Identification of Criteria and Indicators

for Sustainable Community Forest

Management

A research project based on

Community Forestry in Nepal

Final Report of KEF project P 150

 submitted by

Institute of Silviculture
Department of Forest and Soil Sciences
University of Natural Resources and Applied Life Sciences, Vienna
Rural Reconsturction Nepal (RRN)
Natural and Organizational Resource Management Services (NORMS)
Federation of Community forestry Users, Nepal (FECOFUN)

NORMS

Please use the following reference for this report:

Vacik H., Khadka C., Uprety H.D., Wolfslehner B., Paudel G., Pandey G. (2009): Identification of Criteria and
Indicators for Sustainable Community Forest Management - A research project based on Community Forestry in
Nepal, Final Report, Commission for Development Studies at the Austrian Academy of Sciences (KEF), Vienna,
p. 60.

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 Table of contents

1 INTRODUCTION ...................................................................................................1
1.1 About the Report............................................................................................................................. 1

1.2 Research Problem and Justification............................................................................................. 1

1.3 Objectives of the study .................................................................................................................. 3

2 APPLIED METHODOLOGY AND WORKING STEPS..........................................4

2.1 Research Team and Advisory Committee.................................................................................... 4

2.2 Bottom up development of C&I ..................................................................................................... 5

2.2.1 Case study sites ....................................................................................................................... 6
2.2.1.1 Process for selecting case study sites ............................................................................ 6
2.2.1.2 Overview on selected case study sites ........................................................................... 8
2.2.2 Awareness Building................................................................................................................ 12
2.2.2.1 Field based orientation training to local researchers..................................................... 12
2.2.2.2 Training of local facilitators at Gyneshwor..................................................................... 13
2.2.2.3 Joint meetings between Local Facilitators (LF) ............................................................. 14
2.2.2.4 Research grants for field studies................................................................................... 14
2.2.2.5 Capacity building, training and strategic planning workshop with FECOFUN .............. 14
2.2.3 Negotiation process on C&I development at CFUG level ...................................................... 15
2.2.3.1 Strength and weakness of CFUG.................................................................................. 16
2.2.3.2 Stakeholders Preferences on C&I for SFM ................................................................... 16
2.2.4 Evaluation of Management strategies.................................................................................... 18

2.3 Top down development of C&I by stakeholders ....................................................................... 21

2.3.1 Background and objectives .................................................................................................... 21
2.3.2 Design of the Delphi Survey................................................................................................... 23
2.3.3 Expectations on the ongoing Process.................................................................................... 25

3 OUTCOMES ........................................................................................................26

4 CONCLUSIONS ..................................................................................................31
4.1 Successful collaborations with partners.................................................................................... 31

4.2 Support of FUGC and Local Facilitators on C&I development ................................................ 31

4.3 Difficulties during the implementation ....................................................................................... 32

4.4 Top Down and Bottom Up approach .......................................................................................... 33

5 ACKNOWLEDGEMENTS ...................................................................................35

6 ANNEX ................................................................................................................36

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 List of Tables

Table 1: Site selection process and outcomes.............................................................................. 8

Table 2: Overview of selected case study sites.......................................................................... 10
Table 3: Major activities and achievement based on Work package......................................... 29

List of Figures

Figure 1: General approach for bottom up development of C&I................................................. 6

Figure 2: Location of the case study sites.................................................................................... 9
Figure 3: Outcomes of the SWOT Analysis in selected CFUGs ............................................... 16
Figure 4: Preferences of different stakeholder groups for the level of principles, criteria and
indicators for the Nawalpur Saraswati CFUG ................................................................... 17
Figure 5: Overall priorities for management strategies I, II and III by stakeholder groups ...... 20
Figure 6: Priorities for management strategies I, II and III according to different principles... 20
Figure 7: Approach for developing C&I in the top down approach .......................................... 22
Figure 8: Example of the questionnaire on the SFM indicators ................................................ 23

List of photos

Photo 1: Different impressions of Case Study Site...................................................................... 7

Photo 2: Field based orientation training to local researchers at Simpani Deokot CF,
Makawanpur district .......................................................................................................... 12
Photo 3: Participants of workshop and awareness raising program .......................................... 13
Photo 4: Impressions of workshops on second generation CF and strategic planning.............. 15

List of Annex

Annex 1: List of Publications .................................................................................................... 36

Annex 2: Criteria for the selection of case studies .................................................................... 37
Annex 3: Major activities of Workshop/training ....................................................................... 38
Annex 4: Description of selected key local facilitators involved in research project............... 42
Annex 5: Preliminary set of principle, criteria and indicators at CFUG level.......................... 43
Annex 6: Set of indicators for the Delphi survey in Nepal....................................................... 48

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 Executive Summary (English)

Community Forestry (CF) has already passed its infant stage of development and now has
entered in to its young stage of development in Nepal. Although, the program has been able to
restore the degraded landscapes of Nepal since the handing over of the forests to local
communities, it is unable to provide a significant contribution to the livelihood of poor and
marginalized people and allow an equitable use of forests products within the community. In
this context an approach which increases the voice of the local people in order to promote
sustainable forest management (SFM) and improve the livelihoods of local user groups of CF
is needed. The University of Natural Resources and Applied Life Sciences, Vienna (BOKU,
Institute of Siliviculture) in collaboration with Rural Reconstruction Nepal (RRN), Natural and
Organizational Resource Management Services (NORMS), Federation of community forestry
users, Nepal (FECOFUN), and Ministry of Forest and Soil Conservation (MoFSC), Nepal is
undertaking the participatory action research on “Identification of Criteria and Indicators for
sustainable CF management in Nepal”. The overall goal of this research project is to facilitate a
process of identifying criteria and indicators (C&I) for evaluating SFM by involving diverse
groups of stakeholders at regional and forest management unit level and to promote SFM.

Therefore, a general methodology was developed to generate a set of generally accepted

C&I at the regional and community level by multi-stakeholder participation, based on
international principles of SFM. The research team adopted two approaches for the
identification of the principles, criteria and indicators within six case studies of Community
based forest management: a top down and a bottom-up approach.

In the bottom-up approach six context studies from Community Forest User Groups
(CFUG) at Makawanpur and Chitwan districts have been analyzed focusing on the socio-
economic, biophysical and policy context. Additionally a content analysis of the constitution
and operational plan, a SWOT analysis during the hamlet meetings, local C&I workshops and
multi-criteria analysis techniques were used to facilitate the development process of a
commonly accepted C&I set. The different stakeholder groups were asked to identify the
importance of all criteria and indicators according to SFM. The research team motivated all
FUGC members to encourage the participation of women, disadvantage groups, poor and Dalit
at each stage of the decision making process and helped them to overcome inequitable
situations. The process helped to reveal the present situation of livelihood, institutional, social,
ecological and human capital.

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 At national level a concept for the development of a national set of C&I was developed
with experts from the field of natural resource management based on the international
principles of sustainability using a top down approach. For this top down approach a Delphi
survey was designed based on a structured process for collecting and distilling expert
knowledge by means of a series of questionnaires interspersed with controlled opinion
feedback. The basic challenges were to define the main terms, such as principle, criteria and
indicators and sustainable forest management and to identify a “minimum set” of reliable C&I.

Overall, it has been found that CF management generally contributes to the maintenance of
biodiversity, soil-water conservation and forest health. The communities consider equity and
gender issues, reduce poverty and promote the livelihood, governance and institutional changes
in the context of an integrated resource management. With the help of the C&I process it was
made possible to regularly evaluate the management and improve the overall performance
focusing on the activities in forest management, organizational management skills (such as
good account keeping, systematic documentation, monitoring), socio-economic activities
(development of forest based enterprises, poverty reduction and income generation activities)
additionally. It helped to increase the trust, communication and relationship of CFUGs with
other stakeholders. People attitudes towards benefit sharing (providing benefits to poor and
marginalized people) and fund mobilization for poverty reduction turned positive. The process
of C&I development has proved so far to be an initial step to fostering sustainable community-
based forest management in Nepal.

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 Zusammenfassung (German)

Community Forestry (CF) hat sich nach einer längeren Anfangsphase bereits zu einem
etablierten Programm in Nepal entwickelt. Seit der Übergabe der oft stark degradierten
Landschaft an die lokale Bevölkerung konnten wesentliche Fortschritte bei der nachhaltigen
Bewirtschaftung der Wälder erreicht werden. Trotzdem gelangt es bisher nicht, dass die
Waldbewirtschaftung einen signifikanten Beitrag für den Lebensunterhalt der ärmsten und
benachteiligsten Mitglieder der Gemeinschaft leisten kann. Daher war es wichtig, die
Bedürfnisse dieser Nutzergruppen im Rahmen einer nachhaltigen Waldbewirtschaftung (SFM)
transparent zu machen. Das Institut für Waldbau am Department für Wald- und
Bodenwissenschaften an der Universität für Bodenkultur, Wien (BOKU) initiierte daher
gemeinsam mit den Institutionen Rural Reconstruction Nepal (RRN), Natural and
Organizational Resource Management Services (NORMS), Federation of community forestry
users, Nepal (FECOFUN) und Ministry of Forest and Soil Conservation (MoFSC), Nepal den
partizipativen Forschungsansatz zur “Identifizierung von Kriterien und Indikatoren (C&I) einer
gemeinschaftlichen nachhaltigen Waldbewirtschaftung in Nepal”. Das Gesamtziel der
Forschungsarbeiten lag in der Unterstützung des Prozesses zur Identifizierung der C&I zur
Evaluierung einer nachhaltigen Waldbewirtschaftung durch Teilnahme von verschiedenen
Interessensgruppen auf regionaler und betrieblicher Ebene.

Es wurden die Methoden zur Erarbeitung eines von unterschiedlichen Interessensgruppen

generell akzeptierten Sets an C&I auf regionaler und lokaler Ebene - welches auf den
internationalen Prinzipien von SFM basiert - entwickelt. Das Forschungsteam konzipierte im
Rahmen von Fallstudien einen top down und einen bottom up Ansatz. Dabei wurden sechs
Fallstudien von Community Forest User Groups (CFUG) in den Regionen Makawanpur und
Chitwan durchgeführt, um die sozio-ökonomischen, ökologischen und politischen
Rahmenbedingungen zu beschreiben. Eine Analyse der Bewirtschaftungspläne und der
generellen Richtlinien, eine SWOT-Analyse mit den Nutzergruppen, ein lokaler C&I
Workshop und der Einsatz von multi-kriteriellen Analyse Techniken erlaubte den
Entwicklungsprozess zu unterstützen. Die Interessensgruppen konnten ihre Präferenz für die
Kriterien und Indikatoren im Rahmen des Prozesses zum Ausdruck bringen. Das
Forschungsteam konnte die Mitglieder der CFUG motivieren, die Gleichberechtigung von
Frauen, Armen, den Dalit und anderen benachteiligten Gruppen im Rahmen von
Entscheidungsfindungsprozessen zu berücksichtigen und Ungleichheiten zu vermeiden. Dabei

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konnte aufgezeigt werden, wie der Lebensunterhalt der Menschen sowie das institutionelle,
soziale, ökologische und Humankapital verbessert werden kann.

Für den top down Ansatz wurde eine Delphi-Studie initiiert, um auf nationaler Ebene
gemeinsam mit Experten aus dem Bereich des Managements natürlicher Ressourcen ein Set an
C&I zu konzipieren. Dabei wurden die Methodik für den Prozess, die Gestaltung der
Fragebögen und die Rückmeldung an die Experten entwickelt.

Es zeigte sich, dass Community Forestry einen wesentlichen Beitrag zur Erhaltung der
Biodiversität, Schutz von Boden und Wasser sowie Gesundheit der Wälder leisten kann. Die
Nutzergruppen setzen sich im Rahmen eines nachhaltigen Ressourcenmanagements für die
Gleichheit der Geschlechter, für die Armutsbekämpfung, sowie eine Verbesserung des
Lebensunterhalts ein. Jedoch konnte durch die Entwicklung und den Einsatz der Kriterien und
Indikatoren ein Prozess initiiert werden, der es möglich macht, dass in regelmäßigen
Abständen die Waldbewirtschaftung sowie andere Managementaktivitäten (Buchhaltung,
systematische Dokumentation, Monitoring) und soziale Maßnahmen (Aktivitäten zur
Armutsbekämpfung, Einkommenserzielung, Geschäftsentwicklung) überprüft werden.
Generell konnte das Vertrauen, die Kommunikation und die Beziehung zwischen den CFUGs
und den Interessensvertretern gestärkt werden. Die Einstellung der Betroffenen zur
Umverteilung von Ressourcen und die Mobilisierung von Geld für die Armen und
Benachteiligten konnte verbessert werden. Durch den Entwicklungsprozess von C&I konnte
damit ein weiterer Schritt zur Unterstützung einer nachhaltigen Waldbewirtschaftung in Nepal
geleistet werden.

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1 Introduction
1.1 About the Report
This report presents the findings of the study on “Identification of Criteria and Indicators for
sustainable community forestry management, Nepal”. This research project is being conducted
under the Institute of Siliviculture at the Department of Forest and Soil Sciences at the
University of Natural Resources and Applied Life Sciences, Vienna in collaboration with Rural
Reconstruction Nepal (RRN), Natural and Organizational Resource Management Services
(NORMS), Federation of community forestry users, Nepal (FECOFUN), and Ministry of
Forest and Soil Conservation (MoFSC). The research activities took place at the national level
as well as regional level and participatory action research at the users’ level. The report
presents the objectives of the overall C&I research, a detailed description of the process
followed to identify the site selection and the overall research process for the identification of
local standards for sustainable CF management in the Nepal’s hill and Terai districts of
Makawanpur and Chitwan district. The experiences of the facilitation process from six forest
user groups according to all major socio-economic and ecological contexts and the
methodological concept of the C&I development of the top down approach are presented. As
the concept of C&I has become widely accepted as a suitable forest policy, management and
research tool for conceptualising, evaluating, and implementing sustainable forestry the
methodological framework for conducting this activities is described.

1.2 Research Problem and Justification

The demand to assess sustainable forest management (SFM) has generally evolved to the
use of C&I because they appear to be highly capable of measuring aspects of SFM at national,
regional and forest management unit level. At the national level, almost every major forest
nation has adopted and implemented the C&I concept for SFM for national reporting on
forestry. However, the level of implementation of C&I frameworks varies. SFM needs to be
defined in international, national and local contexts. Various sets of criteria and indicators
(C&I) for the sustainable management of tropical forests have been developed by scientists and
organizations such as the Forest Stewardship Council (FSC, 1994), International Tropical
Timber Organization (ITTO, 1998), Center for International Forestry Research (CIFOR, 1998),
SGS Forestry (1994), Scientific Certification Systems (SCS, 1994), and Tropenbos Foundation
(1997).

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 The use of C&I for evaluating SFM practices at the national, regional scale or the scale of
Community Forests in Nepal are at present scarce because national standards for SFM in Nepal
are not developed yet. There is a need to develop national standard as well as local standards to
address the challenges of SFM and forest certification as well as integrate social, ecological
and economic elements. The issues concerned with the implementation of SFM are: What is
the meaning of SFM? What are the essential elements of SFM? How do we rationalize SFM in
different forestry regimes? How can SFM be defined in a practical way? An open and
transparent C&I process gives the opportunity to equalize power and promote gender equality
in planning, decision-making and implementation among the members within a community.
Community Forestry (CF) in Nepal has already passed its infant stage of development and
now has entered in to its young stage of development. However, several problems relating to
its sustainability has been recognized. CF’s are common areas, where complex interactions
(e.g. ecological, political, social, economic) take place permanently, with various implications
and mechanisms. Although, the CF program has been able to restore the degraded landscapes
of Nepal since handing the forests over to local communities, it is unable to provide a
significant contribution to the livelihood of poor and marginalized people and equitable use of
forests products within the community. In this context, Nepal’s community forest presents an
international laboratory for studying the social, economic and ecological benefits of forests to
local forest users whereas the flexible and progressive forest policies, decentralization of
resources, responsibility and management right are key elements for restoring forests and
transforming the forest governance.
Therefore a major purpose of this project is to facilitate a process, which allows CF’s in Nepal
to identify their performance in relation to common accepted SFM standards. Even though
there is consensus about the need to integrate environment, economy and equity issues to
achieve the goal of sustainable development, adequate information is not available to
harmonize their linkages in SFM. The mechanisms that glue these elements and their actors
together have not been fully explored either. This study is, therefore, intended to develop C&I
for evaluating SFM by participating diverse groups of stakeholders at regional level, to
increase the voice of the local people and to confirm the effectiveness and quality of the FUG
in Nepal.
To verify sustainability, 11.500 ha of community managed forests are certified in Nepal by
using FSC certified scheme. For instance, a National Working Group (NWG) has been formed
and mandating to choose the appropriate international initiative of SFM to formulate national
framework for SFM. Interim standards of Nepal for managing NTFPs were developed within

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the framework of FSC standard for implementing the forest management activities and
assessing the performance of forest management. Therefore, this research project is reviewing
mainly C&I of CIFOR, ITTO and FSC Standards for SFM. In this context it was important to
explore whether SFM and Forest Certification (FC) can be a vehicle for the improvement of
the livelihood of the forest communities.

