Forest conservation mechanisms and their interactions: Is

there an effect on forest carbon storage in

Dolakha district, Nepal? ______________________________________________________

Thesis submitted in partial fulfillment of the requirements for the degree of

Honours B.Sc. International Development Studies (Co-op) Specialist

IDSD01Y

Luzianne Reid

Luzianne.reid@utoronto.ca

Presented to Professor Anne-Emmanuelle Birn and Professor Marney Isaac

University of Toronto Scarborough

April 2015

ii

Abstract

The forest has always been an important source of income for Nepal’s most

marginalized people. Forest products such as timber and high value Non-timber Forest

Products (NTFPs) are traded to local, national and international markets. They constitute a

major part of many households’ incomes, representing 10-15% of Nepal’s GDP. Over the

past few decades, development initiatives, notably FCMs (Forest Conservation

Mechanisms), have proliferated in Nepal. Different FCMs have fundamental similarities

including financial incentives to avoid deforestation, which many scholars recognize as

potential to synergize each other. The interaction between development initiatives – both

spatially and temporally – is an area that is little understood in the literature. This case

study incorporates research from 8 community forests in Dolakha District, Nepal where

REDD+ (Reducing Emissions from Deforestation and forest Degradation), FSC (Forest

Stewardship Council) certification and NTFP-promoting initiatives have been

implemented over the past few decades. In order to observe and analyze the interactions

between REDD and FSC initiatives together and their observed changes on forest carbon

storage between 2009 and 2013, data was collected through a series of interviews and from

secondary documents. A one-tailed, two sampled unequal variance t-test concluded that

certified forests have higher forest carbon growth than non-certified forests (p=0.03), while

no significant differences were observed in the rate of growth between certified and non-

certified forests (p=0.36). Higher forest carbon data in certified forests (N=3) may result

in higher socio-economic status for its neighbouring non-certified communities (N=3),

most notably due to spill-over effects. Forests that were already involved in FSC

certification were more capable of handling the introduction of REDD than others. The

initial stimulus accompanying the implementation of FSC and REDD programs may only

produce short-term improvements in socio-economic status. Synergy or conflict between

FCMs may be interpreted through carbon storage data. A longer study should be conducted

for deeper analysis.

iii

Acknowledgments

I acknowledge my inspiration for sustainable forest management to Ms. Sagun Bista, Ms.

Sita K.C., Mr. Sagar Godar Chhetri and Dr. Marney Isaac. I would like to especially thank

Dr. Marney Isaac for invaluable academic advice and motivation in Nepal and in Canada,

and Dr. Anne-Emmanuelle Birn for being very supportive during the writing process of

this paper. I also thank my colleagues at FECOFUN, Mr. Bharat Sharma Paudel from

ANSAB and Ms. Babina Bhattacharya from CECI Nepal for their invaluable support in

seeking relevant supporting documents during my interviews and even after my return to

Canada. Last, I would like to thank the lovely respondents who were eager to participate

in this study, as well as my parents for being supportive during my time in Nepal and during

the completion of this paper.

I recognize that this research would not have been possible without the support of the

University of Toronto Scarborough and the Students Without Borders Programme with

WUSC/CECI, and I express my gratitude towards those agencies.

iv

Table of Contents

Abstract .............................................................................................................................. ii

Acknowledgments ............................................................................................................ iii

List of Figures ................................................................................................................... vi

List of Tables ................................................................................................................... vii

List of Appendices ............................................................................................................ ix

Acronyms and Abbreviations ...........................................................................................x

Chapter 1: Introduction ....................................................................................................1

1.1 Problem Statement .................................................................................................... 1

1.2 Aims and Objectives ................................................................................................. 2

1.3 Significance ............................................................................................................... 3

1.4 Outline ....................................................................................................................... 5

Chapter 2: Literature Review and Context .....................................................................6

2.1.1 Nepal’s Community Forestry Programme: History ............................................... 6

2.1.2 Controversies or limitations surrounding Community Forestry ............................ 8

2.1.3 Foreign Development ........................................................................................... 11

2.1.4 FECOFUN’s role in Forestry and Development in Dolakha District .................. 13

2.2 Non-Timber Forest Products (NTFPs) ....................................................................15

2.2.1 Growing International and National Market Demand.......................................... 17

2.3 Forest Steward Council Forest Certification (FSC) ...............................................18

2.3.1 Forest Certification in Nepal ................................................................................ 20

2.3.2 Effects of FSC on CFUGs .................................................................................... 22

2.3.3 Areas of Improvement/Limitations ...................................................................... 23

2.4 Reducing Emissions from Deforestation and forest Degradation (REDD) ..........24

2.4.1 Carbon Trade Engagement in Nepal .................................................................... 25

2.4.2 Environmental Successes ..................................................................................... 26

2.4.3 Environmental Limitations ................................................................................... 29

2.4.4 Perverse Mechanisms ........................................................................................... 32

2.4.5 Complementing Initiatives ................................................................................... 35

2.4.6 Controversies surrounding the inaccuracies of Carbon Trading .......................... 36

v

2.4.7 REDD’s Potential in Nepal .................................................................................. 39

2.5 Similarities, Differences and Potential Synergies and Conflicts between Forest

Conservation Mechanisms ..............................................................................................40

Chapter 3: Methodology..................................................................................................43

3.1 Study Area ............................................................................................................... 43

3.2 Experimental Design ............................................................................................... 45

3.3 Sampling Strategy ................................................................................................... 45

3.4 Data Analysis .......................................................................................................... 47

3.5 Positionality and Limitations .................................................................................. 48

Chapter 4: Results and Discussion .................................................................................51

4.1 Community Forests Studied .................................................................................... 51

4.1.1 Socio demographics of Community Forests ........................................................ 51

4.1.2 Community Forest Characteristics ....................................................................... 53

4.2 Forest Carbon Storage ............................................................................................. 58

4.3 Main Forest Activities ............................................................................................. 65

4.4 Socio-Economic Conditions .................................................................................... 65

4.5 Changes in Attitudes and Perceptions with the introduction of REDD .................. 70

4.5.1 Conservation and Ecosystem services .............................................................. 70

4.5.2 Subsistence and Livelihoods (Income) ............................................................. 72

4.5.3 Social Inclusion ................................................................................................ 74

4.5.4 Land-use ........................................................................................................... 75

Chapter 5: Conclusion .....................................................................................................77

5.1.1 Objective 1: To quantify forest carbon storage in various community forests .... 77

5.1.2 Objective 2: Identify trends between carbon data and socio-economic status

between 2009 and 2013 ................................................................................................. 77

5.1.3 Objective 3: To elucidate the interaction of various development initiatives

together (REDD and FSC). ........................................................................................... 79

5.2 Policy Implications .................................................................................................. 80

5.3 Final thoughts .......................................................................................................... 82

References .........................................................................................................................83

Appendix 1 ........................................................................................................................88

Appendix 2 ........................................................................................................................89

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List of Figures

Figure 1. Land utilization map of Dolakha District. Stars represent the approximate

location of this study’s community forests of interest…………………..44

Figure 2. Total Forest Carbon (tC/ha) in 3 certified forests between 2010 and 2012.

All forests display a similar rate of natural growth over time……...……60

Figure 3. Total Forest Carbon (tC/ha) in 3 non-certified forests between 2010 and

2012. All forests display similar rates of natural growth over time……..61

Figure 4. Column graph depicting the average total forest carbon (tC/ha) in certified

and non-certified forests during the years 2010, 2011 and 2012. Bars of

standard deviation are displayed…………………………………………64

vii

List of Tables

Table 1. Demographic information (area, # of households and travel time) of 3

certified, REDD participating community forests ………………………52

Table 2. Demographic information (area, # of households and travel time)of 3 non-

certified, REDD participating community forests ………………………52

Table 3. Demographic information (area, # of households and travel time) of two

control community forests, who are not participating in REDD…...……53

Table 4. Forest characteristics (forest type, dominant species, canopy classification

and major NTFPs) of 3 certified, REDD participating community forests….…55

Table 5. Forest characteristics (forest type, dominant species, canopy classification

and major NTFPs) of 3 non-certified, REDD participating community

forests…………………………………………………………….………56

Table 6. Forest characteristics (forest type, dominant species, canopy classification

and major NTFPs) of two control community forests, who are not

participating in REDD…………………………………………….……..57

Table 7. Socio-Economic Indicators rated in REDD participating forests from 1-5

(1 – unsatisfactory, 2 – less than satisfactory, 3- satisfactory, 4 – above

satisfactory, 5 – excellent) before 2009 and in early 2014…………..…..67

Table 8. Socio-Economic Indicators rated in REDD and Non-REDD participating

forests from 1-5 (1 – unsatisfactory, 2 – less than satisfactory, 3-

satisfactory, 4 – above satisfactory, 5 – excellent) before 2009 and in early

2014………………………………………………………………….…..69

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Table 9. Pooled average of all measured Socio-Economic Indicators rated in all 8

community forests from 1-5 (1 – unsatisfactory, 2 – less than satisfactory,

3- satisfactory, 4 – above satisfactory, 5 – excellent) before 2009 and in

early 2014……………………………………………………………..70

ix

List of Appendices

Appendix 1 Interview Questionnaire………………………………………………….88

Appendix 2 Consent Form………………………………………………………….....89

x

Acronyms and Abbreviations

AGSB = Above-Ground Sapling Biomass

AGTB = Above-Ground Tree Biomass

ANSAB = Asia Network for Sustainable Agriculture and Bioresources

BGB = Below-Ground Biomass

CDM = Clean Development Mechanism

CFUG = Community User Forest Group

CECI = Centre for International Studies and Cooperation

DFO = District Forest Office

FAO = Food and Agricultural Organization

FSC = Forest Stewardship Council

FSI = Forest Survey of India

GHG = Greenhouse gas

INGO = International non-governmental Organization

LHG = Leaf litter, Herbs and Grasses

LIDAR = Light Detection and Ranging

MODIS = Moderate-resolution Imaging Spectroradiometer

NGO = Non-governmental Organization

NTFP = Non-timber Forest Product

REDD = Reducing Emissions from Deforestation and forest Degradation

REL = Reference Emissions Level

SFM = Sustainable Forest Mechanism

SOC = Soil Organic Carbon

SOM = Soil Organic Matter

SPOT = Satellite Pour l’Observation de la Terre

UNFCCC = United Nations Framework Convention on Climate Change

1

Chapter 1: Introduction

1.1 Problem Statement

Reducing Emissions from forest Degradation and Deforestation, or REDD, is a

carbon-trading initiative that garners important international attention from big polluting

industries in the West, to small communities in developing nations since 2005. In response

to the international effort to reduce GHG emissions, the UNFCC (United Nations

Framework Convention on Climate Change) developed this CDM (Clean Development

Mechanism) in which forest carbon storage is monitored and measured, to mitigate climate

change by creating financial incentives through the practice of sustainable forest

management. This program specifically targets community members and various

stakeholders in developing countries, including Nepal, where an important portion of the

world’s most productive forests are located (Tomaselli, 2007). The scientific literature

presents conflicting evidence as to whether or not REDD is a positive, sustainable program

making an actual difference in reducing GHG emissions and influencing environmental

management practices in the regions where it is implemented. In Nepal specifically, a

