about their group work. Level of satisfaction with group work This was different among the three study groups. The people who were involved in both CF and the soil-conservation programme were more satisfied than those people involved only in the CF programme. From a t-test, it was found that there was significant difference in the level of satisfaction about CF with or without SCUG. The users with SCUG were more satisfied than the users without SCUG. Knowledge about funds, training, and support Generally, funds were used on work that benefited the users. In Bolbum CF, funds were lent to users for income-generation activities. Most of the funds of all three study groups were spent on village development work such as gravelling of roads, donations to schools etc. Ninety percent of the users said that there was no distribution of cash income among users and 9.8 percent had no idea about cash distribution. Twenty-five percent of the users in all three study areas obtained support from different organizations for different income-generation activities. Analysis of factors influencing participation in CF Principle component analysis revealed seven components (factors) with eigen values exceeding 1. The first factor was CF governance, with rules followed by the CF, and accessibility of forest products as major variables; forest distance from households, functioning of the CF, perceived benefits, and involvement at the time of group formation were complementary factors. Factor 1 explained 21.204 of total variance. This factor was associated with government policy for CF and accessibility of forest products too. The second factor was household characteristics; this comprised total land-holdings, total number of working people, forest distance, and dependency on fuelwood as major variables with dependency on fodder and occupation as complementary variables. This explained 12.639 percent of total variance. The third factor was awareness about CF, which constituted functioning of the CF and position on the CF committee, involvement at the time of group formation, satisfaction from CF, and household food

142

security as major variables with availability and accessibility to the forest as complementary variables. This factor explained 9.939 percent of total variance. The fourth factor was need for forest products, which comprised the need for fodder, need for fuelwood, and perceived benefits from CF as major variables with satisfaction from CF as a complementary variable. This factor explained the 7.754 percent of total variance. The fifth, sixth, and seventh factors had only two variables each as major variables in the factor loading. The fifth factor was education and dependency (major variables) with dependency on fuelwood as a complementary variable. The sixth factor was occupation and caste (major variables). The seventh factor was income and availability of forest products (major variables). The factors with less than three variables were not considered as main influencing factor in this study. Perceptions towards CF and soil-conservation activities Perceptions about CF policy All three study groups were positive about the CF programme. The method for forming users groups received the lowest WAI score. ANOVA examined the relationship among the three study groups and significant difference was observed in the mean score of the CF programme. Similarly an independent sample t-test was performed to understand the relationship between CF (with SCUG) and CF (without SCUG) and again significant difference was observed. There was positive correlation between government rules for CF and peoples participation and the correlation was significant. People who approved of the governments rules for CF participated more in the CF programme. Perceptions about accessibility of forest products after CF Improvement in forest condition and increase in standing volume of timber do not necessarily mean that there is increased access to forest products. This depends on the collection rule followed by the users. The lowest WAI score was for accessible forest grazing, timber, and thatching grass. One user remote from the CF office claimed that their group could not obtain forest products easily, because they had already been removed when they reached the forest and they had to penetrate deep inside the forest to collect forest products. There was positive correlation between accessibility of forest products and participation in the CF programme. Perceptions on rules followed by users The rules followed by the CFUG were directly related to benefit sharing from the CF. ANOVA found that there were different perceptions about rules and this was significant among the three groups. People who wanted to enter the forest directly to collect forest products were less satisfied with rules whereas the people who did not enter the forest directly for the collection of forest products, as they intended to buy them from the CF office, were more satisfied with the rules. There was positive correlation between peoples participation and rules followed by users in the CF programme. Perceptions on functioning of the CF ANOVA found that there were different perceptions on the functioning of the CF and these were significant in the three study groups. The difference was significant among the general members and 143

executive committee members. There was a positive correlation between peoples participation and perceived functioning of the CF. People who thought that the users groups were functioning well also participated more in the CF programme. One female committee member of Bolbum CF said that men on the committee generally did not listen to women during decision-making. Perceptions on effectiveness of conservation All three-study groups thought that conservation was effective (Table 12). This was appraised through change in condition of the forest, change in water availability, change in flood and landslide events, and reduction of illegal cutting. People who thought that conservation was effective through CF participated more in the CF programme.
Table 12. Test statistics of opinions about the effectiveness of conservation
Test statistics t-test Test variables Grouping variables Test value t=3.663 F=7.088 0.304 P value 0.000 0.001 0.009 Sig. level 0.05 0.05 0.01

WAI of opinion about CF with and without SCUG effectiveness of conservation ANOVA WAI of opinion about Study group effectiveness of conservation Pearson 1. WAI of opinion about effectiveness of conservation Correlation 2. Participation in CF

Perceptions on CF In one analysis, the overall perception about CF differed significantly regarding the food balance of the users (Table 13). Another analysis suggested that generally people were positive about the programme. The people with better food security throughout the year were more positive about the CF programme than the people who were less food-secure.
Table 13. Test statistics of overall perceptions about CF
Test statistics ANOVA ANOVA Test variables WAI of overall perceptions about CF Overall perceptions about CF Grouping variables Study group Food balance group Test value F= 6.008 F= 3.893 P value 0.005 0.014 Sig. level 0.05 0.05

Sense of security and ownership (CF resources) A slight majority of households (51 percent) said that they felt more secure about their rights to resources in CF. Reasons given for no change or decrease in sense of security included control and monopolization of CF resources by executive committee members and price discrimination among users. Poorer respondents said that there was no free access to collect forest products and the CF was selling the forest products.

144

Perceptions on the soil-conservation programme Perceptions about the soil-conservation programme were positive among users in the programme implementation area and higher than CF. Policy analysis Learning from experience, the forest policy of Nepal has gradually changed from government-controlled forest management to participatory forest management. Currently the forest policy has centred on peoples participation in both forest and soil-conservation programmes. Community forestry, which is the basis for peoples participation, is functioning well in the hills, but this is not the case in the Terai (Amatya, 2002). For the Terai, Siwaliks, and inner Terai, the government is trying to manage forest resources through collaborative forest management. Contradiction between the Forest Act and local self-government act There are many contradictions between the Forest Act and the local self-government act (LSGA) in terms of rights and responsibilities. The main contradictions are: (1) Misconception among members of the local government that forests within the area of the village development committee/district development committee (VDC/DDC) are the property of the VDC/DDC. (2) Section 17 of the Forest Act stipulates that no person shall be entitled to any right or facility of any type in national forest. (3) Section 68(1-C) of the LSGA stipulates that the forest granted by the prevailing forest laws and the government are the property of the VDC. (4) The LSGA stipulates that natural heritage, which includes forests, lakes, ponds, and rivers is the property of the VDC. (4) Section 218 of the LSGA stipulates that money from the sale of sand, stone, concrete, and soil, belongs to the DDC fund. This contradicts the definition of forest products under section 2(C) of the Forest Act. (5) Section 33(1) of the LSGA empowers VDCs to hear complaints relating among other things, to pasture, grass, and fuelwood, but the Forest Act does not provide such rights to VDCs. Contradiction between the Forest Act and other acts There are many contradictions between the Forest Act and other acts. 1) The Water Resource Act has vested the ownership of all water resources in the Kingdom of Nepal. Thus this act does not recognize the rights of CFUGs for water resources within CF areas. 2) The Nepal Mine Act has vested the ownership of any minerals in His Majestys Government of Nepal (HMGN). 3) The Environment Protection Act empowers the government to designate any area as an environment conservation area. This provision conflicts with the Forest Act once the Ministry of Population and Environment starts delineating conservation areas. 4) The following legislation empowers the government to acquire any land to fulfill the objectives of the respective acts.

145

a. b. c. d.

Section 4 of the Public Road Act (1974) Section 16 of the Water Resource Act (1993) Section 21 of the Electricity Act (1992) Sections 3, 4, and 25 of the Land Acquisition Act (1977)

Community forestry and SWOC analysis A SWOC (strengths, weaknesses, opportunities, and constraints) analysis was carried out for the community and collaborative forestry management programme (Tables 14 and 15).
Table 14. SWOC analysis of CF
Strengths 1. Institutional development, networking, and mutual relationship 2. Sense of ownership of resources 3. Peoples participation and participatory forest management 4. Easy forest product collection and distribution among users 5. People themselves can decide the programme 6. Conservation of forest and biodiversity 7. Implementation of indigenous forest management 8. Reduction on encroachment and illegal felling 9. Improvement in forest condition 10. Environmental protection 11. Increase in forest products and habitat for wildlife 12. Reduced floods and landslides and soil erosion and increased water availability 13. Skills, powers, and self-esteem developed in the users group and development of group working attitude 14. Awareness about rights about forest products 15. Strong relationship between bureaucrats and forest users 1. 2. Weaknesses Lack of judicial distribution of forest products Difficulties in user identification especially in the Terai and less emphasis on user group formation Lack of practical constitution and working plan Less participation of the poor, women, and disadvantaged groups Ignorance of policy, rules, and regulations of CF No or less coordination with local government (VDC, DDC) and others Lack of communication Lack of awareness about CF especially for Terai users Rush to hand over the forest Lack of programmes for the poor More power on the executive committee and decisions are committee oriented Funds focus on physical construction CF is dominated by elite people The traditional users who are remote from the forest lose their users rights No alternative occupations for those users who previously totally depended on forest products for their livelihoods Constraints and threats 1. 2. 3. 4. 5. Illiterate users Less participation due to poverty, no time to participate in forest management Frequent change in policy, rules, and regulations High political influence More benefits taken by the elite and executive members and deforestation for personal benefit by committee members Illegal cutting by users who displaced from their original occupation

3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15.

Opportunities 1. Can develop effective communication with local and external stakeholders 2. Institutional development for sustainable use of resources 3. Focus on income-generating plantation through scientific management of resources 4. Selection of projects for the poor depending on the aim of the CF 5. Can follow participatory group formation methods 6. Opportunity for different income-generating activities and employment

6.

146

7. 8. 9.

Support for village development like electricity, schools, roads, temples etc. Motivation for women, poor and the disadvantaged Support for poverty alleviation

7. Control by elite and rich people in the CF 8. Less awareness of women, poor, and disadvantage groups on CF 9. The executive committee is dominated by people who do not use forest resources 10. Constitution and working plan for handover of CF 11. Displacement of traditional users from resource use 12. Terai CF is used to earn money rather than fulfilling the basic needs of local people 13. Users cannot read their constitution and working plan and they do not know their rights and responsibilities

Collaborative forest management The new concept formulated for management of forest in the Terai, Siwaliks, and Inner Terai is collaborative forest management which has been incorporated in the Forestry Sector Policy (2000). The basic forest management unit is the collaborative forest management group (CFMG). There is a vast difference in the benefit distribution mechanism between the CFUG and the CFMG. CFUGs are free to fix the rate and distribute the major forest products within the CFUG. They only have to pay 20-40 percent royalty to the government if they sell the forest products outside the CFUG. For CFMG, the minimum rate for forest products is the government royalty rate and only 25 percent of the royalty is separated for the local fund. The CFMG has no authority to distribute and utilize the fund and authority for the distribution of the 25-percent fund is vested in the District Forest Co-coordination Committee (DFCC). The CFMG has authority for cutting and topping products only. According to the new concept for forest management and the Forestry Sector Policy (2000), the area delineated for CF includes only small patches in the Terai, Siwaliks, and Inner Terai. People think that the government is gradually withdrawing their rights from the forest and this may create misunderstanding between users and the government. Finally if the Terai forest is managed properly through collaborative forest management, it can accord users rights to remote users of the Terai who are the traditional users of the forest and who are now displaced by hill migrants.
Table 15. SWOC analysis of the Forest Sector Policy 2000
Strengths 1. 2. 3. 4. 5. Participatory programme Include users who are not included in CF Gives right to traditional users Sustainable development of forest resources and sustainable supply of forest resources Involvement of all stakeholders in forestry sectors Opportunities 1. 2. 3. 4. Equal involvement of near and remote users for forest management The area within the collaborative area will be developed according to local thinking Plantation on barren areas Sustainable management of governmentmanaged forest 1. 2. 3. 4. Weaknesses No judicial distribution of resources People think it is complementary with CF No linkage between CF and this policy There is no unity for benefit distribution between CF and collaborative forest management 5. No act and regulation for collaborative forest management yet Constraints (threats) 1. Small forest area with more users 2. Conflict due to difficulties in user identification 3. Difficulty to involve all users in forest conservation 4. Most forest already handed over to CF in some districts 5. CF users may oppose this

147

Peoples participation in soil conservation and watershed management Based on this policy, the following elements for peoples participation in soil-conservation and watershed management programmes have been developed: 1) 2) 3) 4) Identify activities that are conservation as well as needs oriented, and profitable for the farmers. Plan and identify activities at the grassroot level. Make the budget and government policy transparent to farmers Develop extension programmes to generate awareness and expertise about conservation and its benefits, and involve people in all stages of programme planning, implementation etc.

Despite peoples participation in the soil-conservation programme, the status of the users groups established to fulfill the objectives of the Soil and Water Conservation Act (SWCA) is unequal. The SWCA is silent about the establishment, registration, and powers and function of these users groups. There is no provision for registration of users groups like CFUGs. The implementation procedure is also different in the project (supported by NGO) and non-project (government supported) areas. In the project area there is regular support from the NGO and the group is working continuously, but in the non-project area the programme depends on the budget of the DSCO. There is no regular follow up by the DSCO and the users themselves. Therefore to continue the work and also to empower the users group there should be provision for user group registration (soil-conservation programme) within the Ministry of Forest and Soil Conservation and provision of a working plan for the nonproject area also. A single group could decrease costs for training, tours etc. Most of the users were in favour of a single group for resource conservation work. Conclusion Despite no limit on political and administrative boundaries for CF, the user groups are delineated according to political boundaries. Thus some people who never use forest products are also included in the user group. Most of the users of both CFUGs are unaware about the groups work and they do not know their CF rights. Most of the executive members are occasional users of forest products. People generally participate only for labour when the CFUG calls on them to do so. The degree of participation in discussion and sharing of ideas is very low. There is no enabling environment for marginalized people to participate in decision-making and benefit sharing in both CFUGs and SCUGs. The elite seldom listen to their voices. Factors that influence peoples participation in CF include government policy about CF, household characteristics of the users, awareness about the programme, and the need for forest resources. Greater power is given to committee members to make decisions. This discourages participation among the users. The users perceptions on any conservation programme are based on their general understanding of the conservation activities, their understanding of needs and resources, and experience gained from programme participation. The peoples perceptions towards CF are rather positive. It is mainly shaped by their perception on government rules for CF, accessibility of forest products, rules followed by users, functioning of the users group, and effectiveness of the conservation activities. Similarly peoples perceptions of the soil-conservation programme are also positive and mainly shaped by the effectiveness of the activities and functioning of the programme. The soil-conservation programme had greater appreciation than community forestry. Although the forest policy encourages maximum participation of local people for its activities both in CF and the soil-conservation programme, the present forest policy of Nepal is inadequate to encourage the users to participate in managing CF in order to protect the socio-economically 148

disadvantaged users from exploitation and suppression. The Forest Act (1993) does not recognize the role of local government bodies such as VDCs and DDCs in CF, nor assigns rights and responsibilities between the DFO and CFUGs. The CF policy is more focused on major forest products. Enough focus is not given to minor forest products, soil and water conservation, protection of the environment, and biodiversity conservation. Literature cited Amatya, S.M. 2002. A review of forest policy in Nepal. In Proceedings of the Forest Policy Workshop, January 22-24, 2002. Kuala Lumpur, Malaysia. Retrieved from FAO website: http://www.fao.org/DOCREP/003/AB576E/AB576E17.htm Ervin, C.A. & Ervin, D.E. 1982. Factors affecting the use of soil conservation practice: Hypothesis, evidence and policy implication. Land Economics, 58: 277-291. Paudel G.S. 1998. Approach to Watershed Management in Developing Countries. A special study submitted for the award of the degree of Doctor of Philosophy Program, Asian Institute of Technology. Bangkok: Agricultural Conservation and Rural Development Program, SERD, AIT. Thapa, G.B. & Weber, K.E. 1990. Actors and factors of deforestation in tropical Asia. Environmental Conservation, 17:19-27. Thapa, G.B. & Weber, K.E. 1994. Issues in natural resource management in developing countries. Natural Resource Forum, 18: 115-123.

149

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

FOREST LAND-USE DYNAMICS AND COMMUNITY-BASED INSTITUTIONS IN A MOUNTAIN WATERSHED IN NEPAL: IMPLICA TIONS FOR FOREST GOVERNANCE AND MANAGEMENT Ambika P. Gautam1

Introduction Nepal has witnessed substantial changes in forest policies and the condition of the resource over the past few decades. Before 1957, the governments focus was on conversion of forest lands to farmlands, and extraction of timber for export. There were many traditional or indigenous forest management systems, particularly in the Middle Hills. These systems operated under different institutional arrangements at different times and locations. The countrys forests were nationalized in 1957. This followed an era of increased national control of forests through stringent laws and expansion of the forest bureaucracy until 1976. This approach failed as evidenced by widespread deforestation and forest degradation across the country from the 1960s to the 1980s (Gautam et al., 2004). The Nepalese Government formally adopted the concept of participatory forest management in 1978 through the formulation of Panchayat Forest and Panchayat Protected Forest Rules. Since then, community-based forest management (CBFM) has evolved from the limited participation of local agencies in forest management in some areas to being the most prioritized forestry programme of the government by 1989 (Bartlett, 1992; Acharya, 2002). There has been increasing transfer of public forest lands to the local Forest User Groups (FUGs) organized under the community and leasehold forestry programmes implemented by the government with support from various bilateral and multilateral donor agencies. Forest Department records show that a total of 12 924 registered FUGs, comprising 1 450 527 households, had been established by 9 December 2003; they managed 1 042 385 ha of community forest land (about 18 percent of the countrys forested area). Most of these community forests were in the Middle Hills. In addition, around 7 500 ha of degraded forest were given to small groups of local people living below the poverty line under the leasehold forestry programme. Several studies have shown that the community and leasehold forestry programmes have met with some notable successes in terms of improving the biophysical environment, uplifting rural livelihoods, and institutional development, particularly in the Middle Hills where the programmes have been extensively implemented (Collett et al., 1996; Pokharel 1997; Braney and Yadav, 1998; Jackson et al., 1998; Sterk, 1998; Agrawal and Ostrom, 2001; Webb and Gautam, 2001; Gautam et al., 2002). Because of these achievements, Nepal is now considered as one of the most progressive countries in the world in terms of CBFM. The widely hailed community forestry programme, however, has been subject to the highest level of debate in recent years regarding the role of government agencies and local communities in the

Ph.D. Thesis (Ref. No. NR-02-03), Asian Institute of Technology, Bangkok, Thailand. December 2002. Examination Committee - Dr. Ganesh P. Shivakoti (Chair), Dr. Edward L. Webb (Co-Chair), Dr. Apisit Eiumnoh, Dr. Michael A. Zoebisch

151

implementation of the programme. One of the core issues stimulating this debate is whether the local communities are capable of sustainable management of all the accessible forests in the country. If not, what factors affect their success or failure? Despite substantial research on CBFM during the last two decades, these critical questions remain largely unanswered. In the above context, this study analysed: (1) the trends of changes in major land use/land cover (hereafter called land use) in general and forests in particular in the study area from 1976 to 2000; (2) patterns of changes in the landscape of the study area during the period, with special focus on forest fragmentation; (3) the role of community-based institutions, along with some major ecological and economic factors, in determining the observed trends of changes and present condition of forests in the study area; and (4) factors influencing the institutional sustainability of community-based forest governance. Changes in availability of major forest products to the user households, changes in the level of soil erosion and flow of natural streams during the last two decades as perceived by the local users, and the general contribution of CBFM in the overall development of the watershed have also been assessed. The main objective is to assess the role of communitybased forestry institutions in determining the status of watershed forests and to explore conditions influencing the success of these institutions in sustainable forest management. Study area The study was conducted in Upper Roshi Watershed located within Kabhrepalanchok District (85.39 - 85.57 E, 27.54 - 27.70 N) in the Middle Hills of Nepal (Figure 1). The watershed covers an area of 15 335 ha. The altitude varies between 1 420 to 2 820 metres above sea level. The climate is monsoonal with a dry season normally lasting from November to May and a rainy season from June to October. Microclimate varies considerably with elevation and aspect. The area is drained by three rivers (the Punyamata, Bebar, and Roshi) and their numerous Figure 1. Location of the Upper Roshi Watershed within tributaries (Figure 2). Kabhrepalanchok District, Nepal

152

Figure 2. Drainage and elevation in the Upper Roshi Watershed

The watershed can be divided into fertile, relatively flat valleys along the rivers and surrounding uplands with medium to steep slopes. Forests are mostly confined to higher slopes and consist of both natural mixed broadleaf forests as well as pine plantations. A single large block of natural forest in the southern mountainous region represents around 50 percent of the total forest area of the watershed. The rest of the forests are generally fragmented and scattered over the agricultural landscape. Many of these lower elevation forests have been handed over to FUGs formed under the community forestry programme of the government implemented in the area since 1978 with continuous support from the Australian Government. According to the records available in local district forest offices, a total of 2 135 ha of public forest land in the watershed was being managed by 63 formally registered FUGs consisting of 6 808 households under the community forestry programme by the end of 2000. Another 110 ha of degraded forest were managed by small groups of local people living below the poverty line under the leasehold forestry programme. Some other forest patches were under the semi-government type of governance arrangement. Semi-government forests, as defined in this study, include forested areas that were legally under the authority of the district forest office but with de facto control and claim of ownership by local communities and/or municipalities. Methods The study used a multiscale and interdisciplinary approach for data collection and analysis. The trends of changes in forest cover and other major land uses between 1976 and 2000 and relationships between forest cover change, major physiographical factors, accessibility, local economy, and governance 153

arrangements were analysed at the watershed level using remote sensing and geographic information system (GIS) technologies. Three satellite images including a Landsat Multi-spectral Scanner image from 1976, a Landsat Thematic Mapper image from 1989, and an Indian Remote Sensing image (IRS-1C, LISS-III) from 2000 served as the main data sources in these analyses. Black-and-white aerial photographs of 1: 50 000 scale and topographic maps of 1: 25 000 scale acquired from the Survey Department, His Majestys Government of Nepal, were also used. The following six land-use classes were considered in image classification: broadleaf forest, conifer forest, shrublands, grasslands, lowland agriculture, and upland agriculture, plus others. Patterns of changes in patchiness and degree of irregularity of different land-use plots were analysed by following a Shape Complexity Index (SCI) approach suggested by Kammerbauer and Ardon (1999; see Gautam, 2000 for details). The relationships between the biological conditions of eight selected forests within the watershed and the physiographical and socio-economic factors and the governance arrangements were further analysed at the individual site level using primary data collected following the International Forestry Resources and Institution (IFRI) research methods (see IFRI, 2001 for details). Six of the selected forests were community forests (forests managed by formally registered FUGs formed under the community forestry and the leasehold forestry programmes of the government) and the remaining two were semi-government forests. Forest condition in these analyses was represented by five dependent variables including average diameter at breast height (DBH) of trees, average height of trees, density of trees, density of saplings plus shrubs, and richness of plant species. The effectiveness and sustainability of the community forest and the semi-government forest governance systems were assessed based on their institutional robustness as evaluated using Ostroms (1990) design principles as a theoretical and evaluative framework. These design principles characterize the configuration of rules devised and used by long-enduring common pool resource institutions (Ostrom, 1990). The effects of the changes in forest condition on the availability of four essential forest products (fuelwood, timber/poles, fodder, and leaf litter) for the user households, adaptation strategies of the households to the changing availability of the forest products, and users perceptions of changes in local environmental condition (level of soil erosion and changes in stream flow) were analysed using primary data/information collected through semi-structured interviews with 106 household heads selected randomly from 16 FUGs within the watershed. Information on non-forestry development activities of the community FUGs was collected using rapid rural appraisal techniques, including discussion in small groups and key-informant interviews, and direct observations in the field. In addition to the spatial and non-spatial data collected using the various methods discussed above, the research also made use of other secondary data/information collected from various agencies and sources. Results and discussion Changes in land use and landscape The results show that between 1976 and 2000, the forest area in the watershed increased while grasslands and cultivated areas decreased. Shrublands decreased during the first half (1976-1989) of the study period due to the heavy loss of this class to forest and agriculture but increased during the second half (1989-2000) mainly at the expense of upland agriculture and high elevation forests (Table 1; Figure 3).

154

Table 1. Areas under different land uses during the three periods and changes
% change in land use between 1976 and 2000 % 33.2 6.7 6.7 1.3 11.9 40.0 +6.8 +82.2 -21.8 -58.2 +16.2 -7.4

Land-use class Area Broadleaf forest Conifer forest Shrublands Grasslands Lowland agriculture Upland agriculture and others

1976 % 31.1 3.7 8.6 3.1 10.3 43.2

1989 Area 4 967.1 819.0 711.3 236.5 2 023.3 6 578.0 % 32.4 5.3 4.6 1.5 13.2 42.9 Area

2000

4 771.4 567.9 1 318.9 471.6 1 578.0 6 627.4

5 098.4 1 034.9 1 031.4 197.1 1 834.0 6 139.4

Figure 3. Land use in Upper Roshi Watershed in 1976, 1989, and 2000

Together with changes in spatial extent, there were distinct changes in the number and shape of the land-use patches with a more than 50 percent decrease in the number of forest patches and substantial increase in average patch area between 1976 and 2000 (13.5 ha vs. 35.0 ha). The significant change in the number of patches and average patch area suggests merging of smaller patches due to forest regeneration and/or plantation establishment on degraded sites previously separating two or more forest patches. The result, however, indicates more irregular shapes of forest patches in the latter periods as evidenced by higher deviation between actual SCI and optimal SCI (computed assuming circular shapes of the forest plots) in latter periods compared to the earlier timeframe. Further investigation on changes in forested area (forest plus shrublands) of the watershed revealed that of the total 6 658 ha of forest and shrub area in 1976, 64.3 percent remained unchanged, 12.6 percent improved (shrublands in 1976 converted to forest in 2000), four percent deteriorated (forest in 1976 converted to shrublands in 2000), and 19 percent lost to other use in 1976 and 2000. The high loss of forested area to other use was, however, compensated by gain from other use and there was an overall 7.6 percent net gain in forested area during the period. 155

Available evidence suggests that the following three main factors contributed to the observed trends of changes in land usage. First, abandonment of many agricultural plots located on steep slopes by farmers due to decreasing productivity and also due to labour shortage caused by the increasing attraction of waged labour for men in Kathmandu and other places (Collett et al., 1996; Jackson et al., 1998). Second, plantation establishment by the forest department and FUGs on degraded forest lands, barren lands, and grasslands with external assistance that contributed to the increase in forest area. Third, conversion of degraded forest and shrublands into forest after protection by local user groups organized (both formally and informally) under the community forestry programme implemented by the government since the late 1970s contributed to the increase in forest cover. Relationships of forest cover change with physiography, accessibility, and local economy GIS-based analyses of the relationships revealed that forest dynamism from 1976 to 2000 was higher in low-elevation, south-facing, and less steep slopes that were closer to the roads. Proportionately highest net improvement and gain in forested area also took place in these locations. Forest degradation was at least two times higher compared to improvement in high elevation areas (>2 300 m). Forests located within municipal areas (market-oriented economy) experienced proportionately higher amounts of net improvement and gain compared to the forests in the Village Development Committees (subsistence economy). The results from the site-specific studies indicate that: (1) slope steepness has a positive effect, but elevation has negative effects on the condition of local forest patches; (2) stocking of trees and saplings is better in warmer and drier slopes whereas moist and cooler slopes are more amenable to higher species richness; (3) local economy did not play a significant role in determining the condition of local forest patches. Three factors, namely distance between forests and settlements, forest conservation, and development activities of the district forest office and the communities, and changing patterns of forest product consumption by some households in lowland areas (due to increasing availability of alternatives) might have contributed to a higher level of forest dynamism in lower elevation areas. The difference in the results between northern and southern aspects can be explained by the difference in microclimatic conditions. The south-facing slopes are warmer and drier than northern slopes, which makes them more suitable for settlement and for general agricultural use. The north slopes on the other hand, are cooler and moist, where colonization of tree and shrub species is more evident (Jackson, 1994). The higher rate of forest dynamism on low slopes suggests an increase in human pressure on the forests in these areas, resulting in a higher rate of forest deterioration and loss. However, the forestation programmes and community involvement in forest management contributed to substantial forest improvement and gain in these areas from non-forest uses. Associations of forest cover change and present condition with governance arrangements Among the three governance arrangements, proportionately highest net improvement and gain in forested area from 1976 to 2000 took place in semi-government forests. This was followed by formalized community forests. The government forests, which are mostly confined to the southern high mountains (comprising around 50 percent of the total forested area), and are virtually open access, remained relatively stable during the study period (Table 2; Figure 4, 5).

156

Table 2. Percent changes in forested area under different governance arrangements from 1976 to 2000
Governance type Forested area in 1976 (ha) Community Semi-government Government 1 516.1 327.9 3 433.6 Unchanged in 2000 62.3 45.3 82.7 Percent of forested area in 1976 Improved in 2000 28.4 37.5 5.4 Deteriorated Lost to Gained in 2000 other uses from other in 2000 uses in 2000 2.1 0.9 3.7 7.2 16.2 8.2 28.8 39.3 10.7

Figure 4. Location and extent of the forests under different governance arrangements (2001) in the Upper Roshi Watershed

157

Figure 5. Location and extent of changes in the forested area of Upper Roshi Watershed between 1976 and 2000

The above findings indicate that legal transfer of resource ownership is not an important precondition for successful forest conservation at the local level if the collective efforts of local users have received informal recognition by the concerned government authorities. The results also indicate that a joint effort by local forest users and local agencies improves the prospects for successful forest conservation at the local level, particularly in urban and semi-urban areas. The relatively stable condition of the government forests during the study period can be explained by their general remoteness, being far from settlements and having a lower level of extraction pressure compared to other forests, rather than effective monitoring or enforcement by the forestry staff. One of the noteworthy findings of the GIS-based analysis is that the community forestry programme was unable to cover over 50 percent of the forested area, located mostly in the southern high mountains. This remains the case even after more than two decades of external interventions to implement CBFM with favourable policy and continuous donor support. Analysis of the relationship between forest governance arrangements and the biological conditions of the selected eight forests within the watershed show that the average richness of plant species and the average number of saplings plus shrubs per plot were significantly higher in the group of community forests compared to the semi-government forests. The group of community forests also had higher average diameter and density of trees per plot compared to the semi-government forests although these differences were not statistically significant. The average height of the trees was similar in the two groups of forests (Table 3). These findings, which indicate relatively better biological conditions 158

of the formalized community forests compared to the semi-government forests, do not fully match with the findings of the watershed level analysis of the relationships between governance and forest conditions presented above.
Table 3. Mean values and significance of difference (2-tailed, 0.05 level) in mean values of dependent variables for community and semi-government forest plots
Dependent variable DBH of trees (cm) Height of trees (m) Number of trees Number of saplings plus shrubs Number of species Community (N=161) 15.1 8.0 12.1 8.5 11.7 Semi-government (N=70) 14.8 8.1 11.9 6.3 10.4 P value .490 .961 .886 .018 .006 Stat. test t t t Mann-Whitney t

Sustainability of local forest governance The findings, based on the comparison of two forest sites located in similar socio-economic and ecological conditions but with different governance arrangements, indicated the relative superiority of local forest-governing institutions in the community forest site compared to the site under the semigovernment governance arrangement. Changes in availability of major forest products The ease with which the four main forest products, namely fuelwood, timber/poles, fodder, and leaf litter, were available to the households in 2001 and 20 years earlier varied with the type of product. The respondents perceived that the availability of leaf litter and fuelwood increased significantly (Wilcoxon Signed Ranks test, p = .000 and .018 respectively) at present compared to the availability 20 years earlier while the availability of fodder decreased significantly during the same period. Availability of timber and poles increased only marginally at present compared to the availability 20 years earlier. Even for products that have been increasingly available to the households over the last 20 years, there were large differences between supply of the products from forests and household subsistence requirements. The majority (70 percent) of the respondents said that the quantity of fuelwood available was insufficient to meet their household needs and 46 percent said leaf litter was insufficient for them. For the majority of the respondents who could not fulfill their household needs from the community forest, private land was the most important alternative source for fulfilling the deficit in forest products. The results also indicate that: (1) most of the FUGs have adopted a passive (i.e. protectionoriented) approach to forest management, which has affected product availability to the households; (2) the level of soil erosion increased over the last 20 years because of increased agricultural intensification and village road construction; and (3) flow in natural streams has remained largely stable during the period. Community-based forest management and watershed development The findings shows that around 40 percent of the existing community FUGs in the watershed had implemented or supported one or more types of non-forestry local development activities in their area by 2001 with or without external support. This indicates that the FUGs are gaining an increased level 159

of social and institutional recognition as agents for overall local development. One of the important factors leading to these achievements could be the non-political nature and consensus-seeking approach of the FUGs in the decision-making process. Prospects for more meaningful contributions from the FUGs in future will depend on the approach of forest management they adopt and cooperation from relevant agencies. Conclusions and policy implications The findings of this study show a continuous gain in forest area and improvement in the biological condition of the community-managed forests after the implementation of CBFM programmes; this signifies a positive outcome of the combined long-term efforts of forest conservation and development by local communities, the forest department, and the donor agency. The governments recognition of local FUGs rights to craft their own institutions to govern forests and trust in them to manage and use forests under their control also illustrates a positive development in the institutional front of communitybased forest governance. As the study area is reasonably representative of the Middle Hills, the findings of this study provide some evidence of ecological and institutional sustainability of the community-based forest governance in the Middle Hills of Nepal. The results can thus be taken as evidence of the relative superiority of community-based forest governance compared to complete government control of the resource. The community forestry and leasehold forestry programmes, however, were unsuccessful at reaching more than 50 percent of the total forest area, most of which was located in the southern high mountains. This happened despite strong policy support and the clear priority of the government to these programmes over government management and continuous donor support for the implementation of the community forestry programme. The results thus point towards some limitations of the present models of CBFM systems as the sole resource management alternatives for all the accessible forests in the Middle Hills as envisaged by the Master Plan for the Forestry Sector (HMGN/ADB/FINNIDA, 1989). The finding that forest regeneration was higher in the group of semi-government forests compared to the community forests indicates less importance of legal transfer of resource ownership for successful forest conservation at the local level when the collective efforts of local users and their de facto rules have received informal recognition by the concerned government authorities. As the local municipalities were helping the local informal user groups in the conservation of most of the semi-government forests, the findings of this study also indicate that a joint effort by FUGs and local agencies improves the prospects for successful forest conservation at the local level particularly in urban and semi-urban areas. This conclusion is based on the assumption that the initial conditions (at the commencement of community-based management) of the community and semi-government forests included in this study were similar. The results of this study show that the community forests were not able to meet a substantial proportion of the users forestry-related household requirements, particularly for fodder and timber, despite a general improvement in forest condition over the last few decades. One of the reasons leading to this situation was a passive (i.e. protection-oriented) approach adopted by most of the FUGs in the management of community forests. Private sources of forest products were making a substantial contribution to the rural livelihoods of community and leasehold forests users by filling out the deficits in supply of forest products. A change from the present passive forest management to active management (development and sustainable use) may also increase financial resources for the implementation of rural development activities by local FUGs in addition to increased supply of products to the users. 160

The findings of this research have the following major implications for designing or improving forest policy and management strategies: (1) the community-based approach is better and thus should have preference over the traditional top-down approach of resource governance; (2) recognition and incorporation of local institutions in the formulation of forest and watershed management policies are crucial for the success of community-based management; and (3) the present one size fits all approach of the community forest handover policy in Nepal needs rethinking to accommodate biophysical and socio-economic variations across the country. Acknowledgements The research was financially supported by Danida through a doctoral research grant under the Integrated Watershed Development and Management Program of the Asian Institute of Technology, and ANUTECH Pty Ltd., Australia via the Nepal Australia Community Resource Management Project, Kathmandu. I thank the Center for the Study of Institutions, Population, and Environmental Change at Indiana University for sharing Landsat satellite images of 1976 and 1989. Literature cited Acharya, K.P. 2002. Twenty-four years of community forestry in Nepal. International Forestry Review, 4(2): 149-156. Agrawal, A. & Ostrom, E. 2001. Collective action, property rights, and decentralization in resource use in India and Nepal. Politics & Society, 29(4):485-514. Bartlett, A.G. 1992. A review of community forestry advances in Nepal. Commonwealth Forestry Review, 71(2): 95-100. Branney, P. & Yadav, K.P. 1998. Changes in community forest condition and management 1994-1998: Analysis of information from the forest resource assessment and socio-economic study in the Koshi Hills. Nepal United Kingdom Community Forestry Project, Kathmandu, Nepal. Collett, G., Chhetri, R., Jackson, W.J., & Shepherd. 1996. Nepal Australia Community Forestry Project Socio-economic Impact Study. ANUTECH Pty Ltd, Canberra. Gautam, A.P. 2002. Forest Land Use Dynamics and Community-Based Institutions in a Mountain Watershed in Nepal: Implications for Forest Governance and Management. Ph.D. thesis, Asian Institute of Technology, Thailand. Gautam, A.P., Webb, E.L. & Eiumnoh, A. 2002. GIS assessment of land use-land cover changes associated with community forestry implementation in the Middle Hills of Nepal. Mountain Research and Development, 22(1): 63-69. Gautam, A.P., Shivakoti, G.P. & Webb, E.L. 2004. A review of forest policies, institutions, and changes in the resource condition in Nepal. International Forestry Review, 6(2): 136-148. Gautam, A.P., Webb, E.L, Shivakoti, G.P. & Zoebisch, M.A. 2003. Land use dynamics and landscape change pattern in a mountain watershed in Nepal. Agriculture, Ecosystems & Environment, 99: 83-96. HMGN/ADB/FINNIDA. 1989. Master Plan for the Forestry Sector, Nepal: Forestry Sector Policy. HMGN, Ministry of Forests and Soil Conservation, Kathmandu. IFRI. 2001. IFRI Research Program Field Manual Version 10.0. Center for the Study of Institutions, Population, and Environmental Change, Indiana University, USA.

161

Jackson, J.K. 1994. Manual of Afforestation in Nepal. (in two volumes) Forest Research and Survey Centre, Kathmandu, Nepal. Jackson, W.J., Tamrakar, R.M., Hunt, S. & Shepherd, K.R. 1998. Land use changes in two Middle Hills districts of Nepal. Mountain Research and Development, 18: 193-212. Kammerbauer, J. & Ardon, C. 1999. Land use dynamics and landscape change pattern in a typical watershed in the hillside region of central Honduras. Agriculture, Ecosystems and Environment, 75:93-100. Ostrom, E. 1990. Governing the Commons: The Evolution of Institutions for Collective Action. New York, USA: Cambridge University Press. Pokharel, B.K. 1997. Foresters and Villagers in Contention and Compact. Ph.D. thesis. University of East Anglia, Norwich, UK. Sterk, A. 1998. Leasing Degraded Forest Land: an Innovative Way to Integrate Forest and Livestock Development in Nepal. Food and Agriculture Organization of the United Nations, Regional Office for Asia and the Pacific, Bangkok, Thailand. Webb, E.L. & Gautam, A.P. 2001 Effects of community forest management on the structure and diversity of a successional broadleaf forest in Nepal. International Forestry Review, 3: 146-157.

162

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

IMPACT OF COMMUNITY FORESTRY IN THE MIDDLE HILLS OF NEPAL: A CASE STUDY OF TINAU WATERSHED Vijay Singh Shrestha1

Introduction Forests are one of the most valuable natural resources of Nepal, which are directly related to the livelihoods of the hill people. The natural forest area occupies 6.28 million ha, or 39.6 percent of the landmass of the country (FRISP, 1999). The distribution of forests in the Middle Hills is 1.8 million ha (34.6 percent); 90 percent of the rural population depends on the forests for daily needs such as fuelwood, fodder, wood fibre, timber and medicine. Due to climatic variation and variation in the topography across the country, a wide range of forests varying from tropical to alpine is found. Nepalese forests have gradually become depleted over the past few decades as the government could not manage them properly and their state has continued to deteriorate. The government thereafter realized that unless local people became stakeholders in forest management, the government alone would be helpless. In this context, forest management was entrusted to a local political body, the village Panchayat in 1978. The Master Plan for the Forestry Sector proposed the concept of the Community Forest User Group (C-FUG) in 1989. Many training programmes are being conducted for staff, user groups, local leaders, teachers and women to support and develop the community forest (CF) programme. Post formation support is being provided to C-FUGs to strengthen their capacities for the management of CFs. Forest policy, the Forest Act of 1993 and a by-law in 1995 have favoured the development of a CF programme. In the CF programme, the C-FUG makes all the decisions. The government staff provide support to CFUGs as advisors, facilitators and motivators. As a result, the numbers of C-FUGs have been increasing every year. Sustainable CF management is feasible by C-FUGs if the management of CF fulfills their needs. High rates of deforestation and conversion of forest for cropping and other purposes seriously affect the supply of forest products to local people. The problem increased at an alarming rate due to the unwise forest policy of the government in the past. The government imposed strict rules and regulations to protect and manage forests, keeping the local people away from the forest area. Many development activities like infrastructure development (especially roads, canals, power lines, educational facilities, etc.) were being carried out in the watershed area at the expense of natural forests by ad hoc government decisions, though the governments standing decision stated that no watershed forest land would be allowed a land-use change. The depletion of the forest resources not only affected the availability of basic forest products, but also had other adverse impacts on watersheds and environments (Easter et al., 1991).

MSc. Thesis (Ref. No. NR-01-06), Asian Institute of Technology, Bangkok, Thailand. August 2001. Examination Committee - Dr. Ganesh P. Shivakoti (Chair), Dr. Apisit Eiumnoh, Dr. Bernadette Resurreccion

219

Later the government realized that forest resources could not be managed alone without peoples active participation. Thus the government started to transfer all accessible forest to local people in collaboration with the District Forest Office (DFO) (Bhatia, 1995). Many C-FUGs are now protecting, managing and utilizing forest plots. This is reflected in the objectives of CF formulated by the Master Plan for the Forestry Sector (MPFS), 1988. Nepal has been a pioneer country in this region by involving local people in the protection; management and utilization of forest resources. Policy-makers acknowledge the importance of women in CF activities. C-FUGs, especially women, are encouraged and involved in programme planning, implementation and decision making in community-based forest management. Under the CF programme, about 7 65 124 hectares (12.1 percent) of the forested area have been handed over and are now being managed by local communities through 10 128 registered C-FUGs in which 11 03 693 households (28.72 percent) are involved in the development and management of CFs (CPFD Database, 2001). The general perception of the government about CF is that it is a successful programme for the management of forest resources. Sources of information are mainly based on the periodic progress reports of District Forest Officers. The main objective of this study is to evaluate the impact of CF practices implemented in the Middle Hills of Nepal. The study area Palpa District was chosen for research in the Middle Hills of Nepal (Figure 1). There are four CFUGs: two from the Village Development Committees (VDCs) and two from the Municipality were sampled for case studies. They cover an area of 1 36 592 ha of which 39.47 percent is forest (DADO, Palpa Report, 1996). Several district points are well connected by (fair weather) roads. The main objective of this research in the Tinau Watershed is to evaluate the basic reasons for making the CFUGs a social foundation for participatory CF development. A reasonable time period, necessary for studying impact/effectiveness, has already elapsed since implementation. The study area is adjoined by land undergoing urbanization; this has generated forest land changes and a higher demand for forest products. Geology, soil and topography The middle mountain ranges to the north are composed of limestone, cholamite, schist, and sandstone. The soil of this range is poor with a less fertile index, medium pH, and low organic matter content. Red soil dominates in the district (DFO, 1999). The steep southern Himalayan ranges running east to west characterize the topography. The elevation of the district ranges from 152 to 1 936 metres above mean sea level. Climate The annual rainfall varies from 1 000 to 2 000 mm; the average rainfall is 1 903 mm/year (Nepal District Profile, 1999). The monsoon starts from June. Most precipitation occurs from June to September. The maximum temperature in summer can exceed 29.9 Celsius (May) and in winter it plummets to 6.8 Celsius in January (CBS, 1999).

220

Figure 1. Map of the study area 221

Land use There are 53 906 ha (39.47 percent) of forest lands and 17 264 ha (12.64 percent) of bush forest in the district; pastureland occupies 6 998 ha (5.12 percent) of the area (Table 1). About 50 percent of the total area is occupied by shrubs and forest and only about 37 percent of the land is useful for agriculture; of this, 78.5 percent of the land is on sloping terrain and 21.5 percent of the land is flat terrain. Around 37 percent of the total land is under agriculture and the average land-holding is around 1 ha.
Table 1. Land-use pattern of Palpa District
SN 1 2 3 4 5 Land-use pattern Cultivated land Forest land Pastureland Bush forest Residential area and others Total Area in ha 57 172 53 906 6 998 17 264 1 252 1 36 592 Percentage 41.86 39.47 5.12 12.45 1.10 100

Source: DADO (1996) and FRISP (1999)

Demography There are 41 864 households and the annual growth rate is 1 percent per annum. The majority of indigenous groups comprise the Magars followed numerically by Brahmins and Chhetris. There is a small group of Newars and occupational castes such as Sarki, Damai, Majhi and Kami. Around 48 percent of the people of Palpa are literate 35 percent female literacy and 64 percent male literacy (DDC, 2000). Forestry resources There are 53 906 ha (39.47 percent) of forest land and 17 267 ha (12.64 percent) of bush forest where the forest cover is 52 percent of the total area of Palpa (71 170 ha). Eighteen percent of the forest is well stocked, 59 percent is moderately stocked and 23 percent is poorly stocked (FRISP, 1999). Human activities, livestock grazing and fires regularly affect regeneration. The dominant tree species is Sal found at elevations below 1 100 m. The main species are Katus and Chilaune; Laligurans (Rhododendron arborium) predominates in some parts. CF management activities After a reshuffle of the Department of Forest, the area came under the authority of the DFO Palpa. Since 1981, the Tinau Watershed Project, later renamed the Palpa Development Project (PDP), has been controlling and carrying out the main conservation and development activities in the district. Helvetas is coordinating the funding on behalf of GTZ and the District Development Committee is the coordinating agency for the government. The Danish Government has supported the programme from 1999 through the Natural Resource Sector Assistance Program NARMSAP, to date.

222

Training and extension activities Most of the training and extension programme was organized by the DFO at field levels. In the beginning, CF introductory workshops (461) were organized for C-FUGs in order to learn about CF whereas management training (802) was carried out after handing over the forest to the users. There were many study tours for C-FUGs, within and outside the district in order to share experiences and understand the inner and outer situations of CF. According to the Forest Act and by-laws, the DFO organized an income generation training programme for the C-FUGs. Altogether 118 local people were trained in the income generation training to support their programme. Outcome and discussion Tree density Tree density is defined as the number of trees present per unit area. Therefore, density was calculated to learn the total number of different tree species with different diameter classes. The total number of trees was higher in Mul Gaira and lower in the Barangdi Kohal CF. Basal area, average height and tree volume The basal area of trees covered at breast height, was calculated in square metres using the formula,

BA(m 2 ) =

(d )
2

1 10000

Where BA = Basal Area in m2 p = 3.14, d = Diameter in cm. (BA = Basal Area and dbh (diameter at breast height)

The average tree heights of Mul Gaira, Barangdi Kohal, Chailani Gaira, and Kaji Pauwa CFs were 10, 9, 7 and 6 m respectively. The study showed that there were significant changes taking place in forests after handover to C-FUGs. Trees are gradually increasing particularly in relation to the number and growth of young stems. However, the findings do show a significant increase in stem (5-10 cm) dbh for more forest types and also basal area in forests, which were initially in a poor state. Tree volume was calculated using the formula below in order to estimate stem volume from average height, basal area, and form factor. According to Jerram (1939), form factor should be multiplied with basal area and average height to get the actual volume of the tree.

V = BA x AH x FF
Where, V = Volume (in m3 ), BA = Basal Area (m2 ), AV = Average Height (m), FF = Form Factor (0.5)

223

As volume is correlated with the basal area, the trends are very similar. Therefore, it was noted that the highest volume of wood occurred in Mul Gaira and the lowest was found in Kaji Pauwa CF of the study areas. Natural regeneration According to Jackson et al. (1996), tree species that are less than 2 m high such as seedlings, saplings or coppice re-growth generally fall under the term regeneration. The Kaji Pauwa users have protected the forest for 10 years, Barangdi Kohal users for 13 years, Chailani Gaira users for 22 years, and Mul Gaira users for 37 years. Significant trends in forest protection and management have been identified where there was a significant difference in the level of grazing between community and government forest. CFs have not only prevented a further reduction of forest in the protected areas, but also enhanced substantial regeneration (Chakraborty, 2001). According to the Rai et al. (1998) criteria of regeneration, Barangdi Kohal CF was higher at 51 percent and Kaji Pauwa was much lower at 2 percent regeneration. Species composition In most places, only the degraded natural forests had been handed over to the C-FUGs, as there was an informal rule within the forest administration not to hand over well-stocked forests. The main dominant species found are Shorea robusta with other species like Castonopsis indica, Schima wallichai, Eugenia jambolana, Terminalia alata , Delbergia sissoo, Bombex cieba and Cedrela tooni. Canopy cover The C-FUGs have given much emphasis to protection and regeneration. Usage is very restrictive and the permitted uses are aimed to minimize interference with the growth of trees and shrubs. There is very little harvesting of green wood, which takes place in the form of pruning of branches for fuelwood and also singling and thinning. A visual inspection was carried out in each sample plot to judge the crown cover. The canopy cover differed in four study areas. The crown cover in Mul Gaira was >75 percent (Good), Barangdi Kohal 50-75 percent (Moderate), Chailani Gaira 25-50 percent (Fair) and Kaji Pauwa <25 percent (Poor). The average crown cover range was estimated to be moderate and between 50-75 percent. CF condition There have been gradual changes in forest conditions after the transfer of forest to local people in the study areas. According to the criteria of Rai and Beek (1998), the forest conditions are fairly good except for Kaji Pauwa (Table 2).

224

Table 2. Classification of forest condition of the study area

Items Municipality Kaji Pauwa Stem volume Regeneration Crown cover Forest condition 68 m Poor Sparse (<25%) Poor
3

Name of C-FUG VDC Barangdi Kohal 115 m Very good Moderate (50-75%) Fair
3

Chailani Gaira 92 m Good Moderate (50-74%) Fair

3

Mul Gaira 189 m 3 Good Good (>75%) Good

Source: Field Survey (2001)

Requirements for forest resources The average daily demand in the households (HH) of the four CFs for fodder was 15.1 kg/HH/day and for fuelwood 15 kg/HH/day; the daily requirement for fodder (15.9 kg/HH/day) and fuelwood (22.0 kg/HH/day) was much larger in Mul Gaira CF. The average timber and leaf litter requirements throughout the CF area were 43.7 ft3 /HH/yr and 13.1 kg/HH/day respectively. The leaf litter requirement (16.3 kg/HH/day) was higher in the Chailani Gaira study area. Likewise, fuelwood ranged from 11 to 22 kg. The consumption of fodder and fuelwood depends upon the number of family members in households and the number of livestock. Comparatively, the use of fuelwood was higher in Mul Gaira, where most of the users had some private forest in order to supplement fuelwood, fodder, and leaf litter. Management experiences in CF The main objective of forest management is to protect, manage, and utilize forest resources to fulfill the minimum basic needs of local people such as fuelwood and fodder for household consumption. CF management is a procedure where C-FUGs arrange their activities in order to conserve the forest to maximize benefits. An operational plan (OP) is prepared with the help of forestry technicians, indicating forest management activities, and dividing the forest into compartments in order to facilitate management practices. Selective felling system The system in which dead, dying, or diseased mature trees are removed from the forest either in a group or on a individual basis is known as selective felling (Jerram, 1939). In the C-FUGs OP they harvest up to 1-3 over-mature trees each year on a rotational basis from each compartment. Basically, felling of any kind of tree depends upon users needs. The trees are harvested when users require timber to build a new or maintain their old houses. Singling The main aim of this operation is to reduce the number of stems from the stump. The single best growing sapling in each stump is maintained according to the management prescription of the OP in the study sites. Generally, this operation is carried out for Shorea robusta , Schima wallichi, and Castonopsis indica species on a rotational basis that provides fuelwood and fodder to the users.