1.3 Objectives of the study

The overall goal of this study is to identify criteria and indicators for analyzing and evaluating
community forests which are managed by forest user groups from a sustainable natural
resource management perspective and to test the C&I set in regional case study. The specific
objectives are:

x to promote political commitment for the use of C&I in SFM

x to develop a methodology for generating a commonly accepted set of C&I at the regional
and community level by multi-stakeholder participation in Nepal
x to identify criteria and indicators based on the international principles of SFM and apply
the C&I set for SFM within case studies of Community based forest management at
Makawanpur district and evaluate management plans
x to promote the contribution of community forest management for poverty reduction,
biological diversity, ecological integrity, water conservation and forest health

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2 Applied methodology and working steps
2.1 Research Team and Advisory Committee

Because of the new process for the identification of C&I for SFM in Nepal, it was essential
to develop a common understanding within the team and the partner organizations. The team
took over the responsibility of research based on a Terms of Reference (TOR), prepared and
circulated including the final approved proposal by RRN. Finally, the agreement was done
between RRN and BOKU afterward RRN, NORMS and FECOFUN followed the ToR. RRN
and BOKU presented the C&I project concept, methodological parts, major activities and
expected outcomes to all executive partners as well as contributing partners (ANSAB, Forest
Action, NFA). C&I development related documents (CIFOR, ITTO and FSC) were accessed
and reviewed to gain further insights into the C&I approaches. NORMS recruited one forester
as a research officer and FECOFUN also recruited seven local researchers/facilitators as
regular staff. The project team shared the concept and ideas of C&I development, research
design to all executive members of partner organization (RRN, NORMS and FECOFUN and
MoFSC) and other contributing partners (NFA, ANSAB and FECOFUN).

The research team members and their contributions are as mentioned below:

Harald Vacik Project co-ordinator, BOKU

Conceptualization, Methodology development, analysis and report writing
Bernhard Wolfslehner Researcher, BOKU
evaluating the final set of C&I in the context of international processes
Chiranjeewee Khadka Researcher, RRN, Nepal
Conceptualization, methodology development, facilitation for C&I development,
field testing of concept and data collection instruments, data analysis and report
writing
Hima D Uprety Research officer, NORMS
Methodology development, facilitation for C&I development, data collection and
case study writing
Bharati Pathak Central FECOFUN
Co-ordinate both district FECOFUN and local researchers, facilitation in case
study sites
Pandey G. S Chairperson FECOFUN Co-ordinate activities at both district FECOFUN and
local researchers
Pem Kanel Research Officer, Ministry of Forest and Soil Conservation.
Conceptualization, conduct the regional workshop and support documentation
Gopi Paudel Consultant, NORMS.
Conceptualization and conduct the regional workshop and documentation
Kopila Tumsing, Yubraj Local Researchers/Facilitators
Rumba, Govinda BK, Contributions in data collection and involved in facilitation process in their
Puskar Subedi, Laxmi respective case study sites
Karki and Barsha
Gautam

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 An initial orientation workshop was held to introduce the team members with each other
and start from a common background of understanding regarding the process of C&I
development for sustainable natural resource management. The main objectives of the
workshop were to ensure and familiarize all members with the overall process of C&I
development and its practical implication within a local context and develop a common
understanding within the team. An advisory committee was formed at central level for regular
guidance, communication purpose and to track the research process. The seven advisory team
members comprised of senior officials and representatives from MoFSC, FECOFUN, NFA,
RRN, NORMS, ANSAB, and NFA. Local researchers worked on the district level to facilitate
the process, collect primary and secondary data and prepare semi-annual and annual reports
(See profile and members in annex 4). The project team has provided several orientation
trainings and conducted an interaction workshop on second-generation issues in CF and SFM,
facilitation skills in CF as well as coaching for the preparation of constitution and operational
plans.

2.2 Bottom up development of C&I

Within different case studies in the districts of Makawanpur and Chitwan a set of C&I was
developed at the level of the community forests by public participation using a bottom up
approach. Trainings and meetings have been done in order to raise awareness about sustainable
forest management and the importance of criteria and indicators in that context. A content
analysis of the constitution and operational plan, a SWOT analysis during the hamlet meetings,
local C&I workshops and multi-criteria analysis techniques were used to facilitate the
development process of a common accepted C&I set. The different stakeholder groups were
asked to identify the importance of all criteria and indicators according to SFM. The
preferences of the stakeholders have been used as input for the evaluation of the management
plans. The research team motivated all FUGC members to encourage the participation of
women, disadvantage groups, poor and Dalit at each stage of the decision making process and
helped them to overcome inequitable situations (compare Figure 1). The process helped to
reveal the present situation of livelihood, institutional, social, ecological and human capital.

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 SWOT analysis of current Negotiation in Tole meeting
management and gap analysis and General Assembly

C&I development
for SFM
Training on prioritizing
second generation CF criteria and indicators
Sustainable
Awarness Elicitation of
Forest
building preferences
management
discussion and training Negotiation between
of SFM issues Stakeholders and CFUG members

Evaluation of
Management plan
Implementation C&I Assessment
of Management plan of management strategies

Figure 1: General approach for bottom up development of C&I

2.2.1 Case study sites

2.2.1.1 Process for selecting case study sites

According to the intensive experiences of the implementing partner RRN, Chitwan was
selected as an additional district for the study whereas Makawanpur was already selected in the
beginning of the research activities. A number of criteria were developed in discussion with
RRN and NORMS to maintain uniformity in the site selection process followed in both
districts and allow comparisons among various sites. The criteria developed for selecting the
sites for the C&I research are presented in Table 1 and Annex 2.
After the formal and informal contact, the first meeting for the site selection was held with
the District FECOFUN executive members in FECOFUN office and DFO office separately.
During the meetings the DFO and District chapter FECOFUN chairperson added five more
criteria. Moreover, it was also decided that two sites from the east-west part of the district
which represents the Inner Terai and Sal timber dominance and other two sites in the North
part representing the Mahabhar range and mid-hills where Pinus and NTFPs are found
dominance in Makawanpur district should be added (compare Photo 1). Likewise, the research
team selected two case study sites representing both artificial and natural forests after
additional field visits and discussions with all FUGC members.

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Photo 1(a): Forest condition of Pragati CF, Photo 1 (b): Transit depot of Pragati CFUG
Chitwan district

Photo1 (c): Overview of Jhirghari CF, Photo1 (d): NTFPs Nursery (Sugandawal) at
Makawanpur district Jhirghari CF, Makawanpur district

Photo 1: Different impressions of Case Study Site

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Table 1: Site selection process and outcomes

Steps Contents Outputs Remarks

Site ƒ Select the possible case study site in ƒ Commitment from district Jan 3 to Jan 14, 2007:
selection Makawanpur and Chitwan district level stakeholders District Forest Office
case ƒ Identify the potential stakeholders in the ƒ Understand the social (DFO), Makawanpur and
study proposed action research, communicate situation of the selected Chitwan district,
area and co-ordinate with those stakeholders research communities Federation of Community
ƒ Share the action research project to them ƒ Identification of the areas Forest Users’ Network
at the district level of most importance ( i.e. (FECOFUN) District
ƒ Visit the potential research sites timber-based Silviculture Chapter Makawanpur and
ƒ Develop the criteria of site selection management, Soil Chitwanand Institute of
based on research project objectives management, Enterprise Forestry (IOF), Hetauda
ƒ Build rapport with the CFUGC members development, Indigenous
of the selected research sites people rights and their
ƒ Find out the interests of all the management, NTFPs
stakeholders both at the district as well as based income generation
site levels in the proposed action research activities
ƒ Clarify theroles and stakeholder
involvement

2.2.1.2 Overview on selected case study sites

Some major characteristics of the selected case study sites were described for the purpose
of comparing the socio-economic (e.g. Number of HH, major Ethnic groups, Major
occupations and livelihoods, Education levels, Literacy rate, main languages, Market access),
ecological (e.g. Forest size, Forest type and resources) and institutional situation (e.g. date of
CFUG Handover, status of OP & Constitution, distance to DFO & RP,availability of social
services) of the CFUGs. The location of the study sites is given in Figure 2. For a detailed
overview refer to Table 2 a und 2b.

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 Hum la

Ba jh ang
Ba ju ra
Mug u Map of Nepal

Ju ml a
Doti
Shree Pragati CF,
Mustang
Shaktikhor VDC, Jhirghari CF,
Ka il ali
Ja a r
Chitwan Namtar,
Su rk h et
Rukum
Manang Makawanpur
Myagdi

Rol pa K ski
Gorkha
Kalika Chandika
Ba nke
CF, Bhainse,
Dan g
Makawanpur

Ta l jung

Sind li

Shree Gyneshwor CF,

Mangalpur VDC, Chitwan Ilam

Simpani Deokot CF, Manahari

VDC, Makawanpur Nawalpur Sarswoti CF,
Makawanpur

Figure 2: Location of the case study sites

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Table 2: Overview of selected case study sites

Variables/CFUG Gyneshowar CFUG Pragati CFUG Nawalpur Sarswoti Simpani Deokot CFUG Kalika Chandika Ghirghari CFUG
Name CFUG CFUG
Basic information
Location Mangalpur VDC, Ward 1 Shaktikhor VDC- Hetauda-11, Basamadi Manahari VDC ward Bhaise VDC ward Namtar VDC Ward
to 6, Chitwan district 5, Chitwan district VDC, Makawanpur NO 4, Makawanpur No 2&3, No 2& 3,
district district Makwanpur Makawanpur district
district
Socio-economic conditions
Number of HHs 1660 HHS and total 137 HHs (about 774 HHs 389hhs ( total pop : 192HHs ( 1112 89 HHs
population 9380 800) 2629 male : 1344 and population:
female 1285 Female 542 and
male 570 )
Major Ethnic Mixed community Newar, Mixed community, Hill ethnic group Hill Ethnic Group Hill Ethnic Groups,
groups (Brahmin, Chhetri, Dalit, Indigenous (Brahmins/Chhetris: 464 domination; 48%, 30% dominant (Magar Tamang
terai ethnic, hill ethnic) community; Praja, HHs (60%). Hill ethnic: Brahmin Chhetri, 6% 51% Tamang 22%
Dali and Brahmin, 240HHs (31%). Dalit : 39 Dalit and 5% Chepang HHs),
Chhetri HHs (5%) Brahmin/Chettri
13.5 %, Newar 7%
Newar Dalit 4%,
Major occupations Agriculture, Service and Agriculuture, Agriculture, service, small Agriculture, service, Agriculture Agriculture
and livelihoods fisher labor work, small business and wage labor wage labor (Vegetable (especially vegetable
business farming) farming)
Education levels High level Medium Medium: 55% literacy rate Medium Low level Low level
Main languages Nepali, Hill and terai Nepali and mother Nepali Nepali and hill ethnic Magar Tamang
ethnic language tongue caste mother tongue
Market access 10 Km Narayanghat, local 30 Km far from Very close to the Lose to the market ( 7 Km from Palung and Daman
market Bharatpur, 15 Km Hetauda city Manahari ) Hetauda city
Tandi Market

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Continuation of Table 2: Overview of selected case study sites

Variables/CFUG Gyneshowar CFUG Pragati CFUG Nawalpur Sarswoti Simpani Deokot Kalika Chandika Ghirghari CFUG
Name CFUG CFUG CFUG
Ecological context
Forest size 224 [ ha] 137 [ ha] 234.21[ ha] 358 [ ha] 801[ ha] 560 [ ha]
Forest type and Plantation forest of Natural forest: Natural forest: Shorea Natural fores: Shorea Natural forest, Natural forest 30%
resources Delbergia sissoo, Acacia Shorea robusta robusta), Katus robusta Termenelia Mixed forest, Rhododendron, 40%
catechu Bombax cebia, (Castonopsis species), tomentosa, coniferous and Quercus, NTFP
Sizium cumini etc Karma (Adina cordifolia, Termenelia chebula, broadleaved dominance: Berenia
Kaiyo (Grevellea Michelia champaca, Pinus roxburghi cieliata, Acorus alamus
robusta), Chanp (Michelia Eugenia jambolana and Sal Shoria ,Ttamarix diocia,
champaca)etc ,Acacia Catechu, robusta. Lindera neesiana,
Altogether 50% Swertia chirayita,
Pinus and 40% Daphne bholua,
Shorea robusta and Coriaria napalensis
remaining 10 % ,Zanthozylum
Altitude/geographi About 300 m from MSL, About 600 m About the 400 m from 400 m from mean see Hilly terrain, 2200m-2400 m from
c context Plain areas and artificial mean see level and sloppy level, elevation about MSL, lower temperate
forest terian Subtropical climate 1000 m climate
Institutional situation
Date of CFUG 1999 1999 1995 1996 1996 1996
Handover
Status of OP & Revision process Next year Renewal in 2005 2nd time amendment Revision process Rvision process
Constitution revision (2009)
Distance to DFO 10 Km from district forest 30 Km from 25 Km west from 40Km from bhaise
& RP office DFO office DFO office and 3 km range post
From Ilaka Office
Availability of Higher secondary School, Secondary School, College, road , School, red cross, VDC, secondary and
social services secondary school, a School, VDC recreation park heath post and all primary School,
numbers of primary school, office, Health physical facility vegetable collection
VDC office, concrete and post centre
Gravel road, health post and
local market, office
building, Temple, Park,
picnic spot etc.

- 11 -
2.2.2 Awareness Building

2.2.2.1 Field based orientation training to local researchers

The research team provided orientation training to local researchers about the project
objectives, methodological process, their role and responsibility in the research and created a
common understanding about the expected outcomes among the research team members. The
major content and achievement of the orientation/training was as follows:
ƒ Conceptual clarity of the facilitation process and the facilitation skills needed
ƒ Providing theoretical and practical knowledge about forest management from field based
discussion
ƒ Discussion on the general concept of principle, criteria and indicators for SFM
ƒ Commitment for facilitating on second generation issues of CF:
equity/equality/proportionate, good governance, livelihood, integrate forest management,
and institutional development
ƒ Discussion on practical problems and constraints for facilitation at local level
ƒ Sharing the emerging issues in community forest management
ƒ Preparing the field based activities for hamlet/tole meetings, forming of sub groups and
interest groups, purpose of the general assembly, the intention of the local C&I
development workshop

Photo 2: Field based orientation training to local researchers at Simpani Deokot CF,
Makawanpur district

- 12 -
2.2.2.2 Training of local facilitators at Gyneshwor

At Gyneshwor CF, FUGC and local political parties decided to train local facilitators (LFs) and
requested to RRN for providing training to them. We selected 34 local facilitators which received
five days facilitation skill training in CF for performing the evaluation of management plans and
developing a pilot CFUG as model FUG. They received a two days orientation training for the
process of facilitation on the revision of the constitution and operational plan and developed the
action plan during the training also (Annex 3). Local facilitators conducted several meetings
(tole/hamlet meeting), started a survey for baseline information (household survey), initiated an
awareness-raising program and planned Teej Lok Lahari competitions (a kind of folk song).

Photo 3 (a): Participants at 2 days workshop on Photo 3 (b): Awareness raising program at Shree
second generation issues and SFM Shree Gyneshwor CFUG, Chitwan district conducted by
Gyneshwor CF building, Chitwan district Local facilitators

Photo 3 (c): Participants at awareness raising program at Shree Gyneshwor CFUG, Chitwan district

Photo 3: Participants of workshop and awareness raising program

- 13 -
2.2.2.3 Joint meetings between Local Facilitators (LF)

At least once for each visit of the researchers in the case study sites, a joint meeting between
local facilitators, LFs and FUGC members was organized. They reviewed their activities and
refined and developed the action plan. Researchers supported the local facilitators to develop their
plans for the field activities in the CFUG and to conduct the awareness-raising program (6 corner
speech/ward meeting and Teej Song competition). Now, the LFs are involved to conduct the
household survey and tole/hamlet meeting in the case studies.
The ongoing activities of DFO and FECOF including decision-making processes and
institutional arrangements have been studied as well. Researchers also warned that more time
might be consumed for the C&I development process of the EC and/or users in the process.
Some expectation of material support was also noticed during the meetings but they were ready
to welcome the research team even without any direct material support from the project.
Basically, researchers discussed with the FUGC about the broader criteria for selecting local
researchers for the support during the facilitation process. FUGC announced the open positions
with information about the required skills and selected the researchers by written or oral interviews
(see list and brief CV at annex 5).

2.2.2.4 Research grants for field studies

A small amount of the budget was reallocated for research grants for additional field studies.
The purpose of these grants has been to provide partial support of BSc and master's research
students from the field of natural/social sciences. Three students from environment/social and rural
development field were doing research works and completed their field works. This helped to gain
an in depth view of specific aspects in the CF.

2.2.2.5 Capacity building, training and strategic planning workshop with FECOFUN

Members of the research team participated in several meetings of FECOFUN district chapter
and facilitated their strategic planning workshop. The team also assisted FECOFUN to conduct the
interaction workshop on “second generation issues in CF and role of stakeholders” and explored
the ideas of C&I development for SFM, good forest governance and livelihoods.
Initially a two days interaction workshop entitled “Second generation Issues in CF and SFM”
for all FUGC members and tole representatives from all study sites was provided (August to
September, 2007). The participants including local researcher/ researcher and FUGC members
developed their action plan during the training. One-day reorientation/ refreshment training/

- 14 -
workshop on Constitution and operational plan preparation were also organized in September,
2007 (Annex 3).