REDD pilot project initiated in 2009 is proceeding during the time of this study. At the

moment, there is also conflicting evidence in the recent literature whether REDD has a

positive impact on the structural or institutional changes influencing socio-economic status

of the people who benefit from forests in Nepal. This case study aims to gain further insight

on these contrasting interpretations. These contrasts are of particular interest in the

development discourse, and represents the first component of the problem this case study

aims to address.

2

The second component is that in the field, we often notice several development

initiatives implemented in a target region, for a targeted group of people or a targeted area

of development. Several studies highlight synergy between different international

development mechanisms (Kay, 2009; Pena, 2010; Smith and Olesen, 2010; Sonwa et al.,

2011; Byrom et al., 2014). It is argued by these authors, notably, that the institutional

change that a development initiative brings can act as a precursor, thus facilitating the

implementation of another development initiative in the future. These development

projects often have shared outputs while their fundamental agendas may differ. The

literature also highlights the potential for different development initiatives to undermine

each other. This area is widely unexplored in the literature as there is no accepted tangible

methodology or framework to measure this interaction of synergy or conflict between

development initiatives. Other studies argue that synergy or conflict between development

projects can be qualitatively described in a vague manner, however they cannot be directly

measured (Kandel, 2007; Griscom et al., 2014).

1.2 Aims and Objectives

It is unclear whether REDD results in higher forest carbon storage and an

improvement in socio-economic status in Nepal. In addition, there is little information on

whether REDD is undermined or stimulated by the simultaneous implementation of other

forest conservation programs. This study aims to bridge this gap in knowledge by using

forest carbon storage and socio-economic indicators as indices of success of REDD.

To address the research problem, the following objectives have been established:

1. To quantify forest carbon storage in various community forests

3

2. To identify trends between this data and socio-economic status between 2009 and

2013

3. To elucidate the interaction of REDD and FSC development initiatives together.

1.3 Significance

Nearly 80% of Nepal’s population is heavily dependent on forest activities for their

livelihoods (Subedi, 2006). Activities include logging, agriculture and medicinal plant

collection. Forests are critically important as they are a major component of the complex

interactions among agriculture, livestock and forest systems. Today, at least one-third of

Nepalese households formally belong to a Community Forest User Group (CFUG) – a

community-governed institution comprised of community residents using common forests,

who benefit from subsistence and profit from them (Ojha et. al, 2009). These groups

manage approximately ¼ of Nepal’s total forested area, and this total “government hand-

over” area is increasing annually (Paudel et. al, 2011). The rise of Nepalese CFUGs is

considered to be a unique innovation in community forestry, because of its development

nature (which has evolved with the country’s political reform from a monarchy to a

democracy) and its observed environmental, socio-economic and political successes over

the past four decades.

This community-based innovation in forest management has attracted several

foreign initiatives, including Forest Certification processes. Nepal is the first country in

Asia to develop and obtain an FSC certification framework/strategy for NTFPs, and also

the first in the world to gain recognition for having a variety of plant products (including

seeds and leaves) that are processed for paper and cosmetics (essential oils and herbs for

4

medicines and teas) (ANSAB, 2005). The certification model in Nepal, therefore,

represents a baseline or a pilot process for other regions in Asia. Another foreign initiative

implemented in the country is REDD. Currently, Nepal is developing a national strategy,

including national standards and baselines appropriate to the region, for the UNFCCC -

supported REDD+ programme (ANSAB, 2010). This national REDD+ strategy will be

developed over the next few years by the USAID funded Hariyo Ban project, with the

collaboration of existing REDD+ pilot projects at the sub-national scale. Studies and

consultations are ongoing in order to evaluate the outcomes and effectiveness of REDD,

identify the drivers of deforestation, and analyse the political economy of forest activities

in the sub-national pilot projects (The REDD Desk, 2012).

The literature presents inconclusive evidence that REDD makes a positive impact

in the communities where it is implemented. Among the global climate change debate,

REDD has become a seemingly promising initiative for communities in recent years due

to the amount of international support it receives. It has been coupled and placed in these

communities where existing initiatives are ongoing. In Nepal, many of these initiatives are

Forest Conservation Mechanisms, as forests are considered to be a significant source of

income and subsistence for a majority of the population’s livelihoods. Due to the nature of

these projects, such as FSC Forest Certification, their presence can undermine or enhance

REDD’s success. In the literature, there is very little understanding of the interaction

between development initiatives, partly due to the fact that there is no set method on how

to measure this success. This study aims to use forest carbon storage as an indicator to

measure this potentially synergistic or conflicting interaction, and to determine whether

5

REDD results in higher forest carbon storage and an improvement in socio-economic status

in Dolakha District, Nepal.

1.4 Outline

The thesis is divided into the following chapters;

Chapter One discussed the study’s problem statement, significance, aim and

objectives

Chapter Two presents an overview of the Community Forestry Programme in

Nepal, as well as NTFPs, FSC forest certification and REDD in the context of Nepal

Chapter Three describes the research context, outlining the study area, research and

experimental designs as well as limitations

Chapter Four presents, analyse and discusses both qualitative and quantitative data

collected

Chapter Five presents a review of the study’s findings in relation to its objectives,

along with conclusions, policy implications and final thoughts

6

Chapter 2: Literature Review and Context

2.1.1 Nepal’s Community Forestry Programme: History

In 1957, the monarchy of Nepal nationalized all forested lands as they believed

centralized control of the forest, rather than pre-existing feudal systems, would benefit its

people by alleviating food security issues (Kanel and Acharya, 2008; Ojha, et al., 2009).

They very quickly realized, along with international outcry, that forest quality was rapidly

deteriorating and that new innovations were needed to curb this situation. The Nepalese

government came to the conclusion during the mid-1970s that the active involvement of

local people in forest management was essential for sound and effective forest conservation

(Ojha et.al, 2009; Ojha et. al., 2014). During this time, Nepal’s Community Forestry

Programme was implemented concurrently with a major institutional shift – forest

regulations were loosely enacted to provide local governing bodies with limited rights to

manage forested areas (Ojha et. al, 2014). Later, The Forest Act of 1993 further enabled

local communities to manage their own forests (Ojha et al., 2009). With this new

regulation, local communities can now undertake management decisions regarding

resources from Nepal’s federally-owned forested lands.

The Forest Act of 1993 requires that a group of people intending to establish a

CFUG to prepare a constitution, following the guidelines detailed in the Act, and then

submit it to the local District Forest Office (DFO). Once approved, the CFUG is registered.

Then, with the technical help of DFO officials, the CFUG creates and operational plan to

create a robust forest management system. The operation plans outlines management goals,

forest activities, and rules for forest product utilization. Other information in these

documents include; governance arrangements, responsibilities and rights of the forests

7

users, set market prices for various forest products, income distribution, and how profits

are used for community development goals (i.e, scholarships for youth, improving local

infrastructure, funds for micro-credit, etc) (Ojha et. al., 2009). The Forest Act was reviewed

in 1995, and allows DFO officials to dictate harvesting types and caps to CFUGs based on

“scientific basis”, undermining the political autonomy communities gained in 1993 (Ojha

et. al, 2009). In addition, in the decades following the establishment of the Nepal’s

Community Forestry Programme, both national and international NGOs have increasingly

assisted with the CFUGs’ forest management plans (Ojha et al, 2009; Subedi, 2010).

However, CFUGs remain widely considered as perpetually self-governed institutions.

As an institution, community forestry is a great expression of the collective action

of a people. There are no set rules to dictate who and how should participate in CFUGs, so

these entities can range from relatively small groups to larger ones. This is because forest

size varies greatly between community forests – in Nepal, they range between 1 ha and

4000 ha in area (Ojha et. al, 2009). In addition, the number of households belonging to

each of these community forests can range from fewer than a dozen to more than 10,000

(Ojha et. al, 2009). Some of the larger CFUGs incorporate sub-committees to better

represent groups such as landless and non-timber forest cultivators within the community.

The vast differences between CFUGs in size, reach and activities illustrates the range of

innovative, community-based methods employed in managing Nepal’s community forests.