225

Thinning Unwanted species with closed canopies are removed in order to create gaps as well as to reduce competition for light, water, and nutrients in the forests. In addition, diseased, dying, and dead trees are also removed from a pole stage forest. This is quite useful and these operations provide fuelwood, fodder, poles, and material for agricultural and household implements while managing the forest for timber use in the future (Jerram, 1939). Pruning Pruning is generally carried out in each of the CFs. The main aim is to reduce knots in the wood in order to supply good quality timber in the future. Pruning means cutting of tree branches, which is done along with the singling and thinning operations each year in the corresponding compartments. This operation mainly provides fodder and twigs. Pruning also reduces competition between saplings and shrubs and makes the forest healthy and wealthy. Weeding and cleaning The main objective is to remove ferns, shrubs, and unwanted species to make compost. In the plantation, grasses and other species around seedlings are removed. Plantation Enrichment and private plantations are the main activities of the C-FUGs when they get seedlings from the DFO and technical help from local forestry technicians. Among the four C-FUGs, most of the households plant seedlings on their own private land. Soil conservation and agroforestry The Barangdi Kohal users plant grasses such as Amliso, Setaria, and Napier to control soil erosion in erosion-prone areas, including riverbanks. In such areas, felling of trees and grazing is strictly prohibited. Most of the riverine areas of Barangdi Kohal CF plant Delbergia sissoo and also pear trees to increase income. Promotion of natural regeneration In most of the study areas, regenerated seedlings of Shorea robusta , Schima wallichi, and Castonopsis indica had vigorously increased, mainly due to controlled grazing in the CF areas. It is quite important to protect the young pole forest and special attention has been paid to promoting natural regeneration. Most of the CF areas natural regeneration of Shorea robusta was good compared to other species. Fire management Forest fires are a threat during summer. Thus C-FUGs have made fire-breaks inside the forests to control fires. C-FUG activities like fire-break construction, weeding, cleaning (dry twigs), and distribution of extension materials as well as conducting workshops are also organized to create awareness about fire hazards. 226

Management of grazing Open grazing is not allowed inside the CF. This has been effective in improving the forest condition since CF management was transferred to local users. It is available for C-FUG members at certain times and periods on a rotational basis. CF contribution to the socio-economic dimension Socio-economic attributes reflect the living status of the local people as well as interrelationships with CF in the study area. However, the status of CF depends upon the indicators of socio-economic attributes. Socio-demographic characteristics Respondents age structure, educational level, ethnicity, gender, occupational structures, livestock and land-holdings were considered as relevant. The majority of the respondents (>50 percent) were in the economically active and energetic age group (16-50 years) whereas 12.9 percent were under five years and some were in the senior category. The 16-35 age group (26 percent) has influence and mixed opinions on the protection and progress of their natural resources. A greater percentage of the respondents families (82.2 percent) were functionally literate where as 17.8 percent were illiterate. Only 38.8 percent of the respondents had college education. The C-FUG Chairperson, Secretary, and Treasurer were more educated than other C-FUG members. Most of the forest users were farmers, about 24 percent of the respondents, and engaged in agriculture. Most of the users reported business and trading to be their main occupation; only 20.7 percent depended upon government and nongovernment services, 18.2 percent earned wages from labour, and 23.7 percent were students. Meanwhile, those in service had a higher social status than others in the villages as they had influence in the protection and conservation of community forests. Land property and tenure system Most of the respondents (90.8 percent) had their own land (Table 3). Most of the farmers were landless or mid-level farmers who had very little private forest to provide fuelwood for cooking, timber for shelter and fodder, grass, and leaf litter for bedding material for their livestock. So, the bulk of the respondents were farmers who need forest products for their livelihoods.
Table 3. Respondents land-holdings
Private land-holding Yes No Total Frequency of responses from the C-FUGs Chailani Gaira Barangdi Kohal Mul Gaira 25 (83.3) 5 (16.7) 30 (100) 27 (90.0) 3 (10.0) 30 (100) 29 (96.7) 1 (3.3) 30 (100)

Kaji Pauwa 28 (93.3) 2 (6.7) 30 (100)

Total 109 (90.8) 11 (9.2) 120 (100)

Source: Field Survey (2001) (Numbers in parentheses are the percentage of column total)

227

11.7 percent of the farmers borrowed land from bigger farmers to supply enough food for the household. Land was also leased to the middle and landless farmers by bigger farmers. In some places, people were not interested in leasing land to others because of tenure rights in the future. Therefore, most of the lands of the bigger farmers were uncultivated in the study area. Livestock Large numbers of livestock need plenty of grass and fodder; this governs herd sizes that range from 1 to 8 head. There is considerable variation in the four C-FUGs. The average number of livestock units was 7.7, with a maximum of 10.2 in Kaji Pauwa and a minimum of 6.5 in Mul Gaira. Goats were the most commonly raised animals. The farmers sell milk and live goats at the market place, which makes a substantial contribution to the household revenue of the respondents. Comparatively, livestock units are higher in the Municipality (242) than the VDC (175) areas. By and large Hindus had more livestock and feeding of the livestock depended upon grazing in the forest. Livestock manure is used as organic fertilizer to enhance soil productivity in the farming systems in the study area. Livestock also provide draught power for ploughing. Consequently, some of the farmers have their own private forests to cater to their livestock needs. Women and children are responsible for gathering fodder, grass and bedding materials. Insufficient grazing area as well as lack of grass and fodder constrains the efficient collection of fodder for regular use. Moreover, the CF area is completely closed to grazing and has adopted stall-feeding instead; 52.5 percent of the C-FUG households have enough food supply for the entire year. Mul Gaira CF users have greater food supply for the whole year because they have more land. The Chailani Gaira and Barangdi Kohal CFs have less land. Generally, local people are reluctant to provide information on income. Energy utilization The C-FUG management committees are very responsive to the basic needs, mentioned earlier, of the local users. Fuelwood is used primarily for cooking, heating, and lighting in the study area. Much fodder is collected in Chailani Gaira, whereas Barangdi Kohal needs more fuelwood and non-timber forest products (NTFPs) and Kaji Pauwa requires more timber and leaf litter. As the population increases each year, total energy utilization also increases. Users enter the forest mainly to collect fuelwood. The types of fuelwood are more diverse in Chailani Gaira (twigs and dead branches, dead stem wood as well as small green branches). The frequency of forest product collection varies among the villages. The average maximum time for fodder, fuelwood, and leaf litter collection has decreased from 1.5 to 1 hour. Thus forests are being conserved and managed properly and the transfer of responsibilities from the government to the people has been successful. Generally, forests are open all year but most local users use the forest from December to February. The CF OP, prepared with assistance from forestry technician and approval from the DFO, does not allow CF utilization all year. So, CFs are open in certain months of the year for utilization of forest products. People collect forest products from CFs during open months and keep reserves for remaining months. The major sources of forest products were either government forest or private forest.

228

Users perceptions and participation in CF management Participation is now being increasingly perceived as a process of development (Oakley and Marsden, 1984). Participation includes peoples involvement in the CF programme planning, in implementing programmes, in decision-making processes, in sharing benefits of the development programme, and efforts to evaluate or judge such programmes. Users perceptions on CF A short-term perspective compares changes after the CF has been established. The long-term perspective deals with empowering local people so that they can take collective action in the forest to fulfill their minimum basic needs. The impact of the CF programme was discussed with the users who were questioned about the CF management programme and the previous programme (Table 4).
Table 4. Perceptions of the CF programme compared to the previous system
Items Kaji Pauwa Better than previous system Worse than previous system There is no difference Total 28(93.3) 0 2(6.7) 30(100) Frequency of responses from C-FUGs Chailani Gaira Barangdi Kohal Mul Gaira 27(90) 1(3.3) 2(6.7) 30(100) 24(80) 1(3.3) 5(16.7) 30(100) 27(90) 1(3.3) 2(6.7) 30(100)

Total 106(88.3) 3(2.5) 11(9.2) 120(100)

Source: Field Survey (2001) (numbers in parentheses are the percentages of column totals)

The CF programme was perceived to be better than the previous system in Kaji Pauwa, Chailani Gaira, Barangdi Kohal, and Mul Gaira by 93.3 percent, 90 percent, 80 percent and 90 percent of the respondents respectively (Table 5).

229

Table 5. Users perceptions of the CF programme (recent changes in forest management) Users opinion on CF management Positive Now there is transparency regarding activities carried out by the forest users as well as by management Previously, local people were required to travel far to obtain permits; now they can get permits from their C-FUGs. This facilitates getting forest products for minimum basic needs The CF is protected by local forest users Permits can be obtained in our village through our own working bodies Previously, felling was irrational and the forest was under forest watchers control; now C-FUGs make the decision easier but DFO directives are necessary on certain matters The products are distributed equally, far better than previously. The forest condition has improved after transfer to local people Negative After change, C-FUGs are careless and have not worked immaculately After change of the C-FUG committee, the majority of ethnic groups such as Brahmin and Chhetri afford minority castes a less active role People are not allowed to graze livestock inside the CF Cannot obtain forest products according to requirements Concept of CF is not fully developed so need more training and study visits The DFO has banned tree felling by CFUGs; impracticability for getting permission to carry out management work according to the CF OP Women and disadvantaged groups need more involvement from the beginning Regular follow-up by the DFO and users is necessary

Intensive silviculture management is being conducted; as a result shrubland and timber stands have improved Illicit felling has stopped. Forest accessibility has improved

Source: Field Survey (2001)

State of forest protection The score for the state of forest protection of all C-FUGs was between good and very good. This is indicative of the users expectations from CF and their participation. Almost all the respondents said that the forest state had improved. Mul Gaira respondents had more knowledge about training and had participated and visited more different places compared to other CF users. Responsibilities in forest development and management Very few respondents expressed their support for CF based on reciprocal benefits. Responses regarding support from the DFO as well as from field staff varied significantly in different C-FUGs. More than 77 percent of the respondents considered that the local community was the best possible agency for CF development and management. Many respondents said that they were satisfied with the CF after its transfer to the local community, mainly because of the complete protection of forests by block management. Other CF users echoed similar feelings. Over 53.2 percent of respondents indicated that the major role of users in forest development would be protection and utilization.

230

Future of the CF programme The future of the CF programme basically depends upon the state of the forest as well as the devotion and dedication of users in the participatory management process. Table 6 shows that most (82 percent) of the respondents are determined that the CF programme will continue without major problems even though external support has stopped. Very few (17 percent) were unsure or thought that it could not continue without external support.
Table 6. Perception of CF programme continuity without future external support
Items Kaji Pauwa Programme will continue with external support Cannot continue with external support Do not know Total 22(82) 2(7) 3(11) 27(100) Frequency of responses from C-FUGs Chailani Gaira Barangdi Kohal Mul Gaira 21(81) 3(11) 2(8) 26(100) 18(69) 5(19) 3(12) 26(100) 28(96) 0 1(4) 29(100)

Total 89(82) 10(9) 9(8) 108(100)

Source: Field Survey (2001) (numbers in parentheses are the percentages of column totals)

Users perceptions on committee performance Participation in the C-FUC executive meeting This focused on how many members of the executive committee participated on a regular basis. Altogether 171 meetings were officially organized; more meetings were held in Mul Gaira than elsewhere. The overall participation at the executive meeting was 80 percent for men and 20 percent for women. Users perceptions of committee performance The committee is supposed to implement the CF OP according to local community needs. The CFUG allocates some power to the executive committee to implement the OP and to assist local people without disturbing the forests. Overall, respondents gave average and good ratings to the Community Forest User Executive Committee (C-FUC) performance. Users participation in CF management Peoples participation in CF protection, development, and utilization is the major objective of CF. Participation was directly related to skills as well as knowledge-based training and extension, and observation visits. Most of the users involved in the forest protection and conservation work had also participated in the training and extension programme, which was organized by the DFOs. Peoples participation in the assemblies was high, and local C-FUGs attended them regularly. Participation in CF implementation implies contribution in the form of money, labour, suggestions, and information. Notably, local peoples involvement was good. At least 43.3 percent of the respondents were involved in decision making (Mul Gaira CF had more involvement in decision making than others). 231

CF helps to build institutional capacity Institutional capacity building is a crucial aspect of group work. The concept of the C-FUG was introduced under conditions of ownership and user-rights in the CF programme. In the context of CFUGs, institutional capacity building involves appropriate protection, conservation, and utilization as well as regular attendance at committees and assemblies, record keeping, and financial management. Initially, the C-FUGs should be registered in the DFO. Kaji Pauwa C-FUG, Tansen Municipality This CF is located within Tansen Municipality Ward Number 11 in the southern part of Palpa District. The forest was dense and of good quality before 1963. However, forest destruction started after the opening of the Siddarth Rajmarg road to Pokhara. The people from Kaji Pauwa appointed one forest watcher for the protection and management of forest resources via indigenous management. The forest was formally handed over to local people in 1998. A committee was formed before the DFO handed over the forest to the local people. Local people protect and manage their CF on a rotational basis. The main objectives for CF development and management are: 1) to develop the forest for the fuelwood, fodder, leaf litter, and timber needs of the local people; 2) to develop the forest for ecotourism; 3) to conserve the forest for income generation activities and 4) to raise local peoples awareness on the protection and management of forest resources. The forest is divided into four blocks, and all the forest users are asked to prepare and collect one Bhari (20-25 kg) of fuelwood. Chailani Gaira C-FUG, Tansen Municipality This forest is located quite near the Tansen Municipality Ward Number 14 of eastern Palpa. Residents of this ward have been the traditional users of the forest. Forest destruction began after 1988. The main cause of deforestation was increasing population pressure on forest resources. Local people from adjoining villages also started to use the forest resources for household consumption as well as for livestock management. Tansen municipality appointed one forest guard for the protection of the forest. This very devoted forest watcher, actively supported by his family, carries out the protection of forest. The local people are quite aware of the consequences of deforestation and have been planning and managing the forest with the following major objectives: 1) to fulfill the growing demands for fuelwood, fodder, timber, and leaf litter; 2) to restore the forest and its ecology to its former pristine state and 3) to conserve wildlife, water sources, and improve forest productivity. The forest is divided into six blocks, where rotational grazing and a fuelwood collection system have been established. One household member is allowed to harvest fodder and fuelwood from the forest. Mul Gaira C-FUG, Madan Pokhara VDC This CF is located in the centre of Tansen Municipality in Madan Pokhara VDC. The residents (Madan Pokhara VDC-9) have been the traditional users of the forest. Deforestation is mainly due to heavy population pressure; the forest condition has become poor and soil erosion problems have surfaced. In 1986, a forest protection committee was established, under a management plan jointly developed by the villagers and a Ranger; it was converted into the Mul Gaira C-FUG in 1989. Presently, there are 88 households involved in forest conservation activities. The legal OP was prepared jointly by the C-FUG ad hoc committee and the DFO in 1989. The major objectives of forest management are: 1) to fulfill the local needs for fuelwood, fodder, bedding materials; 2) to control landslides and soil 232

erosion; 3) to protect water sources; 4) to ensure timber needs for the future; 5) to restore the forest and its ecology to its former pristine state and 6) to conserve wildlife and improve forest productivity. Barangdi Kohal C-FUG, Madan Pokhara VDC This CF is located in the eastern sector of the Tansen bazaar in Madan Pokhara VDC. There are 66 households and 390 family members involved in Barangdi Kohal Ward Number 7. The present area of 9.47 ha was handed over to the C-FUG by the DFO. Barangdi Kohal CF was formally handed over in 1993 to the Madan Pokhara VDC-6 where 65 households and 390 family members have been involved in the protection and development of forest resources. Anyone causing fire damage is punished according to CF rules. The villagers are aware of the consequences of forest destruction and have planned and managed the CF systematically with the following main objectives: 1) to satisfy the needs for fodder, fuelwood, bedding materials, and timber; 2) to conserve biodiversity for ecotourism; 3) to restore the forest and its ecology to its former pristine state; 4) to protect farms and other property from landslides and floods and 5) to conserve wildlife habitats, water sources, and improve forest productivity. Gender analysis Women in Nepal are deprived and severely underprivileged in rural areas. Nepal was ranked 121 among 143 countries in UNDPs 1997 Gender Development Index (GDI), published in 1999. The maternal mortality rate of 539 per 100 000 live births is one of the highest in Asia and the Pacific region. Gender disparity persists in educational attainment, health status, and participation in planning, implementation as well as in decision-making processes. Disadvantaged castes and ethnic communities show higher levels of gender disparities in education. While women have made substantial gains in education, and the female literacy rate has risen from 4 percent in 1971 to 30 percent in 1998, the gender gap in educational levels is rising. Efforts have been made by the government to close the gender disparity gap as well as to improve the status of women through involvement in the CF and various development activities. However, the results of these efforts are likely to remain limited unless the gender bias in the social system is progressively reduced, if not eliminated. Womens attributes Ethnicity, marital status, age, economic and educational status are the major attributes, which affect women and the CF management process in the study area. In general, upper caste Brahmin and Chhetri women belong to the C-FUCs in all CFs where Magar women predominate. In most cases, women are satisfactorily represented but women from disadvantaged groups are poorly represented. Likewise, lower caste women are included in committees because local leaders consider this necessary. More than 75 percent of CF committee members are 30 or older. Wealthier local women take part, more, because of fewer household responsibilities. Women in the C-FUG formation process In Mul Gaira and Barangdi Kohal, local women were involved from the outset compared to the municipality areas. Women started to attend meetings when the Ranger or the committee organized group meetings and individual contacts. Naturally, in these villages, the percentage of women members in the C-FUG was higher. 233

In Mul Gaira and Chailani Gaira, women were motivated because they were more closely linked with the forest for collection of fodder, fuelwood, and leaf litter than men. Therefore, they occupied positions on the C-FUC. These women were early starters, and willing and active participants whereas in Kaji Pauwa, due to low education and lack of proper motivational factors the women were late starters, passive participants, and unequal partners in the development of the C-FUG formation. Womens mode of functioning in the C-FUC Women are motivated by several factors. Traditionally, Nepalese women have been motivated as well as encouraged by their husbands to attend the C-FUC meeting regularly. It was observed that women collected information from other women at work places, water springs, and casual meetings. Women and decision making The number of women and men is usually unequal when attending meetings in the study area. But, women are gradually having a greater influence in the decision-making process compared to the past. Women were not involved in meetings before the CF transfer, but now, most of the women attend meetings, and those organized by the Ranger or DFO outside villages too. Women in programme planning and implementation C-FUC women members are heavily involved in programme planning, implementation, and decision making. During programme planning, they discuss strengths and weaknesses in close participation. In Mul Gaira CF, women members also take part in briefing outsiders about forest management activities. They also have a strong influence in protection and silvicultural activities as well as in the distribution of forest products. Women from other CFs are also exclusively involved in protecting the forest. Perceptions and attitudes of women towards future CF Most respondents had positive perceptions and attitudes towards CF programmes. Forest resources have gradually improved, therefore forest products are easily available. CF is widely expected to relieve them from shortage of forest products for household consumption. Equitable distribution of forest products Formerly, forest management was predominantly the concern of powerful and educated people who controlled decision making and distribution of forest products. Forest products were usually the byproducts of silvicultural activities, most commonly thinning and singling, because the forests were young. Now the most common system in the study area is collecting the forest products, placing them in a pool, and randomly distributing them (sometimes via a lottery system as well) to all members who participated in the collection. Benefits received from CFs According to the C-FUG women, before the CF transfer, availability as well as collection of products was problematic. After the transfer this became more relaxed. Mainly because of open but controlled access to forest resources. 234

Fair and equitable distribution of forest products Although women and children are mostly involved in the collection of forest products, due to economic stress men also participate. According to the women, forest productivity has increased but only because of CF protection. People now obtain forest products more quickly. Eighty-two and 100 percent of Kaji Pauwa and Mul Gaira respondents indicated fair and equitable distribution. Table 7 shows the distribution of forest products by the C-FUCs to the local people.
Table 7. Fair and equitable distribution of forest products by C-FUCs
C FUGscriteria Kaji Pauwa Yes No Dont know Total 23(82.1) 1(3.6) 4(14.3) 28(100) Frequency of responses from C-FUGs Chailani Gaira Barangdi Kohal Mul Gaira 24(88.9) 2(7.4) 1(3.7) 27(100) 25(83.3) 1(3.3) 4(13.4) 30(100) 30(100) 0 0 30(100)

Total 102(88.7) 4(3.5) 9(7.8) 115(100)

Source: Field Survey (2001) (Numbers in parentheses are the percentage of column total)

C-FUG effectiveness The effectiveness of the C-FUGs was evaluated on the basis of how favourably they operated. The basic pre-requisite was that groups should implement OP activities such as proper identification of real users, effective protection and conservation of forests, peoples (especially women) involvement in the planning, implementation and decision-making process, and an equitable distribution system. It was concluded that the overall effectiveness was very good (4). The Mul Gaira C-FUG was rated excellent (5) in terms of its effectiveness. The rest of the C-FUGs had a weak structure or were plagued by conflicts; they were rated average in effectiveness. Impact of policy on forest resources Policy is a means to resolve how forest resources will be utilized on a sustainable basis and how to benefit from them. Policy may have different effects on different groups of people. The policy formulation and implementation process After a specific resolution by decision-makers, policy adoption takes place. The government implements the new policy, after adaptation of rules and regulations (Figure 2).

235

Status of CF and human resource interaction at different levels

Identification of Problem

Peoples involvement requires Formation of Policy Agenda efforts to combine conservation and economic development, recognizing cultural values, to Formation of Policy benefit the local population. The status of CF resources Review and depends upon three major Adoption of Policy Modification of Policy dimensions: biophysical condition, technology and Implementation of Policy institutions, and society and economy. The government policies regarding settlement, Evaluation of Policy pricing, infrastructure development, agriculture, and Figure 2. The policy formulation and implementation process land survey, have influenced (adapted from Anderson et al., 1984) forest and land resources and have a direct impact on the biophysical environment. Causes and consequences of forest degradation Forest degradation: main causes Illegal felling, road construction and other development activities are the main causes of forest depletion in the study area. Respondents indicated that frequent changing of government policy as well as increasing population growth were other causes of deforestation. The rising population, at 2.3 percent per annum (Nepal District Profile, 1999) and more livestock have increased the demand for fuel and fodder exerting tremendous pressure on the natural forests. Forest fires are very common in Nepal; annually, thousands of hectares of forest are destroyed by fire. Activities such as infrastructure development (roads, canals, power lines, educational facilities, etc.) and human settlement are carried out in forest land. The era of legislation: forestry policy The forest area of Nepal has been gradually decreasing since 1864 via conversion of forest to agricultural land to increase state revenue from tax. The Department of Forest was established in 1942. The Private Forest Nationalization Act was passed to prevent destruction of forest wealth and to ensure adequate protection and management. To exercise more control over forests, another legislation, the Forest Preservation Act (1967) was introduced; this was followed by the National Forest Plan in 1976. However at that time, government bureaucracy could not manage the forests and their condition went from bad to worse. The government subsequently realized that unless people were given control of the forests, the government alone could not manage them. A long-term (25 years) Master Plan for the Forestry Sector was finalized in 1988, sanctioned, and implemented in 1989. This was a long-term policy guideline for the development of forest resources where community and private forestry were priority programmes. 236

Community forestry The evolution of CF is closely linked with indigenous forest management, which has been practised for a long time (Karki et al., 1994). Community forestry has remained a government priority. The Decentralization Act (1978) initiated the concept CF giving people more rights and responsibilities in the protection, conservation, and utilization of forest resources on which they depend. Principle of community forestry The underlying principle of CF is that the programme belongs to the people and is carried out by the people themselves for the benefit of the community as a whole (Rao, 1994). It recognizes the major role of peoples participation in sustainable development. Emphasizing the need for peoples empowerment in upland forest conservation, Brooks (1993) observed that local people must be convinced that the programme is in their best interest, otherwise the programme cannot be successful. Constitutional support to the forestry sector Article 26 of the 1990 Constitution of Nepal, promulgated after the popular movement of 1989, has adopted various state policies. Out of 16 policies mentioned in the constitution, the following sections are related to forest resources. 1. The state shall pursue the policy of mobilizing the nations natural resources and heritage in a useful and profitable manner suitable to the nations welfare. 2. The state shall accord priority to checking adverse effects on the environment that might result from physical development activities, and to protect the environment by increasing public awareness. 3. While assigning priority to develop science and technology for the nations prosperity, attention shall also be given to developing indigenous technology. Policy analysis The community has been empowered over the last two decades through the progressive forest policy of the government. In order to find out the reality of forest policy in the past it is necessary to present a brief presentation of policy analyses. Based on the MPFS, 1988, conditions before and after transfer of the forests were considered. A SWPO (strengths, weaknesses, potentials and obstacles) analysis was carried out for CF. A summary of the analysis is provided later. Impact of various policies on forest resources The government had policies to replace forests for cultivation purposes in the past to increase revenue (Regmi, 1978; Blaikie, 1990). Various policies that had direct impact on forest resources in the hills of Nepal are presented briefly hereunder. Agriculture policy This was also aimed at increasing livestock diversity and consequently created grazing pressure on forest land. It ultimately affected the conservation and development of forest resources. 237

Infrastructure development policy The Road Act of 1954, the Irrigation, Electricity and Water Resources Act of 1967, the Electricity Rules of 1969 and Canal Management Rules of 1974 are some of the main interventions affecting forest resources. Land survey and measurement policy Most of the government forest lands have been converted by people into their own private land but are also claimed by the Local Revenue Offices and Land Re-form Offices. The forests were defined as government land but the provision made in the Act of 1963 encouraged local people to harvest trees as private land. This is another reason for forest depletion. Settlement policy The re-settlement programme, funded by USAID in Chitwan District (1954 to 1961) lasted for seven years. The main aim of the programme was to re-settle people who had suffered from floods and landslides in different parts of the country. Some locations in the Middle Hills were also subject to this programme. It had a direct effect on the natural environment and was the major cause for the depletion of forest resources in the Terai as well as in the Middle Hills. Impact of forestry policies, rules and regulations on C-FUGs The CF concept was developed in 1978. Most of the provisions gradually changed in order to accommodate the needs of local people. Stepwise community forestry development policy of Nepal The infusion of 100 percent of the income from forest products to the users fund and users rights over the fund has lifted peoples interest and efforts. Previously prices could not be fixed at less than the government royalty rate for forest products, but later C-FUGs could fix the price of forest products, sell and give permits to transport them anywhere in the country. C-FUGs can grow long-term cash crops for income generation and they are qualified to draw loans from banks for CF development too. This shows that step-by-step the community has been empowered over the last two decades to manage sustainable forest development and fulfill local peoples minimum basic needs. Situation of CF before and after transfer Robin Originally, the government retained all the rights over forest resources and people were restricted from users rights. Women and deprived groups were not involved in the planning process. Based on the MPFS (1988), Forest Act (1993), and Forest Rules (1995), the impact of CF before and after transfer of the forests to C-FUGs is summarized in Table 8.

238

Table 8. Situation of CF before and after transfer Before handover All rights over forest resources were with the government People were restricted from user rights in the forest areas Forest policies and rules were not people oriented and did not reach the people The Forest Act and regulations and guidelines were contradictory Provision of income generation activities and employment opportunities was not specified Gender and equitable distribution aspect were not so clear After handover Rights and responsibilities were handed over to the C-FUGs so the feeling of ownership has increased Womens involvement was enthusiastic. General consensus existed on the fair and equitable distribution of forest products There was a positive contribution to rural development activities Employment opportunities were generated There was active involvement in planning, implementation, decision-making, and benefit sharing as well as sustainable forest management

Strengths and weaknesses of CF policy and implementation at different levels Nepals CF policy and legislation are growing as they encourage links between local level participation in forest protection, development, and sustainable management. This is especially relevant, because C-FUGs can stock all the forest products and income derived from CFs. The government has obtained the essential funding and is implementing these progressive policies. Unfortunately, the legislative framework and complementary bureaucratic procedures for implementation are incomplete. The Department of Forests The DOF allows the CF programme to strengthen existing local institutions and their decision-making processes, thereby increasing the chances of the programmes success. Also, the DOF field staff are developing a positive attitude towards their new role. The rate at which CFs are being handed over is increasing as DOF staff gain skills and confidence in the transfer process, and as institutional blockages are removed. The DOF has provided Post Formation Support, such as training and extension; technical forest management; income-generating activities; record keeping and financial management for CFUGs. The CF programme is rapidly expanding. But the number of staff in the district remains the same. The government frequently transfers DFO staff. There are complications in many places due to the lack of basic field equipment and tools to support activities, lack of financial obligation, and tough physical conditions in rural points. Local government So far, elected government officials at the VDC and district levels have been largely supportive of CF. The role of elected government officials in CF management has not been very clearly defined; as a result they are often excluded from the activities of the DFO and C-FUGs. Whereas lack of interference has been a positive influence in the sponsorship of C-FUGs, the uncertainty about roles may create a problem in the future. As C-FUGs generate income and undertake community development activities, the elected government officials may feel threatened by the power and influence wielded by C-FUGs in their constituencies 239

Non-government organizations NGOs have the capacity to support the implementation of CF programmes. They can conduct training and non-formal educational programmes for C-FUGs. They are better placed to support C-FUGs for CF activities in remote areas. There are few NGOs who have sufficient experience and proven ability in areas relevant to CF and their effectiveness tapers off with remoteness. Forest user groups Groups of illiterate, poor farmers have the capacity to protect, conserve, and manage patches of existing forests and to plant new forests with very little or no outside assistance. Conceptually, CFUGs are motivated to accept the responsibility for CF development and management because users have a vested interest in the fate of their local forests. Most of the C-FUGs suffer from lack of experience dealing with the government. Likewise, inadequate administrative and managerial skills, illiteracy, poor communication of responsibilities and agreements within the user group, politicization, cronyism and nepotism, inadequate consultation with other disadvantaged groups, lack of quality leadership, risk aversion, and lack of capital, savings or access to affordable credit to start commercial ventures have been identified as some of the weaknesses. Community forestry: the challenges There were mainly ten types of challenges mentioned for the development and management of CF (Table 9). Twenty percent of the respondents regarded demand and supply from the CF forest as questionable in the context of whether they met the minimum basic needs of local people on a sustainable basis. There were shortages of fuelwood, fodder, and timber in most of the C-FUG areas, and to increase forest productivity as well as to fulfill the local peoples demands, it is necessary to convert timber-oriented forestry into multiple forestry.
Table 9. The challenges of community forestry
CF challenges Kaji Pauwa 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. Keeping the CF at a distance from political parties Frequently changing government policy and acts Run the CF programme without external support except TA Increasing population Difficulties in protection, management Demand and supply of forest products Increasing the C-FUGs for sustainability Cronyism and political influences Involve disadvantaged groups and women in the CF Convert timber-oriented forestry into multiple forestry Total 6(22.2) 3(11.1) 0 2(7.4) 6(22.2) 7(26) 0 1(3.7) 1(3.7) 0 27(100) HH members from C-FUGs Chailani Gaira 1(3.4) 6(20.4) 1(3.4) 1(3.4) 0 8(27.2) 2(6.8) 3(10.2) 2(6.8) 2(6,8) 29(100) Barangdi Kohal 0 2(7.6) 0 3(11.4) 3(11.4) 3(11.4) 1(3.8) 4(15.2) 3(11.4) 5(19.0) 26(100) Mul Gaira 1(4.0) 2(8.0) 0 0 1(4.0) 4(16.0) 0 4(16.0) 5(20.0) 5(20.0) Total

8(7.2) 13(11.7) 1(0.9) 6(5.4) 10(9.0) 22(19.8) 3(2.7) 12(10.8) 11(9.9) 12(10.8)

25(100) 107(100)

Source: Field survey (2001) (numbers in parentheses are the percentages of column totals)

240

The challenges are to identify mechanisms that aid communities to have a voice in forest management. For conflict management, one of the challenges in CF is to establish mechanisms and procedures for community members to manage conflicts when they arise, prior to the implementation of CF activities. There are also challenges inside the CF such as implementation, participation, decentralization, conflict management, and equity. SWPO analysis for the impact of CF in development and management SWPO is an appropriate tool for mapping experiences and to develop a framework for analysis of potential solutions. Impact evaluation means learning lessons from the past to serve as a guide for future action. The potential means unused ability or opportunities whereas obstacles relate to threats regarding unfavourable conditions for CF development and management. A brief SWPO analysis is presented below (Table10).
Table 10. The SWPO window
Success (Strengths) Success (Strengths) The CFs are well protected by dividing forests into compartments. The forest condition has successively improved compared to the past after transfer of forest from the DFO to the local users Many C-FUGs are made aware of the importance of CF and are able to make their constitution and OP themselves. They frame their rules in the OP in order to develop and manage CF on a sustainable basis Handing over responsibilities of forest management to the local users creates ownership among local people Weaknesses (Bottlenecks) Transferred forest areas are small therefore forest products are not sufficient to supply the requirements of all users, even though CFs are progressively improved Despite CF improvement, there is are insufficient awareness programmes according to their needs, which eventually affects most of the users C-FUGs are collecting funds for their other community development activities. Solidarity is enhanced Success (Strengths) Womens empowerment in the C-FUGs. Involvement of users in forest development and management, especially of deprived groups and women in C-FUCs; participatory planning, implementation and decisions are improved for conservation of CFs Potentials (Opportunities) Potentials (Opportunities) Surplus production of various forest products from important timber to NTFPs

Be self-sufficient in running CF along with creating extra funds for other community development activities

Ecotourism can attract many visitors from different places but needs to be well managed and maintain certain standards Obstacles (Threats) Keeping the CF at a distance from any political influence

Lack of trust and fear that the government will reoccupy CFs; frequent changing of forest policy, as well as decisions on CF by the government Increased income from felling of trees so chances of abuse by authority in C-FUGs Potentials (Opportunities) To strengthen the institutional capacity building of C-FUGs, training, extension as well as study tours are conducted

241

Fair and equitable distribution of forest products by C-FUGs. Forest products are easily available and C-FUGs fix the price of forest products INGOs/NGOs and donors provide financial and technical support to the C-FUGs for the development and management of CF programmes Weaknesses (Bottlenecks)

Sharing experiences and benefits within and among users

Obstacles (Threats) HH populations are increasing day-by-day but the forest area remains the same. Therefore illicit felling in the forest may occur

Although the workload of the DFO has increased, forestry staff are frequently transferred by the government. Due to inadequate incentive mechanisms and increased working obligations, field technicians are not willing to go to remote areas Create cronyism and political factions. Most of the C-FUGs are influenced by political parties, so, weak group participation and working ability The central level C-FUG Federation (FECOFUN) has been politicalized which has weakened the C-FUG strength If people obtain membership in many C-FUGs, this may affect protection and management Elite dominance in the decision-making process for redeeming forest products. Also lack of forest income distribution to other areas C-FUGs are interested in protecting their own forest, not the adjoining government protected forest, which they are destroying to fulfill forest needs. Some of the users dislike silvicultural operations such as thinning, singling and pruning because they are afraid of forest degradation Circulars from ministries and departments create confusion among local users

Lack of clear-cut roles and responsibilities of the VDCs; as a result they are often excluded from CF activities so conflict may occur between them Lack of appropriate technical human resources in the DFO to satisfy increasing needs in pre- and postformation support to the C-FUGs To fulfill users demands, there might be a chance of over-exploitation Frequent transfer of field level staff by the government cannot satisfy the needs of users When substantial funds are made available to the C-FUGs, there might be chance of conflict among users regarding sharing of benefits

Conclusion In general, the socio-economic situation has improved mainly due to the availability of various forest products and the improved forest condition of the study area. A characteristic of the CF programme is collective wisdom between DFOs and other stakeholders, which also contributes to positive social changes. A powerful self-motivated tool Social Fencing stimulates the feeling of ownership among users, which is a major community benefit for the sustainable management of forest resources. Participatory decision making and dynamic active participation of all users in CF activities has evolved trust and generated feeling of ownership and accountability. Influential people in villages are more aware of law, legislation, and have access to information. But the involvement of poor, deprived people as well as women in planning, implementation, and decision making has ensured representation of targeted communities to be instrumental in having positive impacts in CFs. More income-generating activities are needed. The main sources of income of C-FUGs are sale of forest products, membership fees, and donations from outside. There is lack of technical and socio-

242

economic description in the CF Constitution and OPs made by C-FUGs. Also there is not enough technical support provided by the DFO. The CF area is unable to fulfill all requirements. Power, authority, and responsibilities are decentralizing to the local users, therefore CF-related activities in the study area are gearing towards balanced and optimized socio-economic and environmental benefits. Based on the perceptions of C-FUG members, fair and equitable distribution of forest products and womens empowerment are successively increasing at all levels in the study areas. The CF awareness has not reached the people of the rural community adequately. But the overall level of awareness has increased and users participation is much improved. Literature cited Bertlett, A.G. & Malla, Y.B. 1992. Local forest management and forest policy in Nepal. Journal of World Forest Resource Management 6: 99-116. Bhatia, A. 1995. Community Forestry: The Language of Life. Report of the Forest Regional CFUG Workshop, organized by ICIMOD and FAOs Forest, Trees and People Program, 22-27 May 1995, Kathmandu, Nepal. Blaikie, P. 1990. The Explanation of Land Degradation: Social Dynamics of Watersheds and Mountain Ecosystems . Routledge, New York, pp 132-158. Brandler, T. & Carey H. 1998. Community forestry defined. Journal of Forestry, March 1999, p 21. Brooks, K.N. 1993. Challenges in Upland Conservation: Asia and the Pacific. RAPA, FAO, Bangkok, 1993. Central Bureau of Statistics . 1999. Statistical Year Book of Nepal. HMG/N, National Planning Commission Secretariat, Kathmandu, Nepal. Chakraborty, R.N. 2001. Stability and outcomes of common property institutions in forestry: evidence from the Terai Region of Nepal. Ecological Economics, ELSEVIER, 36: 341-353. DADO. 1996. Palpa Report. District Agriculture Development Report, District Agriculture Development Office, Tansen, Nepal. DDC. 2000. District Profile of Palpa. District Development Committee, Local Initiative Support Program, HEVVATAS, Tansen, Palpa. District Forest Office, DFO. 1999. Forest Development Activities of District Forest Office. Palpa. District Forest Office, Tansen. Easter, K.W.; Dixon, J.A. & Hufschmidt M.M. 1991. Watershed Resources Management: Studies from Asia and the Pacific. ISEAS Environment and Development series, ASEAN Economic Research Unit, Institute of Southeast Asian Studies, Singapore and Environmental Policy Institute, East-West Center, Honolulu. FRISP. 1999. Forest Resources of Nepal 1987-1998. Forest Resource Information System Project, Department of Forest Research Survey HMGN and The Government of Finland, Publication no. 74, November 1999. Jackson W.J. et al. 1996. Community Forestry for Rural Development in Nepal. A Manual for Training Field Workers. Nepal-Australia Community Forestry Project, Kathmandu, Nepal. Jerram, M.R.K. 1939. Elementary Forest Menstruation. Thomas Murby and Company, 40 Museum Street W.C.1.

243

Master Plan for the Forestry Sector (MPFS). 1988. Master Plan for the Forestry Sector: Main Report, His Majestys Government of Nepal, Ministry of Forest and Soil Conservation, Kathmandu, Nepal. HMG/ADB/FINNIDA, December 1988. Nepal District Profile. 1999. A District-wise Socio-economic Profile along with a Comprehensive Profile of Nepal (4th edition). Nepal Research Associates, Kathmandu, Nepal. Karki, M.B. et al. 1994. Sustainable Management of Common Forest Resources. An Evaluation of Selected Forest User Groups in Western Nepal. ICIMOD, Kathmandu, Nepal. Oakley, P. & Marsden, D. 1984 Approaches to Participation in Rural Development. International Labor Office, Geneva. Rai, C.B. & Beek, R. 1998. Simple Participatory Forest Inventory and Data Processing: Guidelines for the Forest Management Plan, Action Research Cell. Technical Note No-3, Nepal Swiss Community Forestry Project. Rao, Y.S. 1994. Asia-Pacific Tropical Forestry: Ecological Disaster or Sustainable Growth? FAO RAP, Bangkok, Thailand. Regmi, R. 1978. Land Ownership in Nepal. University of California at Berkeley, USA.

244

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

INTEGRATED NATURAL RESOURCE CONSERVATION: PEOPLES PERCEPTIONS AND PARTICIPATION IN NEPAL Shiva Kumar Wagle 1

Introduction Natural resources in developing countries are under heavy pressure and degradation has increased since the economic growth period of the early 1970s. Proper management of available natural resources is a prerequisite for the development of any community. Integrated natural resource conservation and management encompasses all activities for the management of natural resources in an area or watershed. Common property resources include forest, pastureland, and water, which can be bifurcated into government and community management. Use and management of natural resources both in private and public lands are determined by numerous factors such as individual perceptions at household levels, population pressure, and resource pricing policy at the national level (Thapa and Weber, 1994). Integrated resource management (IRM) is a holistic approach to resource conservation and management that encourages participants to consider many social and environmental interconnections. IRM must bring together a diverse array of people who have a stake in the system including government agencies, community organizations, and other organizations. According to Ervin and Ervin (1982), different factors like the personal and economic status of local people and physical condition of the resource play an important role with regard to their decisions on conservation activities. Agriculture, land management, and forest/tree utilization are integral components of a farming system. The forest produces fuelwood for household energy, grass and tree fodder for livestock feed, timber and poles for household construction and construction of agricultural implements, and leaf litter for animal bedding; the animals in turn provide organic manure for agricultural production. The majority of farmers in developing countries like Nepal exist in a subsistence economy and current agricultural systems cannot ensure subsistence; thus the farmers extend their farmland into fragile marginal land and forests for more production to fulfill their basic needs. The major causes of deforestation are commercial logging, shifting cultivation, lack of rule enforcement and regulations, government resettlement programmes, and high demand for wood, timber, and fodder created by the growing population. Expansion of agricultural land into the forest is the most serious deforestation problem (Thapa and Weber, 1990). Peoples participation is total involvement in conservation activities, i.e. deciding on programmes and activities, fixing priorities, taking initiatives, contributing ideas, material, money, labour, and time. However participation is self-motivated. There are two separate institutions working in the field of resource conservation within the Ministry of Forest and Soil Conservation (MFSC): (1) community forestry user groups (CFUGs) for forest resource conservation and management under the Department of Forest (DOF) and (2) community development groups (soil-conservation user group SCUG) for soil-conservation activities under the Department of Soil Conservation and Watershed Management (DSCWM).
1

MSc. Thesis, Asian Institute of Technology, Bangkok, Thailand. August 2004. Examination Committee - Dr. Ganesh P. Shivakoti (Chair), Dr. Dietrich Schmidt-Vogt, Dr. Ambika P. Gautam

131

There is a growing tendency to hand over resource management responsibility from the state to the community; for example, community forestry in Nepal (Paudel, 1998). In Nepal, the forest resources transferred to the community (community forestry) are managed well; they fulfill the basic needs for forestry products and substantially reduce soil erosion by increasing land cover. The main objective of this research was to understand peoples perceptions and participation in the purview of integrated natural resource conservation how they perceive forest and soilconservation activities and their opinions and attitudes on these activities and how they affect participation. Study area and selection criteria Nepal is politically divided into 75 districts. Rupendehi District is situated in the Terai region with areas in the Siwaliks hills (Figure 1). The Siwaliks house the headwaters of most of the river systems of the Terai and have significant ecological and socio-economic importance. Together, the Terai and Siwaliks account for 27 percent of Nepals total area and approximately 35 percent of the forest resources. Most of the Terai people depend directly or indirectly on the Siwaliks for forest and water resources. Ghamaha sub-watershed (GSW) of the Siwaliks region of Rupandehi District was selected for the study. Within GSW, there are two CFUGs namely Parroha CFUG and Bolbum CFUG. But there is only one SCUG the West Ganganagar SCUG in GSW. All the users of the West Ganganagar SCUG are users of Parroha CFUG. Overview of the district Rupandehi District l has 26 small- and medium-sized rivers. The climate of the district varies from tropical to temperate. The district has a total of 118 731 households and the average household size is 8. Population growth is 3.2 percent and the population density is 526 persons/km2 . The literacy rate is 55 percent. Agricultural products include rice, wheat, maize, mustard, and pulses. The forest area of the district is also divided into production forest, protection forest, and potential community forest (CF) with areas of 7 014 ha (21.9 percent), 18 533 ha (57.9 percent), and 6 459 ha (20.2 percent) respectively. Much of the national forest was handed over as CF in this district. Watershed characteristics The soil- and water-conservation programme in Rupandehi District started with the establishment of the District Soil Conservation Office (DSCO) in 1995. The main programme of the DSCO is integrated resource conservation through peoples participation with the sub-watershed as the management unit. GSW was selected as the study area. The watershed covers 3 339 ha and includes Parroha VDC, Khagda-Bangai VDC, Suryapura VDC, and some parts of Man-Pakadi VDC. Most of the watershed settlers are engaged in agricultural activities like field crop cultivation and animal husbandry. The watershed settlers raise livestock for milk, meat, and ploughing. CF within Ghamaha sub-watershed In GSW, the forest is located only in Parroha VDC. With assistance from the DFO, forest protection started around 1990 after the democratic revolution. In 1994, 500 ha were handed over to the local community as CF. In 1998 the CF area was extended to the whole forest area of Parroha VDC; the total area of the forest was 1 342 ha and there were 3 257 households. Learning from past experience, 132

in 2003 this CF was again divided into three CFUGs: Parroha CFUG; Sainamaina CFUG; and Bolbam CFUG. The GSW covers only Parroh and Bolbam CFs. Parroha CFUG This CFUG lies in the western part of the GSW. There are 1 267 households and the total population is 8 449. This CFUG is heterogeneous socio-economically and land-holding size has a maximum of 1.87 ha. Out of 1 267 households, 71 are involved in soil- and water-conservation groups. About 17 households are users of another CF. The total forest area is 633 ha and the forest type is mixed natural forest of the Siwaliks hills (Table 1). One forest guard has been recruited for patrolling. Block nos. 1-3 are 184, 210, and 239 ha respectively.
Table 1. Forest type of Parroha CFUG
Block no. 1 2 3 Total area (ha) 184 210 239 Forest type Mixed forest Sal forest Sal forest Major species Sal, asna, banjhi, satisal Sal, asna, karma, banjhi, satisal Sal, asna, karma, banjhi, satisal

Source: Operational Plan of Parroha CF (2002)

The user group has its own rules for the collection of forest products which are decided on at committee meetings according to the needs of the users. General rules are: (1) The users collect fodder freely from the CF without any charge; (2) the forest is opened for the collection of fuelwood for five days, three times a year, free of charge. In addition, they can collect fuelwood at a charge of NRs2/bhari2 every Saturday; (3) the users have to pay NRs5 per piece of small wood to collect in the forest directly. In addition to forest protection and management, the users are involved in various development activities to develop their village themselves. Bolbam CFUG This CFUG is also in GSW. There are 801 households and the total population is 4 406. This CFUG is heterogeneous socio-economically and land-holdings reach a maximum of 3.4 ha. Table 2 shows the forest types in the study area.
Table 2. Forest types of Bolbum CFUG
Block no. 1 2 3 4 Total area (ha) 118 85 166 303 Forest type Mixed Mixed Mixed Mixed forest forest forest forest Major species Sal, asna, khair, neem, banjhi Sal, asna, khair, banjhi Sal, asna, banjhi Sal, asna, karma, banjhi, sajan

Source: Constitution and OP of user group (2003)

Back-load of fuelwood or fodder that one person can carry (approximately 40 kg).

133

The total area of CF is 572 ha. All of the forest area lies in the Siwaliks hills and is sub-tropical mixed forest. The major species include sal followed by asna, karma etc. From the management point of view the CF is divided into four blocks. Users collect fodder and fuelwood for their daily needs. Most users have planted trees on their own land and some people also use cow dung as an energy source for cooking. The rules generally followed by this user group are: (1) The users collect fodder freely from the CF without any charge; (2) the user group opens the forest for the collection of fuelwood for five days, three times a year, free of charge; (3) the users have to pay NRs5 per piece of small wood and to collect in the forest directly; (4) timber is collected by committee members using paid labour and stacked in the CF office. Every member can buy timber from the CFUG office. Fuelwood collected from thinning operations is distributed 50/50. The furthest distance from the forest for users is 5 km. To give remote users equal opportunities, the thinning operation are conducted on a 50/50 basis. West Ganganagar user committee for soil conservation This user committee is located in Ward no. 4 of Parroha VDC adjoining the Siwaliks and within Parroha CF around the Ghamaha River. It was formed in 1998 with assistance from the Rupandehi DSCO and registered in the Parroha VDC. All committee users are members of Parroha CFUG. User committee members conduct different conservation and development activities with financial and other support from the DSCO. Such activities include bioengineering for landslide protection, water source protection, watershed conservation, runoff rentention dam construction, bamboo walls for river bank protection, irrigation canal protection, and adequate drinking water supply. Socio-economic characteristics of the households Family size The number of family members in the sampled households ranged from a minimum of one member to a maximum of 22 members. The overall average family size of the respondent households was 6.46 with standard deviation 3.336. The highest mean family size was 7.23 members per family in Parroha CF, without a SCUG. The gender ratio was highest in Bolbum CF (1.38) and lowest in Parroha, without a SCUG (1.05). Ethnicity The castes of respondents were classified into four groups: upper, middle, lower, and Tharu. Brahmins, Chhetri, and Thakuri were included in the upper caste. Magar, Gurung, Newar, Gupta, and Yadav were included in the middle caste. Kami, Damai, Sarki, and Mallaha were included in the lower caste. The community was dominated by middle caste people in Parroha with a SCUG and dominated by upper castes in both Parroha (without a SCUG) and Bolbum CF. The age groups of the respondents ranged from 20-77 years with a minimum of 20 years in both Parroha (with SCUG) and Bolbum CF and a maximum of 77 years in Bolbum CF.

134

Figure 1. Location of the study area (Rupandehi District)

Literacy level Literacy is an important indicator of development; it has a multiplier effect on forest conservation and management. Among the 92 respondents surveyed, 65.5 percent were literate. About 26 percent of the respondents were illiterate whereas 7.6 percent had secondary level education and only one person had college education. About 59 percent had primary education. Only 4 percent of the people had higher education. The study area, Parroha (with a SCUG) could only provide primary education and both Parroha (without CF) and Bolbum could provide secondary education. Occupational characteristics The main occupation of the whole study area was agriculture (78 percent) followed by waged labour (8.7 percent) (Table 3); 7.6 percent of the respondents were engaged in traditional work. A total of 18.8 percent were engaged in waged labour in Parroha (with a SCUG), whereas this was zero in Parroha (without a SCUG) and 2.6 percent in Bolbum CFUG. The farmers were also involved in offfarm activities (waged labour, business).