Photo 4 (a): Participants at 2 days workshop on second Photo 4 (b): Participants at 3 days strategic planning
generation issues in CF and SFM at Kalika workshop of district FECOFUN,
Chandika CFUG, Makawanpur Makawanpur

Photo 4: Impressions of workshops on second generation CF and strategic planning

2.2.3 Negotiation process on C&I development at CFUG level

The C&I set was identified and developed through a series of field level workshops with
representatives of the CFUG. Members of the research team informally discussed with the
Chairperson, Secretary and other members of the CFUG about the project and organized a full
meeting of FUGC where they also invited other interested parties. At one case study site members
of the Maoist Organization (who has been involved in the peace process until now after long back
armed conflict against the government) have been engaged to allow an easier implementation of
the project. In the meeting, researchers explained the concept of C&I development, the
methodological approach and expected outcomes. The researchers studied the constitution and
operational plan, the history of the CFUG, the present forest condition, major community forest
management activities and gained some additional information about the CFUG.

- 15 -
2.2.3.1 Strength and weakness of CFUG

SWOT analysis was a powerful technique for understanding the strengths and weaknesses, and
for analyzing the opportunities and threats of the community forest user groups. The idea was to
find out the basic information and activities of CFUG within a short period of study. There as the
attempt to use a general approach in assessing the CFUGs and rating each parameter on a scale
from 1 to 10. This allowed visualizing the SWOT diagram in a communicative way. In hamlet
meetings, participants discussed their major strengths and weakness of CFUG and facilitators tried
to link the results with the criteria and indicators for sustainable forest management. The
preliminary strengths and weaknesses discussed by members of CFUG are presented in Figure 3.
The results of the SWOT analysis have been further utilized to develop a set of criteria and
indicators for each CFUG and to facilitate the process of elicitation of preferences according to this
indicators by different stakeholder groups.

Ac coun t abilit y Acc o un ta bility

A wa re ness about CF 10
T ransp arency 10 T ra n sp ar e nc y A wa re ne ss a bo ut CF p olicy
p olic y
T en ure and Indige nous Benefit s fro m t h e F orest T en ur e a nd In digen ous r igh ts B en ef it s f ro m th e F or est
right s 4.5 5
5 2.9
3.2 4 .4 2 .2
2.2 Co m m unit y forest 2.3 1.3 2 .1
2 .2 Rule of la w Co m m unit y f or est m an agem en t
Rule o f law 3.2 3 .2 3.2 2.1
0 m anagem ent 0
3 .2 3.2
4.5 2.2 4.4 2.1 1.2 2.1
esource m obilizat ion 3.9 2 .2 En vironm ent al Im pact Re so ur c e m o biliz ation E nv iro nm e n ta l I m p ac t
3 .3
4.4
Social In clusio n and
P lan ning P lann ing So cia l I nclusion a nd Equit y
E quit y
Lin kages Gender balan ce L in ka ges Gen de r bala nce

Gyneshwor CFUG Pragati CFUG

Figure 3: Outcomes of the SWOT Analysis in selected CFUGs

2.2.3.2 Stakeholders Preferences on C&I for SFM

Forest User Groups are the principal key stakeholders of the community forestry program in
Nepal particularly in the forest management unit level. They are heterogeneous in terms of class,
ethnicity, caste, gender, age, occupation and proximity to forest resources that have varying views,
interests, objectives, dependencies, perspectives and expectation from forest management. The
research was focused on the local level stakeholders both, within the FUG members and between
FUG and other stakeholders. The original idea was committed to FUGC members and local
government staffs that the C&I process started with the identification of the stakeholders and the
dialogue with them. The stakeholders in CF generally realized the fact that the forest has multiple

- 16 -
functions, which include protection, production, utilization, management, social, economic, and
watershed protection. It was a general view that a sustainably managed forest should be able to
provide all these functions over the extended period of time.
One of the objectives of the study was to find out whether there were differences and similarities in
perceptions of SFM by different stakeholders. The ranking and rating of each criteria and
indicators represent the overall preferences of sustainability of the CFUG. Six types of
stakeholders (FUGC, Dalit users, Rich Brahmin Women, Poor women, local NGOs and general
users) were involved to assess the importance of each principle, criteria and indicators (Figure 4).

Principle Level Criteria Level

45
35 40

Pre fe ren ces in pe rc ent

35
30
30 25
20

25 15
10

5
PreferencesinPercentage

20 0
c1 . 1 c 1.2 c1 .3 c 1.4 c1 .5
Cri teri a
15 D a li t
FUG C
Po or W o m e n
Lo ca l N G O s
R i ch B ra h m in W o m e n G e n e r a l m e m be r
O v e r a l l R e l a t i ve W e i g h ts

10
60
Preferences in percentages

50
5
40

0 30

P1 P2 P3 P4 P5 P6 P7 P8 20

10
Principles 0
Dalit Poor women FUGC c4.1 c4.2 c4.3
Criteria
Local NGOs RichBrahminWomen General member Dal it Poor wome n FUGC
Loc al NGO s Ri ch B rah min W om en Ge n e ral me mbe r
Relative Weights
O ve rall Re lati ve W e igh ts

Indicator Level
Figure 4: Preferences of different stakeholder groups for the level of principles, criteria and
indicators for the Nawalpur Saraswati CFUG

At principle level the Dalit stakeholders preferred “tenure and user rights” more important than the
average preferences while FUGC and rich Brahmin women voted similarly in “management plan
and soil conservation”. Likewise, with reflecting the objectives of local NGOs scored high in
“indigenous people rights” and “environment impacts”. General members of CFUG scored high for
“monitoring and assessment” as well as “management plan” while poor women weighted for the
“benefit sharing from forest” and “environment impacts”. It is shown that there was high
variability and different interests among stakeholders but not only on the principle level as well as
on the criteria and indicator level.

- 17 -
2.2.4 Evaluation of Management strategies

Three management strategies were evaluated for the Nawalpur Saraswati CFUG according to the
set of C&I of SFM. The strategies had been postulated in the operational plan and identified in
local C&I workshops.
The first management strategy (MSI) represents the current management practice which is
figured out from the operational plans of the CFUG. Four forest ranger, other junior forestry staff
and FUGC members were involved for updating its operational plan in 2006 based on detailed
forest inventory. They follow particularly a traditional approach with aiming to get daily house
holds needs of users in regular basis by improving forest conditions through protection of forest
from illegal cutting, encroachment, forest demarcation, forest patrolling, fire line and road
maintenance, soil-conservation, biodiversity conservation, identification of species and
conservation. It includes a controlled and prescribed use of resources ensuring sustainability with
regular thinning, pruning, weeding and cleaning under the silvicultural management options and
protects the forest species. There are several trainings listed like women awareness workshop,
NTFP management training, CF interaction workshop, planning formulation workshop, study tour,
forest management and book keeping. Although almost all users were unaware about the action
plans mentioned in the Operation plan.

Management strategy II was designed in the local C & I workshop where all stakeholders
participated and prepared the action plans for the upcoming 10 years. The main purpose of this
management strategy is to improve the institutional development by good governance and to
provide the basic forest products to users by improving the ecological condition of the forest areas
with participatory management approach in contrast to management strategy I. This strategy has
adopted a participatory decision making process, creates tole based appropriate mechanisms for
institutional development, aims for education development with scholarship scheme, leadership
and skill development and develops the functional relationship with other CFUGs, government and
non-government organizations. The strategy also represents the NTFP management and plantation
of local species and multi-purpose tree species, establishment of silvicultural demonstration plot,
biodiversity conservation plot, fire line management and other services to ensure economic
viability and a wide range of environmental and social benefits through income generation
activities. CFUG has designed to maintain the documents of all legal or customary tenure or use
rights to the forest resources of all users in the constitution and operational plans.

- 18 -
 Management strategy III was designed mainly based on the direct observation of the research
team based on the reflection of interests of Dalit, poor, ethnic groups whereas their most of the
genuine issues and interests were not addressed in the local C&I workshops. A main goal of this
strategy is to enhance the long term social and economic well being of forest users through forest
management operations. FUG has to adopt participatory decision making processes and create
appropriate mechanisms for institution development with a proportional
representation/participation of male, female, Dalit, ethnic groups and poor people and equal
preferential opportunities to them in forest product collection, in timber harvesting and other forest
management activities. The strategy has aimed to develop the functional relation with other
CFUGs, government and non-government institutions for the moral, technical and financial support
to extend the forest productivity and services within forest areas. It will conduct the participatory
forest resource inventory themselves, which would be helped to explore the basic information
regarding the management system and possible action plans of FUG. Forest management strives to
conserve biological diversity and its associated values, water resources and soils. Unique and
fragile ecosystem should maintain the ecological functions and the integrity of the forest through
the documentation of ecological and silvicultural rational behind management prescriptions. In
strategy III a special provision to poor, Dalit, women and marginalized groups for their livelihood
enhancement by distributing the forest land at plot basis after doing the socio-economic
heterogeneity analysis, was considered. This strategy focuses for the self-monitoring approach and
policy reflection at tole based concept. In another hand, FUG committee has to make available a
summary of the results of monitoring and incorporate then management plans and implement after
approval from general assembly. The management strategy should help to identify the traditional,
cultural, religious, economic and ecological important areas and those specific areas will be
mentioned in the operational plan and document all use of traditional knowledge for commercial
purposes.
In Figure 5 and Figure 6 the outcomes of the evaluation based on the application of the Analytical
Hierarchy Process (AHP) is presented. Figure 5 shows that according to the overall priorities for
management strategies almost all stakeholders have given high importance for MS III except
FUGC. MS II is the best alternative for the perspective of FUGC. MS I has the lowest priorities but
both MS II and MS III has only slightly differences in the overall performances. Comparing the
results for different principles it gets evident that the management strategies vary in their
performance. Figure 6 shows the evaluation of management strategies according to principle 1. It
is found that MS I is the best alternative management option, followed by MS II and MS III which
has the lowest priority among the management strategies. According to principle 6 (environment

- 19 -
impact) MS II is the best alternative management option except Dalit and poor women selected MS
III as the best for them. MS I had the lowest priority options from all stakeholder groups.

40

35
I
30
II
25 III

priorities 20

15

10

0 III
Null II Managem ent
Dalit I
Poor FUGC strategies
W local
Rich Br General
NGO
Stakeholdergroups

Figure 5: Overall priorities for management strategies I, II and III by stakeholder groups
40 36

38 34

36
I 32 I
34 II Priorities II
Priorities
III 30
III
32
28
30
26 III
28 III
Null

Dalit

I
Null

II
FUGC
Poor Ethnic Women

Manage ment
Local NGOs
Dalit

Management
Rich Brahmin Women

I
General Users
Poor Ethnic Women

FUGC

strategie s
Local NGOs

Rich Brahmin Women

strategies
General Users

Stakeholder groups
Stakeholder groups

Principle 1 (Policy Framework) Principle 6 (Environment impact)

Figure 6: Priorities for management strategies I, II and III according to different principles

- 20 -
2.3 Top down development of C&I by stakeholders

2.3.1 Background and objectives

International initiatives supported a process to develop criteria and indicators (C&I) for
Sustainable Forest Management (SFM). These initiatives share common objectives to develop
indicators as important tools in forestry at the global, national and management unit level in
defining, conceptualizing, assessing, evaluating, reporting and monitoring progress in SFM. In
many initiatives, countries are urged to develop additional national indicators and, furthermore, to
develop indicators at sub-national and forest management unit (FMU) level as requested at United
Nations conference on Environment and Development (UNCED). More and more countries are in
the process of developing and implementing their own national standards, either based on the
government-led international processes on the ITTO standard or certification standards (usually
FSC - many countries), CIFOR C&I set ( mostly tropical forests countries). Currently over 150
countries are involved in developing national-level C&I. Criteria and indicators can be applied at a
range of spatial scales (or defined at regional/eco-regional level and used at national level), taking
into account the specific regional conditions of forests and diversity of economic, social and
cultural environment, for the purpose of raising awareness, of gaining commitment, and to assist in
measuring broad progress towards achieving sustainable use of a nation's forests. Experiences with
C&I application particularly in developing countries like Nepal have shown that there is the need
to further develop forest management standards through improved formulation, assessment,
interpretation and validation of C&I. For instance, the scientific community and relevant
stakeholder can play an important role in the development and must be engaged so that a genuine
agreed standard can be developed in support of SFM.
In this regards, Nepal’s initiative represents both government and non-government-led efforts of
national and sub-national stakeholders to agree on what is standard for SFM in the national and
regional context. At national level a concept for the development of a national set of C&I was
developed with experts from the field of natural resource management based on the international
principles of sustainability using a top down approach (compare Figure 7). For this top down
approach a Delphi survey was designed. We wanted to identify the basic information for
developing national standards for SFM in Nepal. The Delphi survey was based on a structured
process for collecting and distilling expert knowledge by means of a series of questionnaires
interspersed with controlled opinion feedback. The questionnaires were designed to elicit and

- 21 -
develop individual responses to SFM indicators and to enable the experts to refine their views with
the group’s work progresses and the option to discuss the findings at a final round table meeting.
C6
C5
C4
C3
C2
C1
Analysis
- semantic aspects CIFOR,
CIFOR, Montreal,
Montreal, FSC
FSC Principles
Principles
- translation aspects MCPFE
MCPFE Process
Process PEFC
PEFC Criteria
Criteria
- meaning

Operationalisation
- relevance
- measurability
- predictability
- validity
- understandability Indicators
Indicators
for SFM
SFM
Delphi Survey
- relevance
- practicality
- importance criterion No Indi cator relevan ce pract icalit y i mp ortan ce i mpa ct
1 1 consideration of SFM in forest management objectives medium m ed ium hi gh crit ical
1 2 evaluation of fores t management plans h igh high mediu m crit ical
1 3 monitori ngof fores t resources h igh m ed ium hi gh crit ical

- impact 1
1
1
4
5
6
mapping of for es t res ources
controlling of fores t resour ces
harvest plans andr otation periode
high
medium
low
m ed ium
m ed ium
m ed ium
hi gh
hi gh
mediu m
crit ical
crit ical
act ive
1 7 amount and change of growing s tock medium high hi gh act ive

- target levels 2
2
1 8
9
10
balance of gr owt h and harves ting rates
compositi onof tree species
use of s uitable tree species
high
high
medium
high
m ed ium
m ed ium
hi gh
hi gh
hi gh
crit ical
crit ical
crit ical
2 11 use of s oil- fertilizing methods low low low rigi d
2 12 prevention of waste depos it medium low hi gh rigi d
2 13 amount of damaged wood low m ed ium low act ive
2 14 use of pes ticides and herbicides medium low hi gh rigi d
2 15 act ivities of biological pes t prevention medium low mediu m act ive
2 16 st ems damaged by harvest medium m ed ium mediu m pass ive
2 17 st ems damaged by bark peeling medium m ed ium hi gh crit ical
2 18 impact of grazing high m ed ium hi gh crit ical
3 19 for est management practices causi ngbar e f orest soil medium m ed ium mediu m act ive
3 20 amount of full -tree harvesting low low low pass ive
3 21 net present value medium low low crit ical
3 22 returns fr om wood pr oduct ion low m ed ium low crit ical
3 23 non-wood products and s ervices low low low rigi d
3 24 access to for ests by fores t roads medium high mediu m crit ical
3 25 final opening up with s kid tracks medium m ed ium mediu m pass ive
4 26 laying-out of dr ai nages high m ed ium hi gh rigi d
4 27 amount of natural regeneration high m ed ium hi gh crit ical
4 28 use of l ocal pr ovenances high m ed ium hi gh rigi d
4 29 vertical str ucture within s tands medium low mediu m rigi d
4 30 number of old tr ees medium m ed ium mediu m rigi d
4 31 percent age of coars e woody debri s high m ed ium hi gh rigi d
4 32 consideration of key ecosys tems in S FM high m ed ium hi gh crit ical
4 33 consideration of rare species ( trees, shrub) i n SFM high m ed ium hi gh pass ive
4 34 damage of r egeneration by br ows ing high m ed ium hi gh crit ical
5 35 use of s oil pr eparation methods low low low act ive
5 36 quality of f orest inf rast ructure medium low mediu m rigi d
6 37 training of staff with regard to SFM medium m ed ium hi gh act ive
6 38 saf e worki ngconditi ons medium m ed ium mediu m rigi d
6 39 willingness to join cooperations medium m ed ium mediu m rigi d
6 40 consideration of specific s ites in f orest management medium m ed ium mediu m rigi d
6 41 use of t raditional for es t management pr actices medium m ed ium mediu m rigi d
6 42 role of l ocal s taff f or regional employment low m ed ium mediu m rigi d
6 43 meet legal r egulations medium high low rigi d

Figure 7: Approach for developing C&I in the top down approach

During the discussion with experts from the field of natural resource management a list of 72
indicators was developed and parameters to assess them. The main idea of the proposed Delphi
Survey was to initiate the national process for preparing national standards for Community based
sustainable forest management (Community forest (CF), Collaborative Forest Management (CFM),
Buffer Zone Management (BZM), Leasehold Forest (LHF) and Government managed Forests
(GFM). This process was made possible by allowing the participation of diverse groups of
stakeholders at national level especially from the background of scientific community, experts,
researchers, private investors, government officials and civil society. The expert panel consists of
representatives of science, forest administration, forest stakeholders and forest enterprises.