These revolutionary changes were the result of several forces. The first is Nepal’s

modern political change from a monarchy, where lands were managed under a feudal

system, to a multiparty system with constitutional monarchy in the early 1990s and then

finally a republican multiparty system in 2006 (Ojha et. al, 2009).With these political

8

changes, forest users have been able to claim rights as political participants, rather than

passive citizens receiving minimal support from the government. Through civic movement

at the community level, as well as the expansion of CFUGs nationwide, the traditional top-

down feudal state power has been replaced by a relatively strong grass-roots, civil society

and the discourse and practice of community forestry in Nepal is now governed by both

the government and civil society (Ojha et. al, 2014). In general, Nepal’s Community

Forestry Programme has made important achievements in institutionalizing a series of key

rights, including decision-making, empowerment and control over forest management and

use, and community access to forest resources (Ojha, 2009; Kanel and Acharya, 2008).

These changes brought a uniquely instilled awareness of human rights as well as a sense

of ownership towards the forests (which had not existed beforehand) amongst the Nepalese

people, which has proven to be largely beneficial for forest sustainability (Ravichandran,

1999). Regarding land tenure issues, ownership and responsibility go hand-in-hand. When

people feel accountable to the land they use for subsistence and commercial purposes, they

are more willing to adopt practices - which include a robust management system - to take

care of their communal lands (Ravichandran, 1999). In this way, community forestry, as

practiced in Nepal, is an excellent precursor to future multi-national initiatives that require

relatively sturdy institutional governance at the community level.

2.1.2 Controversies or limitations surrounding Community Forestry

Although community livelihoods have benefitted largely from their forests, a few

controversial aspects and areas of improvement deserve ongoing critique and research.

This includes a lack of rigorous, quantitative evidence of an improvement in livelihoods

and socio-economic status, particularly for the poorest households and marginalized

9

groups. It is known that disadvantaged groups seem to benefit less from community

forestry than wealthier households in a community, and reported successes often stem from

these wealthier households (Ojha et. al, 2009; Pokhrel and Nurse, 2004). This is largely

due to the legacy of conservative cultural interactions between different ethnic groups, such

as the caste system. Some studies have found that not only do wealthier households benefit

more than poorer ones within a CFUG, but upper-caste groups as well (Pokhrel and Nurse,

2004). Wealth, status and caste are not the same thing - in Hinduism practiced in Nepal,

those of higher castes are considered to be more “pure” than those of lower castes (Mondal,

n.d.). It is possible for those of both lower and higher castes to be wealthy, and a

combination of the two (wealth and caste) is used to describe social status1.

Privileged groups often make larger management decisions within the CFUG, and

may, intentionally or unintentionally, make access to forest resources disproportionately

more difficult for disadvantaged households as these decisions often supports their own

interests (Ojha et. al, 2009). Examples of such management decisions include strict

prohibition of timber collection, an inequitable fee-based collection system for using

certain forest product such as timber, and restricting access to pooled CFUG funds to

certain “elite” members of the group (Pokharel and Nurse, 2004). Poorer and

disadvantaged households, often owning much less land, tend to rely on forest resources to

support their basic sustenance a lot more than privileged ones. Limiting their ability to

continue forest activities without given proper alternatives can be disastrous for their

livelihoods. Timber and fodder, used for construction, fuelwood or animal feed, are high

value resources that poorer households often cannot afford. Many studies actually report

1 Observation made by the researcher, Dolakha District, 2013-2014

10

very little improvement, no evidence of enhanced employment opportunities, little increase

in livelihood and livestock, and in some in cases, a decline in fuel and fodder availability

due to conservative forest conservation mechanisms (Ojha et. al., 2009; Pokharel and

Nurse, 2004).

A second pressing insecurity is land tenure. In order to create sustained incentives

for the poor to keep investing in the forests they use, there needs to be a robust system in

place to ensure that these lands will not be reclaimed in the future. Due to Nepal’s currently

unstable political situation, where an interim government has been delaying the release of

a new constitution since the end of the Maoist conflict in 2006, changes in the country’s

legal framework can potentially allow room for an infringement on community forest user

rights (Ojha et. al., 2009). Although community forestry in Nepal is currently under a

legally recognized tenurial structure, there are often tensions in defining, interpreting, and

enacting these formally agreed rights (Ojha et. al, 2009). This confusion over land tenure

security and rights often leads to protests and arguments between CFUGs and government

institutions, creating a feeling of instability.

In general, Nepal’s unique Community Forestry Programme, despite its challenges,

has proven to be a modern, relatively efficient platform in which a strong awareness of pro-

poor civil rights is fostered. It is clear that Nepal’s spell of political transformation and

instability over the last few decades has helped shaped the dynamics present in this

complex, community-based system of governance. In order to claim forest rights,

communities are required, by the government, to collaborate and draft a forest operation

plan that promotes a certain level of sound management and administration within the

CFUGs. The existence of this institutional collaboration has the potential to facilitate

11

access to benefits from future forest conservation mechanisms, in comparison to forests

where there is no such management system in place. In the next section, we shall review a

second important source of influence in Nepal’s Community Forestry Programme.

2.1.3 Foreign Development

In addition to political progression over decades, the second source of influence in

Nepal’s Community Forestry Programme derives from the international community.

During the 1970s – 1980s, an era during which the narrative of the Himalayan

environmental crisis prevailed, the international community exerted pressure on the

Nepalese government for its centralized control of the country’s forests (Ojha et. al., 2014).

After loosening its borders to the world in 1950s, and with increasing commercial, cultural

and diplomatic exchanges with the international community, the government was

eventually convinced by international forces to shift away from centralized practices,

facilitating decentralized management of the country’s forests (Ojha et. al, 2009). Nepal’s

Community Forestry Programme is a unique embodiment of policies and institutional

innovations designed to; empower local communities to manage forested lands to benefit

their livelihoods and second; to enhance biodiversity conservation and reap its benefits.

The programme is internationally recognized for its innovation in participatory

environmental governance, and, for this reason, makes a very attractive candidate for

international, western funds and programmes. Thus, western influence is reactionary to the

existing local development initiatives in Nepal.

Since the 1950s, large influxes of international funding have been targeting Nepal

for a variety of reasons (Ojha et. al, 2009; Subedi, 2010). The Community Forestry

program initially received major impetus from international agencies but later was

12

controlled and sustained by local actors and institutions (Ojha et. al, 2009). During the

early 1980s, Nepal’s disappearing glaciers were widely perceived as the site of an

environmental crisis, affecting both the environment and livelihoods locally and beyond,

as researchers postulated that flooding in Bangladesh was related to the excessive depletion

of forest resources in the mid-hills of Nepal (Kanel & Acharya, 2008). Concurrently, a

global environmental movement was gaining popularity in the West. The Nepal Himalaya

became a matter of concern at the international level. The participatory, community-based

Community Forestry Programme is considered to be a solid, pro-poor solution to this crisis.

Several international agencies began to offer technical and financial support to alleviate

these crises, including interventions in community forestry (Pokhrel and Nurse, 2004).

Initially, band-aid solutions such as forest plantation in deforested areas were used, but

international forces eventually began to address policy and institutional drivers of

deforestation (Ojha et. al, 2009). More recently, the climate change debate has gained much

momentum and priority at the international level (Pena, 2009). As Nepal is one of the most

“at risk” countries that will face severe shifts due to climate change, along with Nepal’s

potential to sequester carbon and enter the carbon-trade market, many NGOs are also

concerned with climate change adaptation and mitigation strategies – which often

incorporates forest management strategies – in Nepal. This further entices foreign

development agencies to become involved with development schemes in the country.

Due to decades of institutional changes, successful reforms at the community level

and the evolution of participatory environmental governance as aforementioned, Nepal is

a very attractive candidate for development initiatives such as REDD and FSC. This is

because these decades of progressive change had brought the required relative institutional

13

stability at the local level to implement and manage development projects. International

presence over the decades has expedited the construction of roads, making certain regions

in Nepal more accessible than others. For instance, the Nepal Swiss Community Forestry

Project from 1990-2010 has built several roads to facilitate its operations (NSCFP, 2014).

The access to infrastructure has facilitated future groups to visit these communities to

exchange and implement other development projects2. A major component of the NSCFP’s

activities was to expand community capacity to better market their NTFPs both nationally

and internationally. With high-value NTFP products such as medicinal herbs reaching

overseas markets, new donors, notably USAID, took interest in Nepal as American

corporations began to participate in the “certified responsible market” in the mid-1990s

until now (ANSAB, 2005; Subedi, 2014). Since the mid-2000s, they have induced and

funded a forest certification programme in several pilot regions in Nepal. Most recently, in

2009, the country was introduced to Reducing Emissions from Deforestation and forest

Degradation (REDD) – a carbon-trading initiative.

2.1.4 FECOFUN’s role in Forestry and Development in Dolakha District

The change in Nepal’s political climate during the 1990s has allowed for the

development of a growing number of NGOs and civil societies throughout the country

(Ojha et al., 2009; Timsina, 2003). These are organizations in which citizens can join in

advancing their common interests in their communities and ultimately, to the government.

By voicing the concerns of forest users, FECOFUN has become one of the largest and most

powerful civil society organizations in the country – it represents thousands of CFUGs

throughout the nation (Timsina, 2003). FECOFUN’s objectives are to raise the awareness

2 Interview, Certified forest member, January 2014

14

of the forest users about their rights of access to, and their responsibilities for, the

management of the country’s forest resources (FEFOCUN, 2014). In addition, FECOFUN

aims to take an advocacy and lobbying role on behalf of community forest users and to

ensure that community forests’ goals and needs are achieved (Timsina, 2003).

In Dolakha, FECOFUN is very active in organizing advocacy campaigns to put

pressure on the government for policy implementation. They organize and attend assembly

meetings, where neighbouring CFUG members can raise issues, plan for future activities

and network amongst themselves. Of particular interest is their role in building alliances

with donor-funded forestry projects (Timsina, 2003). For instance, FECOFUN Dolakha

has been identified as a resource manager, which holds and manages the certification

membership for the FSC (Forest Steward Council) forest certification program (ANSAB,

2005). FECOFUN is also the primary capacity builder for CFUGs towards certification,

and its staff also monitors forest management systems and practices to ensure FSC

standards are being kept (ANSAB, 2005). In regards to the REDD program, FECOFUN

Dolakha served as directors of the pilot programme, mainly to serve as an intermediary

between community forest members and foreign NGOs.