135

Table 3. Distribution of family members in occupations

Occupation Parroha CF With SCUG (WG) total Agriculture Business Waged labour Service Other/traditional work 72 3 38 10 7 mean 2.25 0.09 1.19 0.31 0.22 Without SCUG total 111 4 11 24 2 mean 3.70 0.13 0.37 0.80 0.07 total 120 5 23 12 10 mean 4.0 0.17 0.77 0.40 0.33 total 303 12 72 46 19 mean 3.29 0.13 0.78 0.50 0.21 Bolbum CF Total

Source: Household Survey (2004)

Land-holdings In an agrarian society, as in the study area, land-holdings have significant importance in determining the overall economic condition of the households. The land-holding classifications varied from landless to 3.4 ha. Most people had their own land but a few (7.6 percent) were landless; the landless used other peoples land for cultivation or depended on waged labour for their livelihoods. Cereal crop production The mean cereal crop production of the study area was 1 382 kg: 798.5 kg in Parroha (with a SCUG), 1 613 kg in Parroha (without a SCUG), and 1 807 kg in Bolbum CF. Most of the production ranged from 500-1 500 kg per household; 27 percent of the households grew less than 500 kg. Analysis of variance (ANOVA) of mean cereal crop production within the three study groups revealed significant difference in mean cereal crop production. The production of cereal crops indicates the food balance of the family, which in turn reflects the time available for natural resource conservation activities. About 26 percent of the respondents had food sufficiency from their own production and 29 percent had more than required; 44.6 percent was food deficit (Table 4).
Table 4. Food balance among respondents
Food balance of family Parroha CF With SCUG (WG) For less than six months For six months For one year Exceeding one year 11 (34.4) 11 (34.4) 8 (25.0) 2 (6.3) Without SCUG 8 (26.7) 2 (6.7) 6 (20.6) 14 (46.7) 7 (23.3) 2 (6.7) 10 (33.3) 11 (36.6) 26 (28.3) 15 (16.3) 24 (26.1) 27 (29.3) Bolbum CF Total

Source: Household Survey (2004). The figures in parentheses represent the percentage of respondents

Cash income The major source of cash income in the study area was sale of cereal crops, vegetables, waged labour, and services. Other income sources were businesses, house rent, and traditional occupations. Most people had income ranging from NRs10 000-60 000. A few people (6.5 percent) had annual cash income of less than NRs10 000; conversely 28 percent people had annual cash income exceeding NRs60 000. The relationship between income group and study group was tested through the chi-

136

square test and the difference was significant. The cash income of households reflects the economic and social status of the family. The expenditure of the household directly depends on the cash income of households. Livestock Livestock is an integral feature of the Nepalese farming system. Almost all respondents in the study area had cattle. Popular livestock were goats/sheep, cattle, and buffalo. They were used for manure, milk, meat, and ploughing. Goats/sheep predominated followed by livestock raised for power. The mean livestock number of the study area was 3.40 head. Sixty-three percent of the respondents regarded irrigation as a problem and 30 percent were concerned about fodder. Lack of labour (1.5 percent) and grazing land (1.5 percent) were minor constraints. Some households used the forest for grazing their livestock as well. Generally goats foraged in the CF. Cattle and buffalo were stall-fed.
Table 5. Test statistics of importance of natural resources in the sampled households
Test statistics Chi-square Pearson Correlation Test variable Grouping variable Test value = 18.442 -0.234
2

P value 0.005 0.036

Sig. level 0.05 0.05

Importance of forest Study group 1. WAI of importance of forest 2. Distance from house to forest

When a chi-square test was performed on the importance of forest, there was significant difference in the mean of perceived importance of forest among the three study groups (Table 5). In a correlation test, there was negative correlation between the WAI of importance of forest and forest distance from the households. This indicates that those people who lived close to the forest perceived the forest to be more important for their households. Knowledge on resource conservation The most important conservation activity is forest conservation followed by irrigation canal protection; prevention and control of landslides; plantation on owned land; flood control; water source protection; thinning, pruning, and weeding in the forest; cultivating suitable land; plantation in the forest; runoff retention dam construction; and horticulture. Participation in any conservation activity depends on the importance of the activity for the concerned households. The highest WAI of importance for conservation activity was 0.9299 for forest conservation and the lowest WAI was 0.4167 for fruit tree plantation. ANOVA revealed that the difference in mean was significant for plantation on forest land, landslide control, flood control, runoff retention dam construction, water source protection, cultivating suitable land, irrigation canal protection, and fruit tree plantation. People living in sloping land areas were concerned about landslide control while those who lived around rivers focused on flood control. Users attributed natural resource destruction to: fire, uncontrolled cutting of forest, users ignorance, over-grazing, lack of periodic afforestation, lack of conservation measures, population increase, and political instability.

137

Natural disasters Sustainable management and utilization of natural resources play an important role for prevention and control of natural disasters. Overall trends in natural disasters were decreasing in Parroha (with SCUG) but remained constant in both Parroha (without SCUG) and Bolbum CF. SCUG users who lived near rivers at the foothills of the Siwaliks have been affected by flooding and landslides more frequently in recent years. Availability and sufficiency of forest products About 28.4 percent of the respondents considered that forest product availability was sufficient, 37.5 percent perceived no change since CF, and 34.1 percent perceived that availability was lower since CF (Table 6). Regarding less availability of forest products, most users said that after the implementation of CF, there was no opportunity for free cutting. Other indicators were high population of the study area and high price of forest products charged by the CFUG.
Table 6. Availability of forest products
Availability of FP Enough Same as before Less than before WAI Parroha CF 20 (33.9) 22 (37.3) 17 (28.8) 0.6802 Bolbum CF 5 (17.2) 11 (37.9) 13 (48.8) 0.5707 Total 25 (28.4) 33 (37.5) 30 (34.1) 0.6441

Source: Field Survey (2004). (Score: 1= enough, 0.66= same as before, 0.33= less than before)

Almost all users depended on fuelwood as an energy source. Women claimed shortage of fuelwood for cooking and blamed the collection rules for the shortage. There was negative correlation between the total number of household members and sufficiency of forest products, and the correlation was significant (Table 7). This indicates that forest products available from the CF were insufficient for large households.
Table 7. Sufficiency of forest product from the CF
Parroha CF Sufficiency of forest products Enough General Less than required WAI With SCUG 1 (3.1) 31 (96.9) 0 0.6706 Without SCUG Bolbum CF 3 (3.3) 80 (88.9) 7 (7.8) 0.6457 Pearson Correlation = -0.331 (between WAI of sufficiency of forest products and number of family members); correlation was significant at 0.01 level. Total Test statistics

1 (3.4) 1 (3.4) 26 (89.7) 23 (79.3) 2 (6.9) 5 (17.2) 0.6490 0.6186

Source: Field Survey (2004). (Score: 1 = enough, 0.66 = general, 0.33 = less than required)

Most of the users were dependent on the CF for forest products. The greatest need was wood for charcoal (only used by blacksmiths), followed by inter alia , fuelwood, thatching grass, and leaf/ litter. Dependency on the forest was higher in Parroha CF (with SCUG) than elsewhere. The frequency of collection depended on the collection rules followed by the users in both CFs. The mean frequency of collection was higher in Parroha (with SCUG). Generally women were more involved in the collection of forest products. 138

Benefits from community forestry Out of a total of 92 respondent surveyed, 81 persons said they benefited to a certain degree from the implementation of CF and the soil-conservation programme, nine people argued that they did not benefit, whereas two gave no opinion. Seventy-nine respondents reported that they had not suffered loss since programme implementation.
Table 8. Perceived benefits from CF and soil-conservation activity
Test statistics ANOVA t-test t-test Test variable WAI of perceived benefits WAI of perceived benefits WAI of perceived benefits Grouping variables Study group CF with SCUG and CF without SCUG Gender (male and female) Test value F= 3.871 t= 2.782 t= 2.152 P value 0.044 0.013 0.047 Sig. value 0.05 0.05 0.05

ANOVA revealed there was significant difference in perceived benefits among the three study groups (Table 8). Similarly, the independent sample t-test showed the difference in perceived mean benefits was significant with gender also. Perception of benefits was higher in Parroha CF (with SCUG) which indicated that people close to the forest benefited more than others. Similarly there was gender imbalance in benefit distribution. Peoples participation in CF and soil-conservation activities Men were more interested in collecting timber whereas women were more concerned with fuelwood and fodder. Level of participation Participation was studied at two levels. Firstly, participation of households in discussions and sharing ideas with CFs and SCUGs and secondly representation during community work. It can be inferred from Figure 2 that most of the respondent households did not participate in discussions or share ideas on the CF programme. Around 6.5 percent of the households always participated in discussions and shared ideas; almost all of the users participated in group work when the CFUG requested assistance one reason being penalty for defaulters in all three groups for not participating in group work, but there was no penalty for not attending discussions or meetings. Participation in different activities (participation of respondents) A CFUG should typically hold meetings of the entire assembly of users to address issues on CFUG administration, CF management or distribution of benefits from the CF. Both CFUGs had large number of households and they held general assembly meetings with all the users only once a year. To address management and other problems, Parroha CFUG was divided into five sub-groups and Bolbum CFUG was divided into seven sub-groups. People held meetings within sub-groups on different issues. Decisions of their group meetings were again discussed during the executive committee meeting and the major decisions were taken by the executive committees.

139

70 60 50

Percent

40

Study group
30 20 10 0 always often occassionally never Parroha CF with SCUG (west Ganganager SC) Parroha CF without SCUG Bolbum CF

participation on discussion and giving idea in CFUG

Figure 2. Participation in discussions and sharing ideas with the CFUG

Participation at the time of group formation The persons who participated more at the time of group formation would participate in resource conservation activities as well. Less than one-third of the respondents participated at the time of user group formation in both Parroha (without CF) and Bolbum CF whereas almost two-thirds of the respondents participated in the soil-conservation group. When a chi-square test was performed on gender and participation in group formation, there was significant difference in gender participation at the time of group formation. Participation in CFUG group meetings Very few people were involved in discussions and sharing ideas. An independent sample t-test revealed that the difference in the mean of participation was significant with gender. Similarly in the same test, the difference in the mean of participation was significant with and without SCUGs. The findings indicated that participation at group meetings was higher for combined CFUGs and SCUGs and gender imbalance was noticed in group meeting attendance (Table 9).
Table 9. Test statistics for participation in group meetings
Test statistics t-test t-test Test variables WAI of participation in group meetings WAI of participation in group meetings Grouping variables Gender (male & female) CF with SCUG and CF without SCUG Test value t= 2.374 t=2.352 P value 0.020 0.021 Sig. level 0.05 0.05

Participation in CFUG operation decisions Participation was very low; only 5 percent always participated in operational decision-making and more than 63.3 percent never participated. Committee members were more involved than general

140

members in regular decisions on CF. Men were more active than women. For ANOVA on the mean of operational decisions within land-holding groups and also regarding positions on committee, there was significant difference in both means. Participation in forest product collection There was higher participation in fodder and fuelwood collection compared to other products for all the three groups (Table 10). Seventy-one percent of the respondents never entered the forest directly to collect wood because CF rules prohibited free access; timber could be obtained from the CF office.
Table 10. Test statistics of participation in forest product collection
Test statistics ANOVA Test variables WAI of participation in forest product collection Grouping variables Household distance group Test value F= 7.245 P value 0.000 Sig. level 0.05

ANOVA revealed that participation in forest product collection was significantly different with distance of households to the CF, i.e. remote users obtained less benefits. Participation in soil-conservation groups There was more participation in the SCUG than the CF. In the study area, the SCUG was very small with only 71 households living in a small village; thus it was easier to inform all users on any decisions reached. Although the participation in the SCUG was higher than the CF, a t-test showed that the difference in mean of participation by gender was significant. Knowledge about functioning of the SCUG Flow of information about decisions Most positions on the executive committee were occupied by elite members who controlled harvesting, product distribution, and mobilization of funds. Regarding decision-making methods, around 60 percent of the respondents said that they had no idea how decisions were made. The flow of information about group decisions on CF was very low in both CFs but slightly higher in the SCUG vis vis the soil-conservation programme. It seems that SCUGs were more aware about group work. In all studied groups, 50 percent of the respondents never learned about group decisions (Table 11).

141

Table 11. Distribution of information about group decisions

Information about group decision With SCUG About CF Always Often Rarely Never 9 (28.1) 3 (9.1) 11 (34.4) 9(28.1) About SCUG 10 (31.3) 4 (12.5) 10 (31.3) 8 (25.0) 1 (3.3) 1(3.3) 11(36.7) 17 (56.7) 0 2 (6.7) 13 (43.3) 15 (50.0) Parroha CF Without SCUG Bolbum CF

Source: Household Survey (2004). The figures in parentheses represent percentages.

Flow of information about group work The flow of information about group work was more than the flow of information about group decisions. In Parroha (with SCUG), most people always knew about their group work while in Parroha (without CF) and Bolbum CF most people rarely knew about their group work. Level of satisfaction with group work This was different among the three study groups. The people who were involved in both CF and the soil-conservation programme were more satisfied than those people involved only in the CF programme. From a t-test, it was found that there was significant difference in the level of satisfaction about CF with or without SCUG. The users with SCUG were more satisfied than the users without SCUG. Knowledge about funds, training, and support Generally, funds were used on work that benefited the users. In Bolbum CF, funds were lent to users for income-generation activities. Most of the funds of all three study groups were spent on village development work such as gravelling of roads, donations to schools etc. Ninety percent of the users said that there was no distribution of cash income among users and 9.8 percent had no idea about cash distribution. Twenty-five percent of the users in all three study areas obtained support from different organizations for different income-generation activities. Analysis of factors influencing participation in CF Principle component analysis revealed seven components (factors) with eigen values exceeding 1. The first factor was CF governance, with rules followed by the CF, and accessibility of forest products as major variables; forest distance from households, functioning of the CF, perceived benefits, and involvement at the time of group formation were complementary factors. Factor 1 explained 21.204 of total variance. This factor was associated with government policy for CF and accessibility of forest products too. The second factor was household characteristics; this comprised total land-holdings, total number of working people, forest distance, and dependency on fuelwood as major variables with dependency on fodder and occupation as complementary variables. This explained 12.639 percent of total variance. The third factor was awareness about CF, which constituted functioning of the CF and position on the CF committee, involvement at the time of group formation, satisfaction from CF, and household food

142

security as major variables with availability and accessibility to the forest as complementary variables. This factor explained 9.939 percent of total variance. The fourth factor was need for forest products, which comprised the need for fodder, need for fuelwood, and perceived benefits from CF as major variables with satisfaction from CF as a complementary variable. This factor explained the 7.754 percent of total variance. The fifth, sixth, and seventh factors had only two variables each as major variables in the factor loading. The fifth factor was education and dependency (major variables) with dependency on fuelwood as a complementary variable. The sixth factor was occupation and caste (major variables). The seventh factor was income and availability of forest products (major variables). The factors with less than three variables were not considered as main influencing factor in this study. Perceptions towards CF and soil-conservation activities Perceptions about CF policy All three study groups were positive about the CF programme. The method for forming users groups received the lowest WAI score. ANOVA examined the relationship among the three study groups and significant difference was observed in the mean score of the CF programme. Similarly an independent sample t-test was performed to understand the relationship between CF (with SCUG) and CF (without SCUG) and again significant difference was observed. There was positive correlation between government rules for CF and peoples participation and the correlation was significant. People who approved of the governments rules for CF participated more in the CF programme. Perceptions about accessibility of forest products after CF Improvement in forest condition and increase in standing volume of timber do not necessarily mean that there is increased access to forest products. This depends on the collection rule followed by the users. The lowest WAI score was for accessible forest grazing, timber, and thatching grass. One user remote from the CF office claimed that their group could not obtain forest products easily, because they had already been removed when they reached the forest and they had to penetrate deep inside the forest to collect forest products. There was positive correlation between accessibility of forest products and participation in the CF programme. Perceptions on rules followed by users The rules followed by the CFUG were directly related to benefit sharing from the CF. ANOVA found that there were different perceptions about rules and this was significant among the three groups. People who wanted to enter the forest directly to collect forest products were less satisfied with rules whereas the people who did not enter the forest directly for the collection of forest products, as they intended to buy them from the CF office, were more satisfied with the rules. There was positive correlation between peoples participation and rules followed by users in the CF programme. Perceptions on functioning of the CF ANOVA found that there were different perceptions on the functioning of the CF and these were significant in the three study groups. The difference was significant among the general members and 143

executive committee members. There was a positive correlation between peoples participation and perceived functioning of the CF. People who thought that the users groups were functioning well also participated more in the CF programme. One female committee member of Bolbum CF said that men on the committee generally did not listen to women during decision-making. Perceptions on effectiveness of conservation All three-study groups thought that conservation was effective (Table 12). This was appraised through change in condition of the forest, change in water availability, change in flood and landslide events, and reduction of illegal cutting. People who thought that conservation was effective through CF participated more in the CF programme.
Table 12. Test statistics of opinions about the effectiveness of conservation
Test statistics t-test Test variables Grouping variables Test value t=3.663 F=7.088 0.304 P value 0.000 0.001 0.009 Sig. level 0.05 0.05 0.01

WAI of opinion about CF with and without SCUG effectiveness of conservation ANOVA WAI of opinion about Study group effectiveness of conservation Pearson 1. WAI of opinion about effectiveness of conservation Correlation 2. Participation in CF

Perceptions on CF In one analysis, the overall perception about CF differed significantly regarding the food balance of the users (Table 13). Another analysis suggested that generally people were positive about the programme. The people with better food security throughout the year were more positive about the CF programme than the people who were less food-secure.
Table 13. Test statistics of overall perceptions about CF
Test statistics ANOVA ANOVA Test variables WAI of overall perceptions about CF Overall perceptions about CF Grouping variables Study group Food balance group Test value F= 6.008 F= 3.893 P value 0.005 0.014 Sig. level 0.05 0.05

Sense of security and ownership (CF resources) A slight majority of households (51 percent) said that they felt more secure about their rights to resources in CF. Reasons given for no change or decrease in sense of security included control and monopolization of CF resources by executive committee members and price discrimination among users. Poorer respondents said that there was no free access to collect forest products and the CF was selling the forest products.

144

Perceptions on the soil-conservation programme Perceptions about the soil-conservation programme were positive among users in the programme implementation area and higher than CF. Policy analysis Learning from experience, the forest policy of Nepal has gradually changed from government-controlled forest management to participatory forest management. Currently the forest policy has centred on peoples participation in both forest and soil-conservation programmes. Community forestry, which is the basis for peoples participation, is functioning well in the hills, but this is not the case in the Terai (Amatya, 2002). For the Terai, Siwaliks, and inner Terai, the government is trying to manage forest resources through collaborative forest management. Contradiction between the Forest Act and local self-government act There are many contradictions between the Forest Act and the local self-government act (LSGA) in terms of rights and responsibilities. The main contradictions are: (1) Misconception among members of the local government that forests within the area of the village development committee/district development committee (VDC/DDC) are the property of the VDC/DDC. (2) Section 17 of the Forest Act stipulates that no person shall be entitled to any right or facility of any type in national forest. (3) Section 68(1-C) of the LSGA stipulates that the forest granted by the prevailing forest laws and the government are the property of the VDC. (4) The LSGA stipulates that natural heritage, which includes forests, lakes, ponds, and rivers is the property of the VDC. (4) Section 218 of the LSGA stipulates that money from the sale of sand, stone, concrete, and soil, belongs to the DDC fund. This contradicts the definition of forest products under section 2(C) of the Forest Act. (5) Section 33(1) of the LSGA empowers VDCs to hear complaints relating among other things, to pasture, grass, and fuelwood, but the Forest Act does not provide such rights to VDCs. Contradiction between the Forest Act and other acts There are many contradictions between the Forest Act and other acts. 1) The Water Resource Act has vested the ownership of all water resources in the Kingdom of Nepal. Thus this act does not recognize the rights of CFUGs for water resources within CF areas. 2) The Nepal Mine Act has vested the ownership of any minerals in His Majestys Government of Nepal (HMGN). 3) The Environment Protection Act empowers the government to designate any area as an environment conservation area. This provision conflicts with the Forest Act once the Ministry of Population and Environment starts delineating conservation areas. 4) The following legislation empowers the government to acquire any land to fulfill the objectives of the respective acts.

145

a. b. c. d.

Section 4 of the Public Road Act (1974) Section 16 of the Water Resource Act (1993) Section 21 of the Electricity Act (1992) Sections 3, 4, and 25 of the Land Acquisition Act (1977)

Community forestry and SWOC analysis A SWOC (strengths, weaknesses, opportunities, and constraints) analysis was carried out for the community and collaborative forestry management programme (Tables 14 and 15).
Table 14. SWOC analysis of CF
Strengths 1. Institutional development, networking, and mutual relationship 2. Sense of ownership of resources 3. Peoples participation and participatory forest management 4. Easy forest product collection and distribution among users 5. People themselves can decide the programme 6. Conservation of forest and biodiversity 7. Implementation of indigenous forest management 8. Reduction on encroachment and illegal felling 9. Improvement in forest condition 10. Environmental protection 11. Increase in forest products and habitat for wildlife 12. Reduced floods and landslides and soil erosion and increased water availability 13. Skills, powers, and self-esteem developed in the users group and development of group working attitude 14. Awareness about rights about forest products 15. Strong relationship between bureaucrats and forest users 1. 2. Weaknesses Lack of judicial distribution of forest products Difficulties in user identification especially in the Terai and less emphasis on user group formation Lack of practical constitution and working plan Less participation of the poor, women, and disadvantaged groups Ignorance of policy, rules, and regulations of CF No or less coordination with local government (VDC, DDC) and others Lack of communication Lack of awareness about CF especially for Terai users Rush to hand over the forest Lack of programmes for the poor More power on the executive committee and decisions are committee oriented Funds focus on physical construction CF is dominated by elite people The traditional users who are remote from the forest lose their users rights No alternative occupations for those users who previously totally depended on forest products for their livelihoods Constraints and threats 1. 2. 3. 4. 5. Illiterate users Less participation due to poverty, no time to participate in forest management Frequent change in policy, rules, and regulations High political influence More benefits taken by the elite and executive members and deforestation for personal benefit by committee members Illegal cutting by users who displaced from their original occupation

3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15.

Opportunities 1. Can develop effective communication with local and external stakeholders 2. Institutional development for sustainable use of resources 3. Focus on income-generating plantation through scientific management of resources 4. Selection of projects for the poor depending on the aim of the CF 5. Can follow participatory group formation methods 6. Opportunity for different income-generating activities and employment

6.

146

7. 8. 9.

Support for village development like electricity, schools, roads, temples etc. Motivation for women, poor and the disadvantaged Support for poverty alleviation

7. Control by elite and rich people in the CF 8. Less awareness of women, poor, and disadvantage groups on CF 9. The executive committee is dominated by people who do not use forest resources 10. Constitution and working plan for handover of CF 11. Displacement of traditional users from resource use 12. Terai CF is used to earn money rather than fulfilling the basic needs of local people 13. Users cannot read their constitution and working plan and they do not know their rights and responsibilities

Collaborative forest management The new concept formulated for management of forest in the Terai, Siwaliks, and Inner Terai is collaborative forest management which has been incorporated in the Forestry Sector Policy (2000). The basic forest management unit is the collaborative forest management group (CFMG). There is a vast difference in the benefit distribution mechanism between the CFUG and the CFMG. CFUGs are free to fix the rate and distribute the major forest products within the CFUG. They only have to pay 20-40 percent royalty to the government if they sell the forest products outside the CFUG. For CFMG, the minimum rate for forest products is the government royalty rate and only 25 percent of the royalty is separated for the local fund. The CFMG has no authority to distribute and utilize the fund and authority for the distribution of the 25-percent fund is vested in the District Forest Co-coordination Committee (DFCC). The CFMG has authority for cutting and topping products only. According to the new concept for forest management and the Forestry Sector Policy (2000), the area delineated for CF includes only small patches in the Terai, Siwaliks, and Inner Terai. People think that the government is gradually withdrawing their rights from the forest and this may create misunderstanding between users and the government. Finally if the Terai forest is managed properly through collaborative forest management, it can accord users rights to remote users of the Terai who are the traditional users of the forest and who are now displaced by hill migrants.
Table 15. SWOC analysis of the Forest Sector Policy 2000
Strengths 1. 2. 3. 4. 5. Participatory programme Include users who are not included in CF Gives right to traditional users Sustainable development of forest resources and sustainable supply of forest resources Involvement of all stakeholders in forestry sectors Opportunities 1. 2. 3. 4. Equal involvement of near and remote users for forest management The area within the collaborative area will be developed according to local thinking Plantation on barren areas Sustainable management of governmentmanaged forest 1. 2. 3. 4. Weaknesses No judicial distribution of resources People think it is complementary with CF No linkage between CF and this policy There is no unity for benefit distribution between CF and collaborative forest management 5. No act and regulation for collaborative forest management yet Constraints (threats) 1. Small forest area with more users 2. Conflict due to difficulties in user identification 3. Difficulty to involve all users in forest conservation 4. Most forest already handed over to CF in some districts 5. CF users may oppose this

147

Peoples participation in soil conservation and watershed management Based on this policy, the following elements for peoples participation in soil-conservation and watershed management programmes have been developed: 1) 2) 3) 4) Identify activities that are conservation as well as needs oriented, and profitable for the farmers. Plan and identify activities at the grassroot level. Make the budget and government policy transparent to farmers Develop extension programmes to generate awareness and expertise about conservation and its benefits, and involve people in all stages of programme planning, implementation etc.

Despite peoples participation in the soil-conservation programme, the status of the users groups established to fulfill the objectives of the Soil and Water Conservation Act (SWCA) is unequal. The SWCA is silent about the establishment, registration, and powers and function of these users groups. There is no provision for registration of users groups like CFUGs. The implementation procedure is also different in the project (supported by NGO) and non-project (government supported) areas. In the project area there is regular support from the NGO and the group is working continuously, but in the non-project area the programme depends on the budget of the DSCO. There is no regular follow up by the DSCO and the users themselves. Therefore to continue the work and also to empower the users group there should be provision for user group registration (soil-conservation programme) within the Ministry of Forest and Soil Conservation and provision of a working plan for the nonproject area also. A single group could decrease costs for training, tours etc. Most of the users were in favour of a single group for resource conservation work. Conclusion Despite no limit on political and administrative boundaries for CF, the user groups are delineated according to political boundaries. Thus some people who never use forest products are also included in the user group. Most of the users of both CFUGs are unaware about the groups work and they do not know their CF rights. Most of the executive members are occasional users of forest products. People generally participate only for labour when the CFUG calls on them to do so. The degree of participation in discussion and sharing of ideas is very low. There is no enabling environment for marginalized people to participate in decision-making and benefit sharing in both CFUGs and SCUGs. The elite seldom listen to their voices. Factors that influence peoples participation in CF include government policy about CF, household characteristics of the users, awareness about the programme, and the need for forest resources. Greater power is given to committee members to make decisions. This discourages participation among the users. The users perceptions on any conservation programme are based on their general understanding of the conservation activities, their understanding of needs and resources, and experience gained from programme participation. The peoples perceptions towards CF are rather positive. It is mainly shaped by their perception on government rules for CF, accessibility of forest products, rules followed by users, functioning of the users group, and effectiveness of the conservation activities. Similarly peoples perceptions of the soil-conservation programme are also positive and mainly shaped by the effectiveness of the activities and functioning of the programme. The soil-conservation programme had greater appreciation than community forestry. Although the forest policy encourages maximum participation of local people for its activities both in CF and the soil-conservation programme, the present forest policy of Nepal is inadequate to encourage the users to participate in managing CF in order to protect the socio-economically 148

disadvantaged users from exploitation and suppression. The Forest Act (1993) does not recognize the role of local government bodies such as VDCs and DDCs in CF, nor assigns rights and responsibilities between the DFO and CFUGs. The CF policy is more focused on major forest products. Enough focus is not given to minor forest products, soil and water conservation, protection of the environment, and biodiversity conservation. Literature cited Amatya, S.M. 2002. A review of forest policy in Nepal. In Proceedings of the Forest Policy Workshop, January 22-24, 2002. Kuala Lumpur, Malaysia. Retrieved from FAO website: http://www.fao.org/DOCREP/003/AB576E/AB576E17.htm Ervin, C.A. & Ervin, D.E. 1982. Factors affecting the use of soil conservation practice: Hypothesis, evidence and policy implication. Land Economics, 58: 277-291. Paudel G.S. 1998. Approach to Watershed Management in Developing Countries. A special study submitted for the award of the degree of Doctor of Philosophy Program, Asian Institute of Technology. Bangkok: Agricultural Conservation and Rural Development Program, SERD, AIT. Thapa, G.B. & Weber, K.E. 1990. Actors and factors of deforestation in tropical Asia. Environmental Conservation, 17:19-27. Thapa, G.B. & Weber, K.E. 1994. Issues in natural resource management in developing countries. Natural Resource Forum, 18: 115-123.

149

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

PROSPECTS FOR INSTITUTIONAL SUSTAINABILITY IN COMMUNITY FORESTRY IN NEPAL Narendra Prasad Shah1

Introduction Forests play a significant role in protecting the environment as well as preventing soil and water degradation; the wise use of these natural resources can significantly contribute to sustainable development. However, due to ignorance and lack of proper sustainable management practices, the forest resources of Nepal have been declining. Deforestation has become one of the major environmental problems. The annual deforestation rate between 1978 and 1994 in the hills was 2.3 percent compared to 1.3 percent in the Terai, while for the country as a whole it was 1.7 percent. There has been a long history of indigenous natural resource management systems in the hills and mountains. These systems worked well because, firstly, the demand on the vast forest resources was limited as the population was small and, secondly, because of the rules employed to use these systems. In both cases, the involvement of local people was imperative. However, with the change in government policy due to nationalization of forests in 1957, people started losing interest in forest protection. Much of the forest area was encroached and converted into agricultural land, which accelerated deforestation. As a result, landslide occurrence and erosion rates increased. The National Forest Plan of 1976 for the first time recognized the need for peoples participation in the protection and development of the forests so vital for the management of watersheds. In line with the Forest Plan, in 1978 the government introduced a new Panchayat Forest Regulation, which allowed the government to hand over part of the government forest to local elected bodies in the form of Panchayat Forest and Panchayat Protected Forest. This lasted 10 years and was a starting point for community forestry. However, active peoples participation could not be mustered due to the large area and the lack of interest and responsibility among people to manage forests for their benefit. The Master Plan for the Forestry Sector (MPFS) of 1988 incorporated the concept of the Forest User Group (FUG). The national database showed that the potential community forestry area in the country was 3.55 million ha, of which more than 997 076 ha had already been handed over to 12 560 FUGs involving 1 401 361 households by the end of 2002. Studies in the eastern hills of Nepal showed that the wealthier villagers tended to dominate decision-making in the FUGs, and this often led to a neglect of the needs of the poor section of the community. This questioned the basic assumption of the policy of community forestry, which was that the basic needs of the poorest would be met by community forestry. The poor groups widely felt that they had not been properly consulted or helped during the change of forest management policy (Baginski et al., 1998).

MSc. Thesis (Ref. No. RD-03-01), Asian Institute of Technology, Bangkok, Thailand. August 2003. Examination Committee - Dr. Gopal B. Thapa / Dr. Soparth Pongquan (Chairs), Dr. Dietrich Schmidt Vogt, Dr. B.W.E. Wickramanayake

299

The hasty FUG formation procedures caused social friction and conflict, and in turn, the importance of community forestry was not understood by forest users. Moreover, sufficient post-formation support and technical support to solve problems was not forthcoming from the Department of Forest to inspire confidence among the user groups. The users regarded the district forest officers (DFOs) as the final authority regarding forest management. But the DFOs usually suggested that FUGs should deal with their problems themselves. There was a lack of clarity of the divisions of roles and legal powers between FUGs and DFOs (Baginski et al., 1998). All these problems threatened the sustainability of community forestry. The overall objective of this research was to assess the prospects for institutional sustainability of FUGs in managing community forestry in the study area and to suggest recommendations for improvement. The study addressed situations that favoured the sustainability of community forestry, issues that altered users perceptions towards community forestry practices, and modifications that should be made to enhance community forestry and FUGs. Dhankuta District was prominent among community forestry programme districts in the Eastern Development Region of Nepal (Figure 1). The Overseas Development Agency (ODA) of the British Government supported the community forestry programmes in the district. Two FUGs were selected for the study based on the distance from the district headquarters (DHQ): Sildhunga (close to DHQ) and Ghantedanda (remote from DHQ). Geographically the district is located at 26 53 to 27 19 N latitude and 87 8 to 87 33 E longitude. Elevations range from 120 to 2 702 metres above sea level. Almost all of the area is hills and valleys. The climate varies from sub-tropical to cool temperate at high altitudes. Normally the southwest monsoon brings rain from early June to mid August and sporadic rain occurs during winter. The average rainfall of the district recorded in 1999 and 2000 was 97 and 67 mm respectively. Most of the rain occurred during June, July, and August. The average temperature range from December to January was 7.5 to 19.8C and from June to July it was 20.5 to 27.3C. The total population of the district was 166 500 of which 49.2 percent was male and 50.8 percent was female; the annual growth rate was 1.3 percent (CBS, 2002). The population density/km2 was 428.7. The literacy rate was 56.56 percent in 2001. The economically active population numbered 56.98 percent (generally 15-59 years). The major food crops were paddy, maize, wheat, millet, and legumes; cardamom and ginger were popular spices for cultivation. The livestock population averaged 1.38 head/person. Average fruit and vegetable production per person was 210 kg and 60.5 kg respectively. Each household had approximately 1.25 ha of land. The total forest area was 36 383 ha of which community forest accounted for 31 042 ha (77.43 percent). Transferred community forest area was 24 037 ha (77.4 percent) out of a total of 321 FUGs; 99.84 percent of the households in the district were involved in community forestry programmes. Sildhunga and Ghantedanda Community Forestry Sildhunga (close to DHQ) and Ghantedanda (20 km from DHQ) had different social and environmental characteristics (Tables 1 and 2). Community forest had been handed over to FUGs five years earlier and Forest Resource Inventory secondary data were available. Sildhunga forest constituted Pinus roxburghii and Alnus nepalensis plantation forests whereas Ghantedanda forest was natural sal (Shorea robusta ). The forest area in Ghantedanda was bigger and richer in vegetation cover than Sildhunga.

300

The study area

FUG Far from the DHQ (Ghantedanda CF) FUG Close to the DHQ (Sildhunga CF)

Figure 1. Administrative map of Nepal showing the study area

301

Table 1. Main characteristics of the FUGs in Sildhunga

Location: Total forest area: No. of forest management blocks: Forest type: Dominant species: Main associate species: Forest age and maturity: Total growing stock: Total HHs: Total members in committee: Male members in committee: Female members in committee: CF handed over in: Mode of forest protection: Income-generating activities: Management operation to be conducted: Forest product demand and supply status: Source: FUG record (2003) HH = household Dhankuta Municipality, Ward no. 3, Kagte 26.5 ha 7 Alnus pine plantation A. nepalensis and P. roxburghii Katus-Chilune 25 yrs. immature 1 798 m 3 259 13 7 6 1988 FUG/FUGC member rotational patrolling None Thinning & pruning Deficit of supply to meet the users demands

Table 2. Main characteristics of the FUGs in Ghantedanda

Location: Total forest area: No. of Forest Management Blocks: Forest type: Dominant species: Main associate species: Forest age and maturity: Total growing stock: Total HHs: Total members in committee: Male members in committee: Female members in committee: CF handed over in: Mode of forest protection: Vedetar VDC Ward no. 2, Dharapani 142.64 ha (productive area 71.8 ha) 5 Shorea robusta (sal) natural forest Shorea robusta (sal) Terminalia, Adina, and Pterocarpus 25-100 yrs. (Pole size to mature tree) 14 998 ft3/ha 84 11 6 5 1992 Occasional patrolling by FUG and committee members for illegal timber cutting from outside. Cattle grazing is free Very few bamboo plantations Thinning, pruning, and plantation Surplus supply to meet the users demand

Income-generating activities: Management operation to be conducted: Forest product demand and supply status: Source: FUG record (2003)

Research methodology Sampling design and sample size Forest inventory data were recorded from the District Forestry Office to assess the supply situation in the community forests, and to appraise the demand and supply situation for forest products in the study area.

302

Simple random sampling without replacement was used for the household survey. Sixty-one households from Sildhunga and 35 from Ghantedanda were surveyed. While selecting the respondents, gender was prioritized (45 and 55 percent were female and male members respectively among the selected households). Data collection methods Field observation, household survey, key informant interviews, and group discussion were used to collect primary data on the socio-economic and institutional status of the selected FUGs. The secondary data were collected from FUG offices, the District Forest Office, and Ilaka Forest Office and Project Office records. Data were primarily forest resource information, literature, publications and reports, maps, and community forest transfer status. Regarding populations, household information was collected from the District Development Committee (DDC) and the District Forest Office, Dhankuta. Other information on population and forest resource status was collected from the central level office of the Community Forestry Division (CFD) and the Central Bureau of Statistics (CBS) in Kathmandu. Data processing and analysis Collected data were processed and analysed both qualitatively and quantitatively using SPSS version 10.0. Relative frequency, mean and standard deviation, Weighed Average Index (WAI) were calculated and tabulated for descriptive analysis. For quantitative analysis, the statistical t-test was done. Similarly, the Chi-square test was used to test the difference between the observed frequencies of several classifications for the relationship between two variables. Results and discussion Forest product demand and supply status Sildhunga Community Forestry The demand and supply situation in this community forest was not balanced. The number of users was quite high in comparison with the forest area. Most of the respondents (87.3 percent) responded that the community forest supplied barely 25 percent of their needs; 5.5 percent claimed they received nothing from the forest Therefore, the majority of the users had to rely on their own sources, either from private land or from land adjoining community forests. Thus many users belonged to other FUGs. Most of the users close to the bazaar area depended on alternative sources of energy like biogas, LPG, and kerosene oil for household consumption. The annual demand for fuelwood was around 652 700 kg, whereas the estimated supply from the community forest was only 13 400 kg, 2 percent of total demand. The demand for timber was 4 000 ft3 /year; whereas the supply from the forest was only 1 003 ft3 . Due to the poor supply situation, some of the users were losing interest in community forest management activities. However, the users were quite hopeful that they would be able to satisfy their needs properly after a few years, when the forest would reach maturity.

303

Ghantedanda Community Forestry The demand and supply was reasonable in comparison with Sildhunga. The number of users was balanced within the forest area. In this case, 30.7 percent of the users could meet 100 percent of their needs from the forest. The others were equally satisfied by using the community forest and private land. Very few users (3.4 percent) received nothing from the forest. Being a remote area, most users basically depended on fuelwood for household energy consumption; only 10 percent of users used biogas plants. The annual demand for fuelwood was around 756 000 kg, whereas the supply from the community forest was only 15 400 kg, 2 percent of the total demand. The demand for timber was 2 240 ft3 /year, whereas the supply from the forest was only 450.7 ft3 . Socio-economic status of the FUG Age groups Users between 16 and 80 years of age were interviewed from both of the selected FUGs. Based on the t-test result, there was no statistically significant difference of average age at the 95 percent level of confidence between the two groups of users in the two FUGs. The majority of the respondents (59 percent) were in the age group of 16 to 45 years in Sildhunga and this figure was 80 percent in Ghantedanda. The users within this age group were considered to be economically active, and involved in agriculture, business, and forestry activities. Most of the Forest Users Group Committee (FUGC) members were between 36 and 60. Committee membership required them to be more experienced and mature for managerial roles. They played a key role in decision-making. Family size and gender The t-test result showed that there was no statistically significant difference at the 95 percent level of confidence in average family size in between the two FUGs. The average family size (5.8) of the Ghantedanda FUG was higher than the average family size of Dhankuta District (5.6). Male and female division was 46.5 and 53.5 percent in Sildhunga and 45 and 55 percent in Ghantedanda. Religion and ethnic composition Most castes were Hindus. The Rai and Limbu castes dominated in both FUGs, but were most numerous in Ghantedanda. In sequential ranking of occurence, other castes were Brahmins, Chhetris, and Newars (found only in Sildhunga). This caste traditionally belongs to the business community and in the eastern hills they settle close to urban and bazaar areas. Kami, Damai, and Sarki castes are migratory in the eastern hills. They generally migrate and settle near bazaars to earn money as waged labour. Therefore they were numerous in Sildhunga but not in Ghantedanda. Educational level Notably, only 26.2 percent of the respondents were illiterate in Sildhunga, but 40 percent was illiterate in Ghantedanda. More secondary and college level users were found in Sildhunga, whereas they were fewer in Ghantedanda.

304

Land-holding size Of the landless users, 4.9 percent lived in Sildhunga and 2.9 percent lived in Ghantedanda. The majority of households (56.9 percent) had small land-holdings in Sildhunga and this figure was 58.8 percent in Ghantedanda. There were very few large land-holdings in both of the FUGs. Occupation The majority of the respondents (90.9 percent) were farmers in Ghantedanda and this figure was 60.7 percent in Sildhunga. More respondents (17.9 percent) were employed in services in Sildhunga, but very few (3.0 percent) worked in services in Ghantedanda. In Sildhunga, 10.5 percent of the respondents were involved in businesses, whereas only 3.0 percent performed likewise in Ghantedanda. The respondents involved in waged labour were slightly higher (10.7 percent) in Sildhunga than in Ghantedanda. The chi-square test showed that there was a significant difference at the 95 percent level of confidence between the occupations of the two FUGs. Livestock Livestock was an integral part of the farming system in the study area. Cattle and goats were the livestock recorded during the household survey. The average livestock population at the household level was 9.75 head in Ghantedanda and 4.72 head in Sildhunga. The average number of goats in Ghantedanda was 5.86 and 2.52 in Sildhunga. There were more cattle in Sildhunga because there were more Brahmins living in this area than in Ghantedanda. The feeding of livestock differed in both FUGs. In Sildhunga most households (65.6 percent) used stall-feeding whereas in Ghantedanda most users (88.6 percent) grazed their livestock. Household income Cash income came from agricultural and non-agricultural activities. Agricultural cash income came from fruits, vegetables, livestock, and a modicum from food grain (most households used food grain for domestic consumption). Non-agricultural cash income came mainly from services, business, waged labour, and remittances. In the study area, 28.1 percent of the total respondents had no cash income from agriculture and 39.6 percent had negligible cash income from non-agricultural sources. No respondents received cash income from community forestry directly. The average household income in Ghantedanda was very low compared to Sildhunga. The difference was attributable to high employment opportunities in the non-agricultural sector for the users living close to DHQ. About 94.3 percent of the respondents in Ghantedanda had low annual income. But in Sildhunga, 52.5 percent of the respondents had medium annual income. Very few people in both FUGs had high income. However, the average income per respondents household in Sildhunga was higher than that of Ghantedanda. The t-test result showed that there was a significant difference between the averages of the household income levels in the two FUGs. Institutional arrangements of community forestry Scholars generally agree that institutions play an important role in determining the common pool resources (CPR), including forest resources, but considerable disagreement exists among them about

305

the type of institution or tenurial agreement that is appropriate for organizing sustainable management of these resources. The traditional understanding of problems related to CPR has changed in recent years in favour of community-based management. The change is based on growing empirical evidence that CPR users are capable of creating effective governance rules for sustainable management of these resources (Fisher et al., 1991; Gibson et al., 1998). However, no single institutional arrangement is best for the sustainable management of CPR across a range of social and environmental conditions. Multiple strategies may be needed depending on the characteristics of the resource and users. The sustainability of an institution basically depends on how well it is structured by incorporating common faith among the general members. The study found that the level of satisfaction on existing FUG structure was very high in both of the FUGs. The respondents in Ghantedanda had a higher level of satisfaction (86.9 percent) than their counterparts in Sildhunga regarding their FUG structure. None was dissatisfied with FUG structure in Ghantedanda community forest whereas a few members of Sildhunga community forest (8.2 percent) were totally dissatisfied with the FUG structure. The negative attitude was based on the argument that the bigger group size in relation to the existing forest resource created pressure on equitable distribution of forest products as well as affecting majority rulings in group assemblies. Neutral respondents (4.9 percent in Sildhunga and 5.7 percent in Ghantedanda) had no interest in community forestry due to marginal benefits. Many similarities were found in rules for forest product collection in both of the FUGs. However, some differences were found regarding penalties for the abuse of rules between the two groups. The penalty against encroachment in Ghantedanda community forest was based on a social obligation of reclamation of forest cover (enforcing the encroacher to reforest the encroached area) whereas in Sildhunga the rules were in accordance with the execution of His Majestys Government (HMG) Forest Act and by-laws. More rules were abused in Sildhunga than in Ghantedanda. In Sildhunga most of the infringements occurred during collection of fuelwood as large families always collected more fuelwood than smaller families. These cases were attributed to the poor distribution and controlling mechanism of the committee. Irrespective of the numerous GOs and NGOs working in the district, the District Forest Office and Livelihood Forestry Programme (LFP) were primarily involved in providing major support services to the FUGs in the study area. The Federation of Community Forest Users in Nepal (FECOFUN) district office mainly coordinated organization to provide support services to FUGs whereas the other organizations played an indirect role in providing support to the FUGs through NGOs. The District Development Committee (DDC) and Village Development Committee had very limited support links to the FUG institutions in the study area. The Ghantedanda FUG received support via a literacy programme through the FECOFUN district committee whereas Sildhunga FUGs had no such support. The coordination between line agencies at the District and Range-post level was satisfactory. In both of the study areas, FUG members were satisfied with local staff coordination to provide support on community forest management, training, and extension activities. The FECOFUN district committee had a crucial role in strengthening FUG institutional capacity through networking of an internal management system at the grassroots level. At the municipality level, coordination with FUGs was inadequate for Sildhunga community forest. However, good coordination with FUGs was anticipated with regard to widening input to FUGs in local development activities. There was no systematic mechanism for monitoring followed by FUGs. The users discussed this issue annually at the assembly but monitoring was given low priority. The District Forest Office conducted trimester meetings at the Range-post level with the FUGC Chairperson focusing on progress review and follow-up to improve the existing situation of community forest. 306

The primary sources of users funds in both of the FUGs were drawn from FUG membership fees, selling of forest products, and fines for abuse of rules and regulations. The funds were used to support the educational institution in Sildhunga. Whereas in Ghantedanda they supported the childrens development trust, social functions, and partly provided loans to poor people for health care and agriculture. Some residual funds were also spent on community forest management activities in both FUGs in the study area. Community forest management system Community forestry has been evolving in Nepal since its implementation in the 1970s. It has passed through various stages to become legally institutionalized through the enforcement of the Forest Act and Bylaws. The Forest Act (1993), supported by the Forest Rules issued in 1995, gave FUGs legal rights to utilize forest products from their forest, but no rights to sell the land, build houses, and cultivate the area in return for assuming responsibility for protection of the forests. After the implementation of the Forest Act in 1993, a significant increase in the rate of transfer of community forests has been observed. The study found an increasing tendency for FUGs to become involved in active forest management rather than simply protection. However, many community forests were not being managed productively, though FUGs were carrying out harvesting operations (Branney et al., 1998). Before transfer to the local community, the forest at Sildhunga had been degraded by overgrazing whereas the forest at Ghantedanda had been degraded by illegal timber felling. In Sildhunga, transfer of community forestry inspired replanting of degraded grazing whereas the people at Ghantedanda looked forward to more forest resources to meet their daily requirements. Participation at assemblies in Sildhunga was irregular, however it was on the rise. In some years (1992, 1999, and 2000), there were no assemblies at all due to the inactiveness of the management group (i.e. FUGC). Regarding irregular participation at assemblies, the users argued that the forest area was too small to meet the demand and they lost interest in participating in community forestry activities. They depended on their own private land to provide forest products. Some users only participated to gain social recognition or for political purposes. In contrast, assemblies at Ghantedanda were regular and participation was comparatively better than Sildhunga (Tables 3 and 4). Regarding womens participation in users assemblies, this was increasing in both FUGs as a result of the literacy and awareness programme conducted by the district FECOFUN committee.

307

Table 3. FUG members participation at assemblies in Sildhunga

Total HHs Years M 336 1989 1990 1991 1992 1993 1994 1998 1999 2000 2001 2002 89 78 72 154 92 112 104 95 HH members participation F 16 3 12 79 29 27 89 40 Total 105 81 84 233 121 139 193 135 % 31.3 24.1 25 69.3 36.0 53.5 74.2 51.9 Female % of total attendance 15.2 3.7 14.3 33.9 24.0 19.4 46.1 29.6

260

Source: Field Survey (2003)

Table 4. FUG members participation at assemblies in Ghantedanda

Total HHs Years M 84 2000 2001 2002 35 46 34 HH members participation F 20 13 23 Total 55 59 57 % 65.5 70.2 67.9 Female % of total attendance 36.4 22.0 40.4

Source: Field Survey (2003)

In general, the FUGC meeting should be conducted on a regular basis each month. But sometimes this was affected by the coordination gap between members and groups. Community forest management activities at Sildhunga were lower while members waited for trees to mature. In Ghantedanda the users only implemented a few activities to fulfill demand due to lack of confidence and skills in community forest management. More respondents from Ghantedanda (48.5 percent) than Sildhunga (25.5 percent) thought there had been no changes in participation in community forest management even after socio-economic conditions had improved. Areas closer to DHQ had more positive opinions about community forestry. The key changes in the community forest management system after the formation of FUGs were increased forest resources and sense of ownership and concomitant institutional maturity among the users to become involved in community work in a more participatory way (Tables 5 and 6).

308

Table 5. Summary of major changes in Sildhunga

Characteristics Forest status Ownership Protection Forest management activities Peoples participation Before Poor degraded land Forest Department Poor None No peoples participation in forest protection and management After Plantation Users groups Improved Silvicultural management of community forest High level of peoples participation in both forest protection and management Organizing participatory events to mobilize group members to ensure participation in community forestry Foundation of an organized learning institution of community forestry Key changes Dense forest Sense of ownership among users group Rapid expansion of forest cover establishment Gradual supply of forest products to meet users demand Foundation of community approach in natural resource management Increased users participation in group assembly

Institution

No community- based institutional arrangement exists in the forestry sector

Development of group dynamics and leadership characteristics among FUGs

Table 6. Summary of major changes in Ghantedanda

Characteristics Forest status Before Uncontrolled use and illegal harvesting of forest resources Forest Department Poor None No peoples participation in forest protection and management No community-based institutional arrangement exists in the forestry sector After Local peoples control of illegal felling of forest resources Users groups Improved Silvicultural management of forest High level of peoples participation in both forest protection and management Foundation of an organized learning FUG Key changes Improved restoration of forest cover and natural regeneration Sense of ownership among users to take care of forest resources Rapid growth in forest cover Gradual supply of forest products to meet users demands Foundation of community approach in protection and management of forest resources Increase in organizing local development activities through mobilizing group members at grassroots level

Ownership responsibility Protection Forest management activities Peoples participation

Institution

Feedback of FUGs on community forestry Most respondents in Ghantedanda (88.6 percent) were well aware of FUG rules and regulations compared to Sildhunga (54.8 percent). They were more concerned with community forestry due to higher dependency on forest resources than the Sildhunga FUGs. This is also reflected in the higher participation rate (80 percent) in users assemblies and committee meetings. Business community users in Sildhunga were less concerned with community forestry because they had no knowledge about community forestry rules and regulations. Many respondents attended the users meeting and took part in decision-making in Ghantedanda although this was not the case in Sildhunga. Due to domination by the upper strata and inappropriate decision-making processes, most of the users ideas were disregarded. This occurred frequently in Sildhunga where the elite had much influence.

309

Conflicts were more common in Sildhunga than in Ghantedanda. They mostly concerned inequity in product distribution, inequality in participation, and boundary disputes. Boundary disputes were common in both study areas, whereas inequality in product distribution was more frequent in Sildhunga. In both of the FUGs, the abuse of rules was the main reason of conflict. Most of the conflicts in the study area were temporary in nature except boundary disputes. Temporary conflicts were generally resolved by users assemblies or in committee meetings. In exceptional cases, senior citizens and local forestry officials were involved. Benefits were mostly in the form of timber, fuelwood, fodder, leaf litter, and agricultural tools from the community forest. There was a significant difference in obtaining benefits between the two groups. Ghantedanda users got more benefits than Sildhunga users as they had more forest resources. The distribution of benefits was organized differently in both groups. In Sildhunga a users identity card was distributed to each household for collection of forest products, whereas in Ghantedanda collection depended on users consensus under the provision of the constitution without using any identity card. However, timber collection in Ghantedanda required prior approval from committee members. A few users in Ghantedanda were reluctant to respond to this kind of bureaucratic procedure. Willingness to contribute to future community forest management was different in both FUGs. More people in Ghantedanda argued that under the changing socio-economic conditions they would not contribute to future community forest management (Table 7). Overall, users were in favour of future community forest management.
Table 7. Users willingness to participate in community forestry
Opinion FUG close to the DHQ (Sildhunga) f No participation Partially participate Actively participate Total Source: Field Survey (2003) 19 20 19 58 % 32.8 34.5 32.8 100.0 FUG remote from the DHQ (Ghantedanda) f 14 11 9 34 % 41.2 32.4 26.5 100.0

2 -test
Sig.

0.81

Problems Participation in Sildhunga was characterized by the tendency of rich people sending their paid labour to substitute for their own work in the field. Whereas, in Ghantedanda poor users were engaged mostly in waged labour outside the area. The funds in both groups were misused by the committee members who spent them on unidentified items. Protection problems in Ghantedanda concerned illegal harvesting of timber whereas in Sildhunga, they were related to illegal harvesting of fuelwood. The problem related to forest product distribution was severe in Sildhunga due to the limited resources. However, the management of available forest resources to meet the demands of users was more important in Ghantedanda. Monitoring and evaluation in both FUGs had no systematic system. The users at Sildhunga were dissatisfied with the working style of the committee members.