- 22 -
2.3.2 Design of the Delphi Survey

The application of criteria and indicators at the national level can stimulate and help to guide the
identification of criteria and indicators at the forest management unit level, and vice versa. Local
criteria and indicators test conformance with best management practices, or resource and social
conditions and provide a means to change national trends. While certain criteria are only applicable
at national level (e.g., those related to the balance between different uses of the forest or to national
policies); many other national-level criteria are based on aggregated data on indicators collected at
forest management unit level. Each indicator is described by a general description and the proposed
possible means of verification.
In this study, we refer to a selected set of indicators based on internationally negotiated national
C&I sets (e.g. FSC, CIFOR and ITTO). Several parameters have been selected in order to support
the experts to judge the appropriateness of the national set of C&I for SFM. The questionnaire was
structured according to this preliminary set of the 72 indicators. Each indicator (with a given
number) had to be evaluated individually by each expert. To support each expert in filling out the
questionnaire we provided a “list of indicators” which gives an overview about the set of indicators
(compare Annex 6).

Figure 8: Example of the questionnaire on the SFM indicators

- 23 -
The experts had the opportunity to analyse the meaning and purpose of each indicator by a general
description of each. The justification/description described the SFM background against which the
indicator has been developed (e.g. based on the FSC, ITTO principles). It provides delineation and
specification of the indicator. The means of verification described a selection of instruments by
means of which the indicator is foreseen to be assessed. This (in most cases incomplete) list helped
the experts to get an idea on the way how the indicator might be evaluated by means of different
data and information sources (compare Figure 8).
The evaluation part of the survey was divided into 3 different geo-political and geographical levels:
x the national level of forestry and forest policy in Nepal
x the regional level of forestry and forest policy in Nepal valid for:
o Tarai / Inner Tarai
o Mid-hills
o Mountains
x the forest management level valid for:
o Community Forest (CF)
o Collaborative Forest Management (CFM)
o Leasehold Forest (LHF)
o Buffer Zone Management (BZM)
o Government Managed Forest (GFM)

Within this structure two parameters were requested to be assessed:

i) A statement on the Applicability gives an estimate if it possible to assess this indicator by
utilizing the proposed means of verification on the left side of the box. This was done
on a scale from 1 (=very low applicable) to 4 (=very high applicable) in one of the click
boxes. Applicability of an indicator can vary among different scales, so this estimation
was requested for each of the geo-political and geographical specifications.
ii) Data availability is a crucial feature when assessing SFM with indicator systems. Hence,
there was the request to give an estimate on the data availability for applying the means
of verification at three different scales.
x quantitative data available: numerical information in terms of figures, statistics,
algorithms, experiments, scientific results
x qualitative data available: descriptive information, traditional knowledge, informal
information

- 24 -
 x both quantitative and qualitative data available
x no data available
As a general statement, the Overall Importance of an indicator was requested to be assessed. This
vote reflected the potential contribution of this indicator for assessing SFM on the national level in
Nepal in its given form. This was also done on a scale from 1 (=very low importance) to 4 (=very
high importance) in one of the click boxes. If there were any advices, proposals, inconveniences or
concerns about the indicator there was space for General Comments at the bottom of each box.
Comments were open in style and form and should be specific with regard to the addressed
indicator.

2.3.3 Expectations on the ongoing Process

The Delphi Survey was planned to be finished by the end of 2008. As the responses of the experts
on the questionnaire have been to slow we have not been able to finalize the survey in the given
time frame. There are still open and pending requests from the experts.
We are planning to conduct a final workshop by March 2009 to discuss the outcomes of the
DELPHI survey so far. As these activities were not part of the current research grant we are
planning to cover the costs for the final workshop of other funds.

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3 Outcomes

The development of C&I for sustainable forest management was identified as being among the
major tasks and priorities for The Intergovernmental Panel on Forests (IPF), established in April
1995 within the framework of the CSD. The mission of the IPF is to "encourage national
implementation of criteria and indicators for sustainable forest management and study the
feasibility of further developing internationally agreed upon criteria and indicators against which
progress towards sustainable forest management of all types of forests could be measured, taking
into account the specific regional and sub-regional conditions of forests and the diversity of
economic, social and cultural environments."

More than 150 countries are currently actively participating in one or more of the several ongoing
international initiatives for the development and implementation of eco-regional, national and
management unit-levels C&I. These initiatives cover mostly humid tropical, boreal and temperate
forests, although there are also some focusing on dry forests, mainly in Africa and the Near East
(FAO, 1997).

Considering the current scientific knowledge in the research field of C&I for SFM in CFUGs in
Nepal, major conceptual and methodological problems could be addressed. There was a need for
case studies and C&I field testing at the local level. Concerning these conceptual and
methodological challenges, there was a need for the development, refinement, and testing of a
generic set of C&I for SFM at the local level for similar forest types, applying the most suitable
testing methodology and based on comprehensive field data. The linkage between indicator norms
and subsequent indicator assessment was needed to be demonstrated. This integration ultimately
lead to the development of a C&I set for SFM, fully integrating the ecological, economic, social,
and institutional dimensions for community forest management. Therefore the methodology for the
development of C&I and the practical implementation in case studies for testing indicator verifiers
and norms in a regional or local context in Nepal was done. In the context of the given objectives
the project produced the following outputs:

x C&I set for evaluating SFM at FUG, regional and national level: A set of criteria and
indicators was worked out based on international standards (e.g. FSC, ITTO) and with the help
of various stakeholder groups in the local and regional workshops. The common accepted
standards (in the context of the assessment verifiers) of sustainable forest management were
prepared for community forestry especially for forest ecosystems in the mid-hills and Terai of

- 26 -
 Nepal in the Delphi survey. These standards are the basis for the ongoing evaluation process of
the management practices in the context of SFM. According to these standards the management
of the natural resources will be improved on the long run. The study could help to clarify the
overall goals of sustainable forest management in community forests in Nepal. A reduction in
gender inequality would therefore be essential to increase women's economic security,
defeating poverty and fostering sustainable development and growth.

x Improved sustainable forest management in CFUG: The research added knowledge on how
the technique of C&I development assists to the FUGs in managing natural resources, influence
the efficiency of resource use, allows the equity of resource distribution and empowers
community members. The major output or research was, that the development and application
of a C&I set at the FUG level facilitates the implementation of better management practices.
CFUGs in the case study recognized the importance of C&I for sustainable forest management
in the context of forest certification also. Some CFUG might use the outcomes of this study for
starting the process of a group forest certification.

x Recommendations for future forest policy initiatives: The analysis of the background of
community based forest management including policy and stakeholder analysis in Nepal helped
to further disseminate the findings of this study a national and international level. It allows to
give recommendations for future policy initiatives that C&I are tools which can be used to
conceptualize, evaluate, implement and facilitate the effective implementation of activities to
ensure the equity and optimal welfare of poor people whose livelihood is directly dependent on
the long-term management of natural resources. The study will advocate future policy that will
facilitate and promote efficient and equitable resource management regimes where forest-based
livelihoods are pervasive features of the rural economy.

x Improved capacity building: The collaboration of research organisations, government

agencies, universities, NGOs and local FUGs along the process of C&I development was
helpful in capacity building among the different stakeholders, policy makers and forest
managers. Effective stakeholder participation in the workshops strengthened local networks,
taking into account the different needs and interests and make institutions aware of potential
benefits that will derive from the process of C&I development. The forest officers at the local
institutions and the local foresters could acquire the skills and resources needed to sustain the
social and economic progress of their communities. The study facilitated a process of
continuous learning and innovation that will continue long after the project has ended. The idea
was, that the people recognize that the C&I approach is worth to be done by the local members

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 of the CFUGs according to their own benefit. They recognized that the C&I approach is useful
for their own activities and helps them to better utilise their resources, share the benefits among
the poor and disadvantaged groups, reduce gender inequality and improve the sustainable
management of natural resources on the long run. Forest users who developed sustainable
forest management C&I and tracked them, identified how successful the management has been
in meeting their own goals.

x Scientific cooperation between Nepal and Austria: As research institution and academic
organisation in Europe it is our role to support the ongoing processes in knowledge transfer and
application. As Nepal has a rank of 140th of 177 countries regarding the Human development
index (HDI) (UNDP, 2004) the idea was to make a contribution to the human development.
The study contributed to the development of academic institutions both in Austria and Nepal
due to enrichment on ideas, perspectives and further insights in the process of developing C&I
for sustainable forest management additionally. The ongoing activities of scientific cooperation
between BOKU and the collaborating research institutions in Nepal will be supported.

x Guidelines for facilitating the process of C&I development: Workshop reports on the
development of C&I on sustainable natural resource management were produced in order to
facilitate the process of C&I development in other case studies. The Practical guidelines
(Handbook in Nepali) for the process of C&I development may be used as supporting material
in the ongoing process of C&I development. The IOF will incorporate the outcomes of these
processes on sustainable forest management in their curricula and provide skills for developing
and implementing C&I including the methodologies for stakeholder participation, conflict
management and public outreach. This will establish a common language across scales,
community sectors and landowners and will help a mutual understanding for forest-related
goals and how they might be achieved.
x Contribution to poverty alleviation: The contribution of community forest management to
poverty reduction, biological diversity, ecological integrity, water conservation, forest health,
and energy and agriculture sector was insufficiently recognized by the Nepal government,
international organizations and other stakeholders. The process of C&I development for
sustainable forest management allowed to acknowledge the contribution of CFUGs to
sustainable natural resource management. A positive outcome of our work on C&I
development was the way how the evaluation of forest management helps to communicate
success and failure in management issues. Indicators were used to show FUG’s, politicians,
NGOs and other stakeholders how successful the management has been in meeting set goals.

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 Forest users who developed C&I and track them gained an opportunity to learn about the forest
trends, truths and needs. In the long run these adaptive management activities and feedback
loops will lead to a better utilisation of forest product and services by the local people which
will contribute to poverty alleviation in Nepal.
The project activities were planned to be completed within 18 months duration of the project. Due
to some time delay in the project activities the project duration was extended on a cost neutral
basis. The activities which were implemented from January 2007 to December 2008 are
summarized according to the work packages (compare Table 3).

Table 3: Major activities and achievements based on the work packages

Work package Achievements/outcomes Verifiers Led by
and component
WP 1. x Research team reviewed the literature on ƒ Report on selected DWB/RRN
Identification of empirical studies of C&I for sustainable natural sites available
principles, resource management (CIFOR, ITTO and FSC) ƒ Review report of
criteria and x Local researchers conducted back ground CIFOR, ITTO and
indicators studies FSC standards
x Research team identified a preliminary set of available
C&I of FSC interim guidelines and FSC ƒ Report on FSC
certification interim guideline

x Conducted preliminary workshop within team for Nepal standard

members and orientation to local researcher (English and

x Formed the advisory committee Nepali) reviewed

ƒ Orientation training
was done
ƒ Advisory
committee meeting
WP 2. Top down x Discussed the process with advisory x Draft report on the DWB/FECOF
development of committee members, partners and other top down process UN/MoFSC/N
C&I by contributing organizations ( RRN, NORMS, in final stage ORMS
stakeholders FECOFUN, NFA, ANSAB, Forest Action, x Participants list is
MoFSC) finalized
x Hired two consultants to develop the x List of indicators
documents for conducting regional workshop compiled
x Collecting the list of participants from district
and regional level
x DELPHI – Questionnaire on indicators sent out
to experts for feedback

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Work package Achievements/outcomes Verifiers Led by
and component
WP 3. Bottom up x Selection of the project district and 6 case study x 6 case study site RRN
development of sites report are available NORMS
C&I by FUGs x SWOT analysis of all CFUGs (Context study FECOFUN
x Conducted several trainings on second report)
generation issues in CF and SFM to all CFUGs x Brief summary
x Orientation to local researcher/LFs and FUGC report of all case
x Self- assessment of institution, good study sites
governance and SFM based on C&I x Documentation of
x Facilitation to incorporate the C&I in the local Workshops
amendment of constitution and revision of OP x Monthly report of
process all activities
x Documentation of all local workshop at the
case study sites
x Planning for visioning workshop for
identification of C&I for SFM
WP 4. Evaluation x Selection of one case study out of 6 FUGs x Documentation of RRN/DWB
of Management x Collecting detailed data at household level by workshop/training
Plans in a case 34 LFs x Household survey
study x Visioning workshop for identifying the questionnaire
interests and objectives of the Shree developed
Gyneshwor CFUG x Visions and
x Facilitating the members of the CFUG to objectives of the
apply a continuing process of adapting CFUG are
management plans in the Nawalpur Saraswati identified
CFUG
WP 5. x Maintained all records of facilitation process 3 Master thesis on DWB/RRN
Dissemination of for preparing a practical guide for developing x NTFP contribution
results C&I sets for rural livelihood
x Conducting master thesis at the case study sites improvement
x Working on scientific papers and presentations x Indigenous people
x Project description at RRN and BOKU website rights and C&I
and newsletter process
x Social equity and
poverty reduction
in CF

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4 Conclusions
4.1 Successful collaborations with partners

Basically, RRN, NORMS and FECOFUN were implementing this research project in close
collaboration with University of Natural Resources and Applied Life Sciences (BOKU) . BOKU
was guiding and mentoring the Nepal’s team members, as well as links the outcomes related to
international research. RRN was supporting all levels of the facilitation process of C&I
development and coordinates all partners. NORMS team members were particularly involved in
the Makawanpur district, facilitate the process for strengthening the CFUG and conducted context
studies in the CFUGs. NORMS also coordinated the regional level workshop. FECOFUN was
mobilizing seven field researchers in the field and executive members of two districts.
Unfortunately, IOF was not actively involved in the process due to internal problems of
responsibility and sharing of competences within the institution. Members of MoFSC, NFA,
ANSAB and Forest Action were actively participating in the meetings of the advisory committee.
From several formal and informal meetings, all above partners and collaborators are designed
to extend this project by developing a project at a larger scale. It is planned to submit a proposal to
ITTO and request funding for the ongoing support of the facilitation process on SFM at CFUG in
Nepal. The Planning Division of the MoFSC has shown vital interest for the research activities and
the upcoming activities as well as willing to uptake the results, with the engagement of the
Department of Forest (DoF) also. The government participants actively contributed to the strategic
direction of the whole project, including avenues for institutionalizing findings. Furthermore, one
research officer from MoFSC was involved in action research participants for supporting the
Delphi survey.

4.2 Support of FUGC and Local Facilitators on C&I development

In the beginning Local Facilitators (LFs) had a low level of confidence in the process of
facilitation. The research team oriented the LFs on the C&I development process and put emphasis
on issues of good forest governance, transparency, rule of law, livelihood, poverty reduction, active
forest management, forest based enterprise development and poverty reduction during the
trainings. The research team participated in meetings of FUGC and LFs additionally, reviewed
their activities and addressed their genuine problems which were identified during the facilitation

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process. It was important not to impose the members of the FUG during the development process
to identify their ideas, opinions, feelings and get their general commitment for managing the
forests in a sustainable way and revise the constitution and operational plan. For this purpose, the
research team observed the process of the LFs in the meeting and provided feedback on each of the
meetings as appropriate also. Local researchers and LFs were asked to document the whole process
which was done at the FUG level. Local researcher kept notes, analysed the heterogeneity (socio-
economic condition, distribution of forest products /caste /ethnicity /well-being), recorded issues
were raised in the household visits, FUGC/tole meetings and summarized it in minutes. The
research team helped the LF in the documentation process, in developing formats for information
collection and on well-being ranking.

4.3 Difficulties during the implementation

From the beginning of the research project, a number of difficulties were faced by the project
team, which can be describes as follows:

x There was more expectation of FUGC and local leaders on material support from the project
despite repeated explanation of the nature of the project. It was not clear from the beginning
that the funding of project was related to the research activities in the field and it would
include some meeting/training costs for the purpose only.
x Difficulties arisen in translating the research concept to local partners/researchers. This led to
some suspicion of researcher/local researcher/LF at the initial stage of the project and
discouraged local researchers to some of extent to facilitate the process
x There was a major concern of leaders of the Maoist party about the involvement of national and
local NGOs
x Difficulties arisen to realize the potentiality of local researcher/LFS/FUGC members as
positive agents of change
x There was less interest of the elite groups and FUGC members to support the whole process for
improving the overall situation through greater equity considerations, gender balance,
participation of stakeholder groups and sub-groups, empowering the marginalized and
developing a community’s capacity to analyze their socio-economic condition, environmental
condition, identify the problems of general users, poor, dalit and women users and self-help
attitudes and improved organisational capacity.

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x There was less support and only a minor facilitating role of government for improving the
management and conservation of forests (initiate a saw mill, support enterprise development of
rhododendron juice making)
x There was a low level of awareness and confidence of the CFUG member to develop intensive
forest management activities
x Difficulties occurred to follow the work package exactly because of flexible nature of the
project and the need to adapt the process according to new issues emerging in the field
x Difficulties to visit field frequently due to scattered case study sites
x Time to time orientation to government staffs and problems due to transfer staff frequently
x Frequently strike and heavy raining disturbed visits in the field and postponed several planned
field visits.
x Despite all the outcomes so far, there is still question of transaction costs as poor and
marginalized groups of people are not able to afford their services in C& I development process
at the CFUG level. Because of this, the local facilitators selected participants in the training
from rich and medium classes of people.