In general, as a civil society organization, FECOFUN is regarded by community

forest members as a trusted promoter of development initiatives within the district. As

FECOFUN staff and members consist of forest users themselves, they have more intimate

interactions with community members in comparison to larger, multi-national NGOs. This

places FECOFUN in a strategic position – with the respect from community members,

other multi-national NGOs and the government, the organization has a unique power to

influence which development initiatives are successfully implemented in the area

15

(FECOFUN, 2014). Therefore, FECOFUN’s continued support and promotion of FSC

Forest Certification and REDD programmes in the community creates positive reception

to these foreign development projects. This can facilitate the projects’ success as

community members are more motivated to embark on fulfilling the initiatives’

requirements.

The progression of land user rights alongside the evolution of the international

community’s interest in Nepal’s unique community forestry situation has had an impact on

the institutional structure and the kinds of development initiatives implemented in Nepal.

Today, Nepal’s forests serve as attractive candidates for several Forest Conservation

Mechanisms for the aforementioned reasons; political change towards a country with

strong civil society, systematic collaboration with community forests promoting forest

management, the influence from the international community and the presence of large

civil society bodies. We will focus on three of these internationally recognized forests

programs or market activities over the next few sections; Non-timber forest products

(NTFP); Forest Steward Council (FSC) forest certification and; REDD.

2.2 Non-Timber Forest Products (NTFPs)

Researchers, NGOs and other agencies define NTFPs in various ways – there is no

uniformity in the use of the term. Some researchers define it very broadly to include all

forest products except timber, while others narrow down the term to focus on certain groups

of forest products. In the context of Nepal, NTFPs can be defined as “all goods of biological

origin other than timber, fuel-wood and fodder, forest, grassland, or any land under similar

use” (Dhakal, 2010). In Nepal, NTFPs are considered to be a multi-disciplinary solution to

poverty-reduction in rural areas (Nepal NTFP Network, n.d.) as all CFUGs engage in this

16

activity for domestic subsistence and market/profitable activities in local, national and

global economies.

NTFPs hold a very historical and culturally valuable place in Nepalese society.

Over centuries, about eight hundred of species of NTFPs have been developed for local

use to provide medicines, foods, oils, fibers, dyes, tannins, gums, resins, incense, building

materials, and agricultural implements (Subedi, 2010). Some locally traded plants are also

used for local medicine and incense making (Subedi, 2010). There are three main ways in

which NTFPs are being used in Dolakha district. The first is when forest products are

locally processed, used and traded for subsistence purposes (Subedi, 2010; Nepal NTFP

Network, n.d.). These products include species that are not of any or significant commercial

value or interest, but are used for subsistence/domestic purposes within a community.

However, species that are not traded commercially can enter the local market at any time,

for example when a community may experience high losses of grass feed due to a landslide.

The second use for NTFPs in Nepal is for commercial or profitable uses. A

commercially traded species consists of those exchanged through a series of traders to

processing and manufacturing industries and distributors. As of 2010, more than 100

species are being traded commercially, at the national and international levels (Subedi,

2010). The main commercial products include medicinal and aromatic products, essential

oils, cosmetics and toiletries, plant fibers, oils, gums and resins, herbal dyes, food and

flavors, paper and pulps, and wood for cottage industries such as handcrafted furniture

(Subedi, 2010). The value and bulk size in which NTFPs are traded vary greatly, but the

most notably traded products in Dolakha include lokta and argeli, plants which are used

for world-famous Nepalese hand-made paper and textiles.

17

The third sub-category consists of plants that are not currently being widely used

or traded, but may have the potential to be. These are usually plants that are already found

and traded outside the country. As of 2010, more than 100 types of NTFPs have been

identified as potentially marketable (Subedi, 2010). Over the last decade, a large number

of potential products entered into commercial trade, coinciding with a significant increase

in the interest and demand for Nepalese NTFPs from the international community (Subedi,

2010). With this demand comes the ambition to develop innovative ways to expand and

maximize the production of NTFPs in Nepal, given current market capacities. At the

moment, the development of a commercially viable product can take between 5-10 years

before it is traded on a formal, regulated basis (Subedi et. al 2014).

2.2.1 Growing International and National Market Demand

In the realm of trade, it is known that developing countries are, generally, major

producers and exporters of raw or semi-processed products while developed, industrialized

countries import them. The global market for Nepal’s NTFPs is growing quite significantly

as more and more high-income country dwellers are interested in “natural-product”

consumption mainly for medicinal and cosmetic purposes. This movement started in the

mid-1980s, when many people realized that the potency and effectiveness of natural

products, uniquely found in developing nations, cannot be produced simply by artificially

synthesizing compounds (Subedi 2010, Subedi, 2014). This health-conscious discourse has

led to high growth rates in the natural products market. In 1994, the increases in the natural

product market rates fluctuated between 3% to 20%, which is approximately 3 to 4 times

higher than the average national economic growth rates (Subedi, 2010). In recent years,

NTFP activity is estimated to represent between 10-15% of the country’s national GDP –

18

this is assumed to be an under-valuation due to the frequent informal and illegal trade

markets across borders, especially into India (Nguyen, 2006; Heinen and Shrestha-

Acharya, 2011). The growing demand for Nepalese NTFPs stems both from population

growth in Nepal and the increasing demand from outsiders (Subedi, 2006).

This budding interest, especially at the international level, was accompanied by

consumer concern about environment-friendly practices being employed in the harvesting

and processing of these products. To keep consumers supportive, forest certification was

introduced to further ensure sustainable forest management was being practiced in the

forests where these NTFPs are being produced. We shall discuss forest certification in the

following section.

2.3 Forest Steward Council Forest Certification (FSC)

In a dynamic, globalized world, it is good business practice to continuously seek

new markets (Cypher and Dietz, 2009). Therefore, the NTFP market could be expanded

and become a greater source of income by seeking new customers. In the past, NTFPs were

only traded on local and up to a national level in Nepal. As mentioned, NTFPs have the

potential to reach international levels to tap into different markets. Many of these buyers

and sellers consist of large companies wishing to practice Corporate Social Responsibility

(CSR), as this attracts their own consumers or clients on moral grounds. To satisfy these

potential consumers, the current small-scale Nepalese NTFP market can be enhanced and

become more attractive to these buyers through FSC forest Certification (Subedi, 2014).

To promote and ensure high standards in forest management practices, forest certification

schemes, where a third-party organization conducts audits and “certifies” a forest, are

programmes which aim to label and recognize forests as “responsible” by their standards

19

(Kandel, 2007). This label is recognized worldwide and has a morally strong,

environmentally-conscious consumer base. This is due to a variety of reasons. First,

certified products have social acceptability, as the certification process promotes equitable

community benefits in the CFUGs (Kandel, 2007; Griscom et. al, 2014). Second, certified

products are also environmentally sound as environmental considerations are especially

promoted under the certification process (ANSAB, 2005). As it is a voluntary market-based

incentive intended to improve forestry sector development, they are economically viable

as certified products reap profits for being labelled as such. Certified products are more

expensive than their non-certified counterparts, as they receive a premium for being

managed in a “responsible” manner (Kandel, 2007). Certification also aims to create

business relationships and linkages, especially between a community’s producers and

western, foreign buyers. FSC certification facilitates communication between the two

parties and buyers aim to buy products directly from the producers, minimizing loss of

profits during the production chain, when possible (ANSAB, 2005).

On an environmental level, certification is believed to have already improved

tropical forest management in many developing regions including in Gabon, where reduced

emissions logging are observed to have a positive effect of forest carbon storage (Medjibe,

2013) and it is expected that certified forests retain and sequester a higher amount of carbon

and support greater biodiversity than uncertified forests (Putz and Nasi, 2009). The

labelling of forests with certification is considered by other stakeholders to be an indication

of sustainable forest management (Cerutti et al., 2011) and with the increased interest in

the climate change mitigation potential of improved forest management (Putz et al, 2008),

this makes them more attractive candidates for other sustainable forest management

20

initiatives, such as carbon-trading. In the following section, we will briefly overview the

successes and limitations of FSC forest certification and its influences on Nepalese CFUGs.

2.3.1 Forest Certification in Nepal

In Nepal, the Forest Steward Council forest certification group is the leading body

granting certification labels to community forests starting in the mid-2000s. As

aforementioned, the certification model in Nepal represents a baseline or a pilot process

for other regions in Asia as it is the first of its kind in the region.

Globally, FSC forest certification is the most credible certification scheme

(Kandel, 2007). Its brand is recognized and trusted by consumers worldwide. As USAID,

among several other western federal aid institutions, has developed a keen interest in

Nepalese NTFPs for use in their national companies such as Aveda (an American

company). These federal aid agencies have offered funds to contract certifying bodies, such

as Rainforest alliance, for Nepalese forests to undergo FSC certification (ANSAB, 2005).

This interest derives from the fair trade niche market in the West that these companies wish

to cater to (Subedi, 2014). The certification process in Nepal was developed and designed

by an alliance, whose members are composed of a variety of stakeholders including;

ANSAB (Asia Network for Sustainable Agriculture and Bioresources), RA (Rainforest

Alliance), FECOFUN, the Ford Foundation, Aveda, USAID, Environment and Social

Impact Consulting and several Nepali Private Sector companies (ANSAB, 2005; Subedi,

2010). These members worked concurrently during the mid-2000s to render Nepalese

communities ready for forest certification.