310

Conclusion Income variations among the groups determined the operational management system of community forestry in the study area. No interest among high-income users created some mistrust among users in Sildhunga for participation in community forest management activities and maintaining an equitable share of benefits from the community forest. However, this was not the case in Ghantedanda, where there was good understanding among the users for participating in community forest management activities. Regarding institutional aspects, more users regularly attended assemblies in Ghantedanda than in Sildhunga; conflicts in the former group were lower. Generally there was high satisfaction and willingness to contribute to future community forest management in both groups. In this respect, the prospects for sustainable institutional aspects in Ghantedanda were more favourable than Sildhunga because of the high dependency on community forest, more concern about FUG rules and regulations, and a high level of satisfaction with the FUG structure. Literature cited Baginski, O.S. et al. 1998. Community Forestry in Nepal: Sustainability and Impact on Common and Private Property Resource Management. Report on First Phase on Field Research, 1998. Environment Centre, Leeds University/NRI/NUKCFP. Branney, P. et al. 1998. Changes in Community Forest Condition and Management 1994-1998: Analysis of Information from the Forest Resource Assessment Study and Socio-economic Study in the Koshi Hills. CBS. 2002. Population of Nepal. Central Bureau of Statistics, Nepal, Kathmandu, 2001. Fisher, R.J. et al., 1991. Studying Indigenous Forestry Management System in Nepal: Towards a More Systematic Approach. Environment and Policy Institute, East-West Centre Honolulu, Hawaii. Gibson, C. et al. 1998. Forest Resources and Institutions. FAO, Rome.

311

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

INSTITUTIONALIZING FOREST USER GROUPS VIA COMMUNITY FORESTRY IN TANAHUN DISTRICT, NEPAL Rameshwar Pandit1

Introduction Forests, one of the most valuable resources of Nepal, are intricately linked with the lives of people living in watershed areas. The country had abundant forest resources because of low population density and inaccessibility to the resources till the middle of the twentieth century. Before 1950, the Rana family controlled the forests under a feudal system. After the overthrow of the Rana government in 1950, the ownership of forest resources shifted to the state government. In 1957, the Private Forest Nationalization Act was enacted to prevent the destruction of forest wealth and to ensure adequate protection, maintenance, and utilization of privately owned forests. The Forest Law first recognized the concept of peoples participation in forest management in 1978. Forest resources were entrusted for management to a local political body, the Village Panchayat. Based on the Forest Policy of 1988, the Forest Act (1993) and Forest Regulations (1995) were enacted to enhance peoples participation and stimulate democratic processes in planning, implementation, monitoring, and evaluation. The community forestry policy has provided the District Forest Office (DFO) with the authority to hand over any part of the national forest to the local community as a community forest via the community Forest Users Group (FUG). Up to April 2002, 11 065 FUGs had been awarded over 851 965 ha of forest land as community forests (Database 2002, Department of Forests). It is necessary to assess the economic benefits incurred by forest management practices. Forest degradation is a major problem related to the mid-hills forestry sector in Nepal. This is due to lack of proper forest management. The unwise forest policy of the government in the past generated forest degradation at an alarming rate. A FUG is formed from households of diverse socio-economic characteristics. They have different expectations and interests from the forests and their motivation to participate in forest management depends on the economic benefits the forest returns to them. As the numbers of FUGs increase, they need more support and frequent visits from technical field staff (Joshi, 1997). The handing over of community forests to local people is progressing rapidly. The DFO and related non-government and international non-government organizations (NGOs and INGOs) are providing preformation and postformation training and extension activities to build institutional capacity in better forest management. This study assesses the effects of training and extension activities on institutional capacity building in terms of FUG awareness and performance.

MSc. Thesis (Ref. No. NR-02-10), Asian Institute of Technology, Bangkok, Thailand. August 2002. Examination Committee - Dr. Ganesh P. Shivakoti (Chair), Dr. Soparth Pongquan, Dr. Rajendra Prasad Shrestha

263

Selection of the study area Chhabdi Khola sub-watershed lies in Tanahun District of the Western Development Region of Nepal (Figure 1). It was selected as the research study area because: (1) Chhabdi Khola sub-watershed is representative of the mid-hills of Nepal where population densities, land use, forest type and condition, forest products and management practices are more or less similar; (2) the sub-watershed is considered a management unit where concerned government agencies and other related organizations assist FUGs for better planning and management of forests; (3) the sub-watershed is in close proximity to district headquarters. Out of four sampled FUGs, two are within walking distance of about one hour and the other two are four to five hours walk from district headquarters. Tanahun District Tanahun District is situated in the east of the Western Development Region between 27 56 to 28 5 north latitude and 83 57 to 84 54 east longitude. The district is divided into 46 Village Development Committees (VDCs) and one municipality. District headquarters is located in Damauli, which is situated in the municipality. The total area of the district is 156 877 ha. There are 13 650 ha of irrigated lowlands (Khet) and 38 350 ha of non-irrigated uplands (Bari). The average livestock population per farm household is 3.8 head. There are 57 838 households with an average household size of 5.5 persons. The population density is 204.48 people/km2 . Twenty-six percent of the households are Magar caste followed by Brahmin (14.2 percent), Gurung (13.1 percent), and Chhetri (11.4 percent). The remaining 35 percent of the households belong to various other ethnic groups. Sixty percent of the total population is economically active. Out of this population, about 72 percent are engaged in agriculture, 14 percent in household activities, and the remainder in different occupational activities such as service, business, and labour. Seventy percent of the population above six years is educated (59 percent female and 82 percent male) and 66 percent of the economically active population is educated (51 percent female and 82 percent male). Community forest status in the district There are 76 231 ha of national forest and 23 245 ha of potential community forest in the district. Out of the total potential community forest area, 18 543 ha (79.8 percent) have been handed over to 278 FUGs. Out of the total households in the district, 29 155 (50.4 percent) are involved in the community forestry programme. Altogether 6 398 users have participated in different types of training conducted by the DFO. Chhabdi Khola sub-watershed The sub-watershed is located near Damauli (district headquarters). The Chhabdi River is a tributary of the Seti River. The watershed covers parts of VDCs such as Ghansikuwa, Pokhari Bhanjyang, Keshavtar, and Ward No. 1 of Vyas municipality. Its total area is 2 104 ha. Cultivation is limited to small valleys and terraced slopes. On the hill slopes (uplands) the popular cropping pattern is maize based, whereas in the fan areas (lowlands) it is primarily rice based. An integrated crop-livestock system is predominant; 1 414 households are benefiting from the community forests.

264

Bhayarthan FUG

Dhamilikhola FUG

Bhadru FUG

Kulung FUG

Tanahun

Figure 1. Location of the study district and sub-watershed

265

The sampled FUGs The sampled FUGs were Bhayarthan, Bhadru, Dhamilikhola, and Kulung. Bhadru and Bhayarthan come under the Vyas Range post whereas Dhamilikhola and Kulung are situated in the Ghansikuwa Range post. These FUGs were selected on the basis of remoteness from district headquarters. Bhayarthan and Bhadru are near district headquarters. Dhamilikhola and Kulung are remote from headquarters (Figure 1). FUG socio-economic characteristics Socio-economic characteristics are indicators of the status of the community. Their study indicates the living standard of the community, the economically active population, dependency on the forest for various purposes, participation in community forestry activities, dominance of certain castes, group homogeneity/heterogeneity, knowledge acquired in training and extension activities, and users problems. Demography Age group of the respondents Respondents between 14 and 80 years old were interviewed. Table 1 shows that most of the respondents (85 percent) were between 16 and 59 years old; they were considered to be economically active in agriculture and forestry. Forest User Group Committee (FUGC) members belonged to this age group. Nine percent of the respondents were over 59 and were very experienced in indigenous management of forests. This group generally played a key role in decision-making.
Table 1. Respondents age group distribution
Age group 14-15 years 16-59 years 60-80 years Total Source: Field Survey (2002) Frequency 7 106 11 124 Percent 6 85 9 100

Gender and ethnicity of the respondents Gender-wise, 68 percent (male) and 32 percent (female) of the users were interviewed. Respondents were both Hindus and Buddhists. Regarding the caste composition of the respondents, the percentages of Magar, Chhetri, Brahmin and others (Darai, Newar, Sarki, Damai) were 41, 22, 19, and 18 percent respectively. FUG ethnicity Ethnicity and cultural variables play an important role in local leadership; elite dominance and alliances influence decision-making while implementing community forestry activities. Out of more than 15 ethnic and caste groups reported in Tanahun District (District Statistics, 2002), nine castes were 266

represented in four FUGs in the study area. No FUGs were homogenous in the context of ethnicity, culture, and local languages. But different castes dominated different FUGs. In Kulung FUG, Magar dominancy was high (70 percent) followed by Brahmin (nine percent). There was similar Magar dominance in Dhamilikhola FUG. Brahmins dominated in Bhadru FUG followed by Darais; there was equal dominance of Brahmins and Chhetris in Bhayarthan FUG. Family size of the respondents Family size ranged from a minimum of two to a maximum of 17 members. Average family size ranged from 5.3 to 7.8 in the FUGs. The average family close to district headquarters (ANHQ) was 5.3 whereas average family size remote from headquarters (AFHQ) was 7.7. Educational status of the respondents Only six percent of the respondents had higher educational background. Illiteracy of AFHQ respondents was more than double that of ANHQ respondents. The illiteracy of Dhamilikhola FUG respondents was the highest among the four FUGs. Occupational situation Most of the users were engaged in agriculture (46 percent). AFHQ respondents were more involved in agriculture (52 percent) than ANHQ respondents. The school-going population was higher in ANHQ than in AFHQ. No users worked as waged labour in Dhamilikhola and Kulung FUGs. Users involvement in government service was low but the percentage of service holders in ANHQ was higher than AFHQ. More users sought work in foreign countries in AFHQ that in ANHQ. Among the FUGs, most foreign workers came from Dhamilikhola FUG. Land-holding size Land is an indicator that determines the socio-economic state of the people. Generally lowland was used for growing paddy while upland was used for vegetables, fruit, and fodder trees. The average land-holding was 0.78 ha/household. When lowlands and uplands were considered, the average landholdings were 0.22 and 0.56 ha respectively. Lowlands Interviewed households were grouped on the basis of their landholdings. Households owning less than 0.30 ha, and above 0.90 ha were grouped as marginal, small-, medium- and large-sized land-holdings respectively. The percentages of marginal, medium, and large farmers were more or less the same in both AFHQ and ANHQ areas (Table 2). Among the FUGs, Dhamilikhola FUG had the highest (94 percent) marginal land-holding farmers.

267

Table 2. Lowland-holdings of respondent FUGs

Household grouping Dhamilikhola Marginal Small Medium Large Total 29(94) 1(3) 1(3) 31 AFHQ Kulung 18(58) 9(29) 2(7) 2(6) 31 Total 47(76) 10(16) 2(3) 3(5) 62 Bhadru 22(70) 4(13) 2(6) 3(10) 31 ANHQ Bhayarthan 26(84) 3(10) 1(3) 1(3) 31 Total 48(77) 7(11) 3(5) 4(7) 62 95(77) 17(14) 5(4) 7(5) 124 Grand total

Source: Field Survey (2002) Figures in the parentheses show the percentages

Uplands Thirty-six percent of the households belonged to marginal farmers followed by small farmers (Table 3). ANHQ had more marginal farmers than AFHQ, but the percentage of large farmers in AFHQ was higher than ANHQ. So, the AFHQ had more potential to grow cash crops and fodder and fuelwood trees.
Table 3. Upland holdings of respondent FUGs
Household grouping Dhamilikhola Marginal Small Medium Large Total 6(20) 10(32) 5(16) 10(32) 31 AFHQ Kulung 5(16) 12(39) 6(19) 8(26) 31 Total 11(18) 22(35) 11(18) 18(29) 62 Bhadru 16(52) 10(32) 4(13) 1(3) 31 ANHQ Bhayarthan 18(58) 4(13) 8(26) 1(3) 31 Total 34(55) 14(23) 12(19) 2(3) 62 45(36) 36(29) 23(19) 20(16) 124 Grand total

Source: Field Survey (2002) Figures in the parentheses indicate the percentages

Livestock holdings with grazing status Livestock holdings Livestock rearing is a fundamental component of the hill-farming system. Sale of livestock and their products is an important source of farm income. Livestock rearing depends on the availability of forest products such as fodder, leaf litter, and grass. If the livestock number is high, this will exert pressure on the forest to maintain it. Most livestock in the study areas were buffalo, cattle, and goats. Some users in AFHQ raised pigs. In terms of herd size, AFHQ had bigger herds of cattle (3.8) and goats (3.2) than ANHQ. Considering the livestock unit (LSU), the AFHQ had approximately double the number of LSUs than ANHQ. Among the FUGs, Kulung had the highest and Bhadru had the lowest number of LSUs. Livestock grazing status in community forests Livestock was generally managed through stall-feeding and grazing in national forest, private forest, and public barren land. In the case of community forest, grazing was prohibited or practised on a 268

rotational basis. In all 4 FUG study areas; grazing was prohibited in the community forest. In Kulung 19 percent of the respondents favoured buffalo grazing in community forest and 17 respondents out of 31 agreed that they grazed their cattle in community forest. Similarly, in Dhamilikhola 14 respondents favoured cattle grazing in community forest. In Dhamilikhola and Kulung FUGs, more respondents were in favour of goat grazing than the other two FUGs. Livestock grazing in Dhamilikhola and Kulung FUGs was a problem. Income status of sampled households The income status of the users also plays an important role in community forest management. Irrespective of wealth and educational level, all users need forest products for basic needs. Due to lack of alternative sources, people have to depend on forests. The average income per household was NRs58 170 with a minimum of NRs11 500 to a maximum of NRs192 200. Kulung had the highest income from agriculture among the FUGs, as the percentages of small, medium, and large farmers were higher there. Regarding income from government service and remittance, ANHQ and AFHQ had contrasting incomes due to the high percentage of service holders in ANHQ and the high percentage of overseas workers in AFHQ (Table 4).
Table 4. Respondents income status and income grouping
Income group (NRs) Dhamilikhola < 20 000 20 001 - 40 000 40 001-60 000 60 001-80 000 > 80 000 Total 5(16) 12(39) 6(19) 3(10) 5(16) 31 AFHQ Kulung 4(13) 6(19) 3(10) 7(23) 11(35) 31 Total 9(15) 18(29) 9(14) 10(16) 16(26) 62 Bhadru 6(19) 9(29) 8(26) 2(7) 6(19) 31 ANHQ Bhayarthan 5(16) 1(32) 9(29) 8(26) 8(26) 31 Total 11(18) 10(16) 17(27) 10(16) 14(22) 62 20(16) 28(23) 26(21) 20(16) 30(24) 124 Whole total

Source: Field Survey (2002) Figures in the parentheses represent percentages

Expenditure status of the sampled user households The average annual expenditure was NRs48 886 with a minimum of NRs14 800 and a maximum of NRs144 000. Users spent more on food grain (NRs16 248) followed by groceries (NRs6 625). Their other items of expenditure were inter alia clothing, education, festivals, medicine, vegetables and fruits, and pilgrimages. As a whole, more households (40 percent) had annual expenditure of between NRs20 001 and NRs40 000. Among the FUGs Dhamilikgola had the highest number of households who spent between NRs20 001 and NRs40000 annually. Economic benefits from community forests to FUGs Community forest has great potential to generate substantial economic benefits for the local communities at the local level and to support community development activities. A comprehensive analysis is required to evaluate economic benefits.

269

Collection of forest products Collection of forest products from community forests Users collected forest products for basic needs from community forests. Dhamilikhola and Kulung FUGs had mature forests with many old trees whereas Bhadru and Bhayarthan FUGs had pole-sized trees with scattered old trees. The AFHQ users collected more timber than ANHQ users. Kulung extracted the highest quantity of timber (7.7 cft/household) among the FUGs. Users of Kulung FUG collected the highest quantity (61 bharis/household) among FUGs of both areas. When fodder collection is considered, users of Kulung FUG collected the highest quantity (149 bharis/household) and users of Bhayarthan FUG collected the least (28 bharis/household), as the livestock head/household of AFHQ was double that of ANHQ. Consumption of forest products before hand over of forests Respondents found it difficult to recall the exact quantities of timber, fuelwood, fodder and material for agricultural tools collected (Table 5) as all four community forests had been handed over at least five years previously. However, they recalled quantity in terms of cubic feet, bharis, and other units.
Table 5. Collection of forest products before hand over to community
Forest Products Dhamilikhola Timber (cft) Fuelwood (bhari ) Fodder (bhari ) Agricultural tools (No.) Source: Field Survey (2002) 18.5 62.4 87.1 3.1 AFHQ Kulun 12 102.5 173.5 3.2 Total 15.3 82.5 130.2 3.1 Bhadru 10.6 39.4 77.7 2.3 ANHQ Bhayarthan 8.5 44.6 122.6 3.3 Total 9.6 42 100.2 2.8 12.4 62.2 115.3 3 Grand total

Comparison of consumption of products after and before hand over of forests Consumption of timber and fodder was four and two times greater respectively, before the hand over of forests. People collected more products formerly, as the forest was open access to all. After the hand over of forests to local users as community forest, they were responsible for protection, management, and use. They had their own constitutions and forest operational plans (OPs) which regulated forest product extraction. Other reasons for low consumption of forest products might be: (a) not all users needed timber for house building as most of them had built their houses before hand over; (b) they used private land for fuelwood and fodder and biogas for cooking (many ANHQ households used biogas). Benefits from community forests Benefits perceived by users Users extracted timber, fuelwood, and fodder. Quantities differed from one FUG to another depending on forest condition, silvicultural knowledge, and management prescriptions mentioned in their OP. Fifty-three percent of users in the whole area perceived the benefits to be reasonable. 270

Income sources of FUGs Table 6 indicates that generally the major sources of FUG income came from the sale of forest products (timber, fuelwood) that they consumed within the FUG. Other main income sources were membership fees and infringement fines. They also had income from other sources, which included application fees for forest products, forest entry fees, and bank interest.
Table 6. FUG income sources
Income sources Dhamilikhola Frequency Forest product sales Grants Donations Membership fees Fines Others Total 30 (35) 1 (1) 30 (35) 23 (27) 2 (2) 86 Name of FUGs Kulung Frequency 31 (34) Bhadru Frequency 31(32) 5 (5) 1 (1) 30 (31) 30 (31) 97 Bhayarthan Frequency 31 (27) Whole area Frequency 123 (32) 6 (1) 1 (0.3) 119(31) 110(28) 30(8) 389

28 (31) 26 (29) 5 (6) 90

31 (26) 31 (27) 23 (20) 116

Source: Field Survey (2002) Figures in parentheses represent percentages of responses

Income and expenditure status of the FUGs The community forests of Dhamilikhola, Kulung, Bhadru and Bhayarthan FUGs were handed over in 1997, 1995, 1993, and 1993 respectively. Among the FUGs, Kulung had the highest income; forest product sale to users was the major source. The FUGs spent funds mainly on buying office materials and stationery, office rental, auditing, guards salary, OP review, and community development works. Expenditures were grouped into administration, community development, and protection. Kulung had the highest investment in community development work whereas Dhamilikhola and Bhadru FUGs investment was in kind, not in cash. Potential income generation activities Income generation activity (IGA) in the community forest is a good way for FUGs to use products at the household level and for a range of community development activities. For this, there is a provision mentioned in the Forest Act and Forest By-laws about IGAs in community forests based not only on major forest products like timber and fuelwood but also extraction of non-timber forest products (NTFPs) like bamboo, broom grass, and cardamom. IGA for Bhadru and Bhayarthan (ANHQ) targeted bamboo and broom grass plantations whereas IGA in Dhamilikhola and Kulung (AFHQ) concerned kurilo and old trees. Bamboo is extremely important for rural peoples livelihoods in Nepal, providing fodder, building material, cash income, handicraft materials, soil stabilization, food, and numerous small-scale construction and tool uses. Bans (Dendrocalamus sp.) and nigalo (Arundinaria sp.) grew profusely in Tanahun District. Kurilo is the dried root of Asparagus racemosus. Removing old and dead trees for retail can be a potential source of income to FUGs. For this, there should be a provision in the FUG operational plan.

271

Support to local development through community forestry All FUGs were undertaking local development activities with the income generated from their community forests according to the limitations of their funds (Table 7). Kulung supported school building, community building construction, drinking water availability, road and chautara (resting place) development as it had the highest income among the four FUGs. It had constructed its own FUG building, which was used as an office and meeting hall.
Table 7. FUG fund mobilization in community development work (NRs)
Development Dhamilikhola School 2 trees Community building Drinking water 5 cft timber Road construction (Chautara) resting place Total 2 trees, 5 cft timber Source: FUG Records (2002) US$1.00 = NR78 Name of FUGs Kulung 19 050 29 750 5 000 10 000 12 000 75 800 Bhadru 12 cft timber Bhayarthan 8 480 4 000

12 cft timber

12 480

Effects of training and extension activities in institutional capacity building For the management of community forest, the FUG is involved in different sets of activities such as monthly meetings, annual assembly, awareness raising, planning, silvicultural activities, record keeping and accounting, and other development activities. For institutional capacity building of FUGs, government organizations like the Regional Training and Extension Center (former Regional Forestry Training Center), the DFO with financial assistance and technical backstopping from the Natural Resource Management Sector Assistance Programme (NARMSAP), and other related projects are conducting training and extension activities for them. Stakeholders involved in community forestry To achieve the objectives of community forestry, different stakeholders are involved in supporting the community forestry process for effective forest management. According to discussion with different organizations during field data collection, the main stakeholders were: the Ministry of Forests and Soil Conservation (MFSC), the DOF, NARMSAP, the Federation of Community Forestry Users of Nepal (FECOFUN), the Regional Directorate of Forests (RDF), the Regional Training and Extension Center, the District Forest Office (DFO), Range posts, VDCs, FUGs, and NGOs)/CBOs. Awareness aspects Participation level of respondents in preformation and postformation training Preformation training is conducted before the hand over of forests to make users aware of community forestry policy, rules, and regulations, to carry out participatory identification of users, and to develop the FUG constitution and OP. Postformation training is designed to help users implement their OP to manage and use their community forests efficiently. Table 8 shows that out of 124 users interviewed 272

only 37 percent of the respondents participated in preformation or postformation training conducted by DFO and DSCO. Among the FUGs, a low number of users participated in training in Dhamilikhola FUG, which was also clear from the training records.
Table 8. Participation level of respondents in training
Participation level AFHQ Dhamilikhola Training attended Training not attended Total 8 (26) 23 (74) 31 Kulung 10 (32) 21 (68) 31 Bhadru 15 (48) 16 (52) 31 Name of FUGs ANHQ Bhayarthan 13 (42) 18 (58) 31 46 (37) 78 (63) 124 Whole area

Source: Field Survey (2002) Figures in the parentheses represent percentage.

Users perceptions on the usefulness of training attended According to Table 9, the users rated the usefulness of attending preformation and postformation training, workshops, seminars, and study tours in forest management activities very high. The users attended both field-based training and classroom training.
Table 9. Users perceptions on the usefulness of attended training
Usefulness of attended training (Scale value) Very low (0.2) Low (0.4) Medium (0.6) High (0.8) Very high (1) Total WAI Dhamilikhola 0 0 2 (25) 4 (50) 2 (25) 8 0.80 AFHQ Kulung 0 0 2 (20) 5 (50) 3 (30) 10 0.82 Total 0 0 4 (22) 9 (50) 5 (28) 18 0.81 Bhadru 0 0 3 (20) 4 (27) 8 (53) 15 0.87 ANHQ Bhayarthan 0 0 3 (23) 5 (38) 5 (39) 13 0.83 Total 0 0 6 (21) 9 (32) 13 (47) 28 0.85 Whole study area 0 0 10 (22) 18 (39) 18 (39) 46 0.83

Source: Field Survey (2002) Figures in the parentheses show the percentages

Users awareness on individual topics Community forest policy The community forest policy focuses on the handing over of all accessible forests to FUGs irrespective of political or administrative boundaries, the sharing of all benefits from community forests among users, utilization of funds generated from forest products in social development work, and capacity building of the FUGs and DOF staff through training. The 1993 Forest Act provides a framework within which FUGs can become legally responsible for the protection, management, and utilization of community forests.

273

Contents of the operational plan and constitution These components drive the FUG in the right direction and regulate the forest in a sustainable way. Users understanding of the contents of the OP and constitution is important, as they have to implement every activity according to the OP and constitution. It was unfortunate that the awareness level of FUGs about the contents of the OP and constitution was only medium. Thirty-five percent of the respondents had medium level and 32 percent had low level of knowledge on the OP and constitution. Rights and responsibilities of FUGs FUGs have to prepare the constitution and OP by consensus agreement of the majority of user members. Participation in community development works; community forest activities, general assembly; and monitoring FUGC activities are also the FUGs responsibilities. Overall awareness of the users in the study area about rights and responsibilities of the FUG was medium (0.60). There was little sharing of training ideas and experiences by trained users with other FUG members. Silvicultural operations FUGs conduct silvicultural operations to protect the forest from damage, to improve the forest condition, and to harvest forest products. Silvicultural operations like thinning, pruning, cleaning, singling, selective felling, enrichment planting, and promotion of regeneration are common practices in the community forests of Nepal. All four FUGs of the study area conducted silvicultural operations in the winter season. Record keeping and accounting The secretary of the FUG is responsible for keeping records of each and every activity conducted by the FUG and the FUGC. Generally, knowledge on record keeping and accounting was medium. Comparatively this level is higher (WAI 0.49) in ANHQ than in AFHQ (WAI 0.40). According to the F test, the awareness level of users varies significantly among FUGs. Thirty-six percent of the respondents numbered low whereas 31 percent numbered very low knowledge about record keeping and accounting. Performance aspects Decision-making in selection of training participants For FUG human resource development, training and extension institutions (e.g. District Forest Office) invite the FUG to send users to participate in training and extension activities. According to the FUG constitution, the FUGC meeting should select the training participants. More than 50 percent of responses in Dhamilikhola, Bhadru, and Bhayarthan FUGs showed that in most cases the FUGC chair selected training participants (Table 10). In such situations there are more opportunities for FUGC members and upper echelons to attend training.

274

Table 10. Users perceptions on participation in training by different FUGs

Groups of persons of FUG Dhamilikhola Score FUGC members FUG male members FUG female members Influential persons Source: Field Survey (2002) 117 63 34 96 Name of FUGs Kulung Score 118 64 32 96 Bhadru Score 105 63 47 95 Bhayarthan Score 113 62 37 98 Whole area Score 453 252 150 385

Sharing of training knowledge and skills with others Several stakeholders related to community forestry conduct training and extension activities for forestry users. Only limited numbers of users can be trained. Most users attend field-based training and workshops. So, it is expected that trained users should share their acquired knowledge and skills with other users in FUG assemblies, FUGC meetings, informal meetings with others, and during silvicultural operations. According to more than 60 percent of the respondents, there was no sharing of information and ideas by trained users at formal/informal meetings and during silvicultural operations. FUG performance on specific topics Silvicultural operations All FUGs divided their forests into blocks. Each year management activities were carried out in rotation according to the operational plan. The main activities were thinning, pruning, and clearing of unwanted species. They asked the Range post and the DFO for technical support during silvicultural operations. The ANHQ FUGs used improved tools for this purpose. The AFHQ FUGs had not purchased improved tools yet. Record keeping and accounting FUGs are required to manage funds and keep records on four different issues: (1) minutes of the decisions of the FUG assembly and FUGC meeting; (2) records of forest product collection and distribution; (3) records of performance of individual duties and impositions of fines and punishments; and (4) records of income and expenditure of FUG funds. ANHQ FUGs were comparatively better than AFHQ FUGs. Work according to the OP and constitution The FUG constitution states the rules and regulations whereas the OP covers the activities to be performed for forest management and utilization. The FUG has to follow the constitution and OP while implementing community forestry activities. If something needs to be added or changed in the OP, the FUG has to get approval from the DFO before implementing the added or changed activities. No FUG had followed its OP fully. No FUG had started IGA as mentioned in the OP. Among the FUGs, Dhamilikhola had the lowest performance. Dhamilikhola had not deposited its funds in the nearby bank. Dhamilikhola and Kulung FUGs could not stop cattle grazing in the forests and could not 275

conduct silviculture in the particular management block in the same year mentioned in the OP due to the larger block size. Womens participation at the FUG assembly FUG/FUGC have to encourage womens participation at the FUG assembly. To note the status of womens involvement in the FUG assembly for the fiscal year 2000/2001, FUG assembly attendance registers were checked (Table 11).
Table 11. Male and female presence at FUG assembly
Name of FUGs Dhamilikhola Total households Total attendance Male attendance Female attendance 81 45 42 (93) 2(7) Kulung 217 124 105 (85) 19 (15) Bhadru 98 66 41(62) 25 (38) Bhayarthan 74 47 35 (74) 12 (26)

Source: FUG Records Figures in parentheses show the percentage attendance

The reasons for low participation of women at the FUG assembly were: Households rather than individuals were identified as users; men are often listed as household heads; only one household representative, usually the household head, was invited and expected to attend the assembly. Most people thought that it was a waste of time for two people from the same family to attend the same meeting. If one attended the meeting, another could take care of the household and the farm. Decision-making at the FUG assembly The FUG assembly is a formal decision-making forum where important decisions are made for institutional capacity building and forest management. Decision-making may be democratic, neutral, or autocratic. Respondents were asked to rate their FUG performance in decision-making keeping in mind the decision-making process (democratic, neutral, and autocratic) at the FUG assembly. Generally, FUG performance in decision-making was only 65 percent and neither fully democratic nor fully autocratic. Participation at the FUGC meeting There is a provision for the FUG to give responsibilities to the FUGC in order to conduct the day-today activity of the FUG. In the three FUGs (Kulung, Bhadru, Bhayarthan), two-thirds attendance at the FUGC meeting was a quorum according to FUG constitutions. In Dhamilikhola FUG, a quorum is met when 60 percent of the members are present at the meeting. When asked about members attendance at FUGC meetings, it was reported that attendance was always higher than the quorum. ANHQ (Bhadru, Bhayarthan) was higher than AFHQ (Dhamilikhola, Kulung).

276

Decision-making at the FUGC meeting Generally, the FUGC tries to include all ethnic groups of users. So, decision-making plays an important role for the representation of ethnic groups. In the constitutions of all four FUGs, decision-making is done by consensus and by majority vote when consensus is not achieved. In FUGC meetings, the chair, secretary, other members of the FUGC or influential persons or any combination of these might influence decisions. It was reported that in most FUGC meetings of both areas, decisions were made by consensus. The overall performance of FUGCs for maintaining transparency among users was perceived by respondents as medium (WAI 0.54). Comparatively, Bhayarthan and Kulung were better as they had more systematic record keeping by teachers and presentations at the FUG assembly. Conflict management Generally, conflicts in FUGs arise between sub-groups within the FUG, between individuals and the FUG, between the FUGC and individuals, within the FUGC and between the FUG and outsiders. In order to assess the FUG performance on conflict management, respondents had to rate the performance, keeping in mind the categories of conflict and their resolution status in their FUGs. FUG performance in managing conflicts in the whole study area was 66 percent. Dhamilikhola had the lowest performance and Bhayarthan had the highest performance. There was conflict between Dhamilikhola FUG and outsiders on the issue of cattle grazing. Outsiders (neighbouring villagers) were grazing their cattle openly in the community forest. The FUG had asked villagers many times to stop this but was unsuccessful. Kulung had a similar dispute. Strengths, weaknesses, opportunities, and constraints Although, the community forestry programme has been successful in the mid-hills of Nepal, it is not free from problems. The FUGs are facing forestry problems related to social, institutional, and biophysical aspects. Strengths related to community forestry The Forest Act regards the FUG as an autonomous corporate body. FUGs are supporting local development through funds raised from community forests and there is a developing trend towards institutionalizing social development works. Government organizations like the DFO and the RTEC are supporting FUGs in institutional capacity building through training and extension activities. Relatively inexpensive field-based training is getting priority; most users can attend. Concerned stakeholders are taking the initiative to conduct NTFP training and establish NTFP demonstration plots. Female extensionists and community rangers have been employed in NARMSAP-supported districts for preand postformation support to FUGs. The DFO and RTEC are preparing district and regional level training plans in advance. Weaknesses related to community forestry Most of the former OPs were prepared in a short period of time without proper consideration of forest conditions, block divisions, forest assessment, and inventory. Some FUGs are lending funds to users, which is not mentioned in their OPs and constitutions. Although FUGs are getting training from the DFO on various subjects, they have insufficient financial and administrative knowledge and skills. In most of the OPs there is provision for IGA, but most FUGs are not conducting these activities due 277

to lack of technical knowledge on identification, collection, management, harvesting, and marketing of species. Selection for training is erratic and biased. There is limited transfer and sharing of knowledge and skills by trained users to other FUG members. Forestry staff are not providing required support to all FUGs due to their workloads. Opportunities related to community forestry FECOFUN is an NGO working for the benefit of FUGs. The Natural Resource Management Sector Assistance Programme funded by DANIDA has a long-term programme through its components. All concerned stakeholders are conducting training according to the needs of FUGs to strengthen their institutional capacity. Encouragement of local service providers (NGOs/CBOs) in training and extension delivery to FUGs will decrease the workload of organizations responsible for conducting training and extension activities. Community forests have potential for IGA through NTFP plantation with technical assistance from concerned stakeholders. Constraints related to community forestry Illiteracy of the users hinders them at training events. Frequent forestry staff transfer is hampering the implementation of community forestry activities at the district level. Furthermore, the organizational structure of the DOF is not satisfying the demand for pre-and postformation support for the increasing number of FUGs (Table 12).
Table 12. Problems faced by FUGs
Dhamilikhola Grazing/sal fodder collection Low womens participation at assemblies Extraction of old and dying trees Low awareness on OP and constitution Sharing of knowledge Lack of knowledge on silvicultural operations and IGA No IGA Low technical support Kulung Grazing/sal fodder collection Low womens participation at assemblies Attendance at assemblies Low awareness of OP and constitution Sharing of knowledge Lack of knowledge on silvicultural operations and IGA No IGA Low technical support No IGA conduct Bhadru Illegal cutting by outsiders Full attendance at assemblies Boundary disputes and encroachment Low awareness of OP and constitution Sharing of knowledge Lack of knowledge on IGA Bhayarthan Illegal cutting by outsiders Full attendance at assemblies Low awareness of OP and constitution Sharing of knowledge Lack of knowledge on IGA No IGA

Source: Users interviews (2002)

278

Conclusion Certain factors like educational status (understanding level), ethnicity (dominance), gender (participation), occupation (working outside the country), age group (economically active population), family size, and livestock head (fuelwood and fodder requirements, grazing) affect the management of community forests. How users benefit economically from community forests depends on the condition of forests and product harvesting practices. Another option is short-term income generation from NTFPs. However, forest conditions, lack of knowledge and skills for IGAs and insufficient technical support from agencies are hindering substantial economic returns from community forests. The main sources of FUG income are sales of forest products, fines, membership fees, grants, and donations. Concerned stakeholders are not in a position to train all users and it is expected that trained users should share their knowledge with others. Institutional capacity in terms of users awareness on certain aspects is higher in FUGs nearer to district headquarters in comparison to remote FUGs and overall awareness is not satisfactory because of higher illiteracy rates, limited sharing of knowledge acquired at training, lack of experience and skills, and low transparency among users. Users do not perceive the full performance of FUGs due to low womens participation at assemblies and meetings, elite dominance in decision-making, low transparency of financial management, and unsolved problems and disputes in the FUGs. Long-term forestry sector policy, favourable rules and regulations for the community forestry programme, forest management through peoples participation, support from GOs, NGOs, and INGOs, and FUG fund mobilization for social development work are some of the strengths of the community forestry programme. Literature cited DDC. 2002. Statistics of Tanahun District, Nepal. District Development Committee, Tanahun District, Nepal. Joshi, A.L. 1997. Empowering local users in forest management of Nepal. Banko Janakari (a journal of forestry information for Nepal).

279

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

COMMUNITY FORESTRY AND ITS IMPACT ON WATERSHED CONDITION AND PRODUCTIVITY IN NEPAL Krishna Prasad Ghimire1

Introduction Nepal lies in the central Himalayan Mountain Range and has three major river basins, i.e., the Koshi, the Gandaki, and the Karnali. Land, forests, and water are the most important natural resources upon which more than ninety percent of the people depend for their livelihoods. The explosive growth in population is placing increasing pressure on these natural resources and leads to the degradation of forest and watersheds. In the Middle Hills, lack of suitable lands limits agricultural production. To meet food needs, people in the uplands heavily encroach on forests and convert these areas into agricultural land. Inappropriate land-use practices on the farms and the cultivation of steep slopes accelerate soil erosion, reduce land productivity, and enhance flood hazards in the flatter and downstream areas (tar/besi lands). Infrastructure is destroyed and river pollution leads to the loss of terrestrial and aquatic life, and property. A study by the Agricultural Project Service Center (APPROSC) in 1995 showed that 3 losses of topsoil accounted for 4.5 m /km2 /day. These losses eventually lower the fertility and productivity of the land. Ultimately, all these problems affect the food, fodder, and fuelwood production of these areas. Under the Community Forestry Development Program (CFDP), the Department of Forestry has already handed over more than 940 000 ha of national forest land to 11 860 community forest user groups (CFUGs). The sense of ownership among the communities plays a vital role for the management of these common-pool resources. The income generated from community forestry and the benefits to the communities are remarkable. An important aspect is the transfer of biomass from the forest to the farmland especially animal feed and bedding materials that are returned to the arable soils in the form of compost and manure to maintain fertility and soil productivity in the absence of mineral fertilizers, and to improve soil resistance to erosion. Therefore, there is a need to examine the impacts of community forestry on watershed conditions. Social relations and interventions can also make significant contributions to watershed management. In this context, socio-ecological knowledge about the location to date has not been adequately addressed. The government and NGOs support CFUGs, but resources have been inadequate. This study will address community forestry and how benefits for the local forest users can be achieved and sustained for watershed development.

MSc. Thesis, Asian Institute of Technology, Bangkok, Thailand. August 2004. Examination Committee - Dr. Michael A. Zoebisch (Chair), Dr. S.L. Ranamukhaarachchi, Dr. D. Schmidt-Vogt

313

The study area Tanahun District is located between 2745' and 28 08' N latitude and 83 57' and 84 34' E longitude. It is in the Middle Hills of the Western Development Region. The neighbouring districts are Gorkha and Lamjung in North Chitwan in the east, Nawalparasi and Palpa in the south, Syangja and Kaski in the west. The district encompasses approximately 1 700 km2 and altitudes range from 190 to 2 120 metres above mean sea level. The Krishna Gandaki and Marsyangdi rivers flow along the district border. Tanahun has 46 Village Development Committees (VDCs) and one municipality, 13 Ilakas, and three electoral constituencies (Figures 1 and 2). About 50 percent of the region is forested and 41 percent is agricultural land. Most of the cultivated land is rain-fed. According to primary data collected by the DDC in 2000, the population of the district, excluding the municipality, was 260 687 (48 percent female and 52 percent male). The average annual rainfall was 2 058.mm. The average maximum temperature was 25.8C and the average minimum temperature was 15C. The climate varied from sub-tropical in the southern plains to mild temperate in the northern mountains of the watershed.

Tanahun (Study area)

Figure 1. Location of Tanahun District and the watershed condition

314

STUDY AREA

Figure 2. Location map of the study area and the human development index ranking

Methodology Both primary and secondary data were used for the research. The Poverty Mapping of Tanahun District report by the National Planning Commission and the Participatory District Development Program (PDDP) were the main sources of secondary data and information. Observations and a reconnaissance survey throughout the watershed area and interactions with the different stakeholders and key informants were made to collect primary data. Two VDCs (Devghaat and Kota) were selected. Within the watershed, eight CFUGs were studied. Within these eight groups, 76 households were interviewed using a structured questionnaire. Group discussions were held with different groups from different altitude ranges within the watershed. Data processing and analysis Both qualitative as well as quantitative methods were used for analysis. For quantitative analysis, descriptive statistics (e.g. charts, tables, graphs, frequencies, means, percent, standard deviations) were used to interpret the results. For the qualitative data, different types of indices (cross tabulations, mean tests, and correlation values) were used for validation. The data were analysed with SPSS_PC 11 version and Microsoft Excel .

315

Weighted Average Index (WAI) The Weighted Average Index (WAI) was used to calculate the degree of participation; degree of satisfaction; degree of degradation; degree of knowledge of forest condition as well as watershed conditions, in terms of farming system and community forestry management. Weighted Average Index (WAI) = f1 x1 +.................+ fn xn / N
Where, fn = frequency of choice of responses Xn = score value of the statement N= number of respondents

Different scales from three to five were used for different point scaling values. Results and discussion Community forestry in Tanahun The master plan for the forestry sector has given emphasis to the transfer of all accessible hill forest to local communities to the extent of their managerial capacity. It is believed that the community forestry can contribute greatly to raising the level of rural peoples income and thus alleviate poverty. To solve these problems the government introduced the concept of participatory forest and watershed management in 1976. Over 28 years, the Tanahun community forest programme has been one of the most successful programmes in the Middle Hills region of the country. To cover all of the Middle Hills districts and carry over the main development activities of the national priority sector, since 1999, the Community and Private Forestry Program (Ministry of Forest and Soil Conservation) acting for DANIDA through the Natural Resource Management Sector Assistance Program (NARMSAP) has been conducting and co-coordinating funding and technical support. A total of 19 996 ha of forest were handed over to 330 CFUGs which included 33 211 households; there were 1 91 445 beneficiaries in the district by the end of 2003. The average household size of Devghaat and Kota VDCs was 7.4 and 7.2 members respectively, whereas the district average family size for Tanahun (6.2) was smaller. The average number of men per household (4.03) in Kota exceeded women (3.3). In Devghaat VDC, there were more women per household (3.8) than men (3.4). The District Development Committee (DDC) recorded in 1999 that 56.8 percent of the total population was economically active in Tanahun; 29.8 percent was male and 27.1 percent was female. Seventy-one percent of the people in Kota VDC and about 53 percent in Devghaat VDC belonged to Gurung/Magar groups. Others were Brahmin (5 percent in Kota and 21 percent in Devghaat), Chhetri (8 percent in both VDCs), Newar (3 percent in both VDCs), and other castes. In the two villages, most of the respondents (40 percent and 50 percent respectively) were literate. The level of education in Kota VDC was slightly higher (50 percent) than Devghaat (40 percent). In the study area, the major occupation of the respondents (92 percent) was agriculture. Even though some respondents were employed in service and other work (8 percent), they ultimately returned to their traditional farming systems. However, in Kota VDC, the respondents existed on agriculture only. Secondary sources to supplement household incomes were wages and remittances

316

from outside the watershed area, especially from military pensions, or from men who were partially engaged in nearby towns. A few were engaged in short-term employment outside the country. The household economy was highly dependent on the family size and their land-holdings. Income from the production of agricultural crops, the number of livestock, and also from off-farm activities was considerable. The average size of the irrigated land was very small (3.4 ropani2 ) in Devghaat and slightly greater (5.6 ropani) in Kota. Unirrigated land-holdings per household were 15.2 and 12.7 ropani in Devghaat and Kota VDCs respectively. The unirrigated land had comparatively low productivity and more fragile soils than irrigated land. Average farm size and the total number of land-holdings per household were extremely important for hill agriculture and its productivity. Household land-holdings ranged from 11-12 ropani (34 percent of households in Devghaat and 32 percent of households in Kota villages) to 21-40 ropani (26 percent) in Kota and 6-10 ropani (21 percent) in Devghaat. The smallest farm size (1-5 ropani) was observed in 13 percent of the households in Devghaat and 16 percent of the households in Kota. Farmers in both the VDCs in the watershed area cultivated major crops such as maize, paddy, wheat, millet, and mustard, followed by pulses; due to the lack of permanent irrigation facilities, commercial vegetable and fruit farming were not significant activities. The cropping patterns found in both the VDCs were almost similar. But for Khet (lowland) and Bari (upland) land, they were different. Khet crops included rice, wheat, and vegetables like potatoes or radish. Black gram, soybean, and beans were often grown on bunds and on terrace ridges. The cropping patterns in the irrigated lowland, rain-fed lowland, and uplands are shown in Table 1.
Table 1. Predominant cropping patterns in the study area
Land categories Irrigated lowland Cropping pattern 1. Rice-fallow 2. Rice-maize-rice 3. Rice-wheat-fallow 4. Rice-fallow-maize 1. Maize-soybean/finger millet-fallow 2. Maize-fallow-fallow 3. Maize-mustard fallow 4. Maize-millet-mustard 5. Maize-millet-vegetables

Uplands

People used two or more crops simultaneously on one parcel of land at the same time. Soil fertility was maintained by growing interim legume crops in between the rotation. Leaving crop residue or leaving the land with a few cover crops conserved soil moisture. Among the sampled households, 58 percent in Devghaat and 71 percent in Kota practised mixed cropping. Upland crops included upland rice mixed with maize, millet with pulses, radish with mustard, soybean and groundnuts with maize crops. Apart from field crop production, livestock was an inseparable feature of farming activities. Almost all of the households managed livestock: buffaloes, cows, and goats were the primary domestic animals in the study area. Per head, there were more goats and sheep per household in Devghaat (8.08) and Kota (8.89) than cows (5.13) and (4.82). There were only 2.25 head of buffalo per household in Devghaat (3.0 in Kota).
2

1 ropani = 0.05 ha.

317

Twenty-one percent of the population of Devghaat and 28.9 percent in Kota fulfilled their food requirements for more than nine months in a year Adopted conservation practices on farmers fields During the monsoon, heavy rain eroded the fertile soils from the hill slopes. Farming on slopes, marginal land, and overgrazing were major constraints. Water sources were limited and land fertility was declining. Through good conservation practices, private marginal land, abandoned terraces, and degraded land can be converted to more productive land. The use of conservation practices after community forestry was introduced has been improving slowly; partial stall-feeding for increased animal production is receiving greater emphasis. The transfer of adequate amounts of dry matter from nearby forests and accumulated cattle dung or compost has assisted in maintaining the soil-fertility level. When establishing conservation systems, emphasis must first be given to improving soil fertility. This can be done through the use of legumes, green manuring, in-situ manuring, composting, and incorporation of any other forms of organic matter, such as agricultural residues, agricultural byproducts, and other biodegradable materials. Current farm conservation practices are presented in Table 2. Respondents practised conservation activities on private land as well as on public land. Ninetyfive percent of the respondents in Devghaat and 97 percent in Kota were engaged in traditional onfarm conservation activities. The use of farmyard manure/compost was the most common conservation practice followed by terrace improvement, hedgerows, and mulching.
Table 2. Various conservation practices applied per household (area in ropani)
Practices N 1.Contour cropping 2. Strip cropping. 3.Hedgerows 4.Legume cropping 5.Mulching 6.Green manuring 7.Leaving crop residues 8.Landslide treatment 9.FYM/compost 10. Terrace improvement
1 1

Devghaat Sum 18 2 47 27 33 17 17 3 89 68 Mean 1.38 1 1.27 1.35 1.1 1.31 1.31 1 2.41 2.06 N 2 0 35 24 30 19 19 8 37 35

Kota Sum 2 0 51 27 33 25 25 8 97 86 Mean 1 0 1.46 1.13 1.1 1.32 1.32 1 2.62 2.46 N 16 2 72 44 60 32 32 11 74 68

Total Sum 24 2 98 54 66 42 42 11 186 154 Mean 1.5 1 1.36 1.23 1.1 1.31 1.31 1 2.51 2.26

13 2 37 20 30 13 13 3 37 33

: Number of households.

Conventionally agroforestry has emerged as an alternative strategy to meet subsistence requirements for food, fuelwood, and fodder. In the study area, a few innovative farmers grew pioneer species such as banana, pineapple, and some tree species at the start of the monsoon. The shifting cultivation ( khoria ) system was further developed as a well-designed agroforestry system. The survey found that in Devghaat and Kota, 42 percent and 87 percent of the sampled household respondents practised agroforestry. Terracing is a common conservation practice adopted by hill farmers. Terracing receives high priority in most soil-conservation and watershed management programmes in mountainous areas. In marginal lands, especially on river banks and southeast aspects of the watershed towards the roadhead 318

of Devghaat VDC, the situation was very fragile in terms of biophysical as well as socio-economic settings. The Ecological Service Center has helped farmers to restore these areas. On the marginal hill slopes, strip planting was done across the slopes, in three- to five-metre bands between double-contoured rows of nitrogen-fixing trees and shrubs to minimize erosion and maintain soil fertility. The planted crops were both annuals and perennials. The annual crops were legumes, cereals, vegetables, and pineapples. Perennial crops included fruit trees such as different varieties of citrus, banana, and guava. The hedgerows of the leguminous trees, shrubs or grasses between the trees with land strips prevented soil erosion. Organic fertilizer increases the nutrient level of the soil. Most of the farmers in the watershed area used organic manure such as compost, animal dung, and other variations. About 37 percent of the Devghaat and 47 percent of the Kota households were using mineral fertilizers while the other households in both VDCs did not. Maintaining land productivity through indigenous conservation practices Innovative conservation practices were: 1. Diverting flood water to the farmland, usually to the rice field during the onset of the monsoon. Trapping the first and second floods in the farm and collecting the fertile sediment of the paddy field was common. Nutrient-rich materials carried by surface runoff made the farms productive and helped to maintain soil fertility. 2. Levelling of the terrace risers to obtain organic matter for the maintenance of farmland fertility. Generally during the preparation of the soil and after the first ploughing, terrace risers on hill slope were levelled and the biomass from the risers was left to decompose for a further few days. Residue from in-situ burning ensured minerals and nutrients for subsequent crops. 3. Stabilizing degraded slopes with rooted culms, wild bamboo seedlings, and broom grass planted directly along the slopes and marginal lands of private as well as public land was also common. 4. Relay cropping of maize and peas, peas and mungbeans with finger millet was practised. 5. Using kitchen gardens for vegetable crops. 6. Planting fodder trees and grasses on terrace ridges and on marginal lands (Kharbari). 7. Planting bamboo, Napier grass, and broom grass on private as well as public marginal land. 8. Planting fruits and perennial cash crops such as coffee and cardamom with banana and alder (Alnus nepalenses) on terrace ridges and marginal lands. 9. Controlling flood erosion by overhead diversion canals. 10.Initiating controlled grazing and stall-feeding for cattle as opposed to open grazing. 11. Using kitchen refuse and wastewater for small-scale and seasonal vegetable production, especially in the dry season. 12.Planting shade-loving plants, rhizomes, and tubers behind the house or on the northern aspect of the ridge. 13.Some farmers installed biogas and solar panels.

319

Forest, watershed, and cropping inter-relation Crop productivity Management of field crops and individual farming practices had a major influence on the productivity of the watershed. The yield of major crops in the area differed slightly from the regional yield (Tables 3 and 4). The variation in yield may be due to altitude variation, specific microclimate conditions, and soil conditions rather than management and input parameters. For a long time indigenous varieties of field crops like satthiya maize, Aamnjhutte rice, and finger millet have been grown. As shown in the tables, rice and millet have higher yields in the watershed area compared to elsewhere in the region whereas maize and wheat have lower yields. Only 42 percent of the households used chemical fertilizer and the remainder depended fully on FYM/ compost.
Table 3. Average productivity of the western hills, different crop characteristics
Crops production Rice Maize Wheat Millet Source: Central Bureau of Statistics (2002) Production(t/ha) (1999/2000) 2.27 1.69 1.62 1.12 Production(t/ha) (2000/2001) 2.37 1.78 1.71 1.08

Table 4. Major field crops and yield (t/ha) by VDC in 2003

VDC Devghaat Kota Mean Rice 3.14 2.41 2.78 Maize 1.36 1.58 1.47 Wheat 0.68 1.06 0.87 Millet 1.19 1.54 1.37 Mustard 0.39 0.82 0.61 Pulses 0.96 0.626 0.79 Total 1.28 1.32 1.31

Source: Field Survey (2004)

Annual earnings from different sectors Field crop cultivation was the major income generator in both VDCs. Animal husbandry and small numbers of poultry for consumption and petty expenses for women and children were common. Another important sector for income came from off-farm activities. Table 5 shows the different categories of income groups within the two VDCs. The average annual income from Devghaat was higher than Kota. This income was for subsistence only. Approximately NRs50 000 for average household income is equivalent to the World Bank poverty cutoff value of US$150 per capita income. Therefore, basic living and subsistence farming can affect the production potential of the farm as well as access to farm inputs and off-farm activities. Cattle were an integral part of the household economy. Farmers in most of the villages were increasingly facing the problem of available grazing land to feed the excessive numbers of cattle. Forest was the traditional grazing land, but it was being protected. Farmers ultimately initiated the cut-and-carry system. Increasing rates of regeneration and canopy coverage in the forest provided adequate supplies of grasses and fodder.