4.4 Top Down and Bottom Up approach

Basically two approaches (i.e. top down and bottom-up) for the identification of principles, criteria
and indicators for SFM are described in the scientific literature. A previously generated set of C&I
was used as an initial set and an assessment team of experts was adapting and modifying this initial
set according to the local situation in the top down approach whereas various stakeholders
especially local users are involved in the bottom-up process that aims to have a lasting impact on
the long-term.

An analysis of relationship of stakeholders indicated two groups: internal and external FUG have
wide differences in power relationship, social status, information, knowledge, skill and way of
understanding amongst the stakeholders. The analysis helped to identify the C&I process in
eliciting preferences and in securing that all stakeholders communicated their preferences clearly
and independently. Since this research intended to identify the criteria and indicators for SFM,
backgrounds information related socio-economic, bio-physical, policy, institutional and fund
management were needed in this regards. A content analysis of the constitution and operational
plan of the CFUG, a SWOT analysis during hamlet meetings, a local C&I workshop and multi
criteria analysis (MCA) techniques were used to facilitate the development process of a C&I set.

- 33 -
 The basic challenges of this research in decision making was to define the main terms, such as
principle, criteria and indicators and sustainable forest management. The challenge was to facilitate
the use of the C&I system by clarifying the hierarchical links and relationships among the different
elements and to find the identification of “minimum set” of maximum reliable C&I for case study
site. Therefore, the local C&I set still needs further description and refinement, minimizing the
dual meaning, duplication and repetition of indicators, balancing the numbers of criteria and
indicators. There are to define suitable verifiers as indicator measurement methods and threshold
values in order to make indicator measurement and assessment meaningful; and improving the
understanding of the functional linkages within the C&I sustainably. Therefore, there is still need
for C&I testing at national, regional and local level in particular and is still a lack of intensive case
studies. Ranking, rating and pair-wise comparison techniques helped to reduce the number of
indicators for minimizing the redundancy of many indicators and verifiers. It was difficult to
interlink the social, ecological, economic elements and evaluate all dimension of SFM in a holistic
way. From the pragmatic and operation point of view the spatial and temporal information either
long term and short-term and site-specific conflicts and emergences issues amongst stakeholders
groups determine these elements and need appropriate balance and conducive environment for the
process. The very limited time available to identify criteria and indicators and the practical use of
them as tools considerably constrained due to lack of data or adequate which are objective, cost-
effective and relevant to the sustainable management of forests, based on tests of existing sets of
sustainability criteria and indicators.

Overall, it has been found that CF management generally contributes to the maintenance of
biodiversity, soil-water conservation and forest health. The communities consider equity and
gender issues, reduce poverty and promote the livelihood, governance and institutional changes in
the context of an integrated resource management. With the help of the C&I process it was made
possible to regularly evaluate the management and improve the overall performance focusing on
the activities in forest management, organizational management skills (such as good account
keeping, systematic documentation, monitoring), socio-economic activities (development of forest
based enterprises, poverty reduction and income generation activities) additionally. It helped to
increase the trust, communication and relationship of CFUGs with other stakeholders. People
attitudes towards benefit sharing (providing benefits to poor and marginalized people) and fund
mobilization for poverty reduction turned positive. The process of C&I development has proved so
far to be an initial step to fostering sustainable community-based forest management in Nepal.

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5 Acknowledgements

We would like to thank the Commission for Development Studies at the Austrian Academy of
Science (KEF) for financial support. We are also very thankful to our project partners in Nepal for
the co-operation and successful completion of the project activities. An important factor for the
practical implementation work was the involvement of the local people in the CFUGs and their
active cooperation in the development process. Without their vital interest in the subject of criteria
and indicators on sustainable forest management this project would have not been successfully
completed. The Federation of Community Forest Users of Nepal (FECOFUN) allowed us to
establish a strong link to the civil force in forestry sector, which might cause influences on the
policies and practices of community forestry. As most of the forest user groups of Nepal are
affiliated under FECOFUN we are very grateful that the members supported our project.

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6 Annex

Annex 1: List of Publications

Chiranjewee K., Kandel P., Vacik H. (2007): Criteria and Indicators for Community based
sustainable forest management - Case study from Nawalpur Saraswati (Basamadi)
Community Forest User Group, Makawanpur District, Nepal. In: Organization Committee
of Ecosysummit 2007 (Eds.), Ecological Complexity and Sustainability - Abstracts of
EcoSummit 2007, p 150, EcoSummit 2007 - Ecological Complexity and Sustainability:
Challenges and Opportunities for 21st-Century's Ecology, 22.05-27.05.2007, Beijing

Khadka C., Vacik H., Uprety H.D., Wolfslehner B. (2008): Supporting Sustainable Forest
Management in Community Forest User Groups in Nepal - a case study from Makawanpur
and Chitwan. Mountain Forests in a Changing World, 2.-4.4.2008, Wien

Khadka C., Vacik H. (2008): Applying Adaptive collaborative management for social learning: A
case study of community forestry in Nepal. In: Maurer et al. [Eds.], Proceedings of I-Know
08 and I-Media 08 - International Conferences on Knowledge Management and New Media
Technology, Journal of Universal Computer Science (J.UCS), p. 101 - 108; ISSN 0948-
6968

Khadka C., Uprety H.D:, Pandey G.S., Vacik H. (2008): Criteria and Indicators for Sustainable
Forest Management in Nepal, Transforming the forestry sector: Setting new directions for
community forestry, 5th National Community Forestry Workshop, Kathmandu Nepal, 9-11.
November 2008

Khadka C., Uprety H.D. (2008): A successful story of Partnership between Austria and Nepal for
Supporting Sustainable Community Forest Management, Nepal, ALUMNI Newsletter,
October 2008, p. 3-6

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Annex 2: Criteria for the selection of case studies
Criteria Factors to be Considered
Forest condition Medium, Medium- good, natural and artificial
forest
Composition of the community Heterogeneous (so that wide range of pattern can
be analyzed)
Level of Conflict Medium (not too high not too low)
Number of different Diverse level stakeholder and higher number
Stakeholders preferred
Organisational aspects of Active and regular meeting of CFUGC
CFUG
Composition of FUGC Diverse representation and gender balance
CFUG fund Medium (fund mobilization and management)
Forest values High
Social capital Higher number of locally organized
groups/institutions
Human capital High number of skill, experiences persons and
occupational castes
Pressure on Forest Number of households and forest area so that users
are always interested to protect their forest
Accessibility Close to the high way
Economic status Heterogeneity: Rich, Medium, Poor
Indigenous people Customary and traditional user rights existence
Employment/Wage labor Activities done by CFUG
Operational status(Management Medium
activities)
Forest/ vegetation type Mix
Average age/stage of the stands Mature
Mode of regeneration Mix

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Annex 3: Major activities of Workshop/training
Steps Contents Outputs
Facilitation ƒ Interact on second generation issues in CF and SFM and build ƒ Identify the major task of
workshop of capacity on skill for identification of criteria and indicators of CFUG till general
Second SFM, good forest governance and livelihood assembly
generation ƒ Develop the capacity, skill and knowledge on second
issues in CF generation issues and practical implication for developing
and SFM at monitoring and management system of CF
all case study ƒ SWOT analysis of institution
sites ƒ Identify the sub-committee members for preparation the
constitution and operational plan of CF and its development
process
1) Introduction of interaction workshop
- Fish bowl method for introduction from
penetrating/learning questions
2) Introduction to Strength, Weakness, Opportunity and
Threats (SWOT) analysis
- Group discussion/interaction and poster presentation
3) Second generation issues in CF
- Presentation: First generation issues, emergence issues
in CF, second generation issues: SFM, Good
governance and livelihood
- Indicators of SFM, good governance and livelihood
Group exercise: Assessment of institution and governance level of
CF and plenary presentation
4) Principle, Criteria and Indicators of SFM
- Presentation: description of P, C& I, SFM, exercise on
indicators
- Group discussion
5) Importance of second generation issues to incorporate in
Constitution and operational plan of CF and process for
preparation
- Thematic areas for identification of major second
generation issues for upcoming discussion
- Necessary steps/process for preparation of constitution
and Operational plan
6) Future plan of CFUG

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Facilitation 1) Brief discussion of KEF Project concept Provide training to 40 local
skill training 2) Introduction facilitators including local
to local ƒ Criteria and Indicators/SFM researcher of the project
facilitator ƒ Second generation issues on
(LFs)) at i. Good forest governance
Gyneswer ii. Livelihood
CFUG iii. SFM
3) Discussion on major content of constitution and
operational plan from eye of second generation issues
4) Issues of social inclusion and participatory democracy,
social justice, accountability
5) Major rule and regulation of government: Master plan of
forestry sector 2045, Forest Rule, 2049, Forest Regulation,
2051 etc.
6) Facilitation skill: Group skill, presentation skill, listening
skill etc.
7) Issues of SFM: Active forest management
8) Introduction of Participatory tools: Participatory social
map, Participatory resource inventory, Well-being ranking
Future action plan for environment setting
Household ƒ Explain purpose ƒ Increased awareness
visit and ƒ Data collection level of FUG members
Hamlet ƒ Share the progress report of last five year and recent year and ownership feelings
meeting for ƒ Share the current year plan, program and budget prepared by for the amendment of
amendment of FUGC constitution and
constitution ƒ Verify household list and population operational plan
and ƒ Application of well-being ranking preparation process
operational ƒ Assess demand for forest products ƒ Well-being ranking
plan ƒ Identify other sources of supply ƒ Finalized the Household
ƒ Identify vision, objectives, and activities for forest management list
and utilization ƒ Demand for forest
ƒ Propose changes in rules and regulations product collected
ƒ Get general consensus on organisational assessment ƒ Other sources of supply
ƒ Identify and priorities group strengthening activities ƒ Group strengthening
ƒ Identify and priorities community development activities (for activities identified
investment of FUG funds) ƒ Community
ƒ Resource inventory development activities
ƒ Identify the forest management activities (activity, target groups,
ƒ Follow up meeting scheduled identified tentative costs, source
of funding, priority

- 39 -
FUG meetings ƒ Explain purpose ƒ Membership list
with local ƒ Finalize household list and population Finalized
researcher/faci ƒ Finalize demand and supply (from technical assessment) ƒ Fiscal administration
litators ƒ Finalize forest management vision and objectives directive prepared
ƒ Finalize forest management activities and prescriptions ƒ Personnel management
ƒ Prioritize group strengthening activities/representation directives prepared
ƒ Prioritize community development activities based on finances ƒ Demand and supply
of FUG funds finalized
ƒ Prioritize the poverty reduction activities ƒ Forest management
ƒ Promote for governance and livelihood development activities activities identified
ƒ Prepare implementation schedule for forest management, group ƒ Group strengthening
strengthening, and community development activities identified
ƒ Develope consensus on rules and regulations ƒ Community
ƒ Discuss draft of constitution and operational plan development activities
ƒ Schedule follow up meetings to complete the task identified
ƒ Rules and regulations
finalized
Preparatory ƒ Conduct the one day orientation training to local facilitators on
meeting for participatory tools, constitution and operational plan
Household preparation
survey, tole ƒ Review the documents
meeting, o Progress report of last year, Financial/Audit report of
FUGC last year, Progress report of last five year, Constitution
meeting and and operational plan, discussed on current year
Jointly planning, budget and program of CFUG which was
meeting prepared by FUGC
ƒ Self- assessment of previous task: Corner speech program:
SWOT analysis and some basic question which was felt by
facilitators
ƒ Participatory tools and method
o Participatory social map
o Well-being ranking
o Participatory resource map
ƒ Major task and activities to be prepared for household Visit
and tole meeting
o Progress report of last year
o Financial/Audit report of last year
o Progress report of last five year
o Major contents of Constitution and operational plan
o Major focused areas and activities of CFUG

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 o Well-being ranking
o Data collection: Basic data: structure format
ƒ Future plan and preparation
o Meeting with FUGC, co-ordination committee,
monitoring committee
o Household visit: Team formation for tole meeting as
well
o Progress report draft
o Basic require material
o Identify the tole/hamlet and road map

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 Annex 4: Description of selected key local facilitators involved in research project
Local Gender Class Educ & lit level What strengths In what Why chosen What Are they
Researchers & age & & & did they have in skills & by whom support remain
Caste/ Social status Language(s) terms of skills, attitudes or from their active, semi-
Ethnicity & occupation attitudes & knowledge institutions? active, or
knowledge were they Paid or dropped
When they began weak when unpaid for out?
as LF? they began work as LFs
as LF?

1. Gobinda Male, age Medium, Master level Learning Attitude Facilitation, Active Monthly Active and
B. K 26 years, Medium Nepali (understand hard labor, record leadership members, remuneration supporting to
From economic English and Hindi) keeping, report FECOFUN for 6 month FECOFUN
Lower Gold making writing, CF policy, Makawan by as well
caste Dalit activist Pur and FECOFUN
(Dalit) FUGC
2. Kopila 19 years, Very poor, +12 level, Magar , Learning attitude, Lack of Open Monthly Active
Tumsing female agriculture Speak Nepali , facilitation facilitation vacancy, remuneration (household
from the Understand skill, PRA written exam for 6 month survey,
hill ethnic English and Hindi tools and and decision by women sub
group Less took place FECOFUN group
(Magar) confidence from FUGC meeting,
in the meeting training and
beginning FUGC
meeting
facilitation
assist to
research
student
3. Yub Raj 20 Years, Representing Bachelor Learning attitude, Community CFUGC Monthly Active,
Rumba Male, lower medium level,Mother motivated for forest and decisions remuneration regular visit
From hill economic toung Tamang , community, policy, law (chairperson for 6 month tole and
ethnic group, Speak Nepali , and role and influence) by hamlet
group Small business Understand responsibilit FECOFUN meeting,
(Tamang) and agriculture English yRA tools forest visit,
and training,
facilitation assist to
skill. research
student

4. Puskar 28 years, Lower medium +12, Nepali , High learning Lobbying FUGC Monthly Active in
Subedi Male, group Speak Hindi and attitude and and decisions remuneration FUG
from other ethnic leadership advocacy, for 6 month activities,
Brahmin language capacity report by record
family writing FECOFUN keeping

5 Barsa 18 years, Lower medium Bachelor level, High learning Leadership, FUGC Monthly Active in
Gauam female economic group Mother Nepali, attitude personality, decisions remuneration training,
Speak Hindi and not close to for 6 month FUGC
other ethnic community by meeting,
language level FECOFUN record
keeping

6. Mrs. 32 years from lower Under SLC High learning Low level FUGC Monthly Active,
Laxmi Karki medium Nepali , Speak attitude and confidence decisions remuneration facilitation at
economic group Hindi and other committed for the for for 6 month tole meeting
ethnic language work , women empowerme by
leadership nt, lobbying FECOFUN
and
advocacy,
record
keeping
7 Ms. 27 years, Medium Bachelors toung High learning Facilitation FECOFUN, FECOFUN, Active and
Bharati female economic group Nepali, Speak , attitude and skills, Central Central motive for
Pathak Hindi and English FECOFUN central research
other ethnic leader (Treasurer) work
language

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Annex 5: Preliminary set of principle, criteria and indicators at CFUG level
P C I Description
Forest management respects all applicable laws of the country in which they occur, and international treaties and
1 agreements to which the country is a signatory, and comply with all Principles and Criteria.

Forest management respects all national and local laws and others administrative requirements of the local
1.1
authorise and communities which are in conformity with current national laws
1.1.1 All national, regional, district and local laws and regulations and documents should be filed in the office
1.1.2 CFUG undertake specific corrective actions when incidences of non-compliance are identified
There has not been any cases of violating law, policy and other stipulations of constitutions and operational plan of
1.1.3
CFUG over the last 5 year
1.2 All applicable and legally prescribed fees, royalties, taxes and other charges shall be paid.
CFUG maintains up-to date harvesting permits, collecting licenses. Collecting contracts or cultivation permits and
1.2.1
duly pays any fees, leases, royalties etc.
Where CFUG is not up-to-date on payments, a plan for completing all payments shall have been agreed to with the
1.2.2
relevant institution.
Forest management complies all provisions of binding international agreements which Nepal government has
1.3
signed so far CITES, ILO Conventions, ITTO, and Convention on Biological Diversity, etc
International convention concerning to forest protection signed by Nepal government are filed at the office and
1.3.1
popularized of and understands the legal and administrative obligations to all key users in locality.
Conflicts between national and local laws, regulations and the principles and criteria shall be evaluated for
1.4 the purposes of SFM, on a case-by-case basis, within and among the stakeholders

CFUG works in conjunction with the appropriate regulatory bodies and other parties to resolve conflicts between
1.4.1 national and local laws/regulations for forest management
Forest management areas should be protected from illegal harvesting, encroachment, illegal settlement and
1.5
other unauthorised activities which are mentioned in constitution and operational plan of CFUG.
1.5.1 There should be little to no evidence of unauthorized activities in forest management areas.
There are documentation and reporting system to the appropriate authority instances of illegal harvesting,
1.5.2 settlement, occupation or other unauthorized activities within CF and neighbouring CF while the Silviculture
operation
Long-term tenure and use rights to the land and forest resources are clearly defined, documented, mapped and
2 certified according to the present laws
Clear evidence of legal long term forest and forest use rights (e.g. land use right certificate, customary rights,
2.1 or lease agreements) is demonstrated.
Ownership of the land user right certificate issued by authorized agencies and the legal right to manage the lands
2.1.1 and to utilize the forest resources by community forest users
Customary use rights, leases or other use rights shall be documented in the constitution and operational plans and
2.1.2
minutes.
CFUG with legal or customary tenure or use rights maintain control, to the extent necessary to protect their
2.2. rights or resources, over forest operations unless they delegate control with free and informed consent to
other stakeholders
All legal or customary tenure or use rights to the forest resource of all users are clearly documented in the
2.2.1
constitution and operational plan.
CFUG provides evidence in their minutes and records that free and informed consent to management activities
2.2.2 affecting use rights has been given by users
Appropriate mechanisms are employed to resolve disputes over tenure claims of forests and forest land user
2.3 rights.
CFUG uses appropriate mechanisms for resolving disputes over tenure claims and use rights. This shall be verified
2.3.1 in the constitution, operational plan and recorded in meeting minutes
When the dispute is not managed within CFUG, Identification of major disputes of this character shall preclude
2.3.2 certification of the authorized agencies which should be mentioned in the constitution and operational plan.