21

Alliance members with a strong community level presence, such as ANSAB and

FECOFUN, organized extensive training and capacity building events for CFUGs to spread

awareness of the initiative and further equip them with the know-how to get certified

(ANSAB, 2005). This was coupled with several international forest certification

observation visits, international forest certification trainings, entrepreneurship and

enterprise development trainings by foreign researchers, scientists and entrepreneurs

(Subeid, 2014). These visitors also participated in market visits, trade show participation,

total quality management training, marketing trainings, and product development

researches (ANSAB, 2005). Other alliance members, such as Aveda, USAID, and other

European agencies developed foreign relationships with potential buyers from their home

countries. For example, Aveda provides mentoring and advising services for Nepalese

traders, and subsequently, a good business relationship has been developed among these

trade partners – Aveda is actively advocating Nepalese products as well as the Nepalese

FSC model to be replicated in other areas of the world (Subedi, 2014).

Although forests in the West are also often certified for sustainable management,

certifying forest products can be considered as a development project in Nepal as its

benefits are twofold; first, certified products fetch higher prices than non-certified products

in the global economy, therefore being another avenue through which poverty can be

alleviated and second; certification requires a forest to practice empowering, sound forest

management at the community level which involves the empowerment of marginalized and

disadvantaged groups within the community (Kandel, 2007; Subedi, 2014). To ensure

these objective are being met, forest operational plans, as described earlier, are reviewed,

22

analyzed for gaps and areas of improvement and finally revised in order to meet the

requirements of FSC Certification.

2.3.2 Effects of FSC on CFUGs

After having reviewed the CFUGs’ operational plans, many changes are

recommended by the certifying bodies and subsequently made in order to fulfill FSC

requirements (ANSAB, 2005). These improvements helped to; strengthen their internal

democratic institutions and enhance their vision of an equitable society; improve

sustainable forest management techniques by improving capacity; further promote the

equitable distribution of forest resources and benefits; negotiating settlement and tenure

conflicts between groups; reduced grazing; created micro loan programs for poor and

disadvantaged groups to promote equity between castes; developing and training

accounting and financial abilities to promote transparency of funds generated and spent

from forest activities among community members; rare, threatened and endangered

species, as well as sensitive cultural, habitats and steams were identified and are more

systematically monitored and logged; developing a monitoring format for FUG members

to monitor changes in forest conditions (Subedi, 2010). Drawing from these changes or

improvements, the forest certification process in Nepal clearly influences the internal

social, environmental and institutional platforms in CFUGs. FECOFUN and FUGs have

also found forest certification as a source of important processes and tools to improve the

governance of FUGs and community forest resources (ANSAB, 2005). Improvement in

governance can ensure more relevant successes in forest management (Ravichandran

23

1999). These influences can act as a precursor to facilitate communities to benefit from

future SFM-related initiatives, such as carbon-trading.

2.3.3 Areas of Improvement/Limitations

In Nepal, forest certification is not appropriate for all FUGs and can also be a costly

endeavor if sufficient profits are not reaped through international marketing. Although the

international community has expressed high levels of interest in Nepal’s Community

Forestry Programme, the country’s unstable political situation has been a deterrent for

several other potential aid or trade agencies. It is very well known in the business

community, as well as in the developing world that security levels, including the risk of

strikes and insurgency, can have a negative influence on a region’s business climate

(Subedi, 2014). This is because communities and entrepreneurs identify and evaluate these

risks, and may choose not to invest their funds and resources in local enterprise

development. A prime example of such obstacles is the disturbance potentially caused by

political strikes on the collection of NTFPs from the forests and the transportation of the

products to the market places3.

In general, the combination of the Nepalese community forestry programme and

the FSC enhanced NTFP market have led to a dynamic, relatively collaborative

environment within CFUGs today. The progressive, inclusive, community-based

governance structures within CFUGs, coupled with the sense of ownership of communal

lands, allows for a sense of responsibility from community members towards their forests.

This creates favourable conditions for establishing larger development initiatives, such as

3 Observation made by the researcher, Dolakha District, 2013-2014

24

FSC forest certification. Another global development initiative, REDD, will be discussed

in the following sections.

2.4 Reducing Emissions from Deforestation and forest Degradation (REDD)

In efforts to combat climate change, reducing carbon emissions through daily

activities is integral – ideally, a significant sink4 is required to balance today’s global

carbon cycle (Dadhwal and Velmurugan, 2010). Since the industrial revolution in the early

1800s, the atmospheric concentration of carbon dioxide has risen 35% from 280 to 377

ppm (Nzunda, 2011). The world’s slight average increase of 0.6 degrees Celsius since the

1900s have already started to prove devastating through frequent natural calamities linked

to climate anomalies (Nzunda, 2011). In response to this the UNFCCC developed a CDM

known as REDD in which forest carbon storage is monitored and measured, to mitigate

climate change by creating financial incentives through the practice of sustainable forest

management. Such a program specifically targets community members and various

stakeholders in developing countries where most of the world’s productive forests are

located (Tomaselli, 2007). Poverty-induced anthropogenic activities driving deforestation

and forest degradation would decline, thus increasing the carbon sink. There has been much

debate surrounding the feasibility and true environmental benefit of this mechanism.

Although only 3% of the world’s most productive forests are currently situated in South

Asia, including Nepal, proper management of these forests can have significant

implications for regional environments due to the benefits forests can bring (Dadhwal and

Velmurugan, 2010).

4 A carbon sink is a natural or artificial reservoir that accumulates and stores carbon for an indefinite period of time (Thompson, 2012).

25

2.4.1 Carbon Trade Engagement in Nepal

Nepal began engaging with the Forest Carbon Partnership Facility (FCFP) in 2008

(The REDD Desk, 2012). Currently, it is developing a national strategy, including national

standards and baselines appropriate to the region, for the UNFCCC supported REDD+

programme (ANSAB, 2010). This national REDD+ strategy will be developed over the

next few years by USAID funded Hariyo Ban project, with the collaboration of existing

REDD+ pilot projects at the sub-national scale. Studies and consultations are ongoing in

order to evaluate the outcomes and effectiveness of REDD, identify the drivers of

deforestation, and analyse the political economy of forest activities in the sub-national pilot

projects (The REDD Desk, 2012). Initially, Nepal was expected to enter the carbon market

by 2013; however this seems to have been delayed due to the stagnant political situation5.

The REDD+ initiative supported by the FCFP is expected to be a part of the climate change

mitigation solution, helping to reduce up to 20% of current global carbon emissions by

2030 (The REDD Desk, 2012; Nzunda, 2011).

In addition to the FCFP, Nepal has also joined the UN-REDD Programme as an

observer country, making it one of only a handful of countries in Asia belonging to both

the FCPF and UN-REDD global initiatives (Bushley & Khatri, 2011). For REDD+ capacity

building at the community level, civil society initiatives have been running since 2008,

funded by the Norwegian government (the Norwegian Agency for Development

Cooperation, NORAD). In essence, the UN-REDD programme is a collaborative

programme between the FAO, UNDP and UNEP designed to help developing countries

5 Observation made by the researcher, Dolakha District, 2014

26

develop the technical, financial and institutional capacities necessary to eventually

implement the FCFP supported REDD+ solution to climate change. (UN REDD

Programme, 2009).

In the following sections, I will review the effectiveness of REDD and discuss its

potential environmental successes and limitations. I will also briefly review perverse

mechanisms and inaccuracies that accompany carbon trading activities in Nepal.

2.4.2 Environmental Successes

REDD, a carbon-trading mechanism in which corporations purchase “carbon

credits” from developing countries to satisfy their obligations to the Kyoto Protocol, can

have very positive ecological impacts on the developing regions practicing it. These

impacts can be either direct or indirect (Nzunda, 2011). Not only do healthy forests mitigate

climate change by sequestering carbon, it is also expected that REDD can be the direct

driver of biodiversity conservation, water catchment and soil quality. The value of these

ecosystem services in Nepal alone is estimated to be worth hundreds of millions USD –

meaning that for humans to artificially replace these services, such as soil and water

filtration or treatment, and landslide control measures, would cost more money than they

can even generate (Subedi, 2014). This makes REDD an extremely valuable environmental

investment. By reducing deforestation and degradation, REDD can also indirectly generate

an increase in flora and fauna diversity by conserving endangered habitats for a plethora of

species (Nzunda, 2011). For example, in Dolakha district, reforestation activities can lead

to an increase in mammal wildlife such as the endangered Red Pandas (Thapa et. al., 2013).

In these ways, REDD can be an invaluable driver of ecosystem well-being, which is not

27

only aesthetically pleasing, but are also be very financially valuable to developing regions,

like Nepal, in the long-run.

In Nepal, where much of the population’s livelihoods are directly dependent on

forest-related activities, the largest drivers of deforestation and degradation are activities

including; unsustainable agriculture, timber and fuelwood collection and population

growth (Bhattarcharya, 2010). At the local level, REDD programmes are often

accompanied by training sessions and incentives to learn how to receive income from other,

more forest-friendly activities. For example, forest users whose livelihoods depended

heavily on the collection of timber were given loans and grants to start goat farming or

cabbage growing (ANSAB, 2012). Assuming responsible farming practices, these

activities have less negative impacts on forests than the collection of timber, resulting in a

net improvement in forest quality (Nzunda, 2011). In addition to forest-friendly income-

generating activities, some communities choose to invest the funds they receive from

REDD into health and education. It has repeatedly been observed that investments in health

and education enables communities to develop and encourage people to seek other forms

of employment or income-generation that does not include forest-related activities (Khan,

2009). Therefore, if REDD were to successfully divert many of the Nepalese people’s

activities from the most degrading to more sustainable ones, it would surely prevent

“expected” deforestation and degradation by directly and indirectly creating alternate

avenues for poverty alleviation.

Another way REDD can be environmentally beneficial at the local level is through

awareness campaigns. By educating and informing communities about the new initiative

28

through local NGOs such as FECOFUN in Nepal or ANSAB throughout Asia, they become

aware of the environmental benefits in switching to less degrading activities (Ojha, 2007).