320

Table 5. Annual earnings per household from different categories, NRs 1

Income category Sum Livestock Field crops Off farm Total 167 788 307 925 838 500 1 314 213 Devghaat Mean 4 415.46 8 103.29 22 065.8 34 584.5 Sum 131 275 314 501 584 000 1 029 776 Kota Mean 3 454.61 8 276.34 15 368.4 27 099.4 Sum 299 062.5 622 426 1 422 500 2 343 989 Total Mean 3 935.03 8 189.82 18 717.1 30 842

Source: Field Survey (2004) 1 US$1.00 = NRs74

Awareness of different conservation practices Peoples knowledge and environmental awareness were evaluated. Perceived weighted average indexes (WAI) for each and every statement were listed. Depending upon these eight statements, their weighted score and perceived ideas about the facts were calculated separately for the two VDCs. Lower values imply more negative conservation awareness. The overall mean of the WAIs was close to 0.8, which indicates environmental awareness was higher (Table 6). Similarly, the values for the two VDCs were similar (about 0.84).
Table 6. Awareness and peoples perceptions on conservation activities (WAI)
Statements Rain can wash the topsoil from the field 1 - strongly agree, 0.8 - agree, 0.6 - doesnt know, 0.4 - disagree, 0.2 - strongly disagree Decrease in soil fertility is caused by washing away of the topsoil 1 - strongly agree, 0.8 - agree, 0.6 - doesnt know, 0.4 - disagree, 0.2 - strongly disagree Increased runoff from uplands will affect lower areas in frequency and intensity of flooding 1 - strongly agree, 0.8 - agree, 0.6 - doesnt know, 0.4 - disagree, 0.2 - strongly disagree Heavy grazing and deforestation are the causes of flooding and landslides 1 - strongly agree, 0.8 - agree, 0.6 - doesnt know, 0.4 - disagree, 0.2 - strongly disagree Deforestation and clearing the forest will reduce water availability 1 - strongly agree, 0.8 - agree, 0.6 - doesnt know, 0.4 - disagree, 0.2 - strongly disagree Environmental degradation will create negative socio-economic conditions 1 - strongly agree, 0.8 - agree, 0.6 - doesnt know, 0.4 - disagree, 0.2 - strongly disagree Forest and grazing land should be converted into agricultural land 0.2 - strongly disagree, 0.4 - disagree, 0.6- doesnt know, 0.8 - agree, 1 - strongly agree Free grazing, collection of timber and fuelwood for local people from the forest is good practice 0.2 - strongly disagree, 0.4 - disagree, 0.6 - doesnt know, 0.8 - agree, 1 - strongly agree Mean (WAI) Source: Field Survey (2004) Devghaat (WAI) 0.8474 Kota (WAI) 0.8053 Total (WAI) 0.8263

0.9737

0.9789

0.9763

0.9526

0.9895

0.9711

0.9474

0.9053

0.9263

0.9526

0.9789

0.9658

0.9105

0.9000

0.9053

0.5737

0.5737

0.5737

0.5947

0.5895

0.5921

0.8441

0.8401

0.8421

321

Dependency on forest resources Actual demand and need for forest products, as perceived by the households, are listed and summarized in Table 7. There was maximum dependency on the forest for leaf litter and fodder (WAI = 0.4603) and minimum dependency for raw materials for cottage industries (WAI = 0.955). The Pearson Correlation value of 0.359 with the level of participation is positive; this means that those who depended more on the forest would participate more.
Table 7. Total dependency on forest and grazing land for different needs (WAI)
Dependency Litter and fodder collection Grazing and livestock rising Fuelwood collection Non-timber forest products Raw materials for cottage industries Timber collection Scores: high = 0.33, medium = 0.66, and low = 1 Pearson Correlation = 0.359** (with level of participation) **Correlation is significant at the 0.01 level Devghaat 0.5211 0.7061 0.5561 0.9111 0.9018 0.5474 Kota 0.4603 0.6434 0.5471 0.9553 0.9553 0.4776 Mean 0.491 0.675 0.552 0.933 0.929 0.513

Benefits from the community forest The success of a community forest depends on the appropriate sharing of forest benefits among users. Ten perceived benefits from the CFUGs were listed (Table 8). Generally, Devghaat people benefited (WAI = 0.755) from the forest more than the Kota community (WAI = 0.685) because they lived near the forest area. Community forestry had a more positive effect on Devghaat than Kota in terms of increasing household income, improving livelihoods, forest product availability, and conservation of water and natural resources. But, generally benefits were not significantly different.
Table 8. Major benefits from community forest
Perceived benefits from community forest 1. Helping household income and livelihoods 2. Increase in forest product availability over time, for livelihoods 3. Increase in timber, fuelwood, and fodder or litter production 4. Forest product based cottage industries 5. Increase in wildlife habitat and improved environmental conditions 6. Increase in FYM/compost manure 7. Increase in land productivity 8. Increase in livestock number 9. Water source conservation or assists in natural resource conservation 10. Soil conservation and prevention of natural hazards Total benefit Overall benefit (WAI) Field Survey (2004) ** significant difference between two VDCs at the 0.05 level Score: high = 1, medium = 0.66, low = 0.33 Devghaat 0.852 0.887 0.861 0.5 0.339 0.861 0.87 0.668 0.948 0.765 0.755 0.720 Kota 0.686 0.757 0.782 0.459 0.358 0.852 0.834 0.643 0.739 0.739 0.685 t-test 0.001** 0.002** ns ns ns ns ns ns 0.000** ns ns

322

Level of participation Level of awareness directly affects the level of participation. Therefore it was essential to assess local awareness, especially on forest as well as watershed conservation. The level of awareness in the watershed was high (WAI = 0.842) (Table 6). Therefore the people in the study area were inspired to seek external support from the conservation programme. The level of participation played an important role in the decision-making process of every activity. The Forest Users Committee implemented the decisions on membership, harvesting, and distribution of forest products and helped to resolve internal conflicts. Activities like planting trees in public land, maintenance of irrigation canals, and landslide protection were carried out by the respondents as resource management activities. Responses on involvement in decision-making, planning, implementation, and benefit-sharing activities are listed in Table 9. The results showed the participation level was satisfactory in the two VDCs.
Table 9. Level of participation at the household level for forest management activities
VDC Devghaat Kota Total High 6(15.8) 1(2.6) 7(9.2) Medium 23(60.5) 25(65.8) 48(63.3) Low 9(23.7) 10(26.3) 19(25.0) WAI 0.635 0.577 0.607

Field Survey (2004) Score: high = 1, medium = 0.66, and low = 0.33

Level of satisfaction Direct involvement generates feelings of ownership for programme activities or for resources. Considering the whole watershed, the satisfaction level vis vis group functioning and overall performance (WAI = 0.976) was high. Analysis of variance of the mean level of satisfaction found that the level of satisfaction differed with occupation and income level (Table 10).
Table 10. CFUG level of satisfaction at the household level
VDC Devghaat Kota Total Test statistics Very high 1(2.6) 11(28.9) 12(15.8) High 34(89.5) 26(68.4) 60(78.9) Medium 3(7.9) 1(2.60 4(5.3) Low 0 0 0 Very low 0 0 0 WAI 0.9684 0.9842 0.9763

F = 9.931 P value = 0.002 at 0.05 sig. level (with occupation) F = 3.193 P value = 0.018 at 0.05 sig. level (with income group)

Field Survey (2004) Score: very high = 1, high = 0.8, medium = 0.6, low = 0.4, very low = 0.2

Perceived changes in land characteristics of the watershed To determine the overall index of the watersheds condition, simple questions were asked about peoples surroundings, general facts, and their experiences after the intervention of the CF programme within a ten-year period (Table 11).

323

Table 11. Peoples perceptions on changes in selected land characteristics of the watershed
Statements Soil erosion from farmland Runoff from farmland Soil fertility and land productivity Water availability for irrigation Rainfall intensity and frequency Overall watershed condition Devghaat 0.857 0.742 0.902 0.857 0.875 0.847 Kota 0.92 0.814 0.813 0.812 0.858 0.843 Mean 0.888 0.778 0.858 0.835 0.867 0.845

Test statistics Pearsons Correlation = 0.370** (with forest condition) Pearsons Correlation = 0.536 (with productivity index) Pearsons Correlation = 0 .424** (with soil fertility) Pearsons Correlation = 0.484** (with rainfall intensity) Source: Field Survey (2004) Score: 1 = increasing, 0.66 = same, 0.33 = decreasing **Correlation is significant at the 0.01 level

Therefore it can be summarized that an improvement in forest condition directly improves the watershed condition. Forest condition This section deals mainly with the contribution of community forestry and its effects on field crops, and the socio-economic condition of the local users. The perceptions on the local condition of forest resources were collected with the help of different sets of information related to forest development characteristics such as area, canopy cover, forest regeneration, availability of forest products and the overall performance of the forest using social scaling or scoring the index value. The overall index (WAI = 0.910) of the forest area showed that the condition of the forest resources was increasing satisfactorily (Table 12). Similarly the correlation from the watershed condition index and also the productivity rating correlated significantly. Overall the contribution of the community forest to the watershed has been positive and productivity has been significant.
Table 12. Overall perceived forest condition
Statements Forest canopy Forest area Forest regeneration Fodder availability Fuelwood availability Overall forest condition Source: Field Survey (2004) Score: increasing = 1, same = 0.66, and decreasing = 0.33 Devghaat (WAI) 0.964 0.661 0.973 0.964 0.938 0.90 Kota (WAI) 0.991 0.66 1 0.982 0.965 0.92 Total (WAI) 0.978 0.66 0.987 0.973 0.951 0.910

Correlation of factors affecting watershed conditions The detailed correlation coefficients of selected factors affecting the watersheds condition are given in Table 13.

324

Overall watershed condition: Overall watershed condition had a positive correlation with overall forest condition, rainfall intensity, soil fertility, forest regeneration, peoples participation, and peoples awareness. But soil erosion had a negative correlation with the watersheds condition. Soil fertility: The soil-fertility level had more correlation with the overall watershed condition than overall forest condition. Therefore soil fertility had an important role towards productivity overall and also for household income. Rainfall intensity and frequency: Rainfall intensity/frequency is a major factor for determining the overall watershed condition. This factor correlated negatively with soil fertility as higher intensity and short duration rainstorms generate more topsoil loss than slow and frequent rainfall. Runoff: Runoff had a high negative impact on the overall watershed condition. Therefore, in real practice the planner should prioritize the management of runoff from farmland by promoting private farming practices. Soil erosion: In the study area, soil erosion negatively correlated with the overall watershed condition. In reality, soil erosion on farmland as well as forest land affects the productivity level, which affects the overall watershed condition. Household income: Another important factor was total household income. Overall household income strongly correlated with the participation level. A negative correlation implies people from higher income levels can generate alternative income from other sectors, which leads to less participation in watershed management. Awareness: Awareness was positively correlated with the overall watershed condition and total productivity of the land. This could be the result of participation in and adoption of conservation practices. Soil fertility, soil erosion, and runoff also had a positive correlation with the awareness level of the forest users. Similarly, dependency upon the community forest had a positive correlation with the level of participation, which further affected the forest condition positively.
Table 13. Correlation coefficients of selected factors affecting watershed condition
Forest & watershed characteristics Overall watershed condition Overall forest condition Rainfall intensity & frequency Dependency on CF Total HH income Peoples awareness on conservation Watershed Total cond. production 0.369** 0.484** -.211** .231* 0.530* 0.470* -.266* 0.277* Soil fertility 0.424** 0.394** -0.268* 0.378** Soil erosion -0.457** 0.228* Runoff -0.732** 0.276** 0.281* Forest Level of regent. participation. 0.319** 0.622** 0.309** 0.232** 0.309** 0.867** 0.238*

Source: correlation coefficient outputs ** Correlation is significant at the 0.01 level (2-tailed) * Correlation is significant at the 0.05 level (2-tailed) Note: Non-significant values have been omitted

In summary, household income and expected benefits from the forest, knowledge/skills, and the level of awareness were key factors for participation.

325

Socio-economic factors contributing to land degradation The existing social system of equal inheritance of land amongst all male heirs created fragmentation and increased sub-division of the household plots to the extent that land size was progressively decreasing and unable to support subsistence needs. Lower castes inhabited the marginal land along riverbanks and erosion-susceptible and less productive farmlands because they were economically depressed. However, it is asserted that with the use of increased family labour, peasants can increase agricultural outputs and maintain output per capita. Because of their very small size and economic insecurity, many households were vulnerable to debt. In many cases in the case of hospitalization of a family member, schooling of children would be sufficient to break down the weak economic balance of the whole household and lead to the eventual loss of their land. The productivity-related economic effects of soil degradation were linked to changes in agricultural production. In the district, about 32 percent of the total number of households achieved food security. Fifty percent had minimum food security, and the rest were in deficit. Occupation was also an important factor regarding degradation of the forest as well as water resources in the context of economic welfare. The major occupation (92 percent) was agriculture. Poor access to the market, lack of information about market prices, and high cost for transportation were the major reasons for not obtaining good market prices for agricultural products. Off-farm activities Off-farm income came from labour/remittances, military pensions, small businesses, carpentry/masonry, agricultural labour, and knitting/weaving. Only a small percentage of the labour force participated in off-farm activities. When asked why, 33 percent of the 192 respondents said that lack of appropriate technology and knowledge hindered their activities. Lack of capital was another reason. Livestock Livestock numbers and their effect on the ecosystem are important subsistence factors. Livestock, particularly cows were very important for religious purposes; goats were kept for income and food; buffaloes for milk and manure. These are essential commodities for a farm economy. Livestock were also associated with soil fertility in the study area. Rich farmers who typically owned irrigated Khet land applied more fertilizers and improved agricultural practices on their land. Care of livestock, litter collection, and manure transportation were the responsibilities of women, so women were central to soil-fertility management on the farm. The linkage between one sector and another was strongly correlated. Increasing livestock numbers (6.13 per household) required more grazing land and put pressure on forest and grazing land. The rate of soil erosion in grazing lands was greater than other land uses. Community forestry priorities Table 14 lists the prioritized activities as perceived by the CFUGs in both VDCs. The community forestry initiative has been successful in increasing biomass through restocking and restricted access, long-term planning, and investments. The CFUGs now have enormous incentives to manage common forest land, but external technical as well as financial support and subsidies are needed. 326

Table 14. Summary of prioritized activities over the last five years
Activities Trail improvement School construction/maintenance Drinking water supply Social services/community building construction. Regular forest management activities Source: Field Survey (2004) Devghaatn=38 12 21 12 31 34 Kotan=38 11 15 18 32 36 Total 23 36 20 63 70

Table 15 shows the total rating for degradation of the watershed (WAI = 0.6089), which is close to the medium level (0.66). Kota VDC (WAI = 0.5389) suffered worse degradation than Devghaat (WAI=0.68). The overall degradation of the watershed area was a result of forest depletion.
Table 15. Perceived degradation ratings by watershed settlers
VDC High Devghaat Kota Total 10 (83) 2 (17) 12 Responses Medium 20 (50) 20 (50) 40 Low 8 (33) 16 (67) 24 0.6800 0.5389 0.6089 Total (WAI)1

Source: Field Survey (2004) Figures in parentheses represent the percentage of total responses The frequency in the table represents total responses from sampled households 1 Score: 1= lower (than before), 0.66 = medium, 0.33 = higher (than before)

SWOC analysis A SWOC (strengths, weaknesses, opportunities, and constraints) analysis was carried out for the CFUGs (Table 16).

327

Table 16. SWOC (strengths, weaknesses, opportunities, and constraints) analysis

Weaknesses Opportunities Constraints

Issues

Strengths

Organization

Governed by the donor. Resource allocation bias, less priority for watershed conservation. Limited coordination. Lack of follow-up mechanism.

Good chances to coordinate with local line agencies. Effective service delivery. Efficient management of local organizations and resources.

Too much group work. Extra workload for poor farmers. Duplication of the group work. Unhealthy competition with line agencies.

CFUG is an authentic organization. People's awareness about their resources. Coordination among groups. Decision-making by the general assembly. Participatory development plans.

Resources

Collection of funds from other sources. Resource mobilization, funds for local development generated. Local participation and contribution. Reduce dependency.

Low off-farm income sources. Tendency to shift from farm activities to other sectors. Low level of knowledge and skills.

External funds from other channels. Mobilization of savings for development work. Contribution to conservation work.

Lack of adequate re sources. High demand for running cost. High rate of interest.

Functioning

328
Insufficient resources to fulfill local demands. Insufficient administrative and technical support from concerned line agencies. Overlapping of programme activities with local, as well as district level line agencies and local NGOs. Weak confidence building for local FUG authorities.

Creating more awareness on conservation issues. Develop mutual trust and good understanding with FUG members. Division of labour for nearby hamlets. Effective transfer of technology.

Willingness to work in groups. Sustainable farming system and biophysical condition. Distant and inaccessible government forest. Fair distribution of forest products. Regular auditing. Maintaining low gap between demand and supply of forest products.

Unskilled record keeping. Weak leadership. Migration of skilled human resources. Less awareness of patrolling, forest fires, and open grazing. Less involvement of trained human resources in programme activities. Poor communication network.

Creation of misunderstanding. Programme apathy due to disproportionate allocation of benefits to users. High cost of watershed management activities. Lack of potential support and cooperation.

Sustainability

Insufficient resources to conduct conservation activities. High cost of watershed management activities. Lack of strong policy support and framework for coordination within the Ministerial level and departments.

Organization legalized. Emphasis on conducting sub-watershed management plans through forest resource management. Utilize local resource knowledge and skills for conservation activities. Share benefitS as well as conserve local resources. Direct benefits from forest as well as indirect help for improvement of land productivity. Positive attitude towards watershed management. Low cost and local technology.

Develop the participatory operational plan with watershed management issues. Productive activities for the long term as well as very productive benefit-sharing approach. Solution of problems by integration of local resource management and development. Increase in interest of external agencies, support from counterpart agencies.

Conclusion Community forestry focuses mainly on socio-economic and resource-based factors. Some factors contribute direct benefits and some have indirect effects or intangible benefits acquired from the forest. Fodder and bedding materials for animals are easily available at no cost in the community forest. Moreover, sustainable collection of forest products and the basic needs of CFUGs and their function were in line with the goals of the Community Forestry Programme. Participation in decisionmaking in the study area was fairly satisfactory. The findings of this study suggest that the availability of fuelwood and fodder/litter had increased significantly. Availability of timber and poles also increased significantly. CFUGs adopted distinct approaches such as quick income generation activities, savings, and resource mobilization. Now community forestry is a protection-oriented movement, which is governed by policy and forest rules and regulations. The findings also indicated that the overall awareness on community forestry and soil erosion as well as soil fertility was satisfactory.

329

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

PROSPECTS FOR COMMERCIAL PRODUCTION OF NON-TIMBER FOREST PRODUCTS IN NEPAL Shree Bhagwan Prasad Gupta1

Introduction Non-timber forest products (NTFPs) have attracted considerable global interest in recent years due to increasing recognition of their contribution to household income and food security; they are also relevant to national economy and environmental objectives including the conservation of biological diversity. Presently, at least 150 NTFPs are significant in terms of international trade. The general direction of trade is from developing to developed countries, with about 60 percent being imported by countries of the European Union, Japan, and the USA. There is good potential for employment for millions of people in the Asia-Pacific region from NTFP collection and processing. In India, about 7.5 million people are engaged part-time as collectors of tendu (Diospyrous melanoxylon) leaves and another three million process the leaves into bid i (local cigarettes) (Arnold, 1995). The climate of Nepal varies from sub-tropical monsoon in the Terai to arctic tundra in the High Himalayas. The country has the biological richness of both the Indo-Malayan and Palaeoarctic zones, including endemic Himalayan flora and fauna. A total of 118 ecosystems have been identified, with 75 vegetation types and 35 forest types (NBS 2002). The climatic and biophysical characteristics of the mountains of Nepal make it a reservoir of diverse species of valuable NTFPs. Among 630 species, 510 occur in the wild while 120 are exotic, naturalized or have been cultivated for a long time. The collection and trade of NTFPs has played a key role in the economic development of the country, as economic opportunities are severely constrained by poor socio-economic conditions and infrastructure, such as communication and transportation facilities. Thus it is postulated how commercialization of NTFPs can be promoted in the wild or by cultivation of major species in forest land or in private land. Many Asian countries have developed commercial production of NTFPs both in forest land and in private land with the help of local stakeholders and INGOs. New trends in civil service reform, decentralization, and private sector involvement in resource management are upbeat while the scenario for state-owned enterprises is downbeat as they have proven unsuccessful in terms of management and profit compared to the private sector. Government programmes have focused more on timber and fuelwood production, and commercial production of NTFPs has been overlooked. Thus the Ministry of Forest and Soil Conservation (MFSC) intends to manage forests of the Terai via local government and people. The main objective of the approach is to develop sustainable forest to fulfill the need for forest products, help in poverty reduction by creating employment, maintain and enhance biodiversity, and increase national and local income through the active management of the Terai plain and inner Terai forests (BISEP, 2003).

MSc. Thesis, Asian Institute of Technology, Bangkok, Thailand. August 2004. Examination Committee - Dr. Rajendra P. Shrestha (Chair), Dr. Dietrich Schmidt-Vogt, Dr. Michael A. Zoebisch, Dr. Ambika P. Gautam

331

The study area Nepal covers a total area of 147 181 km2 , and is surrounded by the Tibet Autonomous Region of the Peoples Republic of China in the north and the Republic of India in all other three directions. In April 2002 the population of Nepal was 23.11 million and increasing at an annual growth rate of 2.27 percent. The literacy rate was 53.74 percent in 2002 (CBS, 2002). The country is divided into five development regions and 75 districts, administratively. The central development region consists of 19 districts of which 13 are mountainous and six are in the Terai (plain). Bara District is one of the Terai districts among six in the central region. This district was selected as the study area because it lies in the central part of the Terai and houses almost all the ethnic groups of Nepal except some Himalayan populations. Nijgarh and Saphi were two villages selected for study. These villages were very close to the forest where most people collected and cultivated NTFPs, which were a major source of income for the villagers. One village was surrounded by forest and the other adjoined the forest. Location and administrative boundary of the district Bara District lies between latitude 26 51' to 27 2' N and longitude 84 51' to 85 16' E (Figure 1). Rautahat borders the district in the east, Parsa in the west, Makawanpur in the north, and India in the south. Administratively the district belongs to the central development region. The Mahendra Highway crosses the northern part of the district and the Hetauda and Birgunj highways in the west. The total land area of the district is estimated to be 1 29 564 ha.

Figure 1. The study area

332

Climatic condition The monsoon is followed by two months of hot dry weather. A three-month cool dry season follows from December to February. Strong winds are expected from February to April combined with high temperatures that pose a grave fire hazard to the forest in the district. The average annual rainfall of this district is recorded as 1 760 mm. Maximum temperatures over 40 C are not uncommon in summer but frosts are very rare in winter. Geology The geology of this area is tertiary Siwaliks in the north and alluvial plains in the south. The Terai geology varies little, but whatever variation there is, it often accounts for differences in the depth of the water table. Old riverbeds, buried under more recent deposits can give rise to different types of permeability underground. Generally, the alluvium in the northern Terai is coarser than that in the south, giving rise to deep water tables (FMUDP and NFD, 1994). Types of land and soil There are mainly three types of land used for cropping: Dhanhar khet is lowland; the soil is mainly clayey soil with low water permeability and the duration of water retention is high. The late November variety of paddy is cultivated during the monsoon. In winter, wheat and maize are mainly grown where irrigation facilities are available. Saro khet is upland; the soil is loamy soil, the permeability of water is low, and the duration of water retention is lower than the Dhanhar khet. An early variety of paddy is the main crop, which is cultivated in the early monsoon season. Wheat, maize, vegetables, and other cash crops are grown in winter. Diha khet is also upland but the soil is sandy soil where the permeability of water is higher than the Dhanhar and Saro khet. Early varieties of paddy, millet, and maize are grown in the monsoon. Cropping pattern Farmers of Saphi and Nijgarh cultivate potatoes, green vegetables, beans, cabbages, and cauliflower (Figure 2).

Potato C R O P S Mustard Maize Maize

J F M A MA JU JL AU S

Cauliflower, carrot Maize Paddy Maize Maize

O N D

Mustard

Figure 2. Cropping pattern and calendar of the study area

333

Ethnicity and population This district houses three distinct types of people. One group occupies the north (new hill migrants), the middle is mixed (Tharu and new hill migrants), and the last group is found from the middle up to the Indian border. The Tharu group is the indigenous group and they have more information and knowledge about NTFPs and rely heavily on NTFPs. The total population of the district recorded in the 2002 census was 557 093 with 89 660 households (Population Census, 2002). Livestock raising The average number of livestock per household was the highest among the hill migrants for two reasons: firstly the average land-holding size among the hill migrants was the smallest, so to increase income, more animals were raised; secondly, there was national forest nearby which provided nearly free access for open grazing. Animal husbandry is considered to be an integral feature of the farming system in Nepal where mixed farming is practised. Institutional framework of the District Forest Office (DFO) Out of 75 districts, 10 districts including Bara fall under category A. This grading was done by the MFSC and was based on the total area of the forest in the district. The district varies from accessible to extremely remote areas. Saphi is about 12 km from the east-west main highway and not accessible in the rainy season. Nijgarh is accessible in all seasons. The DFO has three Area Forest Offices namely, Tamagarhi Area Forest Office, at Nijgarh VDC; Madhuvan Area Forest Office at Pasah; and Pathalaiya Area Forest Office at Pathlaita. These offices are further divided into five range posts. Socio-economic setting Distribution of age group and gender in the study area The economically important age group (16 to 59) accounted for about 50 percent of the population where the ratio of males to females was almost the same. Senior citizens comprised 10 percent of the population; they were mostly involved in decision-making, household work, and livestock farming. Family size of respondents households The largest families were in the Tharu caste (average 7.3). The smallest family had four members. In big families, work was divided among members. The family size also differed in the Terai region by caste and education, and amount of land-holdings. Population and gender in the study area Overall, there were more men than women in the study area. Total household membership in Nijgarh ranged from 6 to 10 where as in Saphi it ranged from 4 to 13. The mean average family size in Nijgarh was 6.38.

334

Educational status of house hold members in the study area About 38 percent of the sampled households was illiterate. There were very few people who had higher education. The educational level in Saphi was higher, presumably because it is situated in the southern part of the forest area close to the market and school and other sections of society. Occupation of respondents Most respondents were involved in agriculture/waged labour. Only one person was a businessman with a small shop, four people had agri-business mixed occupations, whereas 10 families had small jobs in the Herbs Production and Processing Company Limited (HPPCL) in Saphi. Land-holding size of respondents Thirty-four percent of the people held between 5 to 20 katha and 38 percent had between 21 to 40 katha 2 . Seven percent had land area between 61 to 80 katha . About 17 percent of the households had more than 61 katha . The Agricultural Development Bank of Nepal (ADB) defined farmers with less than 15 katha (0.5 ha) as small farmers. According to CBS (2002), farmers with about 30 katha are classified as medium farmers. Area under cultivation in study villages The first category includes privately owned land and accounts for 45 percent (the proportion is greater in Saphi than in Nijgarh). The second category of land is rented land (about 20 percent), generally used for NTFP cultivation. The third category of land is land under the ownership of the HPPCL. The HPPCL has total land of about 500 ha and some of the land is cultivated for NTFPs by the HPPCL and some land is leased to people for farming NTFPs. Fourteen percent of the land area is public but rented by villagers. Distribution of NTFP collectors in the study area There were more NTFP collectors in Nijgarh than Saphi (Table 1). Children are normally made to go to school in Saphi while in Nijgarh they are used for NTFP collection and livestock grazing. Senior citizens are also involved in collection in Nijgarh whereas only two elderly people collected NTFPs in Saphi. This indicates comparatively higher poverty in Nijgarh.
Table 1. Distribution of collectors according to age class
Age of collectors NijGarh Collectors between 5-15 years Collectors between 16-59 years Collectors above 60 years Total 55 78 18 151 (60.4) Village Saphi 28 69 2 99 (39.6) 55 (22) 147 (58.8) 20 (8.0) 250 Total

Source: Field Survey (2004). Figures in parentheses are percentages.

30 katha = 1 ha

335

Labour wage rate Wage rates differed from village to village. Wage rates for men and women also significantly differed from place to place. The maximum rate was reported for transportation and sawing of logs. In both villages, the average wage rate for men and women was NRs90 per day whereas in other places it was NRs80 per day. This is probably due to the lack of labour because of migration to nearby cities. Food sufficiency Most households (HHs) in the study area had insufficient food throughout the year. Out of 71 HHs, 26 HHs had sufficient crop production for the whole year and some surplus for saving and selling. Ten HHS had enough food for nine months, 20 HHs for six months, and 15 HHs for only three months. Market centre The study area lacked an organized marketing centre. There was a small roadhead market centre (Kolvi) where basic household goods, including soap, sugar, kerosene, cigarettes, and clothes were available. Nijgarh also had a small market. The major markets were Birgung about 50 km and Hetauda about 60 km from the study area. NTFP trade in Bara District NTFPs, which include traded and locally used forest products of biological origin, supply hundreds of collectors, village traders, and wholesalers in Bara District. In the Forest Regulations of 1995, the procedural rules for the collection and sale of forest products distinguish between timber, fuelwood, acacia catechu, herbs, and other forest products. The Annexes of the Forest Act (1993) and Forest Regulations (1995) present information on the royalties for timber and fuelwood, royalties associated with different NTFPs, and other forest products. According to the Forest Act and Forest Regulations, the DFO is the planner, manager, educator, and protector of NTFPs and also is the authorized office for the documentation of traded NTFPs from the district. Income from NTFPs in Nepal The income of the Department of Forest from the NTFP sector increased from fiscal year 1994/1995 to fiscal year1997/1998 (Figure 3). According to the forest department database, the increase of royalty rate and quantity of Taxus baccata increased total revenue to NRs56.6 million. Finally the MFSC decided to collect revenue for NTFPs by related forest user groups. These items were jatamansi oil, Rawalfelia surpentina, Taxus baccata , and lichens. According to an Indian exporter, a new problem created by Indian customs is that any plant product must be laboratory tested and be qualified and certified to enter Indian territory. The laboratory test should be done in a central government laboratory only. The laboratory test report of country of origin is not valid for Indian customs.

336

Quantity (1000 ton) and Reyenue (million Rs)

Trend of NTFP Production and Revenue

60 50 40 quantity (in 1000 ton) 30 Revenue (in million Rs) 20 10 0 1995 1996 1997 1998 1999 2000 2001 2002 2003

Figure 3. Trend of government revenue from NTFPs in Nepal

Source: Department of Forest Nepal (2003)

Comparison of income from NTFPs and major forest products The Department of Forests divided NTFPs into two categories: Medicinal and Aromatic Plants (MAPs) and NTFPs other than MAPs. Asparagus, lichens, chiraita , etc. are famous MAPS. Stones, pebbles, sand, bamboo, babio (Euolaliopsis binnata ), lokta (Daphne spp.) etc. come under the second category. The collectors of Nijgarh ate skus , gittha and bhyakur as vegetables and snacks. Similarly, harro (Terminalia chebula ), barro (Terminalia belerica), and amala (Emblica officinalis) were ingredients for trifala , a good digestive powdered medicine. Quantitative and financial details of traded NTFPs from Bara District Bara harbours many varieties of NTFPs. At least 11 species were traded from this district in each fiscal year. From 2000/2001 to 2002/2003, a total of 15 species were traded. The collection of particular species depended on the demand of the species in Indian markets. So there is high potential for timber and fuelwood production. Similarly, the district is rich in low altitude biodiversity. The collection of certain species depends on the demand for the species when the collectors did not collect some species on a regular basis. Sal seed was used by a local vegetable oil industry. Similarly, a papermaking factory used sabai grass. Species like amla , kaulo , satawari, and sikakai are being exhausted rapidly. Oil production from HPPCL The HPPCL is a commercial company operating under the MFSC and is mandated to extract the constituents of medicinal and aromatic plants for medical use. Herbal farms are found everywhere in Nepal. The HPPCL has a branch office and a production farm in Saphi. This company cultivates perennial herbs like pamarosa, lemon grass, citronella, and annual herbs like chamomile. There is a distillation plant and one extract plant on the farm; the oil is sent to the central office in Kathmandu. Some company land is leased to local farmers, to grow medicinal and aromatic plants only. The 337

farmers from surrounding villages cultivate chamomile, mentha, and lemon grass, which are processed in the distillation plant and the oil is sold to the company. Oil production and herbal medicine This farm and local farmers cultivate only six major species. The oil is used to make herbal medicines and about 40 percent is exported to Indian and European markets. Nepal oil, Himalayan massage oil, anti-leech oil, and sancho are the main products. The production of mentha doubled in 2001/2002 due to increasingly higher value and high market demand. Pamarosa oil production has increased rapidly. Production is increasing due to market demand, and also because it is used by HPPCL in sancho medicine and in Himalayan massage oil. Similarly, the production of citronella has increased; production of French basil has decreased. Income from cultivated NTFPs The average income from chamomile was greater than the rest of the cultivated species (Table 2). The next preferred species were mentha and pamarosa. The average income per household per year from mentha and pamarosa was NRs5 748 and NRs2 011 respectively. The mean annual income from all cultivated species was higher in Saphi because respondents of Saphi had more private land than Nijgar. The total income and mean income per household from cultivated NTFPs was higher (NRs28 161) in Saphi whereas mean income from cultivated species in Nijgarh was only NRs12 136 per household per year.
Table 2. Income from cultivated NTFPs
Cultivated species Chamomile Pamarosa Mentha Lemon grass Citronella French basil Total income Nijgarh Mean income (NRs) 7 372 283 3 279 488 337 375 12 136 Saphi Mean income (NRs) 12 512 3 788 8 287 13 441 1 885 0 28 161 Average income(NRs) 9 906 2 011 5 748 910 1 100 190 20 036

Source: Field Survey (2004). US$1.00 = NRs72

Quantity of NTFPs collected from forests Greater quantities of NTFPs were collected in Nijgarh. Sal seed and sabai grass had the highest extraction in both villages sal seed was purchased by the local dealer of the vegetable oil industry and sabai grass was purchased by the paper mill. Amla fruit were collected by almost all the villagers, in season, and some of them sold it to the local market; but mostly it was used for household consumption. Similarly cotton collection was greater in Saphi. Earnings from cotton are increasing due to the ban on cutting simal trees. Kaulo bark and satawari tubers are collected only by professional collectors (more in Nijgarh). The bhorla leaf is sold to local markets.

338

Income from collected NTFPs The mean highest income came from sal seed (NRs5 514) and cotton fibre (NRs1 608/household/ year) whereas mean annual income from collection of bhorla leaf, amala fruit, satawari, and kaulo bark was around NRs700/year/household. This was because of decrease in availability of amla fruit, satawari tubers, and kaulo bark. The total amount of collection and earnings were greater in Nijgarh, except for cotton fibre, because the village had fewer land-holdings and fewer off-farm opportunities. Thus NTFP collection is a source of livelihood for the poor villagers. Total household income of respondents The mean income from business was similar in both villages, whereas mean income from agriculture, services, and NTFPs was higher in Saphi. The income from services in Saphi was almost 20 times higher than Nijgarh. Similarly the mean income from NTFPs was NRs37 867 in Saphi and NRs28 398 in Nijgarh. Mean income from livestock/household/year in Nijgarh was NRs15 041 and NRs10 342 in Saphi. The average total income per household per annum was NRs82 338 in Nijgarh and NRs99 082 in Saphi. Income from NTFPs The income from cultivated NTFPs between villages was analysed through an independent sample ttest and there was significant difference in mean income from cultivated NTFPs between the two villages (Table 3). Because Saphi respondents had more land-holdings than Nijgarh, they were able to cultivate more plants. On-farm income was lower in Nijgarh than Saphi, because of infertile soil and lack of irrigation.
Table 3. Sources of income
Income source Nijgarh Total Income from cultivated NTFPs Income from collected NTFPs Total income from NTFPs 436 324 584 160 1 022 334 Mean 12 136 16 226 28 398 Total 986 565 339 710 136 637 Village Saphi Mean 28 161 9 706 37 867 t = -7.273 t = 5.260 t = -4.187 p = 0.001 P = 0.001 p = 0.001 Test-statistics

Test statistics; t = - 4.817, p = 0.001 (with total income between the two villages)

Existing cultivation and collection practices in the study area Perceptions on cultivation practices Status of cultivated NTFPs in the study area Cultivation of chamomile was increasing rapidly in both villages because of its high value and it is easy to cultivate. Chamomile oil is expensive and purchased by the HPPCL at the rate of NRs6 000/kg. Similarly cultivation of pamarosa and mentha was also increasing on HPPCL farmland as well as on farmers private land (Table 4). According to respondents these two species are easy to cultivate, 339

perennial, and also consume less labour in comparison with agricultural crops like wheat, maize, and rice. Lemon grass cultivation had not changed and cultivation of citronella was decreasing due to low price and the difficult cultivation technique. According to HPPCL officials, the variety of lemon grass was old and wild.
Table 4. Ranking of cultivated NTFPs in the study area
Local Name Highly Decreasing decreasing Chamomile Pamarosa Mentha Lemon grass Citronella Bhojo Satawari Ginger Eucalyptus Status Similar Increasing Highly increasing Total WAI

0 0 8 37 26 71 0.85 0 6 7 35 23 71 0.81 0 2 10 29 30 71 0.84 3 13 16 22 12 66 0.68 21 35 0 0 0 56 0.32 Farmers started cultivation last year Dabur Herbal company provides some farmers with an improved variety of asparagus. Farmers started cultivation from September 2003 Dabur Herbal company provides some farmers with an improved variety of ginger. Farmers have been cultivating for 2 years. 3- to 5-year-old seedlings have seen planted in HPPCL farm; private plantation for eucalyptus oil production has been increasing

Source: Field Survey (2004); highly decreasing = 0.2, decreasing = 0.4, no change = 0.6, increasing = 0.8, highly increasing = 1.0 WAI=[1st rank (1.0) + 2nd rank (0.8) +3rd rank (0.6) + 4th rank (0.4) + 5th rank (0.2)]/ ith rank Where, 1st = frequency of 1st rank 4th rank = frequency of 4th rank nd nd 2 = frequency of 2 rank 5th rank = frequency of 5th rank rd rd 3 = frequency of 3 rank ith = total number of observations

Factors promoting cultivation of NTFPs in the study area A small group meeting was organized in the HPPCL office to understand the factors for promoting NTFP cultivation in study area. HPPCL staff also participated in the discussion. The species selected were easy to cultivate, had a short duration, and needed low levels of pesticide. High income compared to agricultural crops, technical support, and intercropping were the main factors that attracted farmers to grow NTFPs, particularly MAPS (Figure 4). The species cultivated here were mentha, chamomile, French basil, and lemon grass the value of which was three times greater than agricultural crops. Also, the farmers could plant rice after harvesting of the MAPS.
70 60 50 40 30 20 10 0
e om nc i gh Hi te n tio iva ult ura c d to rop sy rtc Ea o Sh de tici es p ss Le ls t ria lan gp ate n i m s es ng nti roc a l P P ted ort en pp r r u ua als lG nic ch Se e T g pin op r c er Int

Score

count percent

Reason

Figure 4. Factors needed to promote cultivation

340

Problems regarding cultivation and domestication of NTFPs The main problem cited by respondents was small land-holding size. Nijgarh respondents had very poor land-holdings compared to Saphi. Those respondents who had more than one hectare of land usually planted MAPs for more income. Intercropping tree species in NTFP cultivation Around 35 percent of the people liked to plant multipurpose fodder trees and small fruit trees because they expected extra income from fruit and fodder species and also enhanced animal husbandry. Around 15 percent of the people liked high value fruit trees like Agle marmelos and fast growing tree species such as Eucalyptus spp. Eucalyptus was purchased by the Nepal Board Industry to make particleboard and plywood. Choice of agricultural species for intercropping with NTFPs Most of the farmers wanted to change the traditional cropping of rice, maize, and wheat. Due to high demand and better prices, people wanted to grow cash crops like mustard, vegetables, pulses, and jute (Figure 5). The cash incomes from these crops were higher than traditional crops like rice and wheat. These cash crops were easy to cultivate and needed less labour. Respondents preferred lentils, sorghum, and mustard in this order.

50

Percent

40 30 20 10 0 Mustard Pulse Vegetable Sorghum Jute

Crop species

Figure 5. Choice of agricultural species

Conditions required for sustainable cultivation of NTFPs The conditions and requirements recommended by participants in group discussion to enhance sustainable cultivation of NTFPs in the study area are listed hereunder. Competitive market: A monopoly market decreases the bargaining power of producers. In Saphi the oil produced by farmers is only sold to the HPPCL. There are no other buyers. Actual and base price: The farmers expect realistic prices for their products. However they know the price of oil. They are bound to sell products to the HPPCL, because some of the land is leased from the company. The farmers also want to fix the base price each year through joint meetings between farmers and the company. Government enterprises: Government enterprises can facilitate production and marketing. This organization is supported by the government and works as a broker between producers and buyers.

341

Demonstration plantation: Farmers like to see demonstration plantation of high valued NTFPs and want to be reassured about the net benefit per unit of area. Loan and material support: Sometimes loans and material support help farmers production borrowing from local providers is not fair as they charge more interest than banks. Similarly fertilizer and insecticide support from local cooperatives can enhance production. Land-holdings: Most of the farmers have small land-holdings and they lease farmland. If the government made land available, they would be very interested in growing MAPs and other trees/ crops in an integrated land-use system. Perceptions regarding collection practices Collection status of major high valued NTFPs from forest According to the field survey, collection of sabai grass was increasing greatly. At the same time in Chure hills, its density was increasing whereas tree cover was decreasing. Collection of cotton was also increasing due to the government ban on cutting green standing trees. The weighted average index (WAI) of sal seed and bhorla leaf was 0.5 and 0.35 respectively. This reflects a decreasing trend in collection of such species. No significant difference in collection trend between the two villages was observed for sal seed, bhorla leaf, and satawari. This means there was a decreasing collection trend in both villages. For amla , sikakai, and kaulo the amount of collection was significantly different at the 95 percent confidence level. Species under threat of extinction in the study area Veteran collectors were very knowledgeable about species diversity and they knew which species were found where and in what quantities. Formerly the district was very rich in plant diversity and abundance. These collectors now say that some species like rattan and Rauvolfia serpentina are now extinct in the forest. Sikakai, kaulo , and satawari are under moderate threat of extinction; cotton trees and pipala are similarly affected (Tables 5 and 6).
Table 5. Species under threat of extinction
Species Sarpagandha, rattan, bojo Sikakai, kaulo ,asparagus, amla Harro, cotton trees , pipla Level of threat Extinct in wild, high threat of extinction otherwise Ecologically extinct, moderately threatened Under threat

Table 6. Reasons for extinction threat

Immediate cause Over-collection of medicinal and other plants Haphazard fires No recovery/rehabilitation plans Destruction of habitat Intermediate cause Inadequateactive management Inadequate implementation of legislation Subsistence and income needs Lack of environmental awareness and sensitivity Root cause Weak administrative,planning, and managementcapacity Inadequate data andinformation management High incidence of poverty Low level of publicinformation and participation

Source: Biodiversity Strategy Nepal (2002)

342

Reason for extinction of high value NTFP species High value NTFPs are neither planted in the forest nor domesticated on private land. Also, unbalanced demand and supply threaten the survival of some NTFPs. Reasons for respondents dependency on NTFPs Respondents were asked to provide reasons for dependency on NTFPs in order of priority (Figure 6). Lack of other job opportunities and small land-holding size were the main reasons among eight cited by the collectors. Most Nijgarh people collected NTFPs but they earned less income than the daily wage rate. Therefore, if they could find work, they would not need to gather NTFPs. Poverty was the third reason and off-season employment the fourth.

Alternative source of income Source of livelihood

Less Non - farm opportunity Illiterate

Non Timber Forest Products Tradition and Culture Off - season employment Small land holding size Poverty

Figure 6. Reasons for dependency on NTFPs

Factors for intensification of collection of NTFPs The quantity of NTFPs collected by households correlated with the number of family members, land ownership, occupations, total income, age groups, and rented land; only household income and number of family members showed a significant contribution to the regression analysis. Though there was no correlation between the quantity of NTFPs collected and family education, family education was entered in the regression analysis to analyse its impact. The result showed a negative mathematical relation with the quantity of NTFPs collected quantity collected decreased as the educational level increased. Time of collection Generally NTFPs were collected during slack periods of agriculture. They collect sabai grass, sikakai, pipala , and amla in winter whereas cotton, sal seed, and satawari are gathered in spring and summer. Bahunia leaf is collected year round whereas the bark of kaulo is collected only when Indian markets demand it. According to the respondents, kaulo bark had only been collected from this forest during the previous two years. Now there are no more kaulo trees in the forest.

343

Territory of collection Most of the collectors do not follow the guidelines given in the collection permits. Generally collection permits are issued in the names of middlemen and major traders and collectors are only assigned for collection. Sometimes occupational collectors enter protected and restricted areas and are apprehended and punished by the authorities. Credit and advance system Generally all households are advanced money by middlemen. Sometimes collectors offer large amounts of money as credit, which are recouped during the sale of products. Perceptions of stakeholders on the promotion of NTFPs Perceptions for commercial production Site suitability for commercial production This issue was discussed in a group meeting of 65 people. There were DDC members, industry representatives, forest officers, forest rangers and some collectors. Most of them agreed with the option that if the government provided land for NTFP and timber production under legal provision, they could develop integrated land planning and produce NTFPs along with timber and other products. Forty-two percent of the participants selected open area; 25 percent selected degraded forest land with less than 10 percent canopy cover. The remaining 33 percent were interested in dense forest area and abandoned riverside land.

12%

8%

13%

25%

42%

Dense forest area Open forest land Degraded forest area Encroached land HPPCL farm land

Figure 7. Area preferred by stakeholders

Regarding the situation, the government has launched collaborative Forestry and Leasehold Forestry programmes for sustainable management. Among 71 respondents, 66 percent preferred the Leasehold Forestry Programme, 14 percent preferred the collaborative Forestry Programme, and the rest opted for both (Figure 7). Species preferred for plantation and cultivation in forest land Satawari: Easy to regenerate and propagate. Ready for harvesting in 1.5 years and very profitable with high market demand. It can be regenerated in open or shaded areas. Ranked first by respondents.

344

Sabai grass and pipla: Easy to cultivate. Sabai grass can be planted along riversides in open land and sandy soil. Pipla can be planted in degraded forest and in plantation forest. Both are high yielding and expensive species. Demand is high and regular. Sarpaganda: A high value NTFP and generally not available in forest areas. Respondents in Saphi were very interested in planting Sarpaganda in open forest land and leased HPPCL land. Stems sell at NRs80/kg, and it is marketable everywhere in Nepal. Bamboo: Known as poor peoples wood. It has multiple uses. Perceptions on credit facility Both villages ranked wholesalers first for credit availability (Table 7) because they lived in cities and had access to banks and finance offices. Middlemen ranked second (no bank in the village area). The bank requires land property as collateral for issuing any type of loan to farmers. Bank interest rates are high and it is difficult for poor people to obtain loans.
Table 7. Ranking for credit facility
Stake holders Count Count 1st 2nd rank rank Collectors Middlemen Wholesalers 0 7 29 0 29 7 Nijgarh Count 3rd rank 36 0 0 Total WAI Rank Count 1st rank 3 5 30 Saphi Count Count 2nd 3rd rank rank 3 28 5 29 2 2 Total WAI Rank

36 35 35

1.00 2.25 2.88

3rd 2nd 1st

3v5 35 35

1.25 2.08 2.91

3rd 2nd 1st

Source: Field Survey (2004). Remarks: WAI= Weighted Average Index, R = rank Score for: Rank 1 =3, Rank 2 = 2, Rank 3 = 1

Punishment for illegal activity If illegal activities happen during collection and transportation, the middleman is held responsible because the collection permit is issued in his name. By law, he is responsible for any illegal activity during NTFP business. Sometimes collectors are also punished, if they are found working and transporting NTFPs with no collection and transport permit. But generally they are not held responsible and released. Frequency of visit to forest office Collectors and cultivators do not obtain collection permits from the forest office. They work on the collection permit of the middlemen. So generally, they do not visit forest offices. Similarly forest officials do not meet the people who are engaged in collection of NTFPs in the forest. There is a big gap between collectors and forest staff. For this reason collectors are unaware of legal provisions. They very rarely participate in training and extension programmes on NTFPs. Stakeholders views on promotion of NTFPs in the national forest Respondents ranking for the promotion of NTFPs in the forest was, in order of priority: (1) collaboration; (2) planting of major species; (3) rotational collection; (4) periodic ban on collection; (5) fire control. 345

Market perspectives Major constraints and marketing issues In group discussion, middlemen from industries pointed out some of the bottlenecks and issues that are affecting NTFP marketing. These are listed hereunder. No price information: Collectors are given no information about the relative prices fixed by middlemen for their products. No special markets: Urban centres have market places, but this does not apply to NTFP collection in rural areas. Price governed by Indian markets: It is expensive to export to European and American markets. So most products are only exported to India, either in raw form or in semi processed form. Thus Indian markets govern the price. Transportation: There are no good roads so human labour, bullock-carts, and tractors are used to transport NTFPs in the study area. Some of the vehicle owners are afraid to transport timber and NTFPs from one place to another. Government rules: New rules stipulate that before collection of some species, an Environmental Impact Assessment (EIA) is necessary. Anyone trafficking NTFPs without EIA will be punished. No storage facility: Most plant products are perishable. Without any storage facility, quality degrades. Thus wholesalers want to buy these products as soon as possible and collectors cannot get good prices. Storage facilities could increase the bargaining power of collectors, middlemen, and wholesalers to obtain better prices. Less quantity: Representatives of industries and some wholesalers indicated that fluctuation of quantity ultimately affects the production systems of industries and the small quantity of raw materials increases the cost of production. Local method of cleaning, processing, and packaging: This decreases the quality of the product and creates problems for retail. Plant quarantine and Customs office: There is a major difference between the royalty rate given in the transport permit and the actual selling and purchasing rate. Sometimes Customs create a problem when fixing export duties. At the Indian border, plant quarantine spoils Nepalese plant products (see earlier information on laboratory certification). Time period given for transport permit: Nepal Customs want to see the source of origin and transport permit of the forest office. Major traders feel this is an unnecessary burden. Proper policy for good marketing Policy issues regarding NTFP marketing were discussed in group meetings and questionnaires were provided for group responses; on the issue of what might constitute the proper policy for good marketing, there were many factors to consider. Sustainable production got the highest score (49 percent) and policy for processing and value addition received 12.5 percent. The meeting also acknowledged the need for collaborative action among stakeholders.

346

Policy perspectives Overview of forest policies and legislations Forest policies This plan envisaged the proper development of forest and forest industries. The plan laid down objectives for forest management, the restoration of natural balance, economic mobilization, scientific management, development of technology, and promotion of public cooperation. Similarly, the fifth five-year plan (1995-1998), and sixth five-year plan (1980-1985) emphasized the conservation and management of forest resources as well as the development of non-wood resource-based small cottage industries and big industries. In situ conservation of NTFPs in national forests and ex situ conservation and cultivation in community forest, leasehold forest, company farmland, private forests, and private land were given priority and they were considered as production areas for income generation. Forest legislation Forest legislation started with the Forest Nationalization Act (1957), Forest Products Sale and Distribution Rule (1971), Forest Act (1993), and Forest Regulations (1995). Now, apart from forest policies and legislation, the government has formulated a policy framework to manage the Terai and inner Terai forests. The concept of collaborative forest management has been approved by the government. It is a decentralized forest management model designed to create trust among all stakeholders and it will encourage local people, NGOs, local governments, central governments, and support agencies for active participation in forest management. A multi-stakeholder management committee is responsible for key activities such as management, protection, production, and marketing of all products and sharing of benefits. There is a problem of jurisdiction between government agencies and local government on who should have control over the forest resources. Findings related to policy issues International trade, the demand and supply processing method, and the quality of processed material affect product prices and affect the adoption of collection and cultivation practices. Certain bans on processing and export, for example Rawalfia surpentina in the Terai, affect cultivation. NTFPs play a significant role in poverty reduction and rehabilitation of degraded forest land. Productive groups, especially industries, have not been given priority to lease any forest land under the existing leasehold forest arrangement. Decision-makers should consider economic, employment, environmental, and integrated intensive land-use factors in crafting forestry policies in Nepal. Promotion of NTFPs in the district SWOT analysis was carried out to identify the key elements regarding problems of and prospects for NTFPs (Table 8).