The legal and customary rights of indigenous peoples to own use and manage their lands, territories, and resources
3 are recognized and respected.
CFUG identifies Indigenous peoples with customary/traditional rights to forest resources (timber and non-
3.1 timber) where indigenous people have established customary or legal rights to the land or forest resources
and their entitlements formally recognized in the OP and the specific areas marked on maps
CFUG identifies Indigenous peoples with customary/traditional rights to forest resources (timber and non-timber)
3.1.1 where indigenous people have established customary or legal rights to the land or forest resources and their
entitlements formally recognized in the OP and the specific areas marked on maps.
Forest operations begin only once disputes have been resolved or all reasonable means have been taken to resolve
3.1.2 them. Resolution is documented in meeting minutes
CFUG identifies the traditional, cultural, religious, economic and ecological importance areas and those specific
3.1.3 areas mentioned in operational plan and mentioned in OP

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 Indigenous peoples are compensated for the application of their traditional/Indigenous knowledge regarding
the use of forest species or management systems in forest operations provided that the traditional knowledge
3.2 has been certified by legitimate authorities. This compensation must be formally agreed upon with their free
and informed consent before forest operations commence.

CFUG maintains documents with written or verbal agreements in the Operation plan when there is use of
3.2.1 traditional knowledge for commercial purposes.
Where applicable, compensation systems shall be in place prior to commencement of forest operations which affect
3.2.2 indigenous interests.
Forest management operations well maintain or enhance the long-term social and economic well being of forest
4 workers and local communities
The communities within, or adjacent to, the forest management area are given opportunities for
4.1 employment, training, and other services whenever possible.
CFUG shall be given equal preferential opportunities to forest users in forest product collection, in timber
4.1.1 harvesting and other forest management activities
Opportunities exist for local and forest-dependent people to receive employment, training, workshop, seminars,
4.1.2 study tours and others new skill development from forest user groups
FUG policies and practices shall ensure equity for employees in terms of hiring, advancement, dismissal;
4.1.3 remuneration and employment related social security
Wages and other benefits (health, housing, food) for full-time staff and contractors shall be consistent with (not
4.1.4 lower than) prevailing local standards
4.1.5 Women and ethnic minorities are compensated at the same rate for their job classification as majority men.
4.1.6 While performing risky works like feeling trees precautions should be taken
Forest user group has adopted Participatory Decision Making Process and create appropriate mechanisms
4.2 for institutional development of CFUG
There is proportional representation/ participation of male and female, Dalit, ethnic groups and poor people is
4.2.1 found in decision making process and committee.
4.2.2 FUG Committee has equal representatives from the each hamlet/tole.
4.2.3 Men and women are equally selected/elected in the main position of FUGC.
4.2.4 All users know about the fund, CFUG activities and decisions made in meetings and assemblies
Tole representative has been informed/shared the decision made in the FUGC and tole/hamlet and put the agenda
4.2.5 of tole meeting in the CFUG meeting
4.2.6 There is provision to share the learning, knowledge and skills from training, workshop in different hamlets
4.2.7 Users have the increased leadership skills
Users from all sections of the society and committee members attend the general assembly and committee meetings
4.2.8

4.2.9 CFUG has maintained the documents of all different activities of CFUG
4.2.10 CFUG members are well informed about the constitution and operational plan of CFUG
There is special provision to poor, Dalit, marginalized groups for their livelihood enhancement
4.2.11

4.2.12 There is special program to target groups according to well-being ranking of CFUG members
4.2.13 There is held the regular meeting of committee, general assembly and other discussion
FUG has developed the functional relationship with other CFUGs, government and non-government
4.3 institutions
4.3.1 FUG has developed the functional ship with other CFUGs, government and non-government institutions
FUG has developed functional relationships with other CFUGs through conducting regular meetings and sharing
4.3.2 the experiences
Effective communication and decision-making mechanisms exist between neighbouring CFUGs and other
4.3.3 stakeholders
FUG has regularly found the moral, technical and financial support from DFO, ILAKA, Range post and District
4.3.4 Soil Conservation Offices (DSCO)
4.3.5 General members of FUG aware the information of benefits through the activities of FECOFUN
FUG has coordinated to increase the functional relationship between FUG and other neighbouring CFUG and
4.3.6 other government and non-government organizations
4.3.7 FUG has developed the functional relationship with the NGOs
5 Community Forest User Group does encourage the efficient use of the forest's multiple products and services to
ensure economic viability and a wide range of environmental and social benefits through Income generation
Activities
5.1 CFUG strive toward economic viability, while taking into account the full environmental, social, and
operational costs of production, and ensuring the investments necessary to maintain the ecological
productivity and functions of the forest.

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 Current and future budgets include provision for environmental and social as well as operational costs e.g. forest
management planning and implementation, road maintenance, silvicultural treatments, long-term forest health,
5.1.1 growth and yield monitoring, and conservation investments

The income and expenditure predicted in the operating budgets is based upon sound assumptions and by trained
5.1.2 and experiences persons

5.1.3 CFUG is increased from silvicultural operational works and other income generation activities

CFUG has well maintained the documents of income and expenditure and doing regular auditing and approved
5.1.4 from general assembly
FUG fund has been invested the fund for enhancement of livelihood of users being skill, experiences and human
5.1.5 resource development
The FUG members are kept sufficient domestic animals (Buffalo, pig and goat and poultry) by utilizing CFUG fund
5.1.6

FUG income has been increased from NTFP farming (Medicinal plants like Amala, Kurilo, Lapsi, Nigalo and
5.1.7 Alaichi etc)
CFUG fund is increased through producing local bamboo handicrafts (Doko, Namlo. Cupboard, Sofa) and manage
5.1.8 for selling the product in the marketing
CFUG actually encourage the optimal use and local processing of harvested forest products and the
5.2 exploration of new markets
FUG assess the all timber and non-timber forest products of species and commercial activities such as marketing
5.2.1 or promotion of products to local as well as to oversee markets have been taken places
5.2.2 Local processing should be emphasised where possible and manage the market system
Community Forest User group strives to strengthen and diversify the local economy and products, avoiding
5.3 dependence on a single forest product and raising the FUG fund through diversified their income generation
activities
5.3.1 FUG assesses all forest species like timber, fuel wood, fodder, grass and NTFPs and include in operational plan
for their management
5.3.2 FUG should support local value added processing whereas possible
5.3.3 FUG focuses forest operation supports livelihood opportunities for local communities as appropriate to the local
condition
6 Forest management strives to conserve biological diversity and its associated values, water resources, soils, and
unique and fragile ecosystems and landscapes, and, by so doing, maintain the ecological functions and the integrity
of the forest.
6.1 Environmental impacts assessment are completed prior to commencement of forest management activities

6.1.1 Environmental assessments are done by Forest User Groups during the operational plan preparation and forest
management activities
6.1.2 Environmental impacts of on-site processing facilities shall be assessed and controlled
6.1.3 Landscape level impacts of forest management (e.g. cumulative effects of forest operations within and nearby the
FMU) shall be considered.
6.2 Effective measures are employed to conserve rare, threatened and endangered species and their habitats of
plants and animal species (e.g., nesting and feeding areas), illegal and inappropriate hunting, trapping and
harvesting is properly prevented.

The likely presence of rare, threatened or endangered species and their habitats (e.g. nesting and feeding areas)
6.2.1 shall be assessed on the basis of the best available information and establish the appropriate to the scale and
intensity of management, conservation zones, protection areas or other protection measures

The likely presence of rare, threatened or endangered species and their habitats (e.g. nesting and feeding areas)
6.2.2 shall be evaluated on the basis of the best available information and develop the appropriate to the scale and
intensity of management
Rare, threatened and endangered species should be listed in the OP, and awareness shall be raised for their
6.2.3 conservation, and development within and among stakeholders
Ecological functions and values are maintained intact, enhanced, or restored, including: a) Forest
6.3 regeneration and succession. b) Genetic, species, and ecosystem diversity and c) Natural cycles that affect the
productivity of the forest ecosystem
Ecological and Silviculture rationale behind management prescriptions shall be well-documented, i.e. based on
6.3.1 site-specific field data or assessment of forest inventory
Management prescriptions should maintain, enhance or restore forest composition (i.e. species numbers and
6.3.2 diversity) and structure
Management is designed to ensure that the full complement of tree species regenerates successfully in the forest
6.3.3 area over the duration of the rotation.

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 6.3.4 Standing and fallen dead wood for wildlife habitats should be retained, appropriate to the local situation.
NTFP harvest and management takes into account the ecological role and requirements of the target NTFP and
6.3.5 other associated species, e.g. food for birds and mammals, animal dispersal of seeds, maintenance of specific
ecological interdependencies, etc.

Representative samples of existing ecosystems within the landscape are protected in their natural state and
6.4 recorded on maps
Representative samples of existing ecosystems shall be protected in their natural state and manage as a model
6.4.1 forest based on the identification of key biological areas
6.4.2 Representative samples of ecosystems shall be identified, defined, documented and implemented in the field.
Forest management plan shall be prepared and implemented to: control erosion, to minimise forest damage
6.5 during harvesting, road construction, forest fire establishment and all other mechanical disturbances; and
protect water resources
Operational plan is prepared which cover the aspects of management that have demonstrated impact in the forest,
typically including silvicultural operations, biological conservation, soil erosion control, conservation of water
6.5.1
sources, road and trail construction etc..

Maps and work plans shall be produced at adequate scale and to facilitate on-site monitoring thereof.
6.5.2

Training shall be given to field staff, forest users, contractors and local community to meet guidance requirements.
6.5.3

The use of exotic species shall be carefully controlled and actively monitored to avoid adverse ecological
6.6 impacts
Use of exotic species should be discouraged and carefully controlled, i.e. when used it is for well-justified and
6.6.1 specific purposes (e.g. environmental benefit) and monitored for environmental impact.

Emphasis should be placed on planting, and/or applied research on, forest species native to the region.
6.6.2

Forest conversion to plantations or non-forest land uses shall not occur, except in circumstances where
conversion: Entails a very limited portion of the forest management unit; Does not occur on high
6.7 conservation value forest areas; and, Will enable clear, substantial, additional, secure, long-term
conservation benefits across the forest management unit.
CFUG should not convert primary, degraded primary, mature secondary forests, or threatened non-forested
6.7.1 habitat to plantations or non-forest land uses.
CFUG should take measures to restore, conserve or manage natural forest or grasslands in surrounding or
6.7.2 adjoining areas equal to or exceeding the area disturbed; and support for such actions exists amongst
environmental and other stakeholders.

6.7.3 Any conversion should produce clear long term conservation benefits across the FMU
Forest management plan with long-term objectives of management and the means of achieving them has been
7 written, implemented and kept up to date.
Development of management plan is adequately based on the real socio-economic condition of the location
and forest user groups, available resources, protection areas, well-planned management activities and land
7.1 use planning.

Forest Management Operational plan, or its appendices shall include the following components: Management
objectives, Description of the forest resources and environmental limitations, land use and ownership status, socio
economic conditions, and a profile of adjacent lands, Description of silvicultural and/or other management system,
7.1.1 different harvesting techniques and equipment, Rate of harvest of forest products, Measures for identifying and
protecting rare, threatened and endangered species and/or their habitat management, environmental assessments,
Plans for monitoring of NTFP growth, regeneration and dynamics and financial management plan

The management plan is periodically revised to incorporate the results of monitoring or new scientific and
7.2 technical information, as well as to respond to the actual changing environmental, social and economic
circumstances
A technically sound and financially realistic timeframe shall exist for revision/adjustment of the management plan.
7.2.1

Management plan (and/or annual operating plan) revision or adjustments should occur on timely and consistent
7.2.2 basis.
Forest workers from forest users receive adequate training and supervision to ensure proper
7.3 implementation of the management plan
7.3.1 Evidence of formal or informal training shall exist in the field and documented as well
While respecting the confidentiality of information, forest managers make publicly available a summary of
7.4 the primary elements of the forest management plan.
7.4.1 CFUGC shall make publicly available a public summary of the constitutional and operational

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 CFUGC meeting is held regularly in monthly basis and decided the responsible persons or sub-committee for
7.4.2 implementation of forest activities
Assessment to determine the presence of the attributes consistent with High Conservation Value Forests will
7.5 be completed, appropriate to scale and intensity of forest management.
CFUG shall have conducted an assessment to identify High Conservation Values and High Conservation values
7.5.1 forests
CFUG shall have mentioned HCVF assessment and its regular monitoring and reporting in operational plan of
7.5.2 CFUG
The management objectives of the plantation explicitly states in the forest management plan, and clearly
7.6 demonstrate in the implementation of the plan
Objectives of tree and NTFP planting shall be explicit in the management plan, with clear statements regarding the
7.6.1 relationship between tree planting and the Silviculture, socioeconomic and environmental (i.e. forest conservation
and restoration) realities in the region.
Management objectives, which balance production and conservation of natural forest, NTFP and restoration, shall
7.6.2 be described in the management plan.
Diversity in the composition of plantations is preferred, so as to enhance economic, ecological and social
7.7 stability
Plantation management should enhance landscape diversity by varying block size and configuration, species,
7.7.1 genetic diversity, age class and structure.
7.7.2 Emphasis should be placed on planting and/or applied research on forest species native to the region
Monitoring and Assessment is conducted appropriately to the scale and intensity of forest management to assess the
8 condition of the forest, yields of forest products, and chain of custody, management activities and their social and
environmental impacts.
The monitoring and assessment is carried out accordingly to the scale and intensity of forest management
operations as well as the environment impacts of these operations and is properly documented. Monitoring
8.1
procedures are consistent and could be replicable over time to allow comparison of results and assessment of
change.
8.1.1 CFUG is fixed a plan and design for periodic monitoring and reporting
CFUG implements the annual forest action plan with following the monitoring and evaluation report
8.1.2

Forest management must include and describe the forest resource inventory and assessment through the
8.2 research and data collection which is needed to monitor of forest management activities
The monitoring plan should be technically sound and identify/describe observed changes in conditions in terms of:
Silviculture (growth rates, regeneration and forest condition, typically as part of a suitable continuous forest
8.2.1 inventory system, commercial harvest including NTFPs, environment and socio-economic aspects

8.2.2 CFUG identify/describe the importance of high conservation value forest attributes in forest operational plan

While respecting the confidentiality of information, forest user committee makes publicly available a
8.3 summary of the results of monitoring
CFUG shall demonstrate that monitoring results are incorporated into revisions of the management plan and
8.3.1 implemented after approval from general assembly
CFUG shall incorporate the results of monitoring into summaries and other documents that are publicly available
8.3.2