Although seemingly simple, it has been proven that awareness events have made

community members more actively aware of the benefits sustainable forest management

can bring, including financial security in both short and long terms (Ojha, 2007). In certain

areas of South Asia, like Nepal, where forests largely belong to communities and not the

government, people possess a sense of ownership regarding the forests they use (Subedi,

2006). These community-run forests enable people to be empowered in managing the main

source supporting their livelihoods. This induces a sense of responsibility with regards to

their behaviour in forests - in many instances, people have adopted personal practices to

help nurture their environment. For example, with Nepal’s dynamic topography coupled

with heavy annual monsoons, landslide incidence can be observed with deforestation

(Bhattacharya, 2010). With a sense of responsibility due to awareness from REDD

campaigns and legal ownership of these forests, people have realized first hand that forests

are responsible for soil quality and stability on slopes and have often times, taken initiative

to prevent landslides, such as afforestation or reforestation activities (ANSAB, 2012).

Landslides are very common and devastating in this part of the world as not only do they

take lives, but they also ruin livelihoods and displace thousands of people per year

(Bhattacharya, 2010). In these ways, introducing REDD can be successful in mitigating

climate change, as well as alleviating its effects in South Asian regions whose landscapes

are most vulnerable to small changes in climate.

It is clear that the successful implementation of REDD, coupled with both

developed and developing nations relatively eager to partake in the initiative, has the

29

potential to be highly successful environmentally, financially and even socio-politically

when implemented. There are many factors, however, that would make certain regions of

Nepal more appropriate for REDD than others. There are also other factors, regardless of

regional context, that would hinder REDD’s expected success. We will discuss these

hindrances in the next few paragraphs.

2.4.3 Environmental Limitations

In order to financially benefit from REDD, national and regional government

bodies may implement strict measures to ensure that carbon sequestration and stock is

maximized through conservation alone (Karky, 2010). In other words, people often

immediately become prohibited from using forest products in order to sustain themselves

without being given proper alternatives. As a complete replacement of livelihoods is nearly

impossible, REDD projects will always be accompanied by some sort of leakage activity

(Nzunda, 2011). This means that forest users will continue to “illegally” obtain fuelwood,

timber, and continue other forms of degrading activities in forests which are not under

supervision or under assessment for carbon credits. This is known as spatial leakage

(Nzunda, 2011). As over 70% of Nepal’s population is agrarian and highly dependent on

forest products, this can result in a high percentage of forest users diverting their activities

in areas surrounding the active REDD sites (ANSAB, 2010; Bhattacharya, 2010). This

phenomenon is worsened when the benefits of REDD cannot be spread to all forest users.

In Nepal, it was often observed during its implementation that a good percentage of people

were aware of REDD, as it was being practiced in their communities, and in some cases

this did not necessarily cause or incite them to change their practices, but simply to divert

30

them elsewhere (ANSAB, 2010). In more extreme cases, it has become more and more

difficult for people as they had to travel further from their homes in order to meet their

needs for fuel and shelter-building. This situation can become ecologically devastating,

especially if these surrounding areas are not managed (Nzunda, 2011). Although REDD

may discourage deforestation and degradation in one area, it is evident that people may

divert their harmful activities elsewhere, which may actually result in net emissions gain.

Thus, spatial leakage is a phenomenon in which severity could differ between different

regions. This is a phenomenon that can unlikely be eliminated in the near future due to

Nepal’s current capacity. It is imperative that leakage activities in forests adjacent to REDD

sites be better monitored and considered in calibrating deforestation and degradation

Nepal’s emission rates.

Another way in which this Clean Development Mechanism (CDM) can become

ecologically damaging is through unsustainable agricultural activities indirectly provoked

by REDD. As people become discouraged or prohibited from clearing forests for

agriculture, they may decide to use intensive farming methods in the patches of land

available in order to meet and keep up with the demands for agriculture (Nzunda, 2011).

By using the same soils year after year, without allowing for recovery or a fallow period

for the soil to replenish its fertility, crop yields will decline with time. In order to prevent

this from happening, fertilizers must be used to boost soil fertility. An excessive use of

fertilizers will release a surplus of nutrients, such as nitrogen into the soil (Nzunda, 2011).

This can eventually lead to land degradation and deterioration of nearby water sources

leading to regional ecological issues such as soil erosion and a lack of safe drinking water.

Ironically, carbon dioxide emissions can also be replaced by nitrogen gas emissions, which

31

also act as Green House Gases (GHGs), from the soil (Nzunda, 2011). In this way, REDD

can cause indirect environmental damage by releasing excessive amounts of nitrogen into

the soil and unintentionally releasing other forms of GHGs if applied to poor Nepalese

communities where people may not be prepared to make these changes. Strict conservation

practices should be reviewed by government-sponsored conservation authorities, and land-

clearing for agriculture should be accompanied by less degrading techniques, such as

agroforestry.

Environmental matters aside, it is imperative that good governance structures exist

in order to allow REDD to become a successful initiative (Maraseni, 2014). In conflict-

prone areas, such ideal structures are usually lacking. A programme like REDD cannot be

a success if implementation and power is solely placed on a weak, often corrupt, central

government (Maraseni, 2014). REDD should be tailored and planned at the local level in

order to prevent such negative effects. Some governments in developing nations decided

to transfer much of the execution power to local entities in order to facilitate the project. In

Nepal, both NGOs and INGOs became responsible for developing a national REDD

funding and monitoring strategy tailored at the local level during the late 2000s (Ojha,

2007). This has been very successful, as the country has a history of practicing community

forestry for decades before it was first introduced to REDD in 2009 as previously discussed

(Subedi, 2006; ANSAB 2010). Due to decades of experience in implementing forest related

initiatives and collaborating between various stakeholders including the national

government, Nepal’s community forests are relatively very efficient on an administrative

level. The act of transferring forested land to communities has given the people a sense of

ownership, as aforementioned, and has incited them to improve their forests over the past

32

few decades. Regions or communities like these make very attractive candidates for

implementing REDD pilot projects.

2.4.4 Perverse Mechanisms

As Nepal has been systematically practicing sustainable forest techniques -

including conservation - for over four decades, there is not so much left they can do to

reduce carbon emissions in comparison to forests where degradation is still a very big issue

and can be reduced at a more exaggerated level. These communities would not be rewarded

as much as the communities who are encouraged to start to monitor their forests due to the

introduction of REDD. For example, the now ex-president of Guyana, Bharrat Jagdeo,

stated that his country should “proceed full-steam ahead with exploitation of forestry

resources in order to reap the benefits of avoided threatened deforestation” in the years

preceding the instalment of REDD in the country in order to maximize financial gain from

the CDM (Mowforth, 2014). This behaviour can potentially be mimicked in more remote,

conflict-ridden areas of Nepal, such as where community-level forest management had not

been widely encouraged before REDD. As one of the factors taken into consideration when

estimating emissions rates includes “avoided deforestation” activities, Guyana’s

benchmark emissions baseline rate would be very high, and would drop once REDD is

implemented, increasing the amount of carbon credits it can sell.

Another way in which Guyana could further financially benefit from this

exploitation is that mature forests, like the ones in Nepal, grow slowly in comparison to

younger ones. In other words, the rate at which carbon is sequestered each year (and

therefore the decrease in emissions rates) is much faster among young forests, comprised

33

of many saplings, compared to older forests. Once deforested, Guyana can plant saplings

where mature forests once stood. The increase in sequestered carbon, and therefore

financial reward per year, is observed to be a lot more significant in areas where very little

forest monitoring was practiced beforehand (Mowforth, 2014; ANSAB 2012). This is

because improvements in sustainable forest management can be recognized more

drastically in forests with a lot of potential to recover. Some suggest that changes to REDD

be made to better recognize and reward communities where sustainable forest management

had been practiced for years. For example, Hess (2014) suggests that REDD be only

implemented at sites where at least a portion of the land is covered with matured forests –

other patches can include young, sparse and deforested land. This practice would prevent

extreme deterioration of forested area in the years preceding REDD in order to maximize

financial benefits. It is important that loopholes like these, which are often issues in

financially-driven CDM’s across South Asia, be addressed to prevent such behaviour.

Another similar loophole in the REDD mechanism is the UNFCCC’s definition of

“forest” as having a 10-30% crown cover (Sasaki, 2009). This enables regions in South

Asia, such as the Central Himalaya in India where forest crown cover are naturally

observed to be between 58% and 82% to degrade forests down to 30% crown cover without

it being considered deforestation (Semwal, 2010). This activity would cause an

unnecessary increase in emissions and decrease of carbon sequestration, causing the

baseline emissions rate to be very high and easy to reduce. In response to such phenomena

observed around the world, it has been suggested by researchers that the definition of

forests should be altered and updated since the UNFCCC broadly defined it over a decade

ago in 2001 (Sasaki, 2009). The definition of forests, as well as minimum crown cover

34

threshold levels, can also be tailored at the regional or country level to better reflect natural

forest characteristics such as done by Morales-Barquero in the Mexican context (Morales-

Barquero, 2014). Until today, there exists no such measure to ensure countries do not cheat

in the aforementioned ways. In this way, some communities in Nepal where forest crown

covers are naturally higher than the UNFCCC’s average of 10-30%, coupled with the

decades-long presence of sustainable forest management embedded in daily activities, may

be discouraged to implement REDD because the financial benefits to these communities

would be marginal.

There are a few other reasons why REDD may not be as appealing in the long term

to some forest users as others. The initial introduction of REDD into communities creates

opportunities of employment for the people – through technical training, administration

and awareness campaigns. People may be distracted from making a living from less forest-

friendly activities. However, this “boom” in alternate employment is only temporary and

the initial influx of “start-up” funding from developed nations do not last past the few

starting years (Karky, 2009). Also, it has been observed that different regions have different

“break-even” prices per tCO2 sequestered. As stakeholders from developed nations tend

to only consider and pay at the lower end of these break-even prices, making them believe

that carbon trading is effective simply because it is cheap, they have agreed to fund REDD

for a lot less than it should be (Karky, 2009). This means that the opportunity cost in giving

up current livelihood activities for carbon trading is too high for many regions – carbon

trading will not be enough to keep up or improve many people’s livelihoods (Karky, 2009).