347

Table 8. Strengths, weaknesses, opportunities, and threats (SWOT) analysis

Strengths (successes)

Encroached, marginal, community, and private barren land is available for plantation Open land, degraded forest, less than 10% canopy cover area, areas along riversides are available for NTFP plantation Indigenous knowledge of local collectors Labour force Financial support will come from industries and related stakeholders Collectors are aware of the economic value of NTFPs People are interested in collaborating Industries are demanding land and are ready for investment National level policies favour cultivation and management All levels of people (from collectors to wholesalers) are found Many NTFP-based industries in the district (sal seed oil, Dabur herbal, HPPCL)

Weaknesses (bottlenecks) Respondents level:

Small land-holding and risky business compared to vegetable farming Inadequate technical expertise Low level of education and unskilled labour force Unavailability of seed and seedlings of preferred species Lack of market information system and extension activities Weak collective action, weak entrepreneurship for NTFP domestication enterprises, processing and marketing. No information about new variety, species.

Village trader and wholesaler level:

Lack of credit and cold storage facilities Large numbers of check posts Varieties of taxes and dual taxes are imposed High unofficial costs

CFUG/DDC/VDC members:

Royalty from forest still goes to the government account Government afraid to allocate any forest land to private sectors Lack of knowledge on the stock, increment rate, allowable harvest, and forward and backward linkage of the collection Many species are depleting rapidly. DFO and DDC have poor plans to conserve them Conflict between the Local Governance Act and Forest Act and between their respective regulations No new high yielding varieties; species are proposed by related technicians Competition for collection/immature harvesting/cutting trees and plants

Foresters level:

Confusion still exists about what approach is required for the sustainable management of Terai forest Strong pressure on Terai forests from squatters Lack of skills training Weak political commitment for scientific forest management Low enforcement of law Timber- and fuelwood- focused work trend

Opportunities (potentials)

New approach approved by government, i.e. collaborative forest management Leasehold policy for the Terai Forest degradation can be halted as the poorest within the community get benefits

348

Distance users also become beneficiaries Sustainable supply of NTFPs for industries Help to maintain biodiversity and protect gene bank of many endangered flora, and high valued NTFPs Generate employment for locals and increase revenue for the nation Many stakeholders are interested in collaboration and the leasehold approach High chances of policy amendment Donors are ready to invest in income-generating programme and poverty programme Formation of Nepal NTFP Network (NNN) Task Force Utilization of barren land for the domestication, plantation, and cultivation of NTFPs/opportunity of more income Land use based on NTFP suitability Establishment of processing plant for value addition with amendment in rules and regulations Strongly dedicated forest-based industry/NGOs/ banks for production and investment Strongly dedicated 10th five-year plan (2002-2007) for the promotion of NTFPs Threats (constraints)

Villagers tend not to leave the land they occupy Political colonization for capturing forest land Reduced biodiversity, degraded environment, overexploitation of resources and rapid depletion of certain species Government may not provide private ownership of the land Government may hesitate to hand over NTFP-rich areas to collaborative groups and private sectors Fear of formation of synthetic products/substituted products in place of expensive species High competition of supply of NTFPs in India from many countries; prices may drop Poor quality, standard not maintained, limited market (only India) Government may ban any species at any time for collection/transportation Unfavourable rules and regulations, especially for the establishment of forest-based industries.

Conclusion This study highlighted the cultivation and collection of NTFPs in the Terai region of Nepal. It also estimated the contribution of NTFPs to total household income. The study included an overview of existing policy and practices and aimed to recommend policy amendments needed for the commercialization of NTFPs for employment, and income generation. Literature cited Arnold, K. 1995. Non-Wood Forests Products. Report of the international expert consultation on Non-wood Forest Products. Food and Agriculture Organization of the United Nations, Rome, Italy. BISEP. 2003. Framework for Collaborative Forest Management in Nepal. Planning Division, Ministry of Forests and Soil Conservation, Singha Darbar, Kathmandu, Nepal. Central Bureau of Statistics. 2002. Statistical Year Book of Nepal. HMG/N, National Planning Commission Secretariat, Kathmandu, Nepal FMUDP/NED. 1994. Socioeconomic Survey of Bara District. Department of Forest Planning Division, Babar Mahal, Kathmandu, Nepal. NBS. 2002. National Biodiversity Strategy, Nepal. Ministry of Forest and Soil Conservation. HMGN/ IUCN.

349

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

MARKET ANALYSIS OF MAJOR PRODUCTS FROM COMMUNITY-MANAGED FORESTS IN THE FOOTHILL WATERSHEDS OF NEPAL Bhim Nath Acharya 1

Introduction The forests of Nepal are the second largest natural resource after water. Out of the total potential community forest area of 3.3 million ha, about 30 percent is now under community forest (CF). The country has about 7 000 plant species. Both timber and non-timber forest products (NTFPs) are important economically. Economic opportunities are severely constrained by poor socio-economic conditions and infrastructure. The economic conditions of CF user groups are heavily reliant on timber and NTFPs and their proper marketing. However the marketing system in community forestry is not well established. There are various positive impacts on forest conservation and management attributable to the CF programme (Kanel, 1999). For the sustainable management of CF, there should be provision of direct incentives to those engaged in forest management. If harvested products from CFs are marketed properly then user groups and individual members will receive higher income. The general objective of this study is to analyse comparative marketing systems for timber and NTFPs to improve the watershed condition and marketing systems in the future. Profile of the study area and respondents District overview Nawalparasi District Nawalparsi District lies in the Lumbini zone of the Western Development Region of Nepal. The district is located approximately 146 km west of Kathmandu Valley and lies in the inner Terai and Terai regions of Nepal. It shares a border with Chitwan District in the east, Rupendehi District in the west, Palpa and Tanahun districts in the north and the Indian states of Bihar and Utter Pradesh to the south. Most parts of the district are accessible by roads excluding 17 hilly village development committees (VDCs). The Narayani is the main river and the Turia, Girubari, Jharahi, Binayi, Arunkhola, Bungdi are secondary rivers in the district.

MSc. Thesis, Asian Institute of Technology, Bangkok, Thailand. August 2004. Examination Committee - Dr. Soparth Pongquan (Chair), Dr. Michael A. Zoebisch, Dr. Rajendra Shrestha

371

Chitwan District Chitwan District is located in the Narayani zone of the Central Development Region. It is situated between 27 212 -27 522 north latitude and 83 542 -84 482 east longitude; elevations range from 141 to 1 100 metres above mean sea level. Most parts of district are accessible by road excluding nine hilly VDCs. Mahendra Highway and the Mugling-Narayangadh highways pass through this district. Chitawan District is surrounded by Parsa, Makawanpur, Nawalparasi, Dhading, Tanahun, and Gorkha districts and Bihar State of India. The district falls under the sub-tropical and sub-temperate mixed climatic zones. Administrative divisions, demography, and education Nawalparasi District is divided into four election constituencies, 15 administrative areas called Ilakas, one municipality, and 73 VDCs. The district is highly populated. The total population is 562 088 with a population density of 279 people/km2 . Chitwan District is also divided into four election constituencies, 13 administrative Ilakas, two municipalities, and 36 VDCs. The total population of the district is 470 713 with a population density of 210 people/km2 (CBS, 2000).

Figure 1. Nawalparasi and Chitwan districts

372

Land use Until 1950, most of Nawalparasi and Chitwan districts were covered by virgin forest. After the eradication of malaria, people started to migrate from the hill districts of Nepal and began to clear the forest. Settlement programmes and forest allocation for developmental activities were the main reasons for the decline in forest area. Encroachment on forest land for housing and agricultural purposes has also led to the decline of forest land. A land-use survey in 1985/1986 recognized five categories of land use: agricultural, grass, forest, shrub, and uncultivated. The land use of Nawalparasi and Chitwan districts is shown in Table 1.
Table 1. Land use of the districts
Land use Area in ha Forest area Agricultural land Grazing land Other Total area 114 900 70 149 2 305 14 233 201 587 Nawalparasi % 57 34.80 1.14 7.06 100 Area in ha 128 500 57 353 10 137 22 010 218 000 Chitwan % 58.94 26.31 4.65 10.10 100

Source: District Profile, Nawalparasi and Chitwan, 2003

Cropping pattern Rice, wheat, maize, potato, and vegetables are the major crops for all the ecological zones of both districts. The cropping pattern differs accordingly with the land type and the irrigation facility available. However, rice, wheat, and maize remain the dominant crops. Farmers of both the districts have adopted vegetable farming and other income generation activities. While the people of remote and inaccessible places still follow cereal crop-based farming systems, vegetables are grown for household consumption. Jharahikhola Watershed The Jharahikhlola Watershed (JW) is situated in Nawalparasi District of western Nepal. The Mahendra Highway passes though the lower region of this watershed. The eastern sector is bordered by Mukandapur VDC, the western sector by Dibyapuri VDC, the southern sector is delineated by the Narayani River in Chitwan District, and the northern sector overlaps Rantanpur VDC. Kayarkhola Watershed The Kayarkhola Watershed (KW) consists of three small sub-watersheds formed by the Shaktikhola, Kayarkhola, and Somphrangkhola rivers. Kayarkhola Watershed is part of the larger Raptikhola Watershed. A gravel road to Mahendra Highway connects the watershed. The northern sector is bordered by Kaule and Chandibhanjyang VDCs. The western sector is bordered by the Dahakhani and Jutpani VDCs, while the southern sector is overlapped by the Pithuwa, Chainpur, and Birendranagar VDCs. Janapragati forest users group (FUG) is about 21 km from the road head market whereas Tandi and Deujar FUGs are situated in the hilly region, which is about 33 km from the same road head market.

373

Climatic condition of the two study watersheds The climate of both the watersheds is humid and sub-tropical marked by sharp seasonal variation in rainfall and temperature. The temperature and rainfall are recorded at the National Maize Research station located in Rampur, which is about 20 km from the study area. The average annual rainfall ranges from 1 800 to 2 500 mm. Overview of the sampled community forests Out of the four sampled community forests, Sundari and Chutari are in the eastern sector of Nawalparasi District whereas Janapragati and Deujar are in the northeastern sector of Chitwan District. Sundari CF Excessive smuggling of timber, forest fire, flooding, erosion, and drought have been continuous problems. The successful implementation of the CF programme in the hilly district motivated people to form a FUG. Major activities are plantation, forest fire protection, promotion of NTFP plantation, thinning, singling and felling, fire line and forest road construction. Also, various social and community development activities (soft loans, support services, technical training) are carried out. Chautari CF The area of the forest is 354.7 ha and 3 511 persons benefit from this forest. Users became aware of the need for forest protection and hence they formed a local group which ultimately developed into Chautari FUG. Selective felling, thinning, and singling are the common activities carried out in the forest. Janapragati CF Previously the forest was densely vegetated but due to population growth, there was heavy pressure for timber as well as NTFPs. Users exploit the forest products without taking any responsibility for managing the forest. The local ethnic minority are the Praja (Chepang), who are the main users of this forest. Deujar CF Deujar is a typical CF managed by the Praja community. This CF lies in Siddi, one of remote and hilly VDCs of Chitwan. The total area of the forest is only 28 ha and 312 persons from 50 households are the main users. Moreover, the Chepang community depends on the forest for their livelihoods, even for food. Users began to realize the importance of conservation and started protecting the forest collectively by planting different species and managing them. For this activity, the NGO Rural Welfare and Agricultural Reform for Development (FORWARD) and the governmental Praja Vikas Program provided support.

374

Major problems and assets of the study area Since both the study districts lie in the inner Terai plains region, they are accessible and relatively developed compared with other districts. The main problems are: flooding and landslides; insufficient access to technology; high population and high rate of migration; and less access to communications and information. The main assets are: good market access; good road network; irrigation facilities and productive soil for farming; tourism; central location with easy access to the east and west; relatively high levels of education; and suitable environment for farming as well as other activities. Socio-economic characteristics of the respondents Age The age of the respondents ranged from 20 to 87. Most respondents were between 31 and 40. Gender Of the 142 households sampled, more than 89 percent of the respondents were males. Only one-tenth of the household respondents were female (Table 2). The proportion of female respondents from Sundari, Chautari and Janapragati CFs was 14, 11, and 15 percent respectively.
Table 2. Distribution of households by gender
Gender Sundari CF N Male Female Total 31 5 36 % 86 14 100 Jharahikhola Kayarkhola Watershed (JW) Watershed (KW) Chautari CF N 32 4 36 % 89 11 100 Janapragati CF N 30 5 35 % 85 15 100 Deujar CF N 34 1 35 % 97 3 100 N 127 15 142 % 89 11 100 Total

c2 - test df = 1 , sig. = .446 Source: Field Survey (2004)

The chi- square test shows that there is no statistical difference in gender representation between the two districts of Nawalparasi and Chitwan. Marital status Most of the respondents in this survey were married. In Janapragati and Deujar CFs the proportion of married respondents was higher. Both CFs contained an ethnic minority group called the Chepang, who practise early marriage and polygamy.

375

Level of education About 77 percent of the household heads were literate and 23 percent could not read and write at all. About 43 percent had only completed primary education followed by 22 percent who had finished secondary education. The highest percentage of illiterate respondents was in Deujar CF. Social aspects Social structure In three CFs Brahmins are the single largest ethnic group. Chepangs are the dominant community in Deuzar CF. Household size The average household size was 5.7 members, which is very close to the national average of 5.5. Household size ranged from one to 10 members. The F-test showed that there was no statistical difference in the average size of households among the four CFs and between the two watersheds at the 95 percent level of confidence. Economic aspects Main occupation Agriculture was the main occupation for most of the respondents. Since the existing farming system is labour intensive, most of the active labour force is partially or fully engaged in agricultural activities. Farming is the primary source of income. Among the total respondents, 57 percent met their food requirement from their own production; 19 percent had surplus production, which was also sold in the market. Forty-three percent had a food deficit situation they meet their food requirements via waged labour, services, small businesses, and cottage industries. Income The average gross annual income of the respondents was about NRs57 000 or about US$775. Overall, 33 percent of the respondents had annual income exceeding NRs60 000 followed by 32 percent (NRs21 000-40 000). The average annual income of the members of Sundari CF was highest followed by Janapragati and Chautari CFs. The average income of people from Deujar CF was the lowest. The F-test showed that there was a statistical difference in the average annual income of the households from the four different CFs at the 99 percent level of confidence. Land-holdings Farmlands are the primary source of livelihoods for the farmers. In the inner Terai the land is categorized as lowland (irrigated land) and upland (rain-fed). Similarly in the hills, it is categorized as Khet (paddy terraces) and Bari (upland crop terraces). The major crops grown by the farmers in the

376

inner Terai and the foothill areas are rice, wheat, maize, pulses, vegetables, and oil seeds whereas in the hilly area maize, millet, and potatoes are cultivated. Forest products traded from the districts and market centres Major products traded from the districts The major timber products traded from Nawalparashi District are timber, fuelwood, and poles (Table 3).
Table 3. Major forest products traded from the district
Products Timber cft Fuelwood (in 100 kg) Poles (No.) Source: DFO Nawalparasi (2002) Quantity 112 862 144 451 14 560

These products are mostly sold to local industries, sawmills, and furniture industries. Sometimes major traders and politically influential persons are also involved in the marketing of products. The general trends for trade of timber and fuelwood from Chitwan District are presented in Figure 2.
Timber and Fuel Harvested and Traded from Chitwan District

Amount

Amount harvested Timber Amount harvested Fuel wood Amount Sold Timber Amount Sold Fuel wood 2000 2001 2002

Figure 2. Trend of timber and fuelwood harvested and traded from Chitwan District

The major NTFPs are mostly medicinal and aromatic plants (MAPs). Market types and accessibility Village markets or local markets, road head markets, and regional markets are the main markets for the users in the studied CFs. Village markets are where local traders, buyers, and shopkeepers sell and buy their products. Village traders, local intermediaries, and local entrepreneurs are the key actors in this market category. The regional market is a town market, which covers more than one district. The average distance of the local market to households is 2.8 km. Likewise, the average distance of road head and regional markets for the users is 12.9 and 28.9 km respectively. About 85.9 percent of the respondents preferred the regional market followed by the road head market.

377

Because of the long distance to the road head market, respondents from KW preferred the local market whereas respondents from JW preferred the road head market.. Major market centres for products Mostly timber products are traded locally to FUG members, local industries, and neighbouring FUG. Thus there is no complex and competitive marketing system and chain for the timber products from the community-managed forests. Normally, the products are harvested collectively by the FUG and stored in its office. The users cooperative buys NTFPs and some selected agricultural products and sells them on the regional market. The price given by the cooperative is higher than the local price. Marketing of forest products Processing Out of 140 respondents 55 percent processed timber as well as NTFPs after collection from the CFs. About 44 percent of the respondents did not process the product. Furniture and finished products are the key outputs from timber. Out of 38 respondents, 78 percent made furniture and finished products. Doko, broom, dalo , nanglo, and choya are the major processed NTFPs. Existing marketing practice under studied FUGs There is a collective marketing system in the FUGs. Every user should contribute to harvesting. Based on priority and necessity, products are sold to the users at highly subsidized rates. Remaining products are stocked for a certain period in case of urgent need. Later they are sold to outsiders, traders, or local industries based on competitive bidding. The income goes to the FUG account (for various social and development work). Major markets Members of the same FUG, neighbouring user groups, local organizations, and local industries are the buyers of timber products from the studied CFs. Out of 35 respondents, 82 percent sold their timber products to same FUG members followed by 51 percent to local industries as well as neighbouring areas. Local markets, road head markets near the village and along the highway, and regional markets were the main markets for NTFPs. Marketing channels Among the four CFs, only Sundari and Chautari CFs harvested and sold their timber products. FUG members collected the timber products from the forest voluntarily. The same FUG members were the major buyers of timber products. The market and trade channels for most of the NTFPs normally followed a general pattern from village to road head or trade centres, then to larger trade centres (Edward 1996; Karki, 2000; and Subedi, 2003). NTFPs collected by the villagers in the study area were marketed through a four-tier channel comprising village or local traders, small-scale wholesale traders in the road head markets of Manari, Tandi and Rajahar, medium-scale regional traders in the regional markets of Narayangarh and Hetuinda, and large-scale national traders in Kathmandu. 378

Peoples perceptions of the existing marketing system Perceptions of benefits Changing circumstances and opportunities sometimes influence farmers perceptions. Farmers have their own objectives and judgment criteria, which are influenced by socio-economic characteristics and are subject to multiple criteria ranging from economic benefits to resource conservation. Respondents were mostly satisfied with the existing system of marketing. Perceptions of marketing practices Farmers were satisfied with the existing marketing practices from the profit angle. Overall, users strongly agreed with limits on collection for retail, the cooperative marketing approach, and selfmarketing by individual CFs (WAIs = 1.47, 1.31, and 1.23 respectively). The households from JW strongly agreed with self-marketing by individual CFs, cooperative marketing, and limits on collection for retail (WAIs = 1.83, 1.36, and 1.31). Individual as well as local trader marketing were ranked lowest by intermediaries and brokers. The households from KW strongly agreed with cooperative marketing and limits on collection for retail (WAIs = 1.84 and 1.64). Profit margin analysis of major NTFPs Major buyers of the products In the study area, there was no problem with timber product marketing up to the period of the field survey conducted. Timber products were only traded from JW and major buyers were local user groups followed by local industries. About 78 percent of the respondents from Chautari CF sold products to their own FUG members followed by local industries. None of the members from Janapragati and Deujar CFs were involved in timber product processing and marketing. Almost all respondents sold NTFPs to local shopkeepers. Marketing intermediaries There were three tiers of intermediaries for the marketing of NTFPs in the study area (Karki, 2000). There were three types of intermediaries for NTFP marketing between different stakeholders and organizations. Trader linkages Local traders and road head traders were the key actors who had linkages with both the primary collectors and national level traders. These intermediaries had equally good relations with collectors and buyers at the national level. The primary collectors mostly sold their products to road head traders and to some extent to village level traders. These intermediaries encouraged local collectors to collect high quality and high value products sustainably (Figure 3). This helped primary level collectors/ processors get higher prices and higher demand to some extent.

379

Local Traders Producer s Road head Traders Exports

Figure 3. Backward and forward linkages of intermediaries

Regional and National Traders

Herbal Medicinal Industries

Local traders Mr. Hira Lal Purii from Shaktikhor-5 has been trading NTFPs for more than a decade. He basically purchases NTFPs from primary collectors (many come from the Chepang community). He supported cooperative marketing from community-managed resources for trading at the local level. He dealt in cash by receiving advances from Indian traders. Lack of market information has become the main issue in NTFP trade and it has not yet been addressed explicitly. These traders are the key contact agents for both collectors and other traders. They have very good forward and backward linkages with primary collectors and traders. Road head traders There were about seven road head traders involved in NTFP marketing in the study area. Most of them sold collected products to regional markets and some sold them to the Kathmandu market as well as directly to herbal medicinal industries in Kathmandu. They mostly bought their products from local collectors. These road head collectors traded about 150 tonnes of NTFPs from the study area during 2000 (Karki, 2000). Regional traders Around five regional traders were met during this study; they were involved in the buying and selling of NTFPs and some processed products in the regional markets. Some regional market traders also worked for both road head traders and regional market traders. In the study area, the road head traders preferred to sell their collected products directly to the national traders. National traders One national trader was interviewed who was involved directly at the village level and supplied products to national medicinal industries as well as for export to India and other countries.

380

Markets The ultimate domestic markets for NTFPs are the national herbal and medicinal industries outlined below. Singh Darabar Baidyakhana (SDB): SDB is a government-owned medicinal industry located in Kathmandu. It has not yet initiated NTFP cultivation but buys items from NTFP suppliers. SDB has introduced a policy for buying NTFPs through tender bidding. Dabar, Nepal: The industry lies in Pawanipur Bara District of Nepal and is about 120 km from the study area. Dabar Nepal produces various NTFP-based items that are mostly exported to various Asian and other countries. It has already initiated NTFP cultivation practices, however a major share of the products is bought from traders and collectors. Herbal Production and Processing Company Ltd. (HPPCL): HPPCL a government-owned company produces only aromatic items through its central office in Kathmandu and a few branch offices. Kunphen: Dr. Dorjee, owner of the processing unit, has been running his clinic in Chetrapati, Kathmandu for a couple of years. Kunphen is renowned both in terms of clinical service and producing herbal-based medicine. This shop has annual demand of around four tonnes. Gorkha Alirbedic Company (GAC): The GAC was established as a public company with 51 percent of public shares. It was reported that the company has been facing a severe financial crisis and is approaching closure. Profit and marketing margin analysis With some exceptions, NTFP collectors do not incur direct or indirect economic costs. Different trading levels achieve higher profits from the same products. The prices of all products are significantly different from the farm gate to different types of markets. Karki (2000) found that amala , harro, and barro were the major traded NTFPs in the study area. Perceptions on the influence of market information Market information is the key aspect for achieving higher profit. The respondents from KW perceived that market information had a very strong influence on the profit margin while respondents from JW perceived a strong influence. Recommended system of marketing The overwhelming majority of respondents (86 percent) from the study area recommended that a cooperative marketing system was the best approach. About 60 percent recommended that the government should be responsible for the marketing of NTFPs and 51 percent demanded storage and processing facilities from the government.

381

Factors affecting price variation and income from forest products Existing pricing mechanism Prices differ according to individual market arrangements. The users committee fixes the price of the various products based on their availability and to whom they are sold. Normally, the price is very cheap for same FUG members compared to market prices. The price is relatively higher for users in neighbouring CFs. Less-than-market prices are accorded to local industries and local markets. The prices for major traders and large markets are based on competition or bidding. The cooperative fixes the price of different products based on the market price of different market centres. Peoples perception on factors affecting price variation of the product Various social, economic, and institutional/legal factors affect the price of timber products and NTFPs. According to the respondents, social factors like religious beliefs and elite class influence in harvesting and trading have had a very low influence in the price of forest products (WAIs = 0.35 and 0.40 respectively). Other economic and institutional factors had a moderate to high influence on the price of the products. In JW people perceived that the perishable nature of the products had a very low influence on price (WAI = 0.32); however respondents from KW perceived the same factor to a moderate degree (WAI = 0.43). Economic factors Economic factors are the key determinants of prices. Transportation cost, harvesting, processing, and grading cost, local taxes, storage cost, handling and packaging costs are important economic factors for forest products. Respondents perceived that transportation cost had a very high influence followed by local tax and grading cost (WAIs = 0.91, 0.66, and 0.61). Institutional and legal factors Institutional aspects like the composition of the FUG, numbers of users and unity, constitution, bylaws and operational plans, presence of a marketing institution, degree of competition, FUG rules and regulations, and season and duration of harvesting had some direct or indirect influence on the price of the products. Factors associated with price of the forest products A bivariate correlation tool was used to identify associated factors of the price of forest products with various socio-economic and institutional factors. To determine the associated factors for the price variation of timber products and NTFPs, various social, economic, and institution/legal factors were explored. Factors associated with timber products The analysis of correlation among the various factors with the regional market price of timber products revealed that five factors are statistically significant: distance of regional market, duration of forest

382

accessibility, number of household members, size of land-holding, and income earned from forest products. Distance of regional market Most users and the FUG sold their timber products locally, especially to their own group members (the price was too low). The regional market price was four to five times higher than the local price. JW users who sold their timber products locally had a good road and transportation network facility. Moreover the market price at the regional market (Narayangarh) was much higher than the local market price, which was fixed based on competition. The cost of transportation, loading and unloading, and local taxes caused a high price variation. Duration of forest accessibility Duration of accessibility encourages people to enter the forest and collect the products as allowed by the FUG rules. The longer the duration, the higher the amount of better quality products can be harvested from the forest; this helps to establish better prices. Number of household members More household members mean more available labour for the collection, processing, and trading of timber products. The average family size in JW is 5.8 members per household and it is 6.25 for Chautari CF. The findings show that households with more members collect and sell more products. Size of land-holding This factor has a low level correlation (0.292) with price variation in the regional market. Respondents with large areas of land can produce sufficient food from their own farms and are not worried about their daily food needs. Factors associated with NTFPs and their determinants There were five factors associated with NTFPs and their determinants: duration of forest accessibility (longer access, more goods for retail); distance to regional market (cost incurred for transport/labour); type of ethnic group (minority groups sell at lower prices); means of transportation (backloads/vehicles); grading cost (graded products receive higher prices). Factors influencing earnings from timber products and NTFPs Eight variables comprising duration of forest accessibility; distance to the regional market; transportation cost; regional market price; land-holding; number of members in the household; religious beliefs; and elite group influence in harvesting and trading were significant. Except for religious beliefs, all variables were significant at the 99 percent level of confidence.

383

Income from NTFPs Seven variables were significant for income earned from NTFPs: duration of forest accessibility; knowledge about marketing; occupation of the respondents; regional market price of NTFPs; engagement in other organizations; types of markets for NTFP trading and grading cost for the products (Table 4). Types of markets and grading cost had a low correlation and the rest had medium correlation.
Table 4. Regression coefficient of determinants of income earned from NTFPs
Factor Constant Duration of accessibility to forest Knowledge about marketing Organizations working for the respondents outside FUG Coefficient 4 702.814 947.641 2 977.761 646.311 t-value 5.970 8.334 3.528 2.359 Significance 0.000 0.000 0.001 0.021

Key factors affecting price and income from both timber and NTFPs The duration of forest accessibility is the most common factor for all four cases. Both price variation and income from timber products have a significant association with duration of accessibility, distance to regional market, the number of household members in a family, and size of land-holding. The duration of forest accessibility and market distance are the key determinants for the income earned from timber products. For price variation and income from NTFPs, the duration of accessibility to the forest is the key factor. The other factors for price variation are distance to market, type of ethnic group, means of transportation, FUG rules on harvesting and trading, and gender. The determinants for income are duration of forest accessibility, knowledge about marketing, and organizations working for the respondents outside the FUG. Comparative analysis of factors between timber and NTFPs Various social, economic, and institutional/legal factors are associated with price variation and income earned from timber and NTFPs. The products differ in various aspects such as volume, harvesting techniques, means of transportation, and grading and processing. Hence, their factors are also different. Comparison of price variation based on the perceptions of farmers Users of the two products perceived that transportation cost and FUG rules had a major influence on price variation. Producers and traders of timber products perceived that FUG rules were the most significant factor for price variation in the regional market. According to the rules, individual users cannot harvest major timber products like timber poles from the forest except for dead and dry fuelwood. The higher the transportation cost, the higher the price variation and less benefit for the users or collectors. Degree of competition and local tax were also perceived as major factors. For NTFPs, transportation cost ranked highest followed by FUG rules. Other factors like degree of competition, local taxes, and grading cost were rated high by the users.

384

Problems and potentials of forest product marketing Problems in marketing of forest products Problems based on perceptions of users The major problems related to forest product marketing were lack of road and physical infrastructure, lack of transportation, poor storage and processing facilities, lack of market information, and no provision for individual business in CF rules. Problems related to timber marketing Institutional aspects There are no clear guidelines in the operational plan for individual collection and harvesting. This indicates that the existing operational plan does not encompass the poor and ethnic minorities sufficiently. There is no single programme for targeting individual beneficiaries. Respondents receive various social benefits for education, transportation, road networks, and drinking water from CF income but households do not gain individually. Economic aspects High transportation, loading and unloading costs, and lack of transportation facilities are the major problems related to timber marketing in JW. The royalty demanded by the government is too high (40 percent). Social aspects Influence by the elite on trading and gender discrimination and inequalities are the most severe social problems. Problems related to NTFP marketing Institutional aspects The national policy affects the marketing system at the FUG level. Unclear guidelines and plans discourage users from conservation and management activities. Few individual incentives and benefits and the low level of involvement of the poor and minorities lower their motivation as well as participation in conservation and protection activities. Economic aspects The key problem for NTFP collectors was over-dependency on intermediaries and even on donors for marketing their products. Geographical location and accessibility to a road network was also 385

another key problem associated with marketing. Low value but high volume products necessitated high transportation costs that did not parallel their real value. Lack of experience regarding marketing knowledge, skills, and processes was another problem. Social aspects Social problems like gender discrimination and dominance over the marginal collectors by higher castes and the elite were common. In some cases, the local elite or local traders bought products collected and processed by the Chepang at a cheap rate. Sometimes they retained their products because they failed to repay the loans. Ignorance, less exposure to outside organizations, and lack of marketing knowledge were other associated social problems. Potentials for forest product marketing Timber products: Some are at the production stage and some are at the growing stage. The hot and humid sub-tropical climate favours fast growing trees. There are many timber species with high economic value. The demand for timber products locally as well as in nearby markets is very high. There are plenty of local processing industries for preparing various kinds of timber-related consumer products. Timber products are not perishable so they can be stored longer if the market price is low or not reasonable. NTFPs: There is a high diversity of NTFP species. Income from the NTFPs is very high relative to other income sources. Zero or nominal investment is sufficient for NTFP collection. Almost all NTFPs are high in value but low in volume. An income generation programme could motivate sustainable forest management and marketing. In KW, there was a marketing cooperative for NTFPs. If the potentials for NTFPs are exploited properly, this will contribute to income generation and employment.

386

Analysis of Strengths, Weaknesses, Opportunities and Threats (SWOT) in forest product marketing Timber products Timber is the main product for the FUGs from JW (Table 5).
Table 5. SWOT analysis for timber products in JW
Strengths Plenty of timber Climatically suitable High biodiversity and plant density Very high market demand for timber Good source of income from timber Established marketing system can be used for further marketing Locally available processing industries add value to timber products Transportation facility available Products are not perishable in nature so can be stored until prices are reasonable Opportunities Government policies and programmes are favourable for CF production and management Good marketing policies and strategies will come after pressurizing the FUGs Possibility to establish timber-processing indu stries by the user groups Income generation and employment for local people from the rural industries Donor support Weaknesses No provision for individual retail for the CF Few programmes for individual benefit No programme for the poor, minorities, and disadvantaged people Short duration of accessibility to the forest to harvest products High volume and low value products are difficult to handle and transport More labour intensive for harvesting and handling Poor road and transportation networks Fewer processing industries Threats High royalty charge Unclear government policy regarding marketing Price distortion of forest products High handling and processing cost Complex administrative and legislative procedures for transportation and selling of timber Uncertainty about the duration of management and FUG rights Limited technical support and facilitation from the Department of Forest and the DFO Migration from the hills to the study area

387

NTFPs The SWOT analysis for NTFP marketing is based on KW (Table 6).
Table 6. SWOT analysis for NFP marketing in KW
Strengths High varieties of different NTFPs and MAPs in the forest Availability of materials Accessibility to the markets for trading of harvested products Suitable for NTFP species in high demand Presence of marketing system Presence of intermediaries and traders Accessibility to market information Collectors having processing skills and knowledge about marketing People are aware of the economic value of NTFPs Availability of planting materials and technical support Opportunities CF management guidelines encourage NTFP plantation and promotion Export promotion and earnings of foreign currency from the products Diversification of occupation from subsistence farming to commercial NTFP cultivation Resource protection and conservation by well-managed CFs Development of entrepreneurship and business skills by training and exposure by the CFs Womens involvement in harvesting and processing will achieve higher sales and returns Weaknesses Over-dependency on local traders, intermediaries, cooperatives, and donor agencies Market information is controlled mostly by intermediaries Price is determined on so-called quality. Though the quality is good the traders claim the quality is not good and buy at cheap rates Subsistence farming causes less motivation for marketing and commercialization The marketing cooperative buys only selected products Lack of processing and storage facility Lack of technical/institutional supports regarding proper harvesting techniques and handling Threats High royalty system Only groups can harvest and trade (few individuals can harvest and trade for income) Competition with Indian production and producers Conflict in land allocation inside the CF for NTFP plantation Unfavourable climatic conditions for high value NTFPs which need high altitude and cool temperature Price uncertainty for NTFPs Less technical knowledge and skill for cultivation and harvesting

Conclusions The findings showed that the marketing activities of forest products from the community-managed forest are still in the development and learning phase. Few users were participating in trading activities, which were limited to certain products. Harvesting of products by the FUGs and retail to their own members was the most common practice. Few users sold products to manage their financial problems; they were harvested solely for household needs. However, some NTFPs were harvested and traded for income generation. The trading activities for timber products focused on fuelwood, timber, and some finished products from timber. The major buyers of timber and finished products were FUG members and local people. Very few products were sold to the market and external consumers. Most of the NTFPs from the area were sold to the cooperative and local traders. Both the road head and regional markets were accessible to the users. The markets were highly accessible to the users from JW and relatively less accessible to the users of KW, whose main products were NTFPs. The cooperative marketing system was the most preferred system of marketing. 388

Regarding price variation, there were higher prices in the regional market than the local market and the marketing margin was also larger in the regional market. There was a slight profit margin only and prices for products varied. Marketing information was an important aspect for achieving higher profits. Various social, economic, and institutional/legal factors were identified as important factors for the price and income from products. Institutional factors were the key problems for price and income. Policy related to institutional aspects was the key problem for the marketing of both products. Unclear guidelines about marketing, limited individual collection and trading rights, and short duration of accessibility to the forest were the major problems related to institutional aspects. The findings showed that there is enormous scope and potential for the promotion of CF and forest product marketing. Efficient conservation of resources, large forest areas, and adequacy of products, availability of markets and market demand, and locally available processing technology were the major assets. Interventions on appropriate institutional and legal arrangements and policy are necessary to promote effective CF and an efficient forest product marketing system in Nepal. Literature cited CBS. 2000. Statistical Year Book 2002, Central Bureau of Statistics, Kathmandu, Nepal. Edwards, D.M. 1996. Non Timber Forest Products from Nepal: Aspect of the Trade in Medicinal and Aromatic Plants. FORESC Monograph 1/96, Forest Research and Survey Center, Ministry of Forest and Soil Conservation, Kathmandu, Nepal. FAO. 1995. Non Wood Forest Products for Rural Income and Sustainable Forestry. FAO Nonwood Forest Products Series No. 7, FAO, Rome. Kanel, K.R. 1999. Policy Related Issue in Non Timber Forest Product Business. Department of Forest, Kathmandu, Nepal. Karki, M.B. 2000. Commercialization of natural resources for sustainable livelihoods: the case study of forest products. In M. Baskota et al., eds. Growth Poverty Alleviation and Sustainable Resource Management in the Mountain Areas of South Asia. ICIMOD, Nepal. Subedi, B.P. 2003. NTFPs sub sector in Nepal. Opportunities and challenges for linking the business with biodiversity conservation. Nepal Journal of Forestry, 14, 1: 18-32.

389

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

LOCAL IRRIGATION INSTITUTIONS IN CHANGING WATERSHED CONDITIONS: A STUDY OF JHIKHU KHOLA WATERSHED Kanchana Upadhyay1

Introduction The mountainous watersheds of Nepal are natural resource bases for local people and the downstream community. In watersheds, the gradual and ongoing changes in land use over time and their effects on water resources may be reflected by the total water flow in streams, changes in temporal distribution of water discharge in streams and changes in the water table (Easter and Hufschmidt, 1991). For the management of common pooled resources, it is often necessary for local institutions to govern a particular resource. In irrigation systems, land-use change and water availability for irrigation influence local institutional output over time. There is a reciprocal relationship between institutions and land-use dynamics whereby the institution determines the pattern in land-use change, which affects the natural resource base of the watershed (Lam, 1998). In the Jhikhu Khola Watershed, an area in the middle mountain region of Nepal, there are 51 irrigation canals that have been developed and managed by local farmers for a long time (WECS, 1988). Because of the increase in population in the area, there have been vast changes in land use and water availability (Schreier and Shah, 1995). In the Jhikhu Khola Watershed, the growing population has put excessive pressure upon land resources recently (Schreier and Shah, 1995). Agricultural production has expanded in an attempt to keep pace with the growing population. Moreover, being an easily accessible area with a good market connection to the capital city, Kathmandu, cash crop production has also expanded. This situation, coupled with a distinct monsoon season following a prolonged dry period, has increased the demand for irrigation. On the other hand, various watershed management activities have expanded the forest area by emphasizing reforestation, thereby influencing land-use change within the watershed. The existing local irrigation systems have a crucial role in increasing cropping intensity. In the context of the Middle Mountains of Nepal, local communities have to sustain themselves under changing watershed conditions with whatever resources are available. These communities are very important and the sustainability of the irrigation system partially depends upon their performance (Ostrom et al., 1993). The objective of this research was to assess the change in performance of two local irrigation systems stressed by changing land use within a watershed: (1) the Raj Kulo irrigation system, under pressure from agricultural intensification; and (2) the Devbhumitar irrigation system, under pressure from agricultural extensification.

MSc. Thesis (Ref. No. NR-01-09), Asian Institute of Technology, Bangkok, Thailand. August 2001. Examination Committee - Dr. Ganesh P. Shivakoti (Chair), Prof. Karl E. Weber, Dr. Apisit Eiumnoh, Dr. Rajendra P. Shrestha

425

The study area The study site Jhikhu Khola Watershed in Kavrepalanchowk District is about 40 km east of the capital city, Kathmandu (Figure 1). The watershed is linked to the capital by the Arniko Highway, which runs through the middle of the watershed. This watershed is a sub-watershed of the Sunkoshi Basin, which is the sub-catchment of the Koshi River Basin. Out of the total of 87 Village Development Committees (VDCs) in Kavrepalanchowk District, the studied watershed includes 14 VDCs.

Figure 1. The study area, Jhikhu Khola Watershed

The total population of the watershed as of 1996, was 48 728 and the population density was 437 people/km2 (PARDYP, 1999). The population for the same watershed in 1990 was 32 956 (Shrestha and Brown, 1995a). The average land-holding size of the people of the watershed is less than one hectare. The agricultural land is unequally distributed and only about 15 percent of the total households within the watershed own more than half of all the agricultural land. The cropping systems are dominated by rice in the Khet lands and by maize in the Bari lands 2 . A socio-economic survey conducted in the watershed reported that an average of 2.7 crops/year was obtained for irrigated fields and 2.5 crops/ year in dryland agriculture (Kennedy and Dunlop, 1989). The total area of the Panchkhal VDC is 21.28 km2 of which approximately 60 percent is cultivated and 40 percent is non-cultivated (forests, grazing land, shrubland and other land uses); 41 percent of the cultivated land is on non-irrigated land. The total population of the Panchkhal VDC, as of 1999, was 11 301, 48.22 percent being male and 51.78 percent being female (CECI, 2001). The total area of the Devbhumi Baluwa VDC was 24.5 km2 . The total population of the VDC, as of 1996, was 5 880, with 687 households. More than 98 percent of the total population depends upon agriculture while small businesses, labour activities

Khet: Bunded and irrigated terraces where paddy rice is grown generally; Bari: Unbunded and unirrigated upland.

426

and governmental and non-governmental services comprise the remaining 2 percent. The Andheri Khola is a tributary of the Jhikhu Khola Watershed. A total of 622 ha of the sub-watershed has been studied, at elevations ranging between 850 and 1 700 m. Altitude-wise, the sub-watershed can be divided into two different climatic zones with different cropping patterns. At lower latitudinal zones, i.e. below 900 m, a sub-tropical to sub-humid moisture regime can be found that supports a rice crop followed by a combination of cereal and cash crops in the Khet. At higher elevations, warm temperate conditions with a humid moist climate support maize and beans followed by wheat and mustard and other cereal crops in the Bari. Irrigation systems The Devbhumitar irrigation system (DIS) from the Andheri Khola Watershed and the Raj Kulo irrigation system (RKIS) from the valley bottom area were selected for detailed study. Comparison of performance was done within the same system but at three different time periods and not between the two irrigation systems. Hence, the characteristics of the two different systems are not comparable in all respects. Devbhumitar irrigation system According to locals, the Danuwars (the indigenous tribal group of the area) first constructed the irrigation system around 1968/1970. The Danuwars constructed the irrigation system mainly for growing sugarcane, which was the favourite source for making liquor. The communities who migrated from the uplands to the downstream areas subsequently improved the system to some extent for winter irrigation in the area. The irrigation system was again rehabilitated in 1991 by the Asian Development Bank-funded Irrigation Sector Project, implemented by the Department of Irrigation; it was converted into a formal irrigation system managed by the local community. The DIS is about 2 km long, including 300 m of idle length. Starting from the headwork, the canal is lined. But, after about 800 m of lining, the rest of the canal is the ordinary earthen canal type that generally prevails in the farmer-managed irrigation systems of the middle hills of Nepal. Before the rehabilitation of the system, the headwork was made from brushwood. According to the Devbhumitar irrigation feasibility report, prepared before the rehabilitation of the system, the discharge from the canal before rehabilitation work was 50 L/s, which was expected to increase to 100 L/s after the rehabilitation. According to the inventory report prepared by the Water and Energy Commission Secretariat in 1989, the total command area of this system 15 years ago was 17 ha and the discharge during paddy and wheat seasons was estimated to be .087 cumec and .039 cumec respectively with maximum canal capacity of 0.154 cumec (WECS, 1988). The DIS is situated in the lower portion of the Andheri Khola sub-watershed. The average elevation of the area is 850 m, with a warmer climate. The soil of the command area is silty loam with red soil. The main canal of the irrigation system passes along an outcrop of medium hard and loose rock. In the DIS, 43 farming households currently benefit from irrigation. From a field survey it was found that the average family size among the sampled households is between six and seven persons. Considering the average family size and the total number of households using the irrigation water, 300 persons benefit from the system. Among the total households utilizing the irrigation water, about two percent is Danuwars while the rest are either Brahmins or Chhetris. Even though they were the original constructors and users of the irrigation system, the Danuwars are now a minority group who 427

utilize the water from the system to irrigate their own land. Of the users, 90 percent are landowners and 10 percent are tenants. There are no landless people within the command area. Considering the Bari and Khet lands in total, the average land-holding size in the DIS was about 0.8 ha; the minimum was less than 0.05 ha and the maximum was 2.5 ha. The Khet holdings were smaller than the Bari holdings. Out of the 30 sampled households, 30 percent of the people rented Khet land from others while 17 percent rented Bari land. Regarding the land leased within the system and among the sampled households, only 10 percent of Khet lands were leased while no Bari land was there to be leased. In categorizing Khet land-holding size, the majority of the households had medium-sized landholdings followed by large-sized land-holdings. For the same categorization of Bari land-holding size (same sample size), the majority of farmers had medium-sized land-holdings followed by the small category (Table 1).
Table 1. Categorization of land-holding size in the DIS
Farm size Small Medium Large Very large Total Categories(ha) 00.25 0.250.75 0.751.25 > 1.25 Total land-holding % 13.3 46.7 30.0 10.0 100 Bari land-holding % 33.3 53.3 10.0 3.3 100

Source: Field Survey (2001) Note: % = Percentage of the total responses.

For the area irrigated by the irrigation system, the field survey showed that the average area of Bari irrigated by the irrigation system at present was 0.24 ha while the maximum and minimum areas ranged between less than 0.01 to 0.65 ha (Table 2). This means that the average irrigated Bari area is decreasing. This is also true for the Khet land although less area of Khet is irrigated by this irrigation system.
Table 2. Areas irrigated by the DIS at different periods of time (in ha)
Khet irrigated at present Mean area 0.17 (2.1) Maximum area 0.4 Minimum area 0.03 Bari irrigated at present 0.24 (3.3) 0.65 <0.01 Khet irrigated 15 years ago 0.22 (2.4) 0.45 0.1 Bari irrigated 15 years ago 0.26 (3.8) 0.75 <0.01 Khet irrigated 30 years ago 0.23 (3.7) 0.65 0.1 Bari irrigated 30 years ago 0.29 (4.9) 1.1 0.03

Source: Field Survey (2001) Note: Figures in parentheses represent the standard deviations

The major crops cultivated in the plains of the Devbhumitar Village area during the early 1970s were paddy rice and wheat in the Khet land and sugarcane and/or maize in the Bari land. Only two crops in the Khet and one crop in the Bari were planted. This annual cropping pattern slowly changed with the improvement of the irrigation canal. About 15 years ago, the crops planted in the area included wheat, paddy, oil seeds, maize, and, to some extent, potato with a cropping intensity of 428

181.5 percent (DOI, 1997). A pair-wise comparison of the number of crops cultivated in Khet and Bari land with a t-test at the 0.01 level for all the three time periods namely, at present, 15 years ago and 30 years ago showed significant difference. The field survey showed that the majority of the farmers cultivate three crops per year on their Khet land at present, whereas the same farmers cultivated either one or two crops in the early 1970s, the majority of them planting only one crop. The period in-between, i.e. 15 years later, was a transition phase for change from two crops to three crops: the percentage of farmers cultivating two crops and the percentage of farmers cultivating three crops per year is about equal (Table 3).
Table 3. Crop rotation in Khet land by the DIS
Number of crops cultivated per year in Khet Frequency and percentage of responses At present a c 15 years ago a b 30 years ago b c No. 0 1 2 3 4 Total 0 0 2 27 1 30 % 0 0 6.7 90 3.3 100 No. 2 5 11 12 0 30 % 6 16.7 36.7 40 0 100 No. 5 14 11 0 0 30 % 16.7 46.7 36.7 0 0 100

Source: Field Survey (2001) Note: No. = Number of responses; % = Percentage of the total responses. abc means significantly different at 0.01 level (Paired t-test)

The majority of farmers who have Bari land in their area, cultivate two crops. The same area was cultivated with only one crop 30 years ago. The mid-1980s were also a transition period for Bari land. In this period, about half of the farmers cultivated their fields with one crop per year while the remaining farmers cultivated two crops per year thereby increasing the cropping intensity. Various types of cropping patterns exist in the DIS area. In the Bari of the Tar area, the major crops are maize, wheat and mustard. Besides, pulses, pea and sesame occur mainly in a mixed cropping pattern. In the Khet within the command area of the system, monsoon paddy and wheat are the major crops cultivated at present. Maize, mustard, pulses and potatoes are cultivated in the area. Changes in cropping pattern occur in the area during various time periods. Legumes are cultivated along the bunds in Khet land and in some cases in Bari land in rows. The development of the irrigation system in the area seems to have been the major influencing factor for the change in agricultural practices. The DIS was mainly constructed and developed on the initiatives of the local farmers for winter crops in Devbhumi Village. The command area of this system mainly consists of Bari although considerable portions of Khet are also irrigated. The water allocation in their Bari land is of greater significance from October to March when the winter crops need to be irrigated at least three times. Each farmer who has contributed money during registration of the system in the District Irrigation Office (DIO) has rights to use water from the canal. This amount of money was collected according to the commitment of contribution of five percent of the total cost for the systems rehabilitation from the beneficiaries side. These farmers are members of the Water Users Authority (WUA) and each member has to contribute cash for the systems operation and maintenance (O&M). During the monsoon season, when Bari land does not require irrigation as rainfall is enough for the successful cultivation of the crops, all the water is transferred to the Khet land. It was revealed that even though

429

the system was mainly initiated by the Danuwars, they are least important in terms of possession of water-use rights and are least represented in the WUA. The people who migrated from upstream areas, who have larger land-holdings in the area, at present, represent the majority among water users. After the formation of the WUA in 1991, water management, including water distribution, water allocation and water use changed drastically Even though the total area that is irrigable by the DIS is about 45 ha, the area currently under irrigation is only 33 ha. This is because of low water discharge in the source stream during winter, when the water from the canal is of prime importance. The water distribution among the users is undertaken in a definite pattern; the distribution of water within the command area is done on a yearly rotation basis. Accordingly, the head-enders in one year would be the first to receive water from the canal when distribution from the canal starts. The following year, the tail-enders would receive water first after the rotational water distribution for winter crops starts. Thus the head-enders, middle-enders and tail-enders are all supposed to receive equal water distribution overall. The water allocation to the Bari lands is based upon the area of land registered and this registration refers to the amount of money paid to the irrigation (WUG) during its establishment in 1991. The collection of Rs.25/0.05 ha during the systems registration in the DIO was the basis for inclusion of water users in the WUA. Due to decreasing water from the source, complicated by increasing water demand by the farmers, the total number of members of the WUA has remained constant since the beginning of the WUAs formation. Each household in the WUA is entitled to receive water from the canal for half an hour for each ropani (1 ropani = 0.05 ha) during the winter season. In other seasons, the water is either diverted to the Khet or used by the water users based upon mutual acceptance. The WUA has an executive committee; its major responsibility is to distribute water on an equitable basis, allocate contracts for canal maintenance, fund collection from the users for canal operation and monitor maintenance and adherence to overall regulations of the irrigation system. For effective management of the system, the WUA is divided into four sub-groups consisting of members in one particular cluster. In each sub-group, one person is responsible to undertake water management within that particular hamlet. Because of water demand and inequality among the water users, the contribution of labour is unequal leading to major conflicts among the water users. The Raj Kulo Irrigation System The Raj Kulo irrigation system (RKIS) is an old system but considered as a major contributing factor to the improved livelihoods of the local people in Panchkhal VDC. Three decades ago, the approximate width of the canal was 4 m. This width at present has, however, been reduced to 1.5 m due to encroachment of the canal. The approximate area irrigated by this system 30 years ago was 200 ha. This irrigated area increased by 10 ha circa 1988 when some of the Bari was converted into Khet making it irrigable by the Kulo waters. At present the system irrigates about 210 ha of land. This system is one of the largest and oldest farmer-managed irrigation systems within the watershed area. The RKIS is about 4 km long, the main canal being 2.5 km in length. This canal draws water from two intakes, one from the Jhikhu Khola main stream and the other from the Dhod Khola, a tributary of the Jhikhu Khola. Both of the intakes are located at Panchkhal-5, the supplementary intake being at Jorpati, about 800 m away from the main intake. This water from both of the intakes serves other irrigation systems in the area. The irrigation canal is an ordinary earthen canal with occasional lining, made with support from the DIO in 1998 for canal and dam maintenance. The main canal of the RKIS, after travelling a distance of 2.5 km, mingles with the Terse Kulo irrigation system that draws water from the second intake of the Raj Kulo at Jorpati. The portion of canal that extends beyond this