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Annex 6: Set of indicators for the Delphi survey in Nepal
1. National and local laws
2. Fees, royalties and taxes
3. International agreements
4. Conflicting laws
5. Knowledge about forest laws and
directives
6. Legislative framework
7. Customary tenure or use rights
8. Indigenous people
9. Illegal and unauthorized activities
10. Planning and implementation
11. Management plan
12. Revision of Management plan
13. Regular monitoring and
assessment
14. Access to natural resources
15. Compensation
16. Economic Policies
17. Economic benefits
18. Investment and reinvestment
19. Financial incentives
20. Annual operational budget
21. Forest development targets
22. Good and services
23. Local processing and new markets
24. Employment and social security
25. Landscape pattern
26. Ecosystem diversity
27. Genetic diversity
28. Native species diversity
29. Conversation of areas
30. Rare, threatened and endangered
species
31. Number of old trees
Forest management respects and enforces all national and local laws
Forest management pays all applicable and legally prescribed fees, royalties, and
taxes
Forest management complies with binding international agreements
Forest actors evaluate and develop mechanism to address conflicting laws
Forest actors know about forest laws and directives and all other national
guidelines and norms of forest management
Forest management defines of the underlying legislative framework for SFM
Forest management protects the customary tenure or use rights of the natural
resources
SFM identifies indigenous people with customary/traditional rights to forest
resources
Forest management protects from illegal harvesting, encroachment, illegal
settlement and other unauthorized activities
Forest management consults to local communities for planning and
implementation of forest management
Forest management implements the management plan effectively
FM revises of Management plan periodically to incorporate the results of
monitoring
SFM ensures regular monitoring and compiles the data to monitor
Forest management clearly define access to natural resources
SFM compensate the application of Indigenous or traditional knowledge and any
other damage causes
Forest management takes precaution economic policies
SFM allows to share the economic benefits from forest use
SFM finances allow investment and reinvestment in forest management
FM provides financial incentives for forest enterprises development or trade of
NTFPS and other forest product
Forest management commensurate annual operational budget
SFM commensurate with forest development targets
Forest management provides goods and services
SFM encourages the optimal use and local processing of forest diversity of
products and new markets
SFM ensures equity in employment and social security
SFM maintains landscape pattern
SFM maintains ecosystem diversity
SFM maintains genetic diversity
SFM maintains Native species diversity
SFM supports for conservation areas
SFM employs of effective measures to conserve rare, threatened and endangered
species
SFM ensures the number of old trees in forest stands in management plan
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32. Ecological assessment and
diagnosis
33. Environmental impact assessment
34. Buffer zone area
35. Watercourses and other wetlands
36. Degraded forest and bare forest
soil
37. Forest fire
38. Erosion and Landslide
39. Pesticides and herbicides
40. Encroachment and grazing
41. Harvesting technologies
42. Logging techniques
43. Access to forest by forest road
44. Final opening up with skid tracks
45. Laying-out of drainage
46. Rehabilitation of degraded off-site
impacts
47. Ecosystem function
48. Forest Area
49. Plantation
50. Natural regeneration
51. Use of suitable tree species
52. Estimation of forest harvest
53. Sustainable utilization of NTFPs
54. Wildlife farming and hunting
55. Design and layout of plantations
56. Silvicultural system and forest
types
57. Balance of growth and areas
58. Carbon sequestration in forest
stands
59. Human health
60. Labour code regulation
61. Participatory Decision Making
62. Social inclusion
63. Transparency
SFM allows for ecological assessment and diagnosis
SFM promotes for environmental impact assessment
SFM observes a buffer zone area along rivers
SFM identifies the percentage and length of edges of watercourses and other
wetlands
SFM develops Forest management practices in degraded forest and causing bare
forest soil
SFM prepares and implements measure to control forest fire and minimize forest
damage
SFM prepares and implements measures to control erosion and to minimize
forest damage
SFM discourages the use of pesticides and herbicides
SFM controls encroachment and impacts of grazing
SFM supports application of appropriate harvesting technologies
SFM reduces impact of logging techniques and minimizes the damage associated
with harvesting and on-site processing operations
SFM constructs forest roads for access to forest
SFM ensures the final opening up with skid tracks
SFM ensures the laying-out of drainage in forest road
SFM ensures the rehabilitation of degraded off-site impacts
SFM maintains ecosystem function
FM maintains and extends forest area
SFM promotes plantation in order to maintain the ecosystem function and the
forest area
SFM ensures the natural regeneration capacity of the forests
SFM promotes the use of suitable tree species
SFM estimates the amount of sustainable harvest of each timber and non-timber
species
SFM develops management guidelines for NTFPs
FM promotes measure for wildlife farming and hunting
SFM develops the design and layout of plantations
SFM prescribes silvicultural system according to forest types
SFM defines the extent and percentage of forest growth and areas to be harvested
Forest management supports measures to foster carbon sequestration in forest
stands
SFM supports forest based human health services
SFM respects labour code regulation
SFM promotes participatory decision making process
SFM promotes social inclusion and equity
FM ensures transparency in decision making processes
- 49 -
64. Collaboration
65. Public awareness, communication
66. Documentations of visitors to
forest
67. Archaeological and cultural value
68. Training
69. Professional and technical
personnel
70 Scientific and technical knowledge
71. Organization structure
72. Knowledge to forest resource use
and forest management plan
SFM develops collaboration within and among stakeholders
SFM supports measures for raising public awareness about forest policies,
legislation and SFM practices
SFM documents number of visitors in forests
SFM protects and conserves sites of archaeological and cultural value
SFM provides training to professional and technical personnel and other staffs
SFM allows access to an adequate number of professional and technical
personnel
Research institutions develop the necessary scientific and technical knowledge
Organization structures are responsible for SFM
Forest actors have sufficient knowledge about forest resource use and forest
management plan
- 50 -
 CRITERIA AND INDICATORS FOR COMMUNITY BASED
SUSTAINABLE FOREST MANAGEMENT
Case study from Nawalpur Saraswati (Basamadi) Community Forest User Group, Makawanpur District, Nepal
Chiranjeewee Khadka1*, Pem Kandel2, Harald Vacik3
1Rural Reconstruction Nepal – RRN, 667 Neel Saraswoti Marg, P.O.Box: 8130, Lazimpat, Kathmandu, *Corresponding author [chiranjeewee@rrn.org.np]
2 Ministry of Forest and Soil Conservation, Babarmahal, Kathmandu, Nepal
Institute of Silviculture, Department of Forest and Soil Sciences, University of Natural Resources and Applied Life Sciences, Peter-Jordanstr. 82, A-1190 Vienna, Austria.,

1. Community Forest Management in Nepal 4. Elicitation of preferences for C&I of SFM 5. Assessment of management strategies
Nepal has been a pioneer in developing and promoting Multi-criteria analyses (MCA) was used to facilitate the elicitation Strategies for community based sustainable forest
Community Forestry (CF) by handing over National forestland of preferences from different stakeholder groups. Six management requires to consider the basic fundamental
to Community Forest User Groups (CFUGs) who are entitled to stakeholder groups (FUGC, Dalit users, Rich Brahmin Women, aspects social, economic, ecological, environmental and policy
all of the benefits, use rights of forest products and are Poor women, local NGOs and general users) have been asked and owe practical application. Three different management
responsible for maintaining sustainability of the forest. CF in to identify the importance of each principle, criteria and indicator strategies (MS) for the CFUG have been formulated in local
Nepal operating in its all 75 districts has become one of the for SFM. In that context a rating techniques was used to identify workshops in order to evaluate them according to SFM. MS I
effective strategies to restore denuded mountain landscape the importance for each element. The stakeholders’ preference was postulated by the forest ranger and formulated in the
and improve livelihoods of rural people through Sustainable at principle level on C&I for SFM are presented in figure 3. It was operational plans of the CFUG. It follows a traditional approach
Forest Management (SFM). To date 14800 CFUGs are found that there are differences on the most important principle with aiming to get daily houshold needs of users in regular
managing and conserving about 1.2 million hectare of forest by the stakeholders groups. The Dalit stakeholders preferred basis by improving forest conditions through protection of
areas which comprises about 21 percent country’s total area.. “tenure and user rights” more important than the average forests from illegal cutting, encroachment, forest demarcation,
Moreover, nearly 40 percent population of the country is preferences while FUGC and rich Brahmin women voted forest patrolling, fire line and road maintenance, soil-
involving in CF (CFD, 2007). similarly in “management plan and soil conservation”. Likewise, conservation, biodiversity conservation, identification of
Fourth National Community Forestry Workshop, held in with reflecting the objectives of local NGOs scored high in species and conservation. MS II was designed in the local
Katmandu in 2004 to review about the progress and identified “indigenous people rights” and “environment impacts”. General workshop where all concerned stakeholders participated and
issues and challenges in CF.. The workshop identified SFM, members of CFUG scored high for “monitoring and assessment” prepared the action plans for the upcoming 10 years. The main
good governance and livelihood as the second generation as well as “management plan” while poor women weighted for purpose of this management strategy is to improve the
issues in CF and recommended the outline of the strategies to the “benefit sharing from forest” and “environment impacts”. It is institutional development by good governance and to provide
tackle those issues. One of the key recommendations of the shown that there was high variability and different interests the basic forest products to users by improving the ecological
workshop was to formulate comprehensive Criteria and among stakeholders. condition of the forest areas with participatory management
Indicators (C&I) for sustainable community forestry. But what 35 approach in contrast of management strategy I. MS III were
constitutes C&I ? What is the process of formulating C&I?. designed mainly based on the direct observation of the author
30
Preferences in Percentage

Thus to answer those questions this paper highlighted the himself based on the reflection of interests of Dalit, poor, ethnic
25
identification process of C&I for SFM and it’s functioning in groups whereas their most of the genuine issues and interests
community forest program primarily to explore and harmonize 20 were not addressed by MS I and II. A main goal of this strategy
understand of different stakeholders 15 is to enhance the long term social and economic well being of
10
forest users through forest management operations. A
qualitative assessment of the three management strategies
2. Objectives 5
according to the results of the content analysis of constitution
The study took place at the Nawalpur Saraswati (Basamadi) 0 and operational plan and the collection of base line information
CFUG in Nepal for identifying a set of C&I and evaluating the P1 P2 P3 P4 P5 P6 P7 P8
was done for each indicator as input for the evaluation
community-based forest management (CBFM) enacted by Principles
Dali t Poor wome n FUGC (compare Figure 4).
participating diverse stakeholder groups within Community Local NGO s Ri ch Brahmin W ome n Ge n e ral me mbe r
MS I MS II MS III
Forest User Group (CFUG). This study aims to address the Re lati ve W e ights

principle of SFM holistically by using a system oriented

approach in examining interactions, connections, linkages and
relationships between indicators and performing a sensitivity
analysis to select the management strategies an overall
compromise solution. The specific objectives are given below:
Figure 3: Preferences of stakeholder groups for the principles P1=Policy
Framework, P2= Tenure and User Rights, P3= Indigenous people rights, P4=
Community Relationship, P5= Benefits from Forest, P6= Environment Impact,
P7= Management Plan and soil conservation, P8= Monitoring and
Assessment

• Development of criteria and indicators at CFUG-level by the

active participations of multiple stakeholders
• Identification of importance of proposed criteria and
indicators through eliciation of stakeholders’ preferences
• Qualitative assessment of community based sustainable
forest management options
• Evaluation of overall priorities of three management
options by the use of Analytical Hierarchy Process (AHP)
• Performing a sensitivity analysis to select the management Figure 4: Qualitative assessment of management strategies ė (No difference),
strategies an overall compromise solution  (Positive improvement but indirectly)  (Slightly improvement but directly), Ė
= highest improvement
Shared objectives and working
approach of the research study
Explored the identification process
of C&I and its application for SFM
Explored the objectives of
C& I process for SFM and
Figure 5: Analytical Hierarchy Process (AHP) Model for the evaluation of three
and planning for toles meetings identify the tole issues management strategies accorrding to C&I set
further process

Meeting with Key

representatives
9 Toles meeting Based on their preferences, a set of 20 criteria and 47
FUGC meeting indicators was identified for evaluating the management Priorities 40
40

according to 38
38

strategies for the CFUG. The Analytical Hierarchy Process principle 1

36
36 II
II

(AHP) was then used to derive the preferences for each single 34 II
Priorities Pri
Priori
oriti
tieess 34

32
32
III
III

FUG Assembly
FUGC meeting with Tole
2 days C&I element by pair-wise comparisons. Sensitivity analysis according to 30
30
Workshop
representatives
according to varying preference information was also done to principle 6 28
28 III
III
Null

II
Null

II Manage
Managemement nt
Dalit
Dalit

FUGC
omen
II

FUGC
Women
strate
strategi
gieess

NGOs
LocalNGOs

omen

Users
Women

GeneralUsers
find an overall compromise solution for the CFUG.
EthnicW
36
36

Local

BrahminW
PoorEthnic

General
RichBrahmin
Finalize the local C&I set and Identified C&I set and 34
34
Poor

reflect on outcomes of the Political commitment for assessing and weighting and

Rich
32
32 II
C&I process implementing the C&I set scoring of C&I Priorities
Stake
Stakehol
holde
derr groups
groups
Priorities II
II
for SFM 30
30 III
III

28
28

26
26 III
III
Null
Null

Dalit

Figure 1: The overall process for identifying the C&I set at the CFUG level
Dalit

II
FUGC
omen

FUGC
Women

NGOs
LocalNGOs

Management
Women

50
Users

Management
BrahminWomen

GeneralUsers
EthnicW

strategies
strategies 45
40
using at bottom-up approach
Local
PoorEthnic

General

40
RichBrahmin

I
35
II
Poor

35 30 III

3. Research approach adopted for

Rich

Priorities 25
I Stakeholder
Stakeholder groups
groups
20

30 15
II
facilitating the identification of C&I for SFM
10
5
25 III
Priorities 0 III
Null

II Management
Dalit

Poor Ethnic Women

FUGC

I strategies
Since this research intends to identify the criteria and
Local NGOs

priorities 20
according to
Rich Brahmin Women

General Users

indicators for sustainable forest management at the CFUG 15 principle 8

Stak eholder groups

level, policy and institutional dynamics, social-economic and 10

biophysical data were analysed in this regards. A content 5

For the purpose of system analysis an in depth analysis of the
analysis of the constitution and operational plan of the CFUG, 0 III performance of the management strategies according to single
Null II Managem ent
a SWOT analysis during hamlet meetings, a local C&I Dalit
Poor FUGC
I strategies principles have been done. In that respect it was found out, that
W local
workshop and FUGC meetings were done to facilitate the NGO
Rich Br General
MS I is the best management option according to principle 1
development process of a C&I set. The overall field process Stakeholdergroups
(policy framework) followed by MS II and MS III. According to
adopted for the identification of C&I for SFM is described in Figure 6: Overall priorities for all three management strategies principle 6 ( environment impact) MS II is the best management
Figure 1. The Forest management standards for the Nawalpur option except Dalit and poor women stakeholder preferences
Saraswati (Basamadi) CFUG are formulated mostly following Figure 6 indicate that almost all stakeholders have given high
selected the MS III as best. MS I has the lowest priority options
the set of the Forest Stewardship Council (FSC) Principles importance for MS III except FUGC. MS II is the best alternative
from all stakeholder groups scenarios. According to principle 8
and Criteria (February 2000). This standard for Nawalpur for the perspective of FUGC. MS I has the lowest priorities in
(monitoring and assessment) MS III is the best management
Saraswati (Basamadi) CF areas considered the basic overall but both MS II and MS III has slightly difference in overall
option for all stakeholder preferences whereas MS I has the least
fundamental aspect of forest ecology, bio-diversity performances.
priorities from all stakeholder groups.
conservation, soil and water conservation, equitable forest
product distribution, institutional development and
collaboration, positive long-term impacts to socio-economic of
local users and poverty reduction through sustainable forest
management. The members of the CFUG identified in total 8 6. Conclusion
principles, 33 criteria and 97 indicators relevant for their The feedback received from the forest users indicates that the Hamlet level concept provokes and facilitates the process of improving their
specific context (compare Figure 2). understanding of the concepts of SFM. Results from the study show that the MCA techniques have created practical methods for applying
scientific theoretical approaches to multi-criteria problems which are transparent, easy to implement and that provide a conducive
Monitoring and Assessment environment for the participatory assessment of forest management practices. In practice, it has been difficult to define and evaluate all the
Management Plan dimensions of SFM in a holistic way. Decision-making in community based institutions is typically a complex and confusing exercise,
Environment Impact characterised by trade-offs between socio-cultural, political, environmental, and economic impacts. Some of management plans have not
reflected all these criteria and indicators at the implementation level which has complicated and affected the integration process. Inherent
Principle

Benefits from Forest

problems specific to the integration process have resulted out of the practice of making comparisons and trade-offs as stakeholder
Community Relationship
preferences are often differentiated in the process. Overall, it has been found community forest management has contributed to poverty
Indigenous people rights reduction, environmental management, biological diversity, ecological integrity, socio-economic development, policy implementation, soil-
Tenure and User Rights water conservation and forest health. The process of C&I development has proved to be the initial step to fostering sustainable community-
based forest management in Nepal.
Policy framework

Criteria Indicator 0 5 10 15 20 25 30
7. Acknowledgement
Our sincere thanks are due to users of Nawalpur Saraswati (Basamadi) community user group, who cooperated for the research even during
Number of Criteria and Indicators the prevalent complicated political situation in Nepal in 2006. We would like to express our gratitude to the Austtrian Exchange Services
Figure 2: The number of criteria identified from the CFUG for each principle (OEAD) for awarding Mr. Khadka a fellowship to pursue Master of Mountain Forestry at BOKU University, Vienna in 2006.
 Criteria and Indicators for
Sustainable Forest Management in Nepal
The demand to assess sustainable forest management has generally evolved to the use of criteria and indicators. The
concept has become widely accepted as a suitable forest policy, management and research approach for
conceptualizing, evaluating, and implementing sustainable forestry at the national, regional and community
management level. In a close cooperation of the Institute of Silviculture at the BOKU University, the Federation of
Community Forestry Users in Nepal (FECOFUN), Rural Reconstruction Nepal (RRN) and NORMS, these aspects of a
sustainable forest management in Nepal are analyzed. The overall goal of this study is to identify criteria and
indicators for community based sustainable forest management by participating diverse groups of stakeholders,
local people and the Forestry User Groups (FUGs) in Nepal in two approaches (top down and bottom up).