This would inevitably reduce certain Nepalese communities’ willingness to participate in

REDD. This is especially true in upper-altitudinal forests of the South-Asian Himalaya,

35

where forests do not grow as rapidly and tree species known to stock large amounts of

carbon cannot physically grow due to soil and climate differences. In these forests, NTFPs

(Non-Timber Forest Product) such as certain medicinal plants, which are only found at

higher altitudes, have reaped good benefits by creating a market at the national level

(Subedi, 2006). In this way, forest users may choose not to actively participate in REDD

and continue with other forest-related activities, such as medicinal plant collection, which

are more productive to their livelihoods than preventing the loss of trees in their forests

(Nzunda, 2011). It is clear that it is very difficult to completely replace entire livelihoods

and, given the context, not all regions would necessarily economically benefit more from

deforestation avoidance in comparison to their current forest activities. Therefore, it is

important for carbon credits buyers to be willing to pay more for carbon credits as some

communities already find it insufficient, and those who do currently find it sufficient

eventually will not as the rate at which a forest sequesters carbon decreases with time. It is

also encouraged that, regardless, REDD be campaigned or shared with as many people as

possible because of the environmental awareness it brings can be beneficial to forest

quality, as aforementioned.

2.4.5 Complementing Initiatives

In addition to REDD, there are several initiatives addressing deforestation, land

degradation and other environmentally degrading activities by promoting sustainable forest

management. Examples of such initiatives include the promotion of aforementioned

NTFPs and FSC (Forest Stewardship Council) Forest Certification (ANSAB, 2012).

Unfortunately, many of these initiatives have not been discussed in the same proportions

as REDD has in the last decade (Pena, 2010). The reason for this is that not only is climate

36

change a global issue affecting both developed and developing countries, but there are

incentives for developed nations as well. Carbon trading has been very appealing to

governments and companies whose industries thrive on carbon emitting activities, as this

mechanism allows them to continue to emit harmful GHGs while “buying” carbon credits

from developing nations (Mowforth, 2014). This is economically advantageous for both

sides if developing nations can be convinced that forests are financially worth more

standing than cut down, and can cause decision-makers to consider REDD as a miracle,

“silver bullet” solution to mitigate climate change (Pena, 2010). On the plus side, it is an

initiative designed to concurrently conserve forests and wildlife. This seemingly win for

biodiversity – win for local livelihoods – win for GHG emitting companies situation has

caused REDD to appear to be an easy solution to climate change (Mowforth, 2014). There

is, however, great debate surrounding the integrity of the carbon trade market.

2.4.6 Controversies surrounding the inaccuracies of Carbon Trading

Anti-REDD academics argue that the very concept of trading carbon like material

wealth or stock would not result in an overall decrease in global emissions (Mowforth,

2014). There are many reasons why this is argued. First, carbon trading does not address

the main sources of GHG emissions in the first place. It is argued that if REDD were 100%

effective in the regions it targets, it would only account for 20% of the needed solution to

mitigate climate change (Nzunda, 2011). The remaining 80% of efforts would need to come

from the real sources of GHG emissions, which a mechanism like REDD enables theses

culprits to ignore (Mowforth, 2014). Although deteriorating forest-related activity in

developing nations are responsible for 15% of total global carbon emissions, industrial and

37

daily fuel-fossil burning activities in the West are mostly responsible for these emissions

(Hess, 2014). By allowing industries to buy extremely cheap carbon credits from

developing nations, the UNFCCC is not encouraging or enforcing them to change their

outdated methods of production. Instead, they are enabling them to continue to emit

emissions at the same rate at minimal losses or “fees”. This can dangerously cause

stakeholders in developed nations to believe that they are contributing to the mitigation of

climate change at a much higher level than they actually are.

Second, the very nature of measuring carbon is very difficult and remains inherently

inaccurate (Lanly, 2003; Gibbs, 2007; Saatchi, 2011). There are several sources and levels

of errors embedded in the nature of measuring carbon. The first source of error comes from

the lack of complete and reliable baseline data in most South Asian countries (Saatchi,

2011). Prior to REDD, there was very little incentive or available resources to monitor

deforestation and forest degradation levels. This is problematic as annual information on

past forest clearing activities is needed to estimate benchmark CO2 emissions rates that

countries must aim to reduce, otherwise they cannot be assessed and financially rewarded

through REDD (Saatchi, 2011). Although there are ways to alleviate this lack of vital

information, such as combining available data from modern technologies to estimate

historic emissions trends, much of this data is associated with high levels of inaccuracy.

Different forms of satellite imagery and aerial technology can be used to estimate

historic emissions trends, however these technologies have different advantages and

disadvantages (Gibbs, 2007). The cheaper, more readily-available ones such as LandSat

and MODIS, are easily accessible for developing nations with limited funding; however

38

these technologies are highly inaccurate in dense forests, which make up an important

portion of South Asian forests, especially in the Central Himalayan belt (Semwal, 2010).

Other technologies such as LIDAR or 3D aerial photos produce much more accurate results

for South Asian topography however they are very technically demanding and expensive

– today, these nations simply cannot afford to employ these methods (Gibbs, 2007). The

most wide-spread method used in South Asia is ground-based inventory where tree

parameters such as DBH are measured and inputted into allometric relationships to obtain

an estimate for carbon storage (Gibbs, 2007). Often times, these allometric relationships

are general and are less than appropriate when used in certain forests, causing them to under

or over-estimate carbon stock.

Another area of inaccuracy in carbon measurement pertains to the terminology used

in this field. There is often confusion between deforestation and degradation, and some

mistakenly classify certain forest activities as deforestation (Lanly, 2003). This confusion

is partially due to the many definitions of these two terms that exist to fulfill the needs of

several institutions on international and regional levels. According to the FAO,

deforestation is considered an overall decrease in total forested area while degradation is a

decrease in forest quality (Lanly, 2003). This confusion also stems from not exactly

understanding the different causes and impacts between the two, leading people to become

very subjective in their measurements – what one may consider deforestation may not be

the case in another’s point of view (Lanly, 2003). Human bias coupled with inaccurate or

insufficient data adds to the overall inaccuracy of carbon measurement, making the idea

that REDD truly leads to global carbon offsetting more of an illusion or unsupported

conclusion. Ironically, because of this, net gains in emissions in certain REDD sites are

39

very possible though widely ignored. To alleviate this error, it is important that ambiguous

terms be discussed at the regional level (especially if they are not directly translatable into

the local language) to avoid as much inconsistency as possible. It is also important for all

regions in South Asia to assess their available funds, labour resources and forest

characteristics to maximize accuracy levels when using different methods to obtain forest

carbon storage data.

2.4.7 REDD’s Potential in Nepal

CDMs like REDD have the potential to be environmentally and financially

rewarding for many qualified Nepalese communities in the global attempt to mitigate

climate change. Responsible forest management, which can be taught and advocated

through the implementation of REDD, can induce other environmental benefits such as the

improvement of soil and water catchment quality. This can then lead to an indirect positive

feedback loop where forest quality and quantity also increases due to an improvement in

soil and water ecosystems. However, REDD is crippled by spatial leakage, perverse

mechanisms and several sources of inaccuracy in data collection high enough to question

the integrity of the whole mechanism. It is also important to note that there exists a plethora

of ongoing forest conservation initiatives in Nepal, such as FSC Forest Certification and

the promotion of NTFPs. More recent initiatives like REDD should seek to complement

instead of replacing these initiatives as the objectives and outcomes of these projects often

overlap, therefore creating a possibility for a synergistic effect on the projects’ outcomes.

To date, both developed and developing nations remain relatively interested in REDD.

With improved design and adjustments suggested in this section, REDD still has the

potential to create favourable phenomena in Nepal.

40

2.5 Similarities, Differences and Potential Synergies and Conflicts between Forest

Conservation Mechanisms

Different Forest Conservation Mechanisms have differing histories and ideologies

behind them. In general, they also have different actors supporting or implementing them.

In this study, several FCMs are being practiced on the same geographic and temporal

scales. As FSC is an extension or improvement of NTFPs, we will only consider the

interaction of REDD and FSC in this paper.

To reiterate, there are certain differences between REDD and FSC. First, it is clear

that FSC is an initiative whose goal is to provide a voluntary means in which provider and

consumer can comply with or support SFM, while REDD’s goal is to mitigate global

climate change by reducing emissions and by removing greenhouse gases. Second, the

outputs expected from FSC are perceived to be relevant and significant at a local scale

while the outputs expected from REDD are perceived to be significant on a broader level.

Third, in relation to market behaviour, FSC adds commercial value to traditional methods

of trading NTFPs while REDD, as a carbon trading initiative, directly rewards developing

countries for forest conservation/minimal disturbance and land-use changes. Lastly, FSC

aims to influence actual community forest-level practices and operational plans while

REDD is not as rigorous in requiring participants to change their actual practices.

On the other hand, FSC and REDD share several areas of overlap (Medjibe et. al.,

2013). Evidently, both FCMs promote sustainable forest management practices, especially

in maintaining forest cover. They are also both market-based incentives, and the primary

reason people may participate in them is to increase their monetary incomes. An important

similarity is that the impacts of these initiatives, to improve forest management, generally

41

implies an increase in the rate at which the forest grows over time. Although forests

naturally grow, we can also determine whether growth is significant due to changes in

management practices. It has been argued that this success may be measured through forest

carbon storage (Medjibe et. al., 2013).