430

meeting point is considered as the Terse Kulo irrigation system. The egress of the excess water from the canal is the Jhikhu Khola itself. The RKIS comprises approximately 850 households that are water users. Although it is a larger farmer-managed irrigation system, homogeneity among water users and cultivation practices occurs within the command area. The average family size in the area is eight persons and the total population benefiting from the system is 6 800. Among the total sampled households, most households have a family size of six persons. In this irrigation system, unlike the DIS, most of the lands irrigated by the system are Khet. The average land-holding size of the farmers in the area is 1.04 ha; this includes Khet and Bari, both within and outside the irrigation system. The average Khet land-holding size is 0.55 ha and the Bari land-holding size is 0.49 ha. Considering the land area irrigated by the RKIS only, the average farm size of the Khet irrigated area per household at present is 0.41 ha (Table 4). But if the average irrigated Bari is compared over three time periods, the area increases although the total area irrigated is very small. This means that the total command area of the RKIS has not increased significantly over time, while the farmers are increasing the area of irrigated Bari by pump irrigation of the canal water.
Table 4. Average land area per household irrigated by the RKIS over different time periods (in ha)
Statistical parameter Khet irrigated at present 0.41 0.02 3 90 Bari irrigated at present 0.18 0.1 0.35 14 Khet irrigated 15 years ago 0.40 0.02 3 84 Bari Khet Bari irrigated irrigated irrigated 15 years ago 30 years ago 30 years ago 0.32 0.1 0.7 5 0.44 0.05 3 68 0.4 0.1 0.7 2

Mean Minimum Maximum No. of respondents having irrigable land

Source: Field Survey (2001)

At present, almost 89 percent of the farmers cultivate three crops per year whereas circa 1985, 52 percent of the farmers cultivated three crops per year and 41 percent of the farmers planted two crops per year. Comparing this situation and the cropping cycle during the early 1980s, 60 percent of the farmers cultivated one crop per year while only about 18 percent of the farmers planted two crops per year. The cropping pattern in the RKIS is diverse. The cropping pattern in the fields has changed within the past 30 years and the most favoured cropping pattern in the Khet is the paddy-potato-tomato sequence while the other most popular sequence is the four-crop paddy-potato-potato-tomato sequence. Being an area where the subsistence economy is slowly converting into a cash crop economy, the majority of the farmers are moving towards offseason crops like vegetables. Other crops like pulses, sesame and mustard are also grown by farmers, although for home consumption only. Water management in the RKIS at present is done by the irrigation WUG formed in 1999. Water distribution within the command area is based upon mutual understanding of the farmers; the situation since 30 years ago has changed considerably. Water demand has increased significantly and this has had a major impact on the water distribution and water availability among the water users. Water allocation has been practised ever since the system came into operation. During the early 1970s, use of canal water was largely limited to monsoon paddy and one winter crop. Currently, although the water allocation is based upon mutual understanding among the water users, continuous monitoring has to be carried out during the entire period of water allocation. 431

Before the formation of the irrigation WUG, the water users undertook the systems O&M by forming an informal and temporary committee whenever the need for canal maintenance was felt. Currently, the executive committee members of the WUG are responsible for the systems management. The water users committee is an 11-member team whose main responsibility is fund collection for the systems O&M and to assign contracts for dam maintenance as well as canal clearing. The WUG has no funds of its own. Thirty and 15 years ago, farmers contributed labour for canal and dam maintenance. Now, most of the farmers from the head and middle ends contribute cash for the systems O&M while those from the tail end contribute labour. For the past 30 years, no specific rule for conflict management has been established. The water scarcity problem has been acute in recent years users themselves deal with conflicts related to water use and allocation. The farmer whose field is being irrigated prefers to watch his field till the required area is irrigated rather than become involved in conflict. Land-use changes in the Jhikhu Khola Watershed The Jhikhu Khola Watershed encompasses elevations ranging from 800 to 2 000 m and quite varied land-use characteristics exist. Between 1972 and 1996, GIS analysis of the land use/land cover has shown considerable change in areas of agricultural and non-agricultural land. Agriculture dominates land use in the Jhikhu Khola Watershed. For all the time periods considered, the proportion of agricultural land, which constitutes two broader categories of Bari and Khet, occupies about half of the total area of the watershed. The remaining areas are non-agricultural lands that include forests, shrubland, grazing land and other uses (Table 5).
Table 5. Land-use patterns in Jhikhu Khola Watershed over different periods of time
1972 Types of land use Agricultural land use Khet Bari Area in ha 1 653 3 843 2 182 1 184 1 857 422 11 141 % of watershed 15 34 19 11 17 4 100 Area in ha 1 719 4 354 3 358 466 938 306 11 141 1990 % of watershed 15 39 30 4 8 3 100 Area in ha 1 838 4 264 3 318 613 782 326 11 141 1996 % of watershed 16 38 30 6 7 3 100

Non-agricultural Forest land use Grazing Shrub Others Total

Source: Analysis of digital land use data for various time periods obtained from PARDYP/ICIMOD (2001)

Considering the changes in agricultural land between 1972, 1990 and 1996, the area under agricultural land use has remained almost constant, occupying about 55 percent of the total watershed; the area of Khet has also increased by around 1 percent while the net area in Bari decreased by 1 percent. Land-use change in Andheri Khola sub-watershed With respect to land-use transformation within the Andheri Khola sub-watershed for 1972, 1990 and 1996, the agricultural land area was smaller than the non-agricultural land area (Figure 2). In terms of agricultural land, both Bari and Khet increased in area between 1972 and 1990. This change has been attributed to the decrease in grazing and shrubland. The overall 432

Percentage of Area Covered by Various Landuse in Andheri Khola Subwatershed at Different Time Periods 45 40 35 Percentage 30 25 20 15 10 5 0 1972 1990 Time Period 1996

Khet Bari Forest Grazing land Shrubland Others

Figure 2. Land-use change in Andheri Khola sub-watershed between 1972 and 1996 increase in agricultural area between 1972 and 1990 declined again in 1996. Nonetheless, the area of Khet gradually increased from 1972 onwards. On the other hand, the formerly decreasing non-agricultural land increased between 1990 and 1996. The land-use transformation within the watershed implies the high impact on water resources within the watershed and hence, the need for irrigation. For the whole watershed, agriculture has been the major land use. The gradual increase in Khet from 1972 implies that the increase in irrigated agriculture is creating a high demand for irrigation water. This holds true in the Andheri Khola sub-watershed, where the gradual increase in Khet over 24 years increased the demand for irrigation water. Performance of irrigation systems The farmer-managed irrigation systems (FMIS) are constructed, operated and managed by the farmers themselves. They organize irrigation facilities for maintaining productivity and life support systems collectively. The change in the performance of local institutions will thus influence the efficiency of water use and management. The Devbhumitar irrigation system The DIS has its command area in the Tar area. The system has been developed and maintained mainly for winter irrigation in Bari even though sufficient portions of Khet are also irrigated. Hence, water availability has been a very important factor ever since the irrigation system came into operation. In this irrigation system, considerable changes were observed with regard to irrigation water availability at different periods even though the source of water was the same. Andheri Khola and the point of intake have remained the same since the system was constructed and for 87 percent of the respondents, irrigation water availability has decreased in the past three decades. Water availability is not a problem during the monsoon for all the three time periods considered. For the Bari, monsoon rainfall is enough and irrigation is not required. Therefore, the canal water is 433

diverted to Khet instead, which is normally not included within the actual command area of the DIS during winter and summer. Water availability during the winter has changed considerably in the past three decades. Thirty years ago, 73 percent of the farmers had sufficient water in their fields. Summer is the peak period of water scarcity. In the Devbhumitar area, the farmers rotate their crops according to water availability throughout the year. Thirty years ago, water scarcity, even during summer, was not a major issue as the farmers were unaware of canal water utilization for crop intensification and crop diversification. The field survey revealed that most of the respondents currently had insufficient water while most of them used to have partially sufficient water during the mid-1980s and sufficient water in the early 1970s, even during summer. Water availability and adequacy The rising number of irrigation canals upstream for newly developed agricultural lands is considered as a reason for the reduced water availability for the DIS. From the irrigation system inventory carried out in Andheri Khola sub-watershed, three new irrigation systems were constructed within the last three decades. The DIS lies towards the lower portion of the sub-watershed area, and hence, increased agricultural land in the upstream areas of the watershed contributes to the decrease in water availability for this particular system. Water availability in the catchment itself is a major factor determining water adequacy. An important determinant of water adequacy, however, is whether farmers can effectively organize themselves in the process of appropriation of whatever water is available (Lam, 1998). The field data show that the change in cropping pattern is mainly due to the change in water availability although improvement in agricultural inputs also has a significant role in changing the cropping pattern in the area. Out of the 30 respondents within the command area of the irrigation system, 64 percent indicated the reason for change in cropping pattern was mainly due to the change in water availability. Raj Kulo irrigation system The RKIS has a relatively larger command area and serves many farmers of the Panchkhal VDC. Hence, water availability within the system over the different time periods considered was analysed separately for the head-, middle- and tail-ends of the system. Because this system extracts water from the main river, the Jhikhu Khola, as well as the tributary of this stream, the Dhod Khola, a relatively larger volume of water is available for the system compared to the DIS. At present, water throughout the entire system is mostly sufficient during the monsoon. Water availability and adequacy Water availability during winter shows that for most of the farmers at the head-end, water is sufficient but is only partially sufficient for most of the farmers in the middle-end (Table 6). During summer, among the farmers of the three locations, tail-enders are those who face water scarcity the most even though water is usually insufficient for all the locations. Water availability during the early 1970s and mid-1980s followed the same trend whereby the water availability decreased from the monsoon to winter to summer

434

Table 6. Changes in water availability as compared to 30 years ago in the RKIS

Change in water availability Head-end % Increased Constant Decreased Dont know Total 3.3 3.3 90.0 3.3 100 Location of the field Middle-end % 6.7 6.7 83.5 3.3 100 Tail-end % 0.0 10.0 90.0 0.0 100 Total % 3.3 6.7 87.8 2.2 100

Source: Field Survey (2001) Note: % = Percent of the total responses at each location.

In the RKIS, because of the large command area, water adequacy and efficiency in water use are very important factors for the system. The main reason for the change in water availability was reduced water due to the increasing water demand for irrigation. Out of the 79 respondents who considered water availability to be decreasing, 65 thought that the change in water availability in their fields was mainly due to increased water demand due to changing cropping patterns in the area. Equity in water allocation and distribution Equity in an irrigation system is the ability of the irrigation users committee to supply the available water to the users in an equitable manner. It is achieving water supply to the fields that is in proportion to the population of water users, i.e. the total number of farmers using the water from the irrigation system. In the DIS, the role of the water users committee in the distribution and allocation of available water to the water users has been received positively. In terms of water allocation and distribution within the system at present, about three-fourths of the respondents indicated they received equal amounts of water compared to the other users (Table 7). For the other periods in Table 7, out of the total of 30 respondents, 90 percent said they had unequal water allocation to their fields.
Table 7. Equity in water allocation and distribution in the DIS
Water distribution At present 15 years ago Equal Unequal Better Same Worse No idea Better Same Worse No idea Responses No 22 8 1 1 27 1 1 1 27 1

30 years ago as compared to present

Source: Field Survey (2001) Note: No. = Number of responses at present and 15 as well as 30 years ago The responses for no idea have not been considered for calculating scores.

435

Beside water distribution and allocation, equity in terms of water use and knowledge of other irrigation water-related activities was also examined for the present situation. Knowledge of irrigation water issues includes information about meetings, information about farmers schedules to obtain water as well as other aspects relating to canal water use. Besides field irrigation, canal water is used by local people for general household purposes like washing and cleaning as well as for livestock. In the RKIS, the WUG was formed only recently. Unlike the DIS, the ability of the WUG in this system to maintain equity was very low. Being involved mainly with the O&M of the system, the water users committee is chiefly recognized as a cash-collecting body for the local people. In recent years, O&M has been conducted on a contract basis in which fixed amounts of money are collected from the users by WUG committee members. With regard to water distribution and allocation to various regions within the system, water was unequally distributed across all locations. Comparing the equity situation 15 and 30 years ago with the present situation, water distribution was more equitable for farmers at all locations in the mid-1980s. Reliability in irrigation systems Reliability in an irrigation system means the scheduled water availability in the field. If the irrigation system has a defined set of rules and regulations for water distribution and allocation to the individual farmers fields, the farmers should be getting water according to the scheduled time. Hence, the irrigation system could be considered efficient if the irrigation water availability to the individual farmer is reliable as well as predictable. The calculated reliability indices show that reliability during the mid-1980s compared with the early 1970s was almost equal inferring the unreliability in the irrigation system (Table 8).
Table 8. Predictability and reliability of irrigation water in the DIS
At present % Predictable and reliable Predictable but unreliable Unpredictable and unreliable No idea (d) Total (N) 16.7 83.3 0.0 0.0 100 15 years ago % 16.7 3.3 76.7 3.3 100 30 years ago % 20.0 0.00 76.7 3.3 100

Source: Field Survey (2001) Note: % = Percent of total responses in each category in the considered time period

The irrigation WUG, in this case, can relate predictability and reliability to irrigation water management. As in the case of water adequacy and equity within the system, the reliability in obtaining water increased only after the formation of the formal WUA. The reliability with which water can be obtained, however, is dependent upon the water available in the irrigation canal. For all time periods considered, the head-end farmers have a more reliable water supply than those at the middle end, where the water supply is better than the tail end. The reliability and predictability in the RKIS is related to the change in water availability in the system at various time periods. This system has low water predictability and reliability at all times and at all locations at present. Unlike the DIS, the involvement of WUGs for effective water management is only minimal. In the DIS, the functioning of the irrigation system has improved compared to the last three decades. As mentioned earlier, the formation of a WUG and the rehabilitation of the system by the 436

Irrigation Sector Project (ISP) implemented by the Department of Irrigation seem to be major factors for water management and uncertainty over decreasing water availability. Before the canals rehabilitation, canal as well as dam maintenance had to be done more often. This improvement in the irrigation infrastructure seems to have had a positive influence in terms of technical efficacy of the system. Technical efficacy in terms of social organization has been analysed with respect to the contribution made by water users for system O&M. All respondents participated in O&M in terms of cash and in-kind contributions. But in recent years, more than 90 percent of the users contributed cash based upon the area registered for receiving irrigation. Water rights are equal for all farmers who contribute to system O&M. The improved efficiency in terms of organization and water delivery to the fields has contributed to the operational efficiency of the system. Technical efficiency Farmers perceptions about the technical efficiency of the system over various time periods were considerably different (Table 9).
Table 9. Technical efficiency of the DIS according to farmers perceptions
At present % Efficient Inefficient Dont know Total Source: Field Survey (2001) Note: % = Percent of the total responses 80.0 20.0 0.0 100 15 years ago % 10.0 86.7 3.3 100 30 years ago % 13.3 83.4 3.3 100

Farmers involvement in various activities relating to irrigation system O&M was also considered as another measure of social organization. Considering the change in time spent on various irrigation system activities, the time spent on canal and dam maintenance as well as for water allocation in the field has been decreasing. Moreover, conflicts among water users have decreased while peoples interest in user group meetings has increased. Thus it can be concluded that the technical efficacy of the DIS in terms of social organization and system O&M has increased at present compared to 15 and 30 years ago. The improved performance in terms of technical efficacy at present is mainly related to improved water management within the system.

437

Contribution for System's Operation and Maintenance in Raj Kulo Irrigation System
80 70

Frequency of Responses

60 50 40 30 20 10 0 Head-end Middle-end Tail-end Total

Yes Some times No Don't know

Location of Field

Figure 3. Farmers contribution to irrigation system O&M in the RKIS

Source: Field Survey (2001)

In the RKIS, efficiency in terms of system O&M as well as social organization are quite different in different locations of the system (Figure 3). With regard to canal and dam construction, the frequency of contributors is diminishing from the head-end to the tail-end. Besides, for both regular and emergency maintenance, the types of contribution differ; the head-enders contribute more cash while the tailenders contribute more labour. Concerning participation in user group meetings, farmers participation at meetings is only recent. The WUG was formed only two years ago. After discussion with locals, it was found that there were no meetings before the formation of the WUG. Currently, most of the users give least priority to the WUG meeting. In this particular system, conflict among the water users is not common. Even though the farmers have to be cautious during water allocation in their fields, conflict has decreased compared to 15 and 30 years ago. Most people at the head-end are least concerned compared to the other two locations. Similarly, farmers at the middle-end devote little time to managing conflicts among the users compared to farmers at the tail-end. Performance in terms of benefits from agricultural sub-systems The main benefit was productivity from irrigated agricultural fields whereas costs included contribution for canal and dam construction and maintenance, total labour hours spent, time spent for allocating water in the fields as well as the damage created by water overflow or less water in the canal. In the DIS, most of the farmers in recent years have benefited from the system in relation to the cost for irrigation activities. Seventy percent of the respondents indicated that benefits outweighed the costs. Only about 23 percent of the farmers responded that costs outweighed or equalled the benefits. During the mid-1980s, benefits equalled costs for more than half of the respondents. For the RKIS, costs and benefits from the system varied in different locations in different time periods whereas in all cases the benefits from agricultural production had increased from 30 years ago to the present day. In spite of the differences in responses to benefit and cost from the irrigation

438

system from the various locations, no significant difference in terms of mean was found. In the DIS, the low performance of the system radically improved after the formation of the WUA in the early 1990s. Even though the overall water availability for the entire system has decreased over the past 30 years, the performance of the system has been high. On the other hand, in the RKIS, decreasing water availability for single fields coupled with decreasing overall performance of the system has occurred over the last three decades. The informal WUG is weak in its capacity to manage the irrigation system efficiently. However, significant benefits in terms of agricultural production within the command area were noted. Discussion of findings Mountain settlements are isolated communities in difficult terrain with limited modern amenities. In this complex environment, the local communities have evolved highly specialized production and livelihood practices. In the study watershed where local people are predominantly dependent upon surrounding natural resources, as in other middle mountain areas, sustainable resource management is highly dependent upon the values shared by the community and local institutions. Changes in the surrounding environment also influence the performance of such institutions. In terms of water management, they practise collective action in organizing irrigation facilities for maintaining productivity and life support systems. Relation between socio-economy and land-use change The demographic characteristics in the Jhikhu Khola Watershed indicate a rising population. Considering the projected national average growth rate of 2.4 percent (CBS, 2000), the average annual population growth rate of 7.9 between 1990 and 1996 for the watershed is very high. Very little change from agricultural to non-agricultural activities implies increasing demand for agricultural land. In the watershed, where the majority of the population is dependent upon agriculture with very little involvement in off-farm activities, strong linkages between agricultural land use and the economy exist. Being near to the capital city, with major market centres linked by the highway to the capital, various changes have occurred within the watershed in the past thirty years. Improvements in terms of agricultural technology, infrastructural development, literacy rate as well as the knowledge of local people have reinforced extensification and intensification in agricultural land use. In the DIS, the average land-holding of 0.8 ha is somewhat similar to the national average of 1991/1992 of 0.75 ha for the Hill areas (CBS, 2000). Rice, wheat and maize are the major crops in the study area, thus the average production of 3.8 t/ha, 2.5 t/ha and 2.8 t/ha respectively is higher than the national averages of 2.1 t/ha, 1.2 t/ha and 1.5 t/ha respectively (MOA, HMG 1984/1985 to 1995/1996, cited in Tulachan, 2001). The increase in area irrigated by the system from 10 to 33 ha within the last three decades reflects the change in agricultural land use. Although most of the area irrigated by this system is Bari, the increased demand during mid-1980s compared to the early 1970s has influenced the increase in command area and reflects the limitation in increasing the cultivable area as well as the problem of increased availability of irrigation water from the source stream. However, during the past 15 years, changes in cropping pattern and intensity evidence the increasing demand for agricultural production. The pre-feasibility study for the irrigation systems rehabilitation in 1987 showed that for the Bari land-holding size, about 10 percent of the farmers had a small farm size of 0.05-0.25 ha, 80 percent had a medium-sized farm of 0.25-0.75 ha, 7 percent had a large farm size of 0.75-1.25 hectare and only 3 percent had very large farm size of more than 1.25 ha. In recent years, the number of farmers 439

with small-sized Bari land-holdings has increased. It should be noted that the system is mainly meant for winter irrigation and three-fourths of the total command area in all time periods is Bari, the rest being Khet. For this irrigation system, even though the total area per person registered for obtaining water makes the total command area low, the water obtained was used for a larger area than actually registered in the WUA. The increase in the total command area of the system from 30 years ago until now has implications for land-use changes and improved socio-economic conditions. The increase in command area with a decreasing average irrigated area per household means that more people benefit from the irrigation system compared to the early 1970s. After the formation of the WUG in 1991, however, the total number of water users and the command area from the system became constant. For the RKIS, land-use maps for various time periods show constant areas of Khet in the valley bottom while most of the land-use changes have occurred in the upstream section of the main Jhikhu Khola. Hence, within the command area of the irrigation system, the net change in terms of intensification rather than extensification in the total command area within the last three decades is not much. Considering the farmers land-holding size in this irrigation system, the average of 1.03 ha/household is higher than the national average of 0.75 ha/household in the Hill region of the country calculated in 1991/1992 (CBS, 2000). Moreover, the cropping pattern within the command area has changed from cereal cropping to cash crop-based vegetable cultivation. Due to the considerable benefits from vegetable farming, production of off-season varieties has contributed to considerable increase in cropping intensity. Out of the 90 respondents within the system, 97 percent of the respondents cultivated potato and 77 percent cultivated tomato. For the production of cereal crops, the average yields of rice, wheat and maize at 3.6 t/ha, 2.3 t/ha and 3.0 t/ha are higher than the national average for the Hill region. The RKIS serves the Panchkhal area, which is an important market centre within the watershed. The Arniko Highway connecting the watershed to Kathmandu passes through the Panchkhal VDC. Thus, the influence of market forces, infrastructure development and technology as well as agricultural input availability is higher in this area than the DIS. Relation between land-use change and irrigation water availability In the Jhikhu Khola Watershed, except in a few pocket areas, water is generally a scarce resource for the majority of the watershed settlers (Merz, et al., 2000). A water needs and supply survey done by PARDYP/ICIMOD in 1999 also revealed that among all the water-related issues, water quantity for irrigation was the major issue perceived by the local people where two-thirds of the people are agriculturally dependent; thus water management for irrigation is a crucial factor. For land-use change, there was a rising trend in Bari, the conversion rate being higher between 1990 and 1996. On the other hand, Khet increased very slowly. This implies that the change of various land uses into Khet due to the increasing demand for agricultural land (Khet) is being limited by the water available for irrigation. Out of the total of 39 irrigation systems inventoried, most of the systems experienced decreased water availability for irrigation over the last 30 years. The available rainfall and temperature data, however, do not show water reduction in the area over the past 30 years. Hence, no relation could be established between the land-use change from one type to another and climatic characteristics. This means that water reduction for irrigation systems is mainly due to the increased demand for the new irrigation systems as well as increased water demand for irrigation systems that were established prior to the 1980s and extensification or intensification of agricultural land. In the DIS, extensification of the command area is one reason for decreasing water availability between early 1970s and mid1980s. In the RKIS, changes in terms of cropping intensification within the same irrigated area were 440

the main reason for water availability change within the system. However, in the increasing water demand situation, the shift from traditional cereal crops to potato and tomato cultivation in the area means that water is being managed at the system level. Changes in terms of technology, market, and infrastructure facilities as well as availability of agricultural inputs in the last three decades, even with less available water, overall have provided benefits from agricultural production. Irrigation water availability and community water management Under the increasing water demand situation created by greater agricultural demand within the study area, the performance of irrigation by local institutions is very important. Out of the total of 39 irrigation systems inventoried, all were farmer-managed systems; none of the irrigation systems, except the DIS had a formal irrigation user committee. Various research and literature claim that the overall performance of the system is highly dependent upon the water-delivery sub-system that is directly related to the water availability for the system (Uphoff et al., 1985; Lam, 1998). Apart from the water availability factor, management of the irrigation systems is another important factor influencing the overall performance. The change in performance of the DIS was influenced by improved irrigation water management by the WUA in the decreasing water availability situation. The formalization of the WUA in this case has resulted in the improved performance of the system. In the DIS, the major impact of the change in water management within the system has resulted in a change in cropping patterns. As mentioned earlier, the change in cropping pattern from one crop per year 30 years ago to three crops per year at present is mainly due to two factors: change in water availability and change in availability of agricultural inputs. In the DIS, the overall performances 30 and 15 years ago were almost the same indicating similar conditions in those two time periods. The changes in water delivery to the users after the formalization of the WUA, even in the decreasing water availability situation have brought about drastic changes in performance. This is also supported by changes in technical efficiency of the system and agricultural productivity from the system. Currently, both show improved performance. In the RKIS, the performance of the system in terms of its water delivery subsystem has experienced a temporary downturn. This irrigation system, influenced by agricultural intensification, has a lower output than during the past 30 years. In the DIS, the systems performance has a high correlation with the water delivery subsystem. In this system, water availability for irrigation is not a major issue from the agricultural perspective. It is human nature to demand more resources. But with limited water resources, whatever water available for the RKIS is adequate though the inadequacy is more pronounced during the pre-monsoon season. However, the increased cropping cycle since the early 1970s implies increased irrigation water demand in the system. Thus the lack of effective water management has led to the reduced performance of the system. No alternative system of water harvesting was found in the area. The performance of the RKIS is found to vary from the head-end to the tail-end. In accordance with the change in water availability from different locations of the system, the performance in terms of the water delivery subsystem and technical efficacy of the system varies. The main change for the cropping pattern in this area over the past 30 years for the majority of the respondents in all locations was the availability of agricultural inputs. In the field it was quite evident that the considerable influence of improved technology, infrastructure and markets within the past three decades has contributed to this change. This implies that the aforementioned factors had more influence in improving the performance in terms of agricultural productivity than the reduced performance of the irrigation system due to the change in water availability. 441

The overall analysis of the results concludes that low performance created by decreasing water availability in the 15-year period between the early 1970s and the mid-1980s has been modified by the improved role of the WUA in recent years. On the other hand, in the RKIS, influenced by increased agricultural intensification, decreasing performance of the system is proportional to reduced water availability for irrigation over the past 30 years until now. However, changes in factors external to the availability of irrigation water including technology, market forces and availability of agricultural inputs generated within the past 30 years were increased benefits from agricultural production. Conclusion 1. Irrigated agriculture being a major land-use component of watersheds in the Middle Hills of Nepal, irrigation water management through community action is very important. Population expansion, access to technological information, support by governmental and non-governmental organizations, access to market and incentives produced by agricultural policies are some of the important driving forces that determine how local settlers use the land and subsequently modify the agricultural landscape. 2. Irrigation system development and management links water resources with the local people, with other natural resources and with the production system. Hence, irrigation system development and management should be an integral part of integrated watershed development and management. A database on the command area, water demand and supply for the particular system, socio-economic parameters of the users and the productivity of the system is needed as baseline information to assess the efficiency of the self-governing irrigation institutions in resource management. It also requires coordination among various agencies directly or indirectly linked with natural resource management within the watershed. 3. With respect to decreasing water availability, the promotion of water-harvesting technologies for water storage during dry seasons is highly recommended. In the prevailing monsoonal climate, characterized by erratic rainfall, ways to capture monsoon rain for utilization during the winter are essential for improved agriculture. 4. The governments role in increasing the efficiency of farmer-managed irrigation systems should not finish with the rehabilitation of the existing systems. These systems need to be properly monitored. Hence, a monitoring body that should also provide advice to the farmers and the farmer-managed irrigation system has to be established. This unit must also be the coordinating body for the regulation of the self-governing farmer-managed irrigation systems. 5. Irrigation system development has two contrasting scenarios: it might be one of the many causes of landslides and soil erosion in the ongoing process of land exploitation for agriculture. On the other hand, the farmer-managed irrigation systems are usually built cost effectively with local resources and the indigenous knowledge of the local inhabitants. Hence, the concerned line agencies and organizations associated with irrigation should acknowledge the indigenous knowledge and skills of the farmers and apply them for maintaining a sustainable soil and water environment within the irrigation system. 6. High intensification associated with high doses of chemical fertilizer application is a problem that increases water demand in agricultural fields. Hence, awareness among irrigation water users about the effect of high doses of chemicals is vital to discourage the excessive use of such chemicals. To increase the soil moisture retention capacity, the use of composts and organic manure should be encouraged. Hence, increased crop diversification and modification using cash crops requiring low amounts of water should be encouraged for maintaining the soils productive capacity as well as the water availability in the area. 442

Literature cited CBS. 2000. Statistical Pocket Book, Nepal, His Majestys Government, National Planning Commission Secretariat, Central Bureau of Statistics, Kathmandu, Nepal. CECI. 2001. Canadian Center for International Studies and Cooperation, Data Collected about Poverty and Development Monitoring System by the Village Development committees of Kavrepalanchowk District, Baluwatar, Kathmandu. DOI. 1997. Database for Irrigation Development in Nepal, Institutional Development Support Component, Department of Irrigation, HMGN, Nepal. Easter, K.W., Dixon, J.A. & Hufschmidt, M.M. 1991. Watershed Resources Management, Studies from Asia and the Pacific. ISEAS Environment and Development Series, Institute of Southeast Asian Studies, Singapore and Environment and Policy Institute, East-West Center, Honolulu. Kennedy, G. & Dunlop, C.C. 1989. A Study of Farming Household Systems in Panchkhal Panchayat, Nepal. Report to the International Development Research Center, Ottawa, Canada. Lam, W.F. 1998. Governing Irrigation Systems of Nepal: Institutions, Infrastructure and Collective Actions. ICS Press, Oakland, California. Merz, J., Dangol, P.M. & Dhakal, M.P. 2000. Comparison of the climatological balances for the Jhikhu Khola and the Yarsa Khola Watersheds, Nepal. In Allen, R., Schreier, H., Brown, S. and Shah, P.B., (eds.). The People and Resource Dynamics Project, The First Three Years (19961999). Proceedings of a workshop held in Boashan, Yunan Province, China, March 2-5, 1999. International Center for Integrated Mountain Development. PARDYP/ICIMOD. 1999. People and Resource Dynamics Project of International Centre for Integrated Mountain Development, Kathmandu, Nepal. Ostrom, E., Schroeder, L. & Wynne, S. 1993. Institutional Incentives and Sustainable Development: Infrastructure Policies in Perspective, Chapter 5, Westview Press, USA. Schreier, H. & Shah, P.B. 1995. Introduction to the watershed project: issues and overview. In Schreier H., Shah, P. B. and Brown, S. (eds.). Challenges in Mountain Resource Management in Nepal: Processes, Trends and Dynamics in Middle Mountain Watersheds. Proceedings of a Workshop held in Kathmandu, Nepal, 10-12 April, 1995, Sponsored by the International Development Research Center (IDRC). Shrestha, B. & Brown, S. 1995. People, community dynamics and perceptions in the watershed. In Schreier H., Shah, P.B. and Brown, S. (eds.). Challenges in Mountain Resource Management in Nepal: Processes, Trends and Dynamics in Middle Mountain Watersheds. Proceedings of a Workshop held in Kathmandu, Nepal, 10-12 April, 1995, Sponsored by the International Development Research Center (IDRC). Tulachan, P.M. 2001. The state of mountain agriculture in Nepal. In State of Mountain Agriculture in the Hindu-Kush Himalayas, A Regional Comparative Analysis. International Center for Integrated Mountain Development, Kathmandu, Nepal. Uphoff, N., Ruth M.D. & Nancy, St. J. 1985. Improving Policies and Programs for Organization and Participation in Irrigation Water Management. A report prepared at Cornell University for the Water Management Synthesis II Project, USAID Contract DAN-1427-c-00-0086-00. Water and Energy Commission Secretariat (WECS). 1988. Water Use Inventory Study of Kavrepalanchowk District. Final Report. Vol. 1: Main report, HMG of Nepal, Singha Durbar, Multi Disciplinary Consultants (P) Ltd.

443

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

FARMERS' APPROACHES TO SOIL-FERTILITY MANAGEMENT IN THE HILLS OF NEPAL Basu Dev Regmi 1

Introduction Nepal has three agro-ecological zones, namely, the Terai (between 75 and 300 metres above sea level [masl]), the Hills (between 301 and 3 000 masl), and the Mountains (between 3 001 and 8 000 masl). Because of snow coverage, the mountain areas are of little agricultural importance. Out of the total land area of 14 million ha, the Hills occupy 68 percent, compared with 17 percent and 15 percent for the Terai and Mountains, respectively. But the area of arable land in the Hills is extremely limited. Of the total 2.3 million ha of cultivated land, only 0.6 million ha or less than one-third of the total arable land is in the Hills (MFA/HMG, Nepal, 1981), but the vast majority of the agricultural population resides in the Hills where the average land-holding is less than 0.5 ha, compared to 1.7 ha in the Terai. Hill agriculture is limited to small valleys and terraced slopes. On the hill slopes the popular cropping pattern is maize based, whereas in the valley bottoms it is primarily paddy based. An integrated croplivestock system is predominant (MFA/HMG, Nepal, 1981). Over the centuries, Nepalese farmers have developed indigenous knowledge and technologies suited to their unique hill-farming systems. Soil fertility has been maintained and improved with the use of farmyard manure (FYM) and compost. Cultivation on sloping lands causes high nutrient losses and as a result land degradation is severe. At present shifting cultivation, overgrazing, and overuse of marginal land are contributing to the loss of soil-fertility (Regmi, 1999). The increasing population pressure in the Hills of Nepal stresses the environment and threatens agricultural productivity, and consequently food security. The sustainability of hill agriculture depends on how farmers manage, protect, and utilize their farm and forest resources (Basnyat, 1995). Soil loss and nutrient depletion due to erosion are very high, particularly in the rain-fed marginal land and the degraded grazing lands in the hills. Poor soil-fertility status of the farmland in the Middle Hills of Nepal is a major constraint faced by the farmers (Pandey, 1995). Soil productivity is being reported to be declining because of increasing agricultural activities such as crop intensification and the expansion of agriculture into marginal lands with insufficient plant-nutrient replenishment. The agricultural environment, particularly in the Hills of Nepal, is degrading at a high rate (Regmi, 1999). Farmers in the Hills of Nepal face a serious problem in managing soil fertility because of the steep slopes, the dependency on rainfall, and the lack of required fertilizers. The gradual decline in soil fertility, the increase in soil erosion, a reduction of the productive forest area, and misuse of agrochemicals are the major agricultural and environmental problems. Apart from these problems, the most severe constraint recognized by the farmers as well as agricultural scientists is declining crop productivity. There is a need to investigate indigenous soil-fertility management approaches, constraints in managing soil fertility, and farmers perceptions and assessments on soil-fertility depletion. As local

MSc. Thesis (Ref. No. AS-01-07), Asian Institute of Technology, Bangkok, Thailand. August 2001. Examination Committee - Dr. Michael A. Zoebisch (Chair), Prof. Karl E. Weber, Dr. S. L. Ranamukhaarachchi

835

soil-fertility constraints and the limitations and opportunities of local soil-fertility management practices are realized, more appropriate and sustainable approaches to soil-fertility management in the region may be developed. Thus the objective of the study was to assess the farmers approaches to and perceptions on soil-fertility management, to suggest appropriate management methods to improve crop productivity in the Hills, and to suggest appropriate soil-fertility management practices for the study area. The study site The study site was Lohorne Watershed (Dailekh District in the Mid-Western Development Region) (Figure 1). This watershed is typical for the Hills of Nepal. The elevation varies from 545 to 4 170 masl (New ERA, 1986). Geographically, Lohorne Watershed lies between 28 52 30 to 28 55 00 north latitude and 81 42 30 to 81 45 00east longitude. The watershed partially covers one municipality and one village development committee (VDC). It lies 2 km northwest of the district headquarters of Dailekh District and 600 km west of Kathmandu. The Lohorne is the major river of Dailekh District, and has many tributaries such as the Chhamgad, Katti, Parajul, Chineghat, Kane, Taraghat, Paduka, Navisthan, Lohorne, and Matela.

Figure 1. The study area (Lohorne Watershed, Dailekh District, Nepal)

Most of the land is under agriculture and forestry. Khet and Bari land are the major agricultural land uses. Khet land is primarily for rice-based cropping systems and Bari land is for maize-based upland cropping systems. The population density of the watershed is 150 (149.92) people/km2 . Compared to other areas, the population density in the watershed is high. The total population of the watershed is 1 910 persons. The male population is slightly higher that the female population. The average family size is 7.2, which is very high compared to the national average (CBS, 2000). The average land-holding size of the sampled households in the watershed (0.94 ha/household) is below the national average (0.96 ha/household) (CBS, 2000). 836

Indigenous land management systems People rely mainly on agriculture, particularly crops and livestock, for their livelihoods. Indigenous land management by local communities encompasses forests, pastures, irrigation, and soil. These systems invariably include both biological management and social arrangements through which access and utilization of natural resources is regulated (Gilmour and Fisher, 1991). Agricultural land The majority of the farmers reported that they do not have sufficient land for agriculture. Furthermore, there are hardly any other sources from which farmers can make substantial household earnings. Therefore they have to rely largely on whatever parcel of agricultural land is available. Local people have been uniting to manage their lands to maximize their profits. The slope of the watershed varies from 15 percent to more than 80 percent. Most of the agricultural land in the area is in the slope range of 15 to 65 percent (DSWCO, 1996). Land tenure has a significant role in agricultural land management. The land is mostly owned. Only few farmers rent the land in the area. In fact, all land in Nepal belongs to the government; however, land titles are distributed to individual households and landowners have to pay land tax to the government. One of the most important agricultural land management systems is terracing, which helps to protect the soils from erosion. Usually, household labour is used to construct the terraces. Certain agricultural practices (e.g. soil tillage, earthing-up, hoeing, etc.) break down the structure of the soil, accelerate nutrient loss, increase the risk of erosion, and generally lead to deterioration of soil quality. When this happens, the soil loses its productive capacity with detrimental effects on the environment and economy. Forest land Forestry is one of the main components of the hill-farming systems in Nepal. Except for one out of the six forest areas in six communities, the forest resource is managed by communities, which have developed their own rules and regulations for the conservation and utilization of the forest resources. In the study area, there is only one community forestry registered with the government forestry office Farmers reported that all forest land used to be common forest in the past and is controlled by a local council, the village Panchayat. Nowadays, the forest land is being handed over to the community. Within the watershed too, the forest land is managed by communities, with or without registration with the Government Forest Office. The operating principles and practices of forest land management are more or less similar in all communities; they all hire a forest guard from within the community. His responsibility is to protect the forest from overextraction of forest resources. Sometimes there is a conflict between two communities in delineating the boundary of their community forest. It is difficult to divide the forest into two separate forest communities. Now, when transferring forest land to the community, people have problems particularly with the identification of users rights. If a farmer has land in two communities then he can take advantage from both forests. According to the local people, the reasons for diminishing trees and other forest plants are: encroachment into forest areas in order to bring more land under cultivation to meet the food requirements of an ever-increasing local population; felling of large trees for construction timber; excessive extraction of fodder and litter; and open and intensive grazing by livestock, which damage tree saplings 837

Shrub- and grassland Shrub- and grassland was also found to be declining over time. This land has been a major source of grass for livestock. However, the area of such land has been declining and become degraded; consequently livestock herds have decreased. There is no rule for the management of shrub- and grassland; uses and benefits are shared within a community. The villagers determine the boundary of the shrub- and grassland. Users from other communities are restricted in using these resources. Nowadays, shrub- and grassland has a very limited area within the watershed. In another context, a local study (DSWCO, 1996) identified negative balances of total digestible nutrients (TDN) in the watershed. The sustainability of resource management in the area is therefore uncertain, and a major issue, particularly for forest, shrubs, and other natural resources. Water resources and their management Rain-fed farming is the predominant land-use system in the watershed. The main source of water for agriculture in the watershed is monsoon rain. It raises streams levels, which ultimately reach the farmers fields, particularly the rice fields. There are some rain-water ponds used for watering animals as well as irrigation. There are three permanent streams that supply water to farmer-managed irrigation systems (FMIS). The water distribution systems are communal. Informal community meetings discuss the distribution of water on a priority basis. Indigenous land classification systems Farmers have their own way of classifying the land. The nomenclature of the land is based on different aspects, inter alia , major calamitous events; shape of the land; owners names and those of major plant species and soil types; landform size and location. For instance, Kalimati (kali= black, mati = soil) means black-soil land. The two villages in the watershed are called Wollo Kalimati and Pallo Kalimati, because the dominant soil colour is black; Wollo means one side and Pallo means the other side. Indigenous soil classification systems The local soil classification is based on three main characteristics recognized and described by the farmers, i.e. soil colour, soil texture, and soil consistency. In the local soil classification soil colour is the most important indicator of the quality of the soil. Parent materials and their composition can be estimated roughly from the soil colour. People identify the better quality soils via the soil colour. The seto, rato, kalo, khairo, dhusre, phusre , and pahelo indigenous soil colours were identified in the watershed (Table 1).

838

Table 1. Indigenous soil colour classification and farmers comments

Indigenous class Seto Rato Kalo Khairo Dhusre Phusre Pahelo In English White soil Red soil Farmers comments

Not good for agriculture, very low in nutrient content A medium class soil in terms of fertility content; high clay content that makes tillage difficult when the soil is dry Black soil The best soil; good for agriculture, easy to till, high nutrient content, good water holding capacity, easy to handle Light-black soil Relatively poor soil in terms of fertility status Light-brownish soil Poor soil, needs more fertilizer than black soil Light-grey soil Very low nutrient content, gives poor yields Yellow soil Very low fertility status; needs more fertilizer and organic manure

Source: Field survey (2001)

Most of the farmers agreed that black soil is the best soil and provides more crop yields. The farmers also agreed that the white soil is not productive at all. Soil texture is also rated as an important parameter of soil fertility. Soil-fertility and land management issues Biophysical factors, socio-economic, and institutional arrangements determine the management and development of natural resources. Biophysical factors are also directly and indirectly linked to soilfertility and land management issues. There are several reasons for declining soil-fertility status. Access to the market, forest resources, and water resources are very poor. Farmers awareness of natural resource degradation is high. Increasing population pressure and greater competition for resources is compelling overexploitation in the watershed. Land valuation The overall value of the land is a combination of many factors. Farmers responded that nearness to the market has an influence on land value. Factors like soil-fertility status, steepness, trees found on the land (e.g. Shorea robusta ), water availability, soil texture, and proximity to the homestead are other major factors. Land productivity Land productivity refers to the inherent capacity of the land to contribute to yields. Several indigenous ways to assess land productivity exist. Most farmers agree that inherent soil-fertility status and water availability are major contributing factors to crop production. The farmers give relatively lower importance to climate, yet climate is still perceived as an important factor. The study area consists mainly of steep land and farmers perceived steepness as a negative factor. Family labour is a crucial element in the household economy. Labour availability is declining because of the narrow scope of farm work. Many people leave for the nearest town and even to India to find work. The management of the land therefore depends on the remaining household labour.

839

Soil fertility An attempt was made to identify the factors that affect the soil-fertility status, as perceived by the farmers, through group discussions as well as individual interviews. Farmers were asked to list all the major factors affecting soil fertility and the farmers identified twelve. They agreed that soil fertility is a combination of many interacting factors, which depend on temporal and spatial dimensions and social and biophysical settings. Water availability was regarded as essential for soil-fertility status. Livestock play a very important role too due to the nutrients returned to the soil via manure. The study has shown that the numbers of livestock per household have been declining over time in the watershed. The farmers stated clearly that labour availability on the farm contributes to soil fertility (caring for the land, tillage, and crop husbandry). Soil-fertility management problems Farmers face different soil-fertility management problems such as: increasing competition on grazing and pasturelands, steepness, stoniness of the soils, dependency on rain water, shallow topsoil layers, lack of chemical fertilizers when needed, shortage of labour, landownership, and size of holdings (Table 2).
Table 2. Ranking of soil-fertility management problems
Criteria Farmers importance ranking 1 2 3 4 5 6 7 8 9 10 11 12 13 Farmers choice index 0.84 0.79 0.73 0.72 0.66 0.61 0.56 0.54 0.51 0.49 0.45 0.43 0.37

General degradation of forest Decreasing livestock population Insufficient water for irrigation Increasing competition on forest and grazing land Steepness of land (less steep is better) High dependency on rain water Shallow soils Exposed bedrock Lack of chemical fertilizers when needed Shortage of labour Stony soils Land ownership Small land-holdings Source: Field survey (2001) N = 55 Note. The higher the index value, the more important the problem

Respondents were asked whether they ranked soil-fertility management problems negligible or no problem, least problems, indifference, severe problems, and very severe problems. Their responses were weighted 0.0, 0.25, 0.50, 0.75, and 1.00 respectively and an index value was calculated. Gender Gender is the concept that deals with the role and relationships between men and women, which are determined by the social, cultural, political, and economic context and not by biology (ICIMOD, 1997). The involvement of men and women in the different soil-fertility management practices was uniform 840

in the whole watershed area. Women mostly collect forest litter from the forest. Processing and application of manure in the field is also assigned to women (Table 3). Transportation of the manure to the field is supposed to be done by men but because of mens involvement in off-farm work, women have to do this. The tasks of the men are: construction; repairing and scraping terraces; constructing and maintaining irrigation canals; and making structures to collect silt and soil. Table 3 shows the frequency of the farmers responses on gender participation in the different soil-fertility management activities. Men mostly manage irrigation while womens roles in the management of residues are higher. Crop residue collection, burning, and weeding on the terrace-risers are other tasks for women (Table 3).
Table 3. Farmers responses on soil-fertility management activities by gender
Activities Transportation of manure to fields Carrying leaf litter from forests Terrace-riser cutting Terrace construction and repair Application of manure in the field Application of chemical fertilizer in the field Compost making Residue management Irrigation management Source: Field survey (2001) N = 55 Male % 5 18 13 76 20 73 18 22 85 Female % 7 56 25 4 53 4 49 58 4 Both % 87 25 62 16 44 20 33 20 11

Indigenous and locally adapted soil-fertility and land management practices Farmers have been practising different ways of management to keep their soil fertile over time. They use their natural resource base in order to sustain crop productivity. Indigenous knowledge on soilfertility management practices depends on local socio-economic, biophysical, and institutional settings. Resource availability, farmers knowledge of resources, and the set-up of the society are key factors for the management of farm resources. Several indigenous soil-fertility management practices are used in the watershed. In the Hills of Nepal soil erosion contributes significantly to plant nutrient losses. Farmers have developed different methods to control soil erosion and conserve plant nutrients. Terracing and contour farming are common practices to control soil erosion in the area. Stone walls are used to reinforce the terrace walls against collapse. The farmers use stones, bamboo poles, and other wooden materials to protect their terraces against erosion damage. Planting trees along the fields boundaries, and grass on the terrace-risers and along the terrace bunds are common measures to control soil erosion and prevent plant nutrient losses in the watershed. Cropping patterns and rotation The cropping pattern depends on the type of land. Rain-fed land is dominant with mixed cropping, i.e. different crops are grown in the same season because of the lack of water during the dry season. The study revealed that the farmers are aware of crop rotation and its contribution to soil-fertility management. Farmers are more frequently including legume crops in their cropping systems. Farmers stated that groundnuts, soybeans, cowpea, and black gram (leguminous crops) could be grown in the non-fertile soil.

841

Residue management Generally, crop residues are used for livestock feed. What remains on the fields, e.g. stubble of crop residues and weeds are incorporated into the soil. However, most frequently the residues are burned. Farmers believe that residues also help to maintain the soil-fertility status of the fields. The farmers believe that burning of the residues helps to increase plant nutrients and minimize weed infestation on the fields. Another reason for burning the residues is to reduce insect populations and other pests, especially rodents. Farmers also collect litter from the forest, spread it over the fields, and burn it. Mulching The farmers consider mulching appropriate for the drier land where weed infestation is high. It is commonly practised in the watershed but depends on the availability of the local mulching materials. Mulch materials are collected and spread over the soil surface between rows of crops or they are spread on tree trunks. Mulching is also practised in paddy seedbeds and in taro fields. Commonly used mulching materials are weeds, fallen leaves, crop residues, fodder leftovers, and twigs (ghasauta ). Leaves and twigs of Asuro ( Adhatoda vesica), Dhairo (Albizzia sp.), and Titepati (Artimisia vulgaris) are chopped and used as mulches. Similarly husks of soybean (Glycine max), black gram (Phaseolus vulgaris), maize (Zea mays), and wheat (Triticum aestivum) are also used as mulches. Rotten thatch is also considered to be very good mulch material. A few farmers remarked that mulching leads to problems with termites feeding on the mulching materials, which provide good habitat for termites. However, this was not considered a major problem in the watershed. Some mulch materials (particularly leftovers of fodder branches) are used as a fuelwood. Green manuring Green manure plays as integral role in the farmers overall fertility maintenance strategies. Farmers have used green manure for a long time to maintain soil fertility. Most of the green manure used in the watershed is supplied by cut and carry but some farmers have started planting and ploughing-in green manure plants directly in their fields. The traditional system of green manuring is to cut young leaves and twigs of the green plant and carry the materials to the field. These traditional systems have been shrinking because of the decreasing trend of planting for green manure and increasing competition for plant species in the communal lands. The common plant species used as green manure are: Asuro (Adhatoda vesica), Titepati (Artimisia vulgaris), Khiro (Writia spp.), Khirra (Sapium insinge), Dhurselo, Dhairo (Albizzia sp.), Utis (Alnus nepalensis), Maowa, and Guayalo. Other plants like Dhaincha (Sesbania sp.) and sesame (Sesamum indicum) are also used as green manure. Farmers are aware that green manure helps in increasing soil organic matter (OM) and improving the soil quality. Farmyard manure and compost Farmyard manure (FYM) is the most important source of plant nutrients applied to the soil by the farmers in Nepal. Every household in the watershed used FYM and compost on their farmland. Indigenous methods of FYM preparation and utilization have been developed for a long time. FYM is a mixture of dung, urine, litter, and agricultural and household wastes, including ash from cooking fires. The whole process of FYM preparation and storage takes place within or near the animal sheds. The study also found that FYM and compost use was much more common in the Bari land as

842

opposed to the Khet land. The study showed that the use of FYM in the watershed is a key contributing factor to soil fertility. In situ manuring In situ manuring is the practice of manuring fields by keeping the animals directly on the fields. Farmers stated that they prefer this system of manuring because it requires less labour than that required for carrying the FYM to the fields. There are two types of in situ manuring in the watershed: in situ manuring by keeping animals on the fields and in situ manuring by using nomadic flocks of sheep and goats. Farmers think that in situ manuring is appropriate for remote fields, where carrying the manure is difficult and time consuming. Chemical fertilizers The use of chemical fertilizers in the watershed is lower than the national average (CBS, 2000). The timely availability of chemical fertilizers is the main problem stated by the farmers. The main chemical fertilizers used by the farmers are urea, diammonium phosphate (DAP), muriate of potash (MOP), potassium sulphate, single superphosphate (SSP), double superphosphate (DSP), and triple superphosphate (TSP). From the sustainability point of view, it is not a preferred practice as it has a long-term effect on soil fertility. For chemical fertilizer, farmers have to depend on traders and the Agricultural Input Cooperation (AIC). The trends of fertilizer use also showed that the farmers are shifting slightly from organic manure towards the use of chemical fertilizers Agroforestry Planting of trees on the farm with annual field crops is an old practice in the watershed. Farmers responded that trees in the farmland had been planted, conserved, and managed since long ago. Growing perennials on farmland has both positive and negative effects on the soil-fertility status and the crop yields. Most of the farmers plant trees on Bari land because of proximity to the homestead and easy transport of fodder. The agroforestry systems found in the watershed are conventional. The trees are all indigenous species that their ancestors used. Leguminous fodder trees could not be found in the farmers fields during the field survey, except for a few species of Bauhania that were found in some parts of the watershed. The major fodder trees grown in the farmers fields are Berulo (Ficus clavata ), Timilo (Ficus semicordata ), Tanki (Bauhania purperai), Koiralo (Bauhania varigata ), Khanyo (Ficus cunia ), and Simtaro (Wendlandia exserta ). Terrace-riser cutting Farmers feel that terrace-riser cutting also contributes to enrichment of the soil with nutrients. Generally the terrace-riser cutting takes place once a year on the level bench terraces (rice-based Khet land) and less commonly on the Bari land (maize/wheat based). The longer the fallow period between the terrace-riser cutting, the better the soil fertility is in the terrace-riser area. Cutting provides small but significant amounts of organic matter to the field from the vegetative materials in the risers. Scraping of the risers also reduces the consumption of fertilizers and provides an additional layer of weathered soil on the terraces. Terraces in the rice-based irrigated land are cut during the transplanting of the rice. Upland terraces are generally cut during the winter season particularly before maize is planted. 843

Cutting is done once a year in the irrigated terraces and every one to five years, or even longer in the upland terraces. Farmers deliberately grow fodder and grasses on the terrace risers. This helps to stabilize the terraces and provides fodder for livestock and organic matter for the fields. Terracing Terraces are important for upland management, primarily because of their ability to substantially reduce erosion and make tillage and other agricultural practices much easier. Irrigated rice terraces are flat and bunded, whereas rain-fed terraces are usually gently convex or sideways sloping so as to join terraces at different levels. Terraces are the most common measure of soil conservation in the study area. All the farmers know how to construct and maintain terraces to conserve soil and the fertility of the soil. In areas where land is being converted to cropland, new terraces are being established. Bari land terrace risers are found vegetated with grass and fodder trees to provide fodder for the farm livestock. In the Khet land the terrace-risers are made of stone walls with no vegetation. Stone walls are used primarily to prevent the breaking and collapse of the terrace-risers. Khet land terraces are scraped annually to free them from weeds and primarily to reduce infestations of rodents; and also to add soil organic matter. In the Bari land, scraping of the terrace-risers depends on the farms condition but basically it is carried out at intervals of one to five years. Floodwater management Farmers believe that the first rainfall is very beneficial and therefore it is good to channel the first floods into the fields because they carry a significant amount of plant nutrients. This practice is common in the lower and the middle parts of the watershed. Farmers have a specific term bhalkulo (bhal = flood and kulo = canal) for the management of floodwater. Farmers practise bhalkulo to manage the rain water, individually or as a community. Bhalkulo is a very common method for flood management in the area. Tillage Many farmers said that the exposure of bedrock was a problem for tilling and managing soils. Traditional ways of ploughing the land are common; because of the steepness of the slopes, using modern equipment like tractors and planters is almost impossible. Tillage operations vary with the crops to be cultivated. For maize, farmers plough the land once because of the dry conditions and the possible start of premonsoon rain, which can cause soil erosion. After tillage, they immediately level the land and plant the maize seeds. For rice cultivation they puddle the soil before transplanting the rice seedlings. In wheat cultivation, the land is tilled two to four times to loosen the soil structure and to mix the residues and leftovers into the soil. Rainfall has ceased at the time of wheat seed broadcasting so the farmers till the land many more times than in the maize crop. Manure and fertilizer ranking Farmers believe that the use of organic matter helps to improve soil health. They prefer goat and sheep manure to cattle and buffalo manure. They believe that goat and sheep manure has a better effect on crop yields. Generally, farmers rate chemical fertilizers less highly than other organic sources of nutrients. Farmers do not believe that crop residues are good for soil-fertility (Table 4).