Top down approach At national level a set of C&I is developed with

Delphi survey C5
C6 experts from the field of natural resource
C4
C3
C2
management based on the international principles
Analysis C1 of sustainability using a top down approach. A
- semantic aspects
- translation aspects
CIFOR,
CIFOR, Montreal,
Montreal, FSC
FSC Principles
Principles core part of such a process is a Delphi Survey in
MCPFE
MCPFE Process
Process PEFC
PEFC Criteria
Criteria
- meaning order to allow active participation of different
stakeholder groups. The main idea is to initiate the
Operationalisation national process for preparing national standards
- relevance
- measurability for sustainable forest management. The Delphi
- predictability
- validity
method is based on a structured process for
- understandability Indicators
Indicators collecting and distilling knowledge from a group of
for
for SFM
SFM experts by means of a series of questionnaires
Delphi Survey
- relevance interspersed with controlled opinion feedback.
- practicality
- importance
criterion
1
No
1
Indicator
consideration of SFM in forest management objectives
relevance
medium
practicality
medium
importance
high
impact
critical
This process is made possible by participating
1 2 evaluation of forest management plans high high medium critical

- impact
1
1
1
1
1
3
4
5
6
7
monitoring of forest resources
mapping of forest resources
controlling of forest resources
harvest plans and rotation periode
amount and change of growing stock
high
high
medium
low
medium
medium
medium
medium
medium
high
high
high
high
medium
high
critical
critical
critical
active
active
diverse groups of stakeholders at national level
- target levels 1 8 balance of growth and harvesting rates high high high critical

especially from the background of scientific

2 9 composition of tree species high medium high critical
2 10 use of suitable tree species medium medium high critical
2 11 use of soil-fertilizing methods low low low rigid
2 12 prevention of waste deposit medium low high rigid
2 13 amount of damaged wood low medium low active
2 14 use of pesticides and herbicides medium low high rigid
2 15 activities of biological pest prevention medium low medium active
2
2
2
3
3
3
16
17
18
19
20
21
stems damaged by harvest
stems damaged by bark peeling
impact of grazing
forest management practices causing bare forest soil
amount of full-tree harvesting
net present value
medium
medium
high
medium
low
medium
medium
medium
medium
medium
low
low
medium
high
high
medium
low
low
passive
critical
critical
active
passive
critical
community, experts, researchers, private
investors, government officials and civil society.
3 22 returns from wood production low medium low critical
3 23 non-wood products and services low low low rigid
3 24 access to forests by forest roads medium high medium critical
3 25 final opening up with skid tracks medium medium medium passive
4 26 laying-out of drainages high medium high rigid
4 27 amount of natural regeneration high medium high critical
4 28 use of local provenances high medium high rigid
4 29 vertical structure within stands medium low medium rigid
4 30 number of old trees medium medium medium rigid
4 31 percentage of coarse woody debris high medium high rigid
4 32 consideration of key ecosystems in SFM high medium high critical
4 33 consideration of rare species (trees, shrub) in SFM high medium high passive
4 34 damage of regeneration by browsing high medium high critical
5 35 use of soil preparation methods low low low active

Bottom up approach
5 36 quality of forest infrastructure medium low medium rigid
6 37 training of staff with regard to SFM medium medium high active
6 38 safe working conditions medium medium medium rigid
6 39 willingness to join cooperations medium medium medium rigid
6 40 consideration of specific sites in forest management medium medium medium rigid
6 41 use of traditional forest management practices medium medium medium rigid
6 42 role of local staff for regional employment low medium medium rigid
6 43 meet legal regulations medium high low rigid

C&I development case studies

Within different case studies in the districts of SWOT analysis of current Negotiation in Tole meeting
management and gap analysis and General Assembly
Makawanpur and Chitwan a set of C&I was
developed at the level of the community forests by C&I development

public participation using a bottom up approach. for SFM

The generally accepted set of C&I will be applied Training on prioritizing

second generation CF criteria and indicators
to evaluate the current management plans with Sustainable
Awarness Elicitation of
regard to sustainability. With the help of the C&I Forest
building preferences
process it will be made possible to regularly management
discussion and training
evaluate the current management and improve the of SFM issues
Negotiation between
Stakeholders and CFUG members
overall performance focusing on the activities in
Evaluation of
forest management, forest based enterprises,
Management plan
poverty reduction and income generation activities
Implementation C&I Assessment
additionally. This process can be a further step in of Management plan of management strategies

fostering sustainable forest management in Nepal.

For further information please contact:
Prof. Harald Vacik and Msc. Chiranjeewee Khadka

Institute of Silviculture
Department of Forest and Soil Sciences
University of Natural Resources and Applied Life Sciences, Vienna
Peter Jordanstr. 82, A-1190 Wien
Tel.: +43 1 47654-4052, Fax: +43 1 47654-4092
E-mail: chiranjeewee.khadka@boku.ac.at
E-mail: harald.vacik@boku.ac.at
Web: www.wabo.boku.ac.at/waldbau.html
Project website: http://www.rrn.org/

Research Partnership
Sustainable Community Forest Management, Nepal
A successful story of Partnership
between Austria and Nepal for
Supporting Sustainable Commu-
nity Forest Management, Nepal
Chiranjeewee Khadka and Hima D. Uprety
Chiranjeewee KHADKA, Nepal
PhD Student, Institute of Silviculture,
BOKU
chiranjeewee.khadka@boku.ac.at
Introduction
I am Chiranjeewee Khadka, currently do-
ing doctoral studies at the University of
Natural Resources and Applied Life Sci-
ences (BOKU), Austria. I am proud to in-
troduce myself here as an ÖAD alumnus.
I got a North-South-Dialogue Scholar-
ship for my master degree in Internatio-
nal Mountain Forestry from 2004-2006.
First of all I would like to thank the Aus-
trian Development Cooperation (ADC)
and the ÖAD very much for providing
me such an opportunity to study further
so that it would be possible to obtain
such advanced experience and know-
how which are very useful for my pre-
sent career for consolidating the scien-
tific philosophical knowledge on social
learning and adaptive management in
decision support system in sustainable
community forest management.
When I was in the position to complete
my master degree from BOKU University
we, including my academic supervisor,
developed the research proposal to ex-
tend my research concept for a develo-
ping partnership between Austria and
Nepal for Sustainable Community Forest
Management, Nepal and submitted it to
the Commission for Development Stu-
dies (Kef ) at the Austrian Academy of Sci-
ence for funding research grants. Finally
we succeeded in developing the colla-
boration between an Austrian academic
institution (BOKU) and the Government
of Nepal and several other Nepal-based
non-government organizations. One
and a half years have passed since I
earned my master degree and from that
time onwards I have worked at Rural Re-
construction Nepal (RRN, see also page
7) as a project manager in facilitating
the process of Criteria and Indicators for
Sustainable Community Forest Manage-
ment, Nepal. As a project member of the
KEF project I have the privilege of ha-
Participants in the 3-day strategic planning workshop of district FECOFUN, Makawanpur, Nepal
3
ÖAD Alumni Newsletter 2 / 2008
ving observed so many practices at and
around community forest management
Nepal as well as enthusiasm to link the-
ory-practice-policy in the field of sustain-
able forest management, Nepal.
Professional experiences
By virtue of working with several organi-
zations such as HLFFDP/UNDP, NORMS,
CIFOR, WATCH, FECOFUN, ICIMOD, RRN
in Nepal I have gained more than 8 years
of experience in research and develop-
ment fields in community and leasehold
forestry, development of participatory
action research for sustainable commu-
nity forest management, social learning,
adaptive management, good gover-
nance; designed and conducted various
trainings for field facilitators on forest
management and developed a self-mo-
nitoring system in community forestry.
I am keen to develop something that
enhances social justice and equity in the
resource governance and livelihoods
and integrating database management
systems with analytical and operational
research models and the expert know-
ÖAD Alumni Newsletter 2 / 2008

Research Partnership
Sustainable Community Forest Management, Nepal

ledge of decision-makers to assist in BOKU, which was financed by the One-

solving specific problems in resource
management, which are my major areas
for doctoral study. My main interests
include the application of knowledge
management techniques to support
multi-purpose forest management
planning and decision-making, multi-
criteria decision-making support and
C&I for sustainable forest management.
Hima Devi UPRETY, Nepal
PhD student, Institute of Forest, Envi-
ronmental and Natural Resource Policy,
BOKU
World-Scholarship of the Afro-Asian In-
stitute in Vienna. In 2005 I returned back
to Nepal and joined the Natural and
Organizational Resource Management
Services (NORMS) as a research officer.
Based on the learning from my research I
was very interested to do more research
on policy implementation in commu-
nity forestry in Nepal. Prof. Dr. Michael
Pregernig accepted to supervise my
doctoral study entitled “Street-level bu- as a drafting team member to prepare an
reaucracy in community forestry in Ne- outlook for the forestry sector 2020 with
pal: Discretionary power in policy imple- the collaboration of the Ministry of forest
mentation.” and soil conservation, Nepal.

I am Hima Devi Uprety, a PhD fellow of
the Institute of Forest, Environmental
and Natural Resource Policy of BOKU
University under the North–South Dia-
log Scholarship Programme (ÖAD). After
completion of the International Master
Programme Mountain Forestry at the
Work and professional experience
I am a board member of Natural and
Organizational Resource Managements
Services (NORMS). I worked with NORMS
especially with the full responsibility un-
der the KEF project, Austria. I was involved
After completion of my bachelor degree
in forestry I joined the Forest Action team,
a national NGO, as a field researcher un-
der the Adaptive Collaborative Forest
Management Project. I also worked with
another national NGO, Women Acting
Together for Change (WATCH) in collabo-

Overview of Jhirghari CF, Makawanpur district, Nepal

4

Research Partnership
Sustainable Community Forest Management, Nepal
ration with the Regional Community Fo-
restry Training Centre (RECOFTC), Bang-
kok, under the Good governance Project
in Nepal. During this period I closely
worked with the Federation of Commu-
nity Forestry Users, Nepal. My main re-
sponsibility was producing the training
manual on Natural Resource Governance
at the community level and institutional
governance for the organization.
Based on these professional experiences
we are sharing the experiences of the
successful story of the partnership be-
tween the Austrian-based institution
BOKU and the Nepal-based national or-
ganizations RRN, NORMS and FECOFUN
for conducting the research project en-
titled “ Criteria and Indicators for Sustain-
able Community Forest Management,
Nepal, which is funded by KEF, Austria
Project context: Partnership be-
tween Austria and Nepal
The University of Natural Resources
and Applied Life Sciences, Vienna (In-
stitute of Silivicultue) in collaboration
Participants in the 2-day workshop on second generation issues and SFM Shree Gyneshwor CF
building, Chitwan district, Nepal
with Rural Reconstruction Nepal (RRN),
Natural and Organizational Resource
Management Services (NORMS), Federa-
tion of Community Forestry Users, Nepal
(FECOFUN), and Ministry of Forest and
Soil Conservation (MoFSC), Nepal has
undertaken the participatory action re-
search on “Identification of Criteria and
Indicators for sustainable community
forestry management in Nepal” as from
December 2006.
This research is funded by the Austrian
Academy of Sciences, Commission for
Development Studies (KEF). The overall
goal of this research project is to facilitate
a process for the identification of criteria
and indicators (C&I) for evaluating su-
stainable forest management by partici-
pation of diverse groups of stakeholders
at regional and forest management unit
level to increase the voice of the local
people and to confirm the effectiveness,
efficiency and equity of stakeholder re-
lationships and management practices
in order to promote sustainable forest
management, governance and liveli-
hoods of local user groups.
5
ÖAD Alumni Newsletter 2 / 2008
The research is focused on developing
a methodology to generate a generally
accepted set of C&I at the regional and
community level by multi-stakeholder
participation in Nepal, apply the C&I set
for SFM within case studies of commu-
nity-based forest management in Maka-
wanpur and Chitwan districts. The pro-
ject is to promote political commitment
for an enhancement of the livelihood
security of rural people, especially the
poorest and most marginalized ones,
through the sustainable forest manage-
ment and governance of community fo-
rest user groups.
Project team and successful colla-
boration between partners
The project team consists of members
of the Department of Forest and Soil
Sciences, (BOKU), Prof. Dr. Harald Vacik
including other project staff, a national
non-government organization (RRN), Mr.
Chiranjeewee Khadka, a consultancy or-
ganization (NORMS), Ms. Hima D. Uprety,
the Federation of Community Forestry
(FECOFUN), Ms. Bharati Pathak and the
Ministry of Forest and Soil Conservation
(MoFSC), Nepal, Mr. Prem Kandel and
other field researchers. Professors of the
BOKU guide and mentor the Nepal team
members as well as link to related inter-
national research. The project manage-
ment team (including one forester, one
ecologist and one sociologist and six
local researchers basically from RRN) co-
ordinates all research partners including
outside country -Austria- based and in-
side-country central level, Nepal. NORMS
team members are particularly involved
in the field of Makawanpur district and
facilitating the process for strengthe-
ning the CFUG and conducted the con-
text studies. NORMS also coordinates
the local and regional level workshop.
FECOFUN mobilizes the field researchers
in the field and executive members of
two district FECOFUN chapters involved
in the whole process of facilitation. The
ÖAD Alumni Newsletter 2 / 2008
Research Partnership
Sustainable Community Forest Management, Nepal
government participants actively contri-
buted to the strategic direction for the
whole project, including avenues for
institutionalizing findings. The project
team regularly share the concept and
ideas of the C&I development project, re-
search design to all executive members
of partner organizations (RRN, NORMS
and FECOFUN and MoFSC) and other
contributing partners (NFA, ANSAB and
FECOFUN).
Contribution of outputs to capaci-
ty development
The collaboration of research organisa-
tions, government agencies, universities,
NGOs and local FUGs along the process
of C&I development helped in capacity-
building among the different stakehol-
ders, policy-makers and forest managers.
The ongoing activities of scientific co-
operation between the BOKU and the
collaborating research institutions in Ne-
pal employed a collaborative approach
based on the principle of networking,
capacity building and empowering lo-
cal partners at the local level, which is
embedded into the mobilising of local
resources, knowledge, information and
skills. Community forest user groups
(CFUGs) and stakeholders actively in-
volved themselves in identifying, testing
and applying the criteria and indicators
for sustainable community forest ma-
nagements. The participation of forest
managers at the field level in the process
of the development of the C&I set and
in the evaluation of the management
plans helped and considered equity and
gender issues, institutional and policy re-
forms, integrated resource management,
promote the governance and SFM indi-
cators to increase the empowerment on
the local level. The involvement of RRN,
NORMS, FECOFUN and government insti-
tutions at the workshops at district and
field level helped to improve the institu-
tional and individual capacity develop-
ment of forest actors and stakeholders.
Contribution of outputs to forest
management and poverty allevi-
ation
The contribution of community forest
management to poverty reduction, bio-
logical diversity, ecological integrity, wa-
ter conservation, forest health and the
energy and agriculture sector is insuffi-
ciently recognized by the Nepal govern-
ment, international organizations and
other stakeholders. In some innovative
local practices forest user groups have
devised various ways to allow equitable
access to the poorer households. Such
provisions include providing a patch
of forestland for cash crop cultivation,
providing loans on subsidized interests,
awareness-raising and capacity-buil-
ding activities, charging lower rates for
forest products. Researchers sensitized
to local researchers and local facilitators
including FUGC members and leaders
for participating of the women, disad-
vantage groups, poor, Dalit representa-
tion at each stage of the decision-ma-
king process are crucial issues and how
to overcome inequitable situations are
continually raised by the FUGs and dis-
cussed both during planning and imple-
mentation of activities.The members of
the CFUGs recognized that the C&I ap-
proach is useful for their own activities
and helped them to better utilise their
resources, share the benefits among
the poor and disadvantaged groups, re-
duce gender inequality and improve the
sustainable management of natural re-
sources in the long run.
Future forest policy initiatives:
developing a national standard
for SFM
The concept of C&I has become wide-
ly accepted as a suitable forest poli-
cy, management and research tool for
conceptualizing, evaluating and im-
plementing sustainable forestry. Expe-
riences with C&I application particularly
in developing countries such as Nepal
have shown that there is the need to fur-
ther develop forest management stan-
dards through improved formulation,
assessment, interpretation and valida-
tion of C&I. The scientific community and
relevant stakeholders can play an impor-
tant role in the development and must
be engaged so that a genuine agreed
standard can be developed in support
of SFM. The main idea of the proposed
Delphi Survey is to initiate the national
process for preparing national standards
for a community-based sustainable fo-
rest management. This process is made
possible by a participation of diverse
groups of stakeholders at national level
especially from the background of the
scientific community, experts, resear-
chers, private investors, government
officials and civil society. The Delphi me-
thod is based on a structured process for
collecting and distilling knowledge from
a group of experts by means of a series
of questionnaires interspersed with a
controlled opinion feedback. In this con-
text the University of Natural Resources
and Applied Life Sciences (BOKU) con-
ducts Delphi surveys in close collabora-
tion with Nepal-based partners, asking
for active participation in the expert pa-
nel of representatives of science, forest
administration, forest stakeholders and
forest enterprises in order to work out a
preliminary national set of SFM indica-
tors for Nepal.
The collaboration between academic
institutions (BOKU), NGOs and govern-
ment agencies contributed to capacity
development in Nepal based on a tho-
rough facilitation skill training in CF for
developing the Model CFUGs, business
enterprise workshops and several other
trainings. This collaboration has initiated
a process of continuous learning and
innovation that will continue long after
the project has ended.