844

Table 4. Farmers ranking of usefulness of fertilizer and manure

Fertilizers/manure Goat and sheep manure Chicken manure Oil cake (mustard oil cake) Cattle and buffalo manure Green manure Chemical (mineral) fertilizers Crop residues Importance ranking 1 2 3 4 5 6 7 Index 0.89 0.88 0.69 0.66 0.62 0.45 0.33

Source: Field Survey N = 55 Note: Respondents were asked whether they rank the usefulness of manure and fertilizers with dont-know, not good, fair, good and best. And their responses were weighted 0.25, 0.0, 0.50, 0.75, and 1.00 respectively and the index value was calculated.

Fertility status of the farmland The soil-fertility status of the farmland depends on the farming practices. Soil-fertility management issues are becoming critical for the productivity of the land in the Hills of Nepal, where population pressure is high. Manure and fertilizer use Livestock numbers (unit) per household determine the amounts of manure use on the farmland. A positive correlation was found between livestock numbers and FYM application. Similarly a negative correlation was found between livestock numbers and the use of chemical fertilizers. Farmers use less chemical fertilizers when they have more livestock that produce FYM. Cattle and buffaloes produce the bulk of the manure. However, sheep and goats are also important sources. Pigs and poultry contribute insignificant amounts. Use of FYM is significantly different in Khet and Bari land. The main reason is proximity to the homestead. Farmers believe that the maize crop removes high amounts of plant nutrients from the soil therefore they need to apply more nutrients to balance the soil-fertility status. Total N Nitrogen (N) is the key crop macronutrient. The range of the total N in the sampled soils was 0.083 to 0.223 percent. Bari land has slightly higher N content than Khet land (Figure 2). This is attributable to higher FYM and compost use, which increase N levels. Khet lands are irrigated thus the N losses through leaching and runoff are high. Whereas N losses in Bari land are lower (less leaching effect).

845

Khet

Bari

0.115

0.12

0.125

0.13

0.135

0.14

Nitrogen in % (0- 20 cm soil depth)

Figure 2. Nitrogen content in Khet and Bari land

Significant (P = 0.15) Source: Field survey (2001)

Phosphorus Small seedlings benefit from a good phosphorus (P) supply. The available P in the soil is very limited although there are high levels of total P. Soil tests have shown that phosphorus in the Bari land is higher than in the Khet land. Most of the analysed soil samples had lower ranges of P content. However, P content varies greatly because it depends on soil conditions. Soil pH has a crucial role in P availability. The reason for higher P content in the Bari land could be high OM content that provides significant amounts of P. Potassium Most potassium (K) in plants is found in the aboveground portion of cereals and oilseeds, mainly in the straw. Therefore, if crop residues are returned to the soil, a good proportion of the K is conserved. In soils, K is part of the mineral structure of many clay minerals particularly micas. The soil tests showed that K content is significantly higher in Bari land than in Khet land because of crop residues returned to the soil. Soil pH The lowest pH was found in Khet land and the highest was found in Bari land. On average the pH in the Bari land was higher than in Khet land, that is 5.6 and 5.2 respectively. Irrigation is responsible for lower pH in Khet land (Bari land is rainfed). Organic matter Soil sample analysis has also shown that the soil OM content in Bari land (2.69 percent) is significantly higher than Khet land (2.08 percent). Most of the soil samples had low OM content. Only a few samples had medium OM content. The use of FYM and compost as well as in situ manuring is higher in Bari land than in Khet land; this adds significant amounts of OM to the farmland.

846

Bulk density Bulk density is a measure of the compactness of the soil, and therefore relates to the pore size distribution, indicating the degree of water-holding capacity and soil aeration. Soil-organic management and tillage practices can modify bulk density. Bulk density is higher in Khet land than in Bari land because of the higher OM content in Bari land and the tillage practices in the Khet land, where puddling is common. Rooting depth The rooting depth of the soil is higher in the Khet land than in the Bari land. Rooting depth in Bari land ranged from 35-71 cm whereas in Khet land this was 3877 cm. Soil erosion is higher in Bari land because of the sloping and outward terraces; in Khet land soil erosion is minimal because of the level terraces. Usually Khet land receives insignificant amounts of eroded soils, being at a lower elevation. The convex terraces on Bari land are more prone to soil erosion. Nutrient balance in the farmers fields Assessment of the nutrient balance varies with methods and information available. This assessment focuses only on the nutrient balance by crop uptake. Fertilizer-use varies greatly from place to place, being dependent on economic conditions, numbers of livestock in the farm, access to forest resources, and access to the market. There is a significant difference of inputs in Khet and Bari land. The nutrient balance is negative in Khet land whereas in Bari land the balance seems positive. The overall nutrient application rate is higher in the Bari land. However, the Bari land has more complex cultivation systems. Crop yield dynamics and soil fertility The dynamics of crop yields are discussed in relation to the crops planted, varieties used, and the use of organic and inorganic fertilizers. The land-use changes reported by the farmers are also discussed. Crop yield trends The yields for rice, maize, and wheat were identified. The yields were compared from four different time periods, i.e. 40 years ago, 20 years ago, 10 years ago, and at present. The comparison showed the yields were declining over time. The highest crop yields were 40 years ago and the lowest at present. The reasons for the declining crop yields as perceived by the farmers are: 1) decreasing use of FYM; 2) increasing cropping intensity; 3) decreasing livestock numbers that are ultimately resulting in reduced FYM availability; and 4) decreasing in situ manuring due to nomadic flocks of sheep and goats. The increase in the use of marginal, less fertile lands for agriculture is another reason given by the farmers for declining crop yields. Although the average yields have declined over time, a very few farmers reported increased yields during the recent past as a result of improved varieties and the use of chemical fertilizers. These farmers also reported that the availability of improved seeds and chemical fertilizers when they are needed is an important parameter that determines crop yields.

847

Trends in the use of crop varieties Farmers are aware that crop varieties are very important determinants of crop yields. Scientifically, the basic tenet of the potential yield (Y) is the combined effect of genotype (G), environment (E), and management (M) commonly referred to as Y = G * E * M. In former times the sole sources of seeds for the farmers were their own fields. Later the District Agricultural Development Office (DADO) introduced some improved maize, rice, and wheat varieties. Still, farmers are reluctant to use the new varieties due to yield uncertainty and risk aversion. As mentioned earlier, a few farmers have reported increased yields due to the use of high yielding varieties (HYVs). But some farmers pointed out that the use of HYVs has a negative impact on crop yields; yet there is an increasing trend to use improved varieties For the three major crops, the most important points raised by the farmers are: The improved rice varieties are risky to use because they ripen earlier than local varieties and during a period when rain can still be expected. Therefore they do not use the improved rice varieties. The ripening time of the improved maize is longer than the local maize varieties. The colour of the seed and the taste are reported to be inferior compared to local varieties. This is why the majority of the farmers keep growing the local varieties. Farmers using local varieties select seeds for the next crop in their fields and on their farm. Generally, farmers select the superior grain panicles or cobs or pods. They select them on the basis of better appearance. For wheat, most of the farmers agree that the local varieties are better than the improved ones. Local wheat varieties are awn-less. Therefore, hailstorms are less damaging; whereas improved wheat varieties have awns, which are prone to damage. Hailstorms are the main threat to growing wheat, particularly during the wheat-harvesting season (April-May). Trends in use of plant nutrients for soil-fertility management The older farmers are the knowledge-sources on the trends of manure use and the adoption of crop varieties. Chemical fertilizers were introduced only within the last 20 to 40 years. Limited agricultural land and limited nutrient sources for plant growth are crucial issues in the watershed. FYM, in situ manuring, and green manuring were the most common practices in the past. In recent years farmers are mixing chemical fertilizers with FYM. No farmer has used FYM only in recent years. Crop yield and walking distances to the fields Crop yields are affected by increasing walking distances. The general trend is that near the homestead, farmland gives higher yields. This is because it is easier to take care of the land and manure use is higher. There is a major yield difference between walking distances of 20-45 minutes and more than 45 minutes. Nutrient use and walking distances to the fields Usually farmers apply FYM to fields that are near their homestead because it is difficult to carry it long distances due to its weight and quantity, thus requiring much labour. On the land distant from the homestead, farmers usually construct temporary sheds to house animals; here they prepare FYM and compost for application to the field near the shed. In situ manuring by leaving animals overnight on the fields is also common. Nowadays, a few farmers use chemical fertilizers, particularly on the Khet land distant from the homestead; they also apply other nutrients within or near the homestead. Farmers also use chemical fertilizers on the fields near to the homestead, but the amounts they apply are smaller than on the remote fields. 848

Land capability and existing land use Each land unit has a limited capacity to produce yield under the given environmental conditions. The Land Resources Mapping Projects (LRMP) carried out soil surveys, land capability mapping, and resource mapping in Nepal in 1978. The LRMP has made a land capability map with seven major classes. These classes are suitable for horticultural crops and natural forests. From the agricultural perspective, almost all the land is unsuitable for agriculture, particularly crop production. According to the land capability classes, very few lands are deemed suitable for crop production with conservation measures and for (non-tillage) horticultural crops. According to the land capability classes in the area, lands are being used beyond their capacity. Land-use trends Land-use change from forest to Bari and Khet land was high before 1964. Subsequently, land conversion declined because of the limited availability of land suitable for agriculture. Forty years ago the land area comprised mostly forest, pasture, and grazing land. Farmers had no problems of fodder and forage shortage for the livestock. The land under forest, pasture, and grazing lands was partly converted into agricultural land. Some of the forest was cut down for domestic purpose by the local people and became degraded forest area. The history of Khet land use and Bari land is very important from the trend analysis point of view. Over the past 40 years, 18 percent of the farmers converted forest lands into Khet land. While assessing the history of Bari land it was found that 18 percent of the respondents had converted their Kharbari to Bari land since 1964. An equal number of respondents also pointed out that they converted barren land to Bari land during the same period of time. Farmers and scientific approaches to soil-fertility assessment (SFA) Scientific approach of soil-fertility assessment refers to an approach based on laboratory analysis of the soils to identify their level of plant nutrients, and other important soil characteristics. The tools used by the scientist to assess soil fertility are sophisticated, precise, specific, reliable, and costly and therefore not always readily available to the farmers. Therefore, farmers have developed their own systems to identify and assess the fertility of their lands. The term farmers soil-fertility assessment approach refers to a system based on the soil parameters identified and evaluated by the farmers on the basis of their indigenous systems. Regression analysis based on scientific approach to SFA The scientific approach involves the estimation of the crop yields on the basis of the plant nutrient content in the soils. The yield is a function of several interacting factors, like N, P, K, OM, calcium, pH, CEC etc. However, for the present study only N, P, K, and OM are used for yield estimations. The general regression model describing the relationship between the yield level and the soil fertility parameters is:

Y =

f ( a + b1 N + b2 P + b3 K + b 4OM )

Where Y = yield a = intercept N, P, K and OM = independent variables b1 , b2 , b3 and b4 = coefficients of N, P, K, and OM respectively

849

Based on the field data from the study area, the following regression equations have been derived for maize, wheat, and rice yield levels with respect to the N, P, K, and OM content in the farmers fields (Table 5).

Ym = 7. 5 + 86.3N + 0.02P 0.0063K + 1.30OM Regression equation for maize yield

Y w = 9 .5 + 74. 55 N + 0.01P 0.003 K + 0.98OM Regression equation for wheat yield Yr . = 11.36 + 33.28N + 0.29P + 0.003K + 0.15OM Regression equation for rice yield
Where, Ym = maize yield, Yw = wheat yield, and Yr = rice yield (all in pathi/ropani) 1 ropani = 0.05 ha

Table 5. Significance values for crop yields and N, P, K, and OM levels

Maize Constant Model N P K OM R square R *Significant (P = 0.1) **Significant (P = 0.05) ***Significant (P = 0.01) 0.067* 0.043** 0.012** 0.042** 0.11 0.27 0.56 0.74 Wheat 0.033** 0.11 0.032** 0.14 0.38 0.48 0.46 0.68 Rice 0.006*** 0.07* 0.24 0.003*** 0.73 0.92 0.51 0.71

The results show that N has a significant effect on wheat and maize yields but has no significant effect on rice yields. Rice fields are irrigated and there is a possibility of losses of N through leaching so that the plants cannot make use of it. Phosphorus seems significant in rice and maize but not significant for the wheat yields. Potassium has no significance in yield level for all crops. Organic matter is also found to be non-significant for the crop-yield levels. Organic matter is also an important component for soil-fertility management. However, the quality of OM plays a crucial role in crop productivity. Well-decomposed soil OM provides nutrients to the plants, whereas poor quality OM that is not well decomposed cannot do this. Regression analysis based on farmers approach to SFA Farmers have their own way to identify the factors that contribute to crop yields. Their assessment of crop productivity and soil fertility is not so specific and cannot be generalized. Most of the farmers identified slope, soil colour, soil texture, and soil structure as the main determining factors for crop yield (Table 6).

850

The general regression model based on farmers soil-fertility parameters for crop yield is

Y=

f (a + slope + color + soil

texture and

soil

structure)

The following regression equations have been derived from the farmers assessment of the soils:

Yr = Ym = Yw =

12 . 1 0 . 27 S + 2 . 7 C + 0 . 25 ST 19 . 7 1 . 8 S + 1 . 5 C + 0 . 08 ST 22 . 7 1 . 8 S + 1 . 35 C 0 . 38 ST

Regression equation for rice

Regression equation for maize

Regression equation for wheat

Where, Ym = maize yield, Yw = wheat yield, and Yr = rice yield (all in pathi/ropani) S = slope, C = colour, ST = soil texture and soil structure

Table 6. Significance values for crop yields and farmer-identified parameters

Maize Constant Model Slope Colour Soil structure and soil texture R R square *Significant (P = 0.1) **Significant (P = 0.05) ***Significant (P = 0.01) 0.0001*** 0.002*** 0.01*** 0.03** 0.89 0.82 0.67 Wheat 0.00002*** 0.002*** 0.006*** 0.05** 0.53 0.82 0.68 Rice 0.06* 0.02** 0.78 0.007*** 0.78 0.73 0.54

Table 6 shows that the slope is a significant contributor for maize and wheat yield levels. This implies that the higher the slope the lower the yields on sloping land, where soil losses and plant nutrient losses are high. Mostly Bari lands are on sloping lands and terraces are not well maintained. In the case of rice yields, the slope has no significant effects. Almost all Khet lands are level terraces with bunds where soil loss is insignificant. The results reveal that slope influences the yield level in the Bari land but not in the Khet land. The soil colour was a significant parameter for all crop yields. From experience, farmers know what type of soil colour is related to a good production capacity. The regression analysis also shows that there is a significant correlation of soil colour with yield levels in both Khet and Bari land. Farmers believe that soil colour is a good indicator for estimating soil-fertility levels. Farmers stated that black soil is better for agriculture than white soil; this also holds true scientifically. Black soil usually has a high organic carbon content and a higher CEC than white soil. Soil texture and soil structure have no significant effect on yields. However, farmers believe that soil texture and structure are also an important factor for crop yields. The R-value is higher in each regression model for the farmers approach than for the scientific approach. It can therefore be concluded that the soil-fertility parameters identified by the farmers have a higher predictability for crop yield. 851

Fertility indices and crop yield The plant nutrient (N, P, K, and OM) contents in the soils of the study area were ranked according to the government rating systems at very high (4), high (3), medium (2), and low (1). Interpolation was done for values between the ranges. Then an overall soil-fertility index comprising N, P, K, and OM levels was calculated and termed as the scientists soil-fertility index. Farmers were asked to rank each parameter with very high (4), high (3), medium (2), and low (1) in relation to the soil-fertility level of the particular site.

30 25 20 15

Rice Yield (Pathi/roapni)

y = 6.5943x + 7.1239 2 R = 0.3564

10 5 0

1.0

1.5

2.0

2.5 Scientists' Fertility Index

3.0

3.5

4.0

Figure 3. Rice yield and scientists fertility index

Rice Yield (Pathi/roapni)

3 0 2 5 2 0 1 5 1 0 5 0
1.0 1.5 2.0 2.5 3.0 3.5 4.0

y = 3.5545x + 9.9545 2 R = 0.646

Farmer's Fertility Index

Figure 4. Rice yield and farmers fertility index

This was termed the farmers soil fertility index. Both the farmers and scientists soil-fertility indices show significant correlation with yield levels. However, the coefficient of determination (Rsquare value) is very small, which indicates that they have only a weak positive correlation. The value of the coefficient of determination is higher in the case of the farmers index than the scientists index. Figures 3 and 4 show the farmers and scientists soil-fertility indices with rice yields. Similarly, the results show that the farmers are more accurate than the scientists in predicting yield level using their 852

assessment criteria. Also there is higher significance of the farmers fertility index than the scientists fertility index for all crops. Farmers and scientists predicted regression line It is very important to know whether farmers and scientists expectations are juxtaposed for predicting crop yields. However, the methods for the assessment of the soil-fertility status are quite different. The scientists expected yield level and the farmers expected
( ipeal t Projected y ay nifarmers' assessment dh i / r o)p b

30

25

P < 0.25 r = 0.37 Wheat Maize r = 0.61

20

15

P < 0.011 Rice r = 0.64 P < 0.006

10

Id ea l li ne
5

10

15

20

25

30

Projected yield ( pathi/ropani) by scientists' assessment

Figure 5. Farmers and scientists projected crop yields

yield level show that the farmers and the scientists are significantly closer in rice yield prediction than for other crops. The R-value of 0.64 indicates that there is positive but not so strong correlation (Figure 5). Similarly, maize farmers and scientists predictions agree that there is also a positive correlation; however, there is not a strong correlation. In the case of wheat, the R-value is very low (i.e. 0.37) which indicates that there is no significant relationship between the scientists and the farmers yield prediction. Conclusion The cropping pattern in the area is dominantly cereal based. The major crops are maize, wheat, and rice. The household economy is subsistence based. However, significant numbers of households are marginal because of small land-holding sizes with low-fertility farmland and large numbers of family members. The average family size in the area is 7.2, which is higher than the 5.4 of the national average. The productivity of the land is far below the national average. The existing land-holding size can hardly supply the family food requirements. Farmers realize that land is the most important factor for their livelihood. Soil-fertility status is the most crucial factor for agriculture. According to the land capability classes, very little truly arable land exists in the area. The farmers are practising agriculture

853

because they have no alternatives for their livelihoods. Soil-fertility management practices are critical issues. Traditional soil-fertility management is diminishing because of changing technological and socio-economic conditions in the area. The results from the correlation and regression analyses have shown that the farmers assessed soil productivity levels and the scientifically assessed soils are positively correlated. The regression analyses have proven that the farmers soil-fertility index and the scientists soil-fertility index are only close for rice and maize production. Literature cited Basnyat, B.B. 1995. Nepals Agriculture Sustainability and Intervention: Looking for New Directions. Ph. D. Thesis, Wageningen University, 1995. CBS. 2000. Statistical Year Book of Nepal. Central Bureau of Statistics, His Majestys Government National Planning Commission Secretariat, Kathmandu. DSWCO. 1996. Sub-Watershed Management of Plan of Taraghat Khola Sub-Watershed, Dailekh District. District Soil and Water Conservation Office. Gilmour, D.A & Fisher, R.J. 1991. Villagers, Forests, and Foresters: The Philosophy, Process and Practice of Community Forestry in Nepal. Sahayogi Press, Kathmandu. ICIMOD. 1997. Nepal: Economic Policies for Sustainable Development. International Center for Integrated Mountain Development, Kathmandu. MFA/HMG/N. 1981. Nepals Experience in Hill Agricultural Development. Ministry of Food and Agriculture, HMG/N, Kathmandu Nepal. Proceedings of the Seminar on Nepals Experience in Hill Agricultural Development March 30 to April 3, 1981. New ERA. 1986. District Profile Study of Dailekh. New ERA, Kathmandu. Pandey, N.D. 1995. The Impacts of the Farmers Practices on Soil Fertility Management: A Case Study in Dhading Besi Area, Middle Mountain Region, Nepal. AIT Thesis No: AE-95-44. Asian Institute of Technology, Bangkok, Thailand. Rai, N.K & Thapa, M.B. 1993. Indigenous Pasture Management Systems in High-Altitude Nepal: A Review. HMG/N and Winrock International, Research Report Series No: 22 Kathmandu Nepal. Regmi, P.P. 1999. Economic Analysis of the Farming Systems of Shivanagar Village, Nepal: A Linear Programming Approach. Master Thesis, HS-92-26. Asian Institute of Technology, Bangkok, Thailand.

854

Integrated Watershed Management: Studies and Experiences from Asia

Edited by Michael Zoebisch, Khin Mar Cho, San Hein & Runia Mowla. AIT, Bangkok, 2005

TRADITIONAL COTTAGE INDUSTRY DEVELOPMENT IN THE UPPER ANDHIKHOLA WATERSHED, NEPAL: PROBLEMS AND PROSPECTS Megh Bahadur Nepali1

Introduction The middle mountains of Nepal, hereafter referred to as the hills, are geologically young and fragile; the growing population has accelerated pressure on agriculture and generated forest encroachment, leading to soil erosion and fertility decline. As a result, watersheds are undergoing numerous problems such as soil erosion and landslides. Small land-holdings combined with scarce off-activities have exacerbated poverty. It is believed that more than 42 percent of the mountain people in Nepal are living below the poverty line (NPC, 1998). For sustainable mountain conservation and development there is a need to alleviate pressure on agriculture through the promotion of cottage industries. Bhattachan (1997) stated that traditional artisans remain in a medieval world. Small-scale garmentmaking, shoe-making, farm equipment manufacture, metal pots, and ornaments, can help to generate employment and income opportunities for mountain people. While off-farm activities can make an important contribution to watershed conservation and development, watershed management projects implemented in Nepal have constantly neglected their promotion. The overwhelming majority of mountain people in Nepal depend on agriculture for subsistence (MOF, 2000). Despite strenuous efforts they have not been able to increase production and satisfy basic needs due to limited crop production and scarce off-farm employment opportunities. Some of the progressive farmers in favourable locations have adopted new technologies, like improved varieties of crops and breeds of livestock to increase their household income, but due to lack of marketing facilities they have not been able to benefit from these activities. Traditional artisans like blacksmiths (Kami ), goldsmiths (Sunar), tailors (Damai), and cobblers (Sarki) are some of the groups traditionally engaged in cottage industries because land was not allocated to them for their profession in antiquity. With the growing influence of the market economy over the years, such practices have gradually dwindled, as villagers can buy readymade agricultural equipment and garments at local market centres. Nowadays most of the local artisans are confined to repair and maintenance of used clothes, old shoes, and old agricultural equipment. Little attention has been paid to promoting indigenous small industries. The local moneylenders charge very high interest rates for the loans that they provide to local entrepreneurs. In the past, some attempts were made to improve rural industries. The Department of Rural Cottage Industry Development as well as some NGOs conducted skills development training in different districts. Cottage industries need to be developed to create employment and income opportunities for watershed settlers. In particular, the increased income will generate demand for different kinds of services, which will provide work for unemployed and partly employed people. The main objective of this study is to examine the prospects for the promotion of selected cottage industries.

MSc. Thesis (Ref. No. RD-02-15), Asian Institute of Technology, Bangkok, Thailand. August 2002. Examination Committee - Dr. Gopal B. Thapa (Chair), Dr. Soparth Pongquan, Dr. B.W.E.Wickramanayake

911

Study area profile Syangja is a mountain district. Prithibi Highway is located in the Western Development Region of Nepal and passes through the middle of the district. The total area is 1 076 km2 . There are two municipalities and 60 village development committees (VDCs). The study area, the upper Andhikhola Watershed, covers three sub-watersheds of three small tributaries namely the Phedikhola, Badkhola, and Andhikhola. The watershed covers 14 VDCs and one municipality. Even though the study area is small, the biophysical and socio-economic environment varies from place to place (Figure 1). Topography and climate The topography is mountainous ranging in elevation from 750 to 2 000 metres above sea level (masl). The lowest altitude is 750 masl at the banks of the Andhikhola. In general, temperature and precipitation vary with elevation and slope aspect. Below 1 000 m, the climate is sub-tropical. These are mostly river valleys and lower ridge slopes where the annual average temperature is above 20C. A warm humid climate is found between 1 000 and 2 000 m. Most agricultural land is found in areas with subtropical and warm climates. Cooler temperatures are found over 2 000 masl. The annual average temperature is between 10 and 15C.

Study area

Figure 1. Location of the study area in Nepal

912

Distribution of households and population The distribution of the occupational and other ethnic groups in the different VDCs of upper Andhikhola Watershed is shown in Figure 2.
16 %

Skills development training A total of 598 women were involved in advanced garment training conducted by the cottage development committee of Syangja. A maximum of 225 Brahmin women but only 27 women from the tailoring ethnic groups were trained, indicating a strong ethnic training bias (Figure 3).
84 % Others Occupational

Figure 2. Distribution of households of occupational and other groups

Women's involvement in the garment training programme

Number of people trained by ethnicity

250 200 150 100 50 0

225 132 27 Brahmin Chhetri

Ethnic groups

214

Tailor

Others

Figure 3. Womens involvement in the garment training programme

Traditional cottage industries Rural entrepreneurs found it difficult to support themselves via their trade alone. Therefore, they had to identify another occupation to make a living. Livestock, agriculture, and labour were common sources. On average, cottage industries contributed 83 percent of the households income whereas income from agriculture, labour, and livestock raising amounted to 9 percent, 5 percent, and 3 percent respectively (Figure 4).

Derivation of income Agriculture 9% Livestock 3% Rural industries 83 % Labour 5%

Figure 4. Mean distributions of income sources for rural entrepreneurs

913

Table 1 lists the different land-holdings of rural entrepreneurs.

Table 1. Land-holdings of rural entrepreneurs
Land type Khet Bari Kharbari Khet rented Bari rented 20 ropani = 1 hectare Khet = lowland; Bari = upland Frequency (n=60) 11 20 4 2 2 Percentage 18.3 33.4 6.6 3.3 3.3 Average land-holding (in ropani) 0.80 0.89 0.18 0.03 0.03

The occupational ethnic groups had basic income from the land whereas other ethnic groups depended mainly on agricultural production. Farmers grew rice, wheat, potato, maize and millet. The cropping pattern was rice + wheat, rice + potato, rice + wheat + maize, rice + potato + rice in Khet whereas maize + millet relay cropping characterized Bari. In some areas where it was climatically feasible, fruit trees were grown and generated some cash income from fruits like oranges. Livestock Most of the farmers raised buffalo and bullocks in the watershed area. But cottage industry entrepreneurs raised very few animals and the income from animal products and animal sale was very small. Overall, the economic contribution from livestock was 3 percent per annum for rural entrepreneurs (Figure 5).

Average cash contribution NRs

5000 4000 3000 2000 1000 0

4594

841 Large ruminant Small ruminant

1340 216 Pig Birds

Figure 5. Mean income derived from livestock

Family size and age structure The mean family size of the responding households was seven. Seven percent of males and 8 percent of females were below five. Fifteen and 13 percent of males and females were between six and fifteen; the economically active male population mean was 26 percent and 25 percent for females. Three percent of males and females were above 61.

914

Educational status of the family members The percentages among men for zero schooling, primary level, and secondary plus higher secondary level attainment were 24, 41, and 35 respectively. For women in the cottage industry, the percentages were 46 (zero schooling), 30 (primary passed), and 24 (secondary plus higher secondary education attainment) (Figure 6).
Education status of the people in the rural industry
50 40 30 20 10 0 41 24 46 35 30 24

Number of people

Male
Noschooling Primary

Female
Secondary + higher

Figure 6. Educational status of people involved in cottage industries

Occupational status of entrepreneurs involved in cottage industries Occupation-wise, the percentages for entrepreneurs were: agricultural tools and utensils (88 percent), leatherwork (100 percent), ornaments (100 percent), tailoring (88 percent), smithying (12 percent), and garments (8 percent). The majority of the entrepreneurs had some minor occupations as well. Womens involvement was: 75 percent (agricultural tools and utensils), 40 percent (leatherwork), 71 percent (ornaments), and 68 percent (garments). Minor employment comprised agricultural labour and waged labour. Employment situation in cottage industries Entrepreneurs and their family members only worked part-time in cottage industries. The average maximum number of employment days for men was 25.17 in January and the average minimum number was 22.1 in June. Womens average maximum employment days were 14.02 in March and the average minimum days were 13.8 in November and December (Figure 7).
Monthly employment status of industries 30 25 20 15 10 5 0 February January

Employment days

April

September

October

March

June

May

July

November

Male
Figure 7. Monthly employment status in cottage industry

Female

915

December

August

Agricultural production of cottage industry entrepreneurs Rural entrepreneurs produced goods and provided services to the settlers. Most of the entrepreneurs had little land and they cultivated different types of crops, but the quantity was small. The mean production was 391 kg (rice), 160 kg (wheat), 169 kg (maize), and 209 kg (millet). Some pulses, vegetables, ginger, and fruits were also grown. This production contributed to annual income by 18 percent. Waged labour of the entrepreneurs A total mean of NRs10 845 per annum was generated from waged labour whereas blacksmiths, cobblers, and tailors generated on average NRs2 990, NRs4 898, and NRs2 957 per annum respectively (Table 2). Goldsmiths and their families were not involved in agricultural labour or otherwise.
Table 2. Average annual income from waged labour by type (NRs)
Type of industry Blacksmiths Cobblers Goldsmiths Tailors Total Number 14 5 16 25 60 Mean 2 990 4 898 2 957 10 845

Production performances and market situation The four major traditional industries in the study area were: agricultural tools and utensils, ornaments, shoe-making, and tailoring. The comparative advantages across the industries were the raw materials purchased by the customers themselves in order to prepare the goods that they required. Therefore a large amount of capital was not required to establish an industry. The micro industries were in poor physical condition. Some were established in animal sheds and others in the open air. Most had very limited space no matter if the workshop was owned or rented. Sixty-five percent of the respondents said space was adequate and 35 percent reported that space was inadequate. The average cost for shed construction was NRs1 900. The average depreciation of the shed/ building was calculated at NRs158 per annum. Similarly, the average cost of machines and equipment was NRs7 933 and the average machine and equipment depreciation was NRs793. Ownership of sheds/buildings In the study area, 20 percent of the entrepreneurs operated their enterprises in their own sheds/ buildings while 58.3 percent worked in rented space, and 21.7 percent had no sheds/buildings. Accessibility From the business point of view, many entrepreneurs rented houses near the road head and district headquarters to run their enterprises. Road-head and headquarters-based industries charged their customers in cash unlike the village-based industries where the barter system was predominant.

916

Equipment used and its condition Table 3 shows the distribution of equipment in the different industries. The leather industry required only a few tools that were cheap to produce. Most of the equipment was manual.
Table 3. Machine and equipment used
Industries Agricultural tools and utensils (n=16) Leather goods (n = 5) Ornaments (n = 14) Garments (n = 25) Own equipment f 15 2 14 21 % 94 40 100 84 Rented equipment f 4 % 16 Minor tools f 1 3 % 6 60 -

f = frequency; % = percentage; minor tools = sickles, needles, hammers, hooks, and sharpeners

Capital investment situation Only 18 percent of the entrepreneurs received loans from the bank. In some instances, banks provided loans to establish new industries but the money was insufficient to run the businesses smoothly. The number of enterprises started with funds obtained from moneylenders was larger than those financed by banks. Table 4 shows the capital investment deviations across different types of industries. Ornament industries invested more capital in comparison with other industries. The capital profit ratio is the higher the investment the higher the profit.
Table 4. Capital investment deviations
Industry Agricultural tools and utensils Leather goods Ornaments Garments Total Capital investment 15 655 13 000 345 962 17 693 392 310 Capital investment ratio 0.04 0.03 0.88 0.05 Capital profit ratio 0.02 0.06 0.14 0.05

Bank 18 % Own investment 60 %

Moneylenders 22 % Informal Own investment

Bank

Figure 8. Sources of capital investment by industry

917

Adequacy of capital Overall, less than 50 percent of the entrepreneurs took loans either from a bank or borrowed money from local moneylenders (Figure 8). According to 47 percent of the respondents, the amount of credit they received was inadequate. They wanted additional credit from any other source to expand their enterprises because their income was insufficient. Fifty-three percent of the entrepreneurs said that the flow of their loans was adequate (Figure 9).
Flow of loan in the rural industries

Adequate 47 %

Inadequate 53 %

Figure 9. Flow of loans in cottage industries

Table 5 details the adequacy of capital investment by type of industry.

Table 5. Adequacy of capital
Industry Agricultural tools and utensils (n = 16) Leather goods (n = 5) Ornaments (n = 14) Garments (n = 25) Frequency 7 1 5 15 Percentage 25 4 18 53

Interest rate Banks charged interest at 18 percent while private moneylenders charged rates ranging from 22 to 60 percent per annum. Banks had one policy for investment. Banks in general did not provide credit to the four traditional industries cited. Some banks provided loans to small industries on the recommendation of the District Rural Industry Development Office (DRIDO). In addition to the letter of recommendation, the loan seekers needed to provide a land certificate as collateral to receive a loan from a bank. The loan amount ranged from NRs5 000 to NRs30 000 only. Even though the bank interest rate was low in comparison with private moneylenders, entrepreneurs were discouraged by bank bureaucracy to obtain a small amount of credit. This study considers that the bank policy must be changed in favour of cottage industries so they can obtain credit from banks easily to promote their activities. Mode of payment for goods Payment was made in cash and kind. The average annual income made by blacksmiths in cash was NRs11 179, including in-kind values, for each household. Dealers in agricultural equipment and utensils, 918

sold kitchen utensils in exchange for grain, but in the market area, blacksmiths sold their goods for cash. Building construction materials like shutters, grills, gates, and railings were sold for cash. Dealers in leather and ornaments sold goods for cash. The average income for a cobbler was NRs57 850 per annum, while the average income for goldsmiths was NRs100 714 per annum. Tailors earned an average annual income of NRs4 080. Iron goods Blacksmiths produced three types of goods: (1) farm tools such as sickles, spades, ploughshares, knives, and axes; (2) kitchen utensils and vessels (limited demand as people were increasingly turning to manufactured utensils available at local market centres); (3) grills, shutters, iron gates, and water tanks used for constructing buildings. However, due to restricted construction activities only four enterprises were making such products and in limited quantity. In most instances, the households provided the raw materials for such products. Products were made and paid for according to agreement with the customer. Only a few entrepreneurs were modifying their products according to changing demand for products. Entrepreneurs involved in making construction materials developed skills while working in cities like Kathmandu and Pokhara. They were well aware of the increasing demand for building materials and thus likely to be successful. Tool repair Blacksmiths also repaired agricultural tools and equipment, and utensils. Tool sharpening and repair were normally carried out during crop planting and harvesting. Many tools needed repair, as agriculture was the major occupation of the local people. Employment The iron goods industry provided employment to both skilled and unskilled household members. About 69 percent of the household members were skilled. Most of the artisans developed their skills from their traditional work while a very few people also received training either from government training institutions or from private enterprises. At least three persons were required to operate a smithy. Thirty-one percent of unskilled household members, mostly women and children, were employed as labour for blacksmiths. Raw materials Charcoal was an important raw material and was available locally. Blacksmiths needed iron rods and sheets for making tools and building construction; corrugated iron sheets for water tanks; and brass, aluminium, and copper for making different types of kitchen utensils. They had to purchase these raw materials from outside the district, mostly from Pokhara and Bhairahawa. In most instances, customers provided raw materials for preparation of their items. Marketing The supply of goods was entirely based on local demand, as most of the customers were local people. Agricultural tools were exchanged for grain. Some village blacksmiths sold their products in the

919

market. One blacksmith manufactured different items in his village and sold them at district headquarters. There is good potential for employment and income generation in this industry. Garment production Trousers, shirts, coats, blouses, Kurtha Surwal, Daura-Surwal, and petticoats were the common garments produced by tailors. The customers purchased cloth by themselves and placed orders for specific garments with the tailors. Payment was either made with grain or in cash. Employment Tailors also employed skilled as well as unskilled household members 96 percent were skilled and 4 percent were unskilled. Most of their skills were traditional. Only a few tailors received formal training either from government training institutions or from private enterprises. At least six months were needed to develop tailoring skills. Materials Apart from cloth, tailors needed different kinds of materials such as thread, lubricants, charcoal, zippers, and buttons. Some of these materials were locally available and some needed to be purchased from district headquarters or from Pokhara. Marketing Tailors rarely prepared readymade clothes for sale. Customers brought their own cloth and placed their orders with the tailors. Income The level of income varied according to the number of customers. In addition, there was variation in terms of the number and types of garments produced and repaired. The yearly average income of individual tailors was NRs29 368. A case study of Amber Tailoring Amber Bahadur Darji, a literate traditional tailor left his village of Kekmi for Bhairahawa to receive advanced training in tailoring in 1972. After completing a six-month training course, he joined Jujubhai, a reputed garment enterprise in Kathmandu Valley. There, he learned to prepare modern garments like coats, trousers, shirts, and traditional Nepalese garments like Daura-Surwal. He worked very hard and became an expert in garment management within six years. In 1982, he returned to Syangja and established a tailoring shop named Amber Tailoring at district headquarters. With the additional machines he also started hiring manpower. He trained his neighbours in sewing and cutting and became a trainer as well as an entrepreneur. He had more than 10 sewing machines and threeinterlock machines. Within the last 20 years, he has purchased 15 ropani (1 hectare = 20 ropani) of land, worth NRs50 000 and a garment factory at district headquarters from his own earnings. His family consists of seven members. His five children have received a good education at an Englishmedium boarding school. 920

Amar said: I am going to apply for a loan of NRs600 000 from a bank to establish a bigger garment industry. But my intention is to use this loan to send my son abroad for higher education. I think if I had had a good education I would have become a big industrialist. He thought that his son would be a good designer and would introduce new designs for garments. He further said that the government policy did not favour tailors because the free import of readymade garments had suppressed their markets in this decade. Garment production Amber Tailoring produces trousers, shirts, blouses, and coats. The yearly production is illustrated in Figure 10. The total production of garments in one year was 1 200 shirts, 360 blouses, 240 pairs of trousers, and 84 coats.

Yearly production performance 1,500 Pieces 1,000 500 0 Types of garments Shirt Blouse Trousers Coat 360 240 84 1,200

Figure 10. Yearly garment production (Amber Tailoring)

Income generation Amber Tailoring generated income from different garment production and repair. On the basis of items, the highest income of NRs84 000 was generated from shirts and the lowest (NRs7 200) came from blouse production (Figure 11).

Income from different types of garments Amount (NRs)

200,000 , 150,000 100,000 50,000 0 Coat Types of garments 1 Trousers Shirt Blouse Total

Figure 11. Income from garments (Amber Tailoring)

921

Income and expenditure of Amber Tailoring Amber Tailoring initially invested NRs50 000 to establish the business. NRs41 000 bought sewing and interlock machines. In one year the cost for variables was NRs4 768, to purchase needles, thread, machine oil, lining material, buckram, buttons, chains, hooks, and chalk. Two people were employed at the rate of NRs1 500/month/person. Depreciation was calculated at the rate of 10 percent as the life of the machine was assumed to be 10 years. House rent was NRs6 000/year. Interest was calculated at the rate of 18 percent, as the banks charged the same rate for loans. The calculated net income was NRs105 732. Amber Tailoring was successful because the entrepreneur had developed skills in designing, stitching, and preparation of garments as well as making better quality cloth. People around district headquarters knew the quality of the work. Training, capital, and good entrepreneurship are the major factors for improving rural industries. Viability of selected cottage industries Viability vis vis demand Half of the blacksmiths said that there was good demand for agricultural tools and equipment, kitchen utensils, and building construction materials (Table 6). Four-fifths of the entrepreneurs engaged in the leather industry perceived that there was good demand for their products.
Table 6. Demand for goods (multiple response)
Entrepreneurs Blacksmiths (n = 16) Cobblers (n = 5) Goldsmiths (n = 14) Tailors (n = 25) Percentage 50 80 71 84

Rural artisans who had diversified into basket making had better incomes. The demand for building construction materials was increasing, as more new houses were being constructed. Similarly the demand for modern shoes was also increasing every day, as younger generations preferred such products. Viability vis vis infrastructure, technology, and market accessibility The study area was accessible by road; the market was linked to Pokhara and district headquarters. The infrastructures necessary for the development of rural industries were in poor condition. Almost all of the equipment was manual and required extra labour. These were critical problems. Viability vis vis raw materials Except for leather workers and jewellers, entrepreneurs reported that raw materials required for their industries were available locally, although some industries purchased inputs from nearby towns. With regard to the prices of raw materials, for tool-making, quality iron was quite expensive. Charcoal was NRs210 per large bamboo basket. The price of leather per square metre was NRs344. The prices of

922

gold and silver were NRs8 650/tola (11.66 grams) and NRs154/tola respectively. The prices of raw materials for garment industries were different. Viability vis vis energy Energy is one of the most important factors in cottage industries. Entrepreneurs used four types of energy: charcoal, gas, electricity, and petrol. Blacksmiths and goldsmiths used charcoal for melting and moulding iron, copper, brass, aluminium, gold, and silver. Jewellers used gas- and petrol-fuelled instruments for carving ornaments. Industries involved in metalwork used electricity particularly for moulding metal. With regard to prices, charcoal was NRs11/kg, petrol was NRs50/litre, gas was NRs450/cylinder, and electricity was NRs6/unit. In general, energy was expensive compared with Pokhara and Bhairahawa (i.e. petrol and diesel). Viability vis vis manpower Manpower is another important factor for the sustainability of cottage industries. All rural entrepreneurs had traditionally acquired skills passed on to them by their fathers and grandfathers. Some artisans had upgraded their skills by attending training organized by government institutions while others had improved their skills by working with industries in cities. All industries had skilled manpower. The Department of Rural Industries Development was supposed to conduct training every year but adequate training was not conducted. Nearly 57 percent of the entrepreneurs said that there was no problem in obtaining skilled manpower. Opportunity for skill upgrading and diversification There are number of institutions providing opportunities for skill development. People can approach the Rural Industry Development Office and receive general and advanced training for upgrading their skills. In some cases, INGOs and NGOs provided skills development training in collaboration with DRIDO in Syangja. Also, there is the Council for Technical Education and Vocational Training (CTEVT) in different parts of the country where training is provided. Entrepreneurs attitudes The positive indicators were credit, marketing, production, modification, diversification, and training. Across the industries 86 percent (ornaments), 40 percent (leather goods), 25 percent (agricultural tools and utensils) and 16 percent (garments) of the entrepreneurs said there were marketing problems for their products.

Strengths, weaknesses, opportunities, and threats (SWOT) analysis of rural industries SWOT (strengths, weaknesses, opportunities, and threats) analysis is a standard way to measure capacity and assess the situation of an organization in the public domain. Strengths and weaknesses are factors internal to the organization and opportunities and threats are external factors. SWOT analysis serves as a basis both for analysis and development of an appropriate policy for action. It is a useful means to assess the functional capacity of an organization and to find hidden factors that constrain effective functioning. 923

Tables 7, 8, 9, and 10 detail the SWOT analysis for the various industries under study.
Table 7. SWOT analysis of tool- and equipment-making industries
Parameters 1 Skill Strengths Traditional skill Traditionally trained manpower available Weaknesses Lack of skills diversity and improving the quality of products Lack of manpower with advanced training Opportunities DRIDO can arrange skill development training Threats The concerned agencies may not be able to provide training for all Possibility of disappearing GOs and NGOs can help too 2 Demand for goods Very limited local demand for traditional products Very limited demand for traditional products Inadequate capital Possibility to tap demand through diversification and improved products Possibility of the provision of formal credit on group liability basis Enable industries to shift to local market centres indigenous technology if training not provided Inability to compete with improved goods

3 Capital investment Very small

Banks may not provide loans without collateral Industries may not be able to compete with other industries

4 Access to market centre

Some industries have access to market centres

Majority of industries have no access to market centres Workshop and its poor condition

5 Infrastructure Workshop condition - ownership - raw materials Equipment

Basic facility - own shed - some raw materials locally available Entrepreneurs have own equipment

Upgrade workshop with loan from bank Regular supply

Not possible if credit is not provided Low quality of goods produced

Energy

Availability of charcoal locally

- Fe, Cu, Al, and brass need to be imported; equipment is old and manually operated Industries in the village cannot afford electricity

Low cost and rural electrification may be possible in future Recognition of the value of work

Rural electrification may attract capitalists and poor people may lose their jobs Economically and socially backward people may not recognize the value of work

6 Attitudes

Easy to enter industry Society has given low status to people involved in traditional industries

DRIDO = District Rural Industry Development Office

924

Table 8. SWOT analysis of leather goods industries

Parameters 1 Skills Strengths Traditional skills Weaknesses Lack of skill diversity and improving the quality of products Opportunities DRIDO can arrange skill development training Threats The concerned agencies may not be able to provide training for all Possibility of disappearing indigenous technology if training not provided Inability to compete with improved goods

Traditionally trained

Lack of manpower manpower available Very limited local demand for traditional products

NGOs can help with advanced training Very limited demand for traditional products Possibility to tap demand through diversification and improved products Possibility of the provision of formal credit on a group liability basis Enable industries to shift to local market centres

2 Demand for goods

3 Capital investment

Very small

Inadequate capital

Banks may not provide loans without collateral Industries may not be able to compete with other industries

4 Access to market centre

Some industries have access to market centres

Majority of industries have no access to market centres Poorly managed workshop Old and manually operated Society gives low status to people involved in traditional industries

5 Infrastructure Workshop condition Equipment

Basic facility Entrepreneurs have own equipment Easy to enter industry

Upgrade workshop with loan from bank Establish modern equipment Possibility of recognition of the value of work

Not possible if credit is not provided Low quality of goods produced Economically and socially backward people may not recognize the value of work

6 Attitudes

925

Table 9. SWOT analysis of ornament-making industries

Parameters 1 Skills Strengths Traditional skills Weaknesses Lack of skill diversity and improving the quality of products Opportunities DRIDO can arrange skill development training Threats Concerned agencies may not be able to provide training for all Possibility of disappearing indigenous technology if training not provided Inability to compete with imported goods

Traditionally trained manpower available 2 Demand for goods Limited local demand

Lack of manpower with advanced training Very limited demand for traditional products Inadequate capital

GO and NGOs can help to arrange training Possibility to tap demand by producing cheap metal ornaments Possibility of the provision of formal credit on group liability basis Enable industries to shift to local market centres Possibility to upgrade workshop using loan provided by bank Regular supply of raw materials

3 Capital investment Large amount of capital compared to other industries 4 Access to market centre Some industries access to market centres Basic facility Own/rented shed Some raw materials locally available

Banks may not provide loan with out collateral Industries may not be able to compete with other industries Not possible if credit is not provided

Majority of industries have no access to market centres Narrow workshop and poor condition

5 Infrastructure Workshop condition Ownership Raw materials

Equipment Energy

Entrepreneurs have their own equipment Availability of charcoal locally

Costly raw materials; Au, Ag, and chemicals have to be imported Old and manually operated Industries in the village cannot afford electricity and gas Society gives low status to people involved in traditional industries

Regular supply may not be enough

Rural electrification may be possible in future

Rural electrification may attract capitalists and poor people may lose their jobs Economically and socially backward people may not recognize the value of work

6 Attitudes

East to enter the industry

Possibility of recognition of the value of work

926

Table 10. SWOT analysis of garment industries

Parameters 1 Skills Strengths Traditional skills Weaknesses Lack of skill diversity and improving the quality of products Opportunities DRIDO can arrange skill development training Threats The concerned agencies may not be able to provide training for all Possibility of disappearing indigenous technology in case advanced training not provided Inability to compete with improved goods

Traditionally trained manpower available

Lack of manpower with advanced training Very limited demand for traditional products Inadequate capital

GOs and NGOs can help to

2 Demand for goods

Very limited local demand for traditional products Very small

Possibility to tap demand through diversification and improved products Possibility of the provision of formal credit on group liability basis Enable industries to shift to local market centres Possibility to upgrade workshop using loan provided by banks

3 Capital investment

Banks may not provide loan without collateral Industries may not be able to compete with other industries Not possible if credit is not provided Low quality of goods produced

4 Access to market centre 5 Infrastructure Workshop condition Ownership

Some industries access to market centres Basic facility Own shed

Majority of industries have no access to market centres Workshop and its poor condition

Raw materials

Some raw materials locally available

Equipment

Entrepreneurs have own equipment Availability of charcoal locally

Cloth, needles, thread, buttons, have to be imported Old machine and manually operated

Regular supply

Energy

Rural electrification may be possible in future Society gives low status to people involved in traditional industries Possibility of recognition of the value of work

Rural electrification may attract capitalists and poor people may lose their jobs Economically and socially backward people may not recognize the value of work

6 Attitudes

Easy to enter the industry

927

Conclusions Traditional rural industries in the upper Andhikhola Watershed produced different products. Entrepreneurs from occupational ethnic groups were manufacturing agricultural tools and utensils, leather goods, ornaments, and garments through inherited skills and knowledge. A few entrepreneurs had attended advance skill development training. Entrepreneurs were partially employed in their businesses. Entrepreneurs needed to produce diversified and improved products according to the market demand. The entrepreneurs required advanced training on skill development and product diversification. Entrepreneurs needed to improve basic infrastructure, like sheds and buildings to facilitate operations. Tools and equipment were in very poor condition, being old and manually operated. Capital investment in most industries was very low. Entrepreneurs had lack of capital and could not get bank loans due to lack of collateral. Entrepreneurs engaged in similar industries can form groups and get credit from the bank on a group liability basis as well as selling their products in market centres. Cottage industry goods have a good potential market, because of cheap labour cost. Cottage industries cannot be sustained without the provision of credit and advanced training. Cottage industries need to be exempted from different types of taxes to enable them to compete with imported goods. As the price and supply of raw materials depend on Indian markets, the government should have a policy for traditional cottage industries. Likewise a policy should be devised to provide credit for entrepreneurs on a group liability basis taking into account their poverty and lack of collateral. Literature cited Bhattachan, K.B. 1997. People/Community-based Development Strategy in Nepal. Development Practices in Nepal Ministry of Finance (MOF). 2000. Economic Survey of Nepal. His Majestys Government of Nepal, Bag Darbar, Kathmandu, Nepal. National Planning Commissions (NPC). 1998. Ninth National Plan. His Majestys Government of Nepal, Kathmandu.

928