The use of improved forest management techniques under FSC standards

constitutes a mechanism to reduce emissions from forest activities. Medjibe (2013) argues

that in recognition of this synergy, achieving and maintaining FSC certification should

make forest management units eligible for payments under REDD. Similarly, REDD

participating forests can use the funds they receive through carbon-trading to undergo

certification. A community’s involvement in one of these forest conservation mechanism,

facilitates its ability to adopt and benefit from the other. Keeping this in mind, I would like

to return to my objectives and reflect on my hypotheses:

1. To quantify forest carbon storage in various community forests

Ho: Forest carbon storage varies between communities depending on exposure

to certification

2. To identify trends between this data and socio-economic status between 2009 and

2013

Ho: A positive correlation between forest carbon storage and socio-economic

status will be observed at the community level.

3. To elucidate the interaction of various development initiatives together (REDD and

FSC).

42

Ho: Through accounting of carbon storage, synergistic relationship between REDD

and FSC forest certification, with different agendas and similar outputs, may be at

play.

43

Chapter 3: Methodology

As the mid-hill forest communities of Nepal can be extremely diverse, it is

reasonable to assume that some findings of this study may be unique to the study region,

and therefore this project may be labelled as a case study for the Charnawati watershed of

Dolakha District. In this section I shall briefly review the study area, the experimental

design, the sampling strategy, data analysis techniques and limitations relevant to this

research.

3.1 Study Area

This study was mostly conducted in the Charnawati watershed of Dolakha District,

northern part of the Janukpur zone, situated in the North-Eastern region of Nepal. This area

is characterized by hill and mountain physiography with sub-tropical and lower temperate

forests due to the altitude gradient ranging between 835m - 3549m over an area of l4 037ha.

There are 65 formally recognized community forests in this watershed. This area was

chosen due to the presence of the REDD programme in the area, as well as ease of access

due to local organizations’ involvement with the region and the availability of permanent

forest carbon measuring plots.

44

Figure 1: Land utilization map of Dolakha District. From Government of Nepal, 2011,

retrieved from http://www.mofald.gov.np/page.php?id=21

45

3.2 Experimental Design

The field study began in mid-October 2013 and ended in early February 2014,

lasting 4 months. Both qualitative and quantitative data were collected – this research

therefore incorporates a mixed methods approach. Mixed methods permit the incorporation

of quantitative and qualitative data to widen understanding amongst different audiences

with different academic backgrounds (Creswell, 2009). Its focus is on developing and

understanding links between approaches, using triangulation to compare and contrast the

data to increase the accuracy of findings (Denscombe, 2007). Therefore, the opportunity

to analyze both quantitative and qualitative data gives the researcher the ability to balance

the limitations of one type of data by using the strengths of the other. For example, opinions

expressed during the interviews (qualitative information) can be supported by concrete

observations in forest growth (quantitative information).

3.3 Sampling Strategy

In order to address the research problem, a differential exposure treatment (in which

different communities are involved in different forest conservation mechanisms) was

selected for this case study. Out of the 65 formally recognized CFUGs in the area, I chose

6 REDD participating CFs for the purpose of this study and planned visits to each of them.

Three of these CFs are FSC certified while the three others are not. From these 6

community forests are two treatment groups; certified, REDD-participating and non-

certified, REDD-participating. Although this may represent a small portion of the total

number of community forests participating in REDD in the district, it is important to note

that the “within” variation of these forests in terms of ethnic group composition

46

(disadvantaged groups represent between 38% and 46% of the total population in each

treatment group), forest types and activities is relatively small. In addition, the studied

forests cover almost 20% of the total forested land in the Charnawati watershed. The main

“between” variation between forests is the presence of certification.

For these reasons, I am confident that the subsample selected for this study is a fair

representative of the 65 community forests in the watershed area. It was also decided to

include two CFs which are not involved in REDD, as control forests. These two control

forests are located outside of the Charnawati watershed. One is FSC certified while the

other is not. It is important to note that these forests have larger “within” variation, as they

are located further away from the other community forests and its ethnic composition is

very different.

These CFs were not entirely chosen at random, but primarily by recommendation

from the staff at FECOFUN. This is justifiable as it was easier for me to gain access to

research subjects, and also allowed me to remain within resource and time limits

(Denscombe, 2007). However, an element of random sampling was incorporated as it

contributes to a more representative sample of the population (Creswell, 2009). For

example, other CFs were available to be assessed however I chose to meet with some

instead of others, by randomly choosing one over another. I collected raw data through

interviews with key stakeholders in each CFUG. The interviews were designed to gather

factual information such as economic activities before and after the implementation of

REDD, and socio-economic indicators including; the education status of children, food

sufficiency, confidence level, condition of health, and skill status/social status (see

questionnaire, p.88). In total, 8 interviews were conducted – one interview with a member

47

of the CFUG committee for each CF. These respondents include past and present

community forest chairs, secretaries, and treasurers. As I cannot fluently speak Nepali or

any dialects, a translator, as well as the support of my colleagues at FECOFUN were of

utmost importance during the collection of data.

3.4 Data Analysis

Interview data was recorded in elaborate field notes, and were assessed by

categorized codes to identify relationships from the interview data (Descombe, 2007). The

objective was to identify key perceptions, attitudes and opinions towards forest activities,

conservation mechanisms and other benefits from forest-related activities. I reviewed the

data and observed recurring themes in the responses. The themes were grouped according

to a “colour coding” scheme in Microsoft Excel and relations were drawn from this data.

In order to analyze the numerical data collected from the interviews (financial assets,

income, economic activities), the information was presented as distributions in tables and

charts in order to properly visualize results and subsequently analyze them to create the

foundations for conclusions. These indicators have been used by several researchers who

have conducted studies in Dolakha district in the part. The collected information was then

synthesized with secondary literature sources to identify common themes and potential

new insights (Descombe, 2007). A copy of the interview sheets, as well as the consent form

can be found in Appendix 1.

Annual Forest Carbon data (total carbon in CF, tC6) was obtained through publicly

available published technical reports on ANSAB’s website for each of the 6 community

forests. The total carbon data was then divided by the forest area (also found in the

6 tC = tons of carbon

48

published technical report) to obtain total forest carbon per hectare. This measurement

allows for comparable analyses between forests on a carbon per hectare basis, eliminating

bias due to size. The specific methods used to measure this carbon data in the field can be

found in the technical report. In order to analyze any significant differences in carbon

storage between CFs, the published numerical data was then put into Microsoft Excel 2013

to generate and visualize graphs, trends and basic statistics to analyse this carbon data. To

obtain a better representation of all community forests in the region, I incorporated the

carbon storage data of 4 additional community forests (for each treatment groups) into my

analysis, also found in the published technical reports on ANSAB’s website. The added

forests were selected based on similar size, travel time to Charikot, ethnic composition,

forest activities and forest types. These similarities can ensure that the variation observed

between each treatment group can be attributed to the observed variable (i.e. certification).

3.5 Positionality and Limitations

As an undergraduate student with limited resources, present support and no

previous relationship to the community, there were some challenges met with conducting

primary research as a foreigner. First, there was confusion towards my position in the

community. Due to the many development initiatives being implemented in the district, the

community was accustomed to seeing foreign researchers on a continuous basis – I was

often confused with other researchers for different purposes. This may have skewed my

results as not only were these questions probably asked in one way or another before, but

members had an idea of what these researchers (who are often from the agencies investing

into the community) wanted to hear. This is described by Denscombe (2007) as the

49

observer effect, and can be mitigated by spending minimal amounts of time with those

interviewed, and by spending time on site. However, my results may be positively biased,

favouring the presence of REDD and FSC due to the influx of resources these development

initiatives bring. Also, due to my formal placement work with FECOFUN, some of the

respondents have either seen or heard of me, and there was some indication that they may

have believed that this was a part of FECOFUN’s own work. To avoid this, it was

explained, through the interpreter, that this research is for the purposes of my thesis at the

University of Toronto.

As a foreigner, it was initially understood that I would be able to access plot level

data without any issues. When I sought proper permission, unfortunately, I was not allowed

to access REDD plots or plot level data, which may have prevented me from making for

in-depth field observational data. Also, due to my friendly relationship with FECOFUN

(which served as an intermediary between myself and my respondents), my colleagues

were very comfortable in helping the respondents answer the questions when they hesitated

– for example, they repeated the questions in their own manner (leaving room for

interpretation). I found it difficult to ask my colleagues and boss for privacy during the

interview, and my translator from CECI Nepal and I had to remind my boss to allow the

respondent to answer on their own.

There are also some limitations due to the nature of this research as a case study.

First, it is important to be cautious when drawing conclusions from the data collected as

they are unique to this area. In essence, a study with exactly the same conditions as

observed in this research cannot be replicated. Deriving inferential statistics at the

community-level and drawing larger conclusions from them is described by Hurlburt

50

(1984) as pseudoreplication, and is an often contested experimental design in ecological

studies. Therefore it is imperative to employ deductive logic, using a variety of types of

data (qualitative and quantitative primary data in addition to literature review, as done in

this paper) and to demonstrate the extent to which conclusions can be made (Oksanen,

2001; Denscombe, 2007). It was also difficult to define geographic boundaries of the study,

and to decide which variables are appropriate to observe in order to measure changes

caused by forest conservation mechanisms. The socio-economic variables used during the

interviews are simple and easily understood by community members (and therefore,

potential interviewees) as they were used by other researchers, who have conducted studies

in Dolakha district in the past.

51

Chapter 4: Results and Discussion

4.1 Community Forests Studied

Eight community forest representatives were interviewed and their reports shape

the data presented in this section. These representatives are members of the CFUG’s

steering committee, and are heavily involved in the CFs’ activities. The first set of tables

below displays general demographic characteristics of each community forest studied,

separated by treatment groups as described in the methodology section. The second set

presents the community forests’ physical and forest-related characteristics, also separated

by treatment groups. The information in these two table sets was obtained from the

community forests’ operational plans. The third set of tables presents information on socio-

economic indicators, as rated during interviews.

4.1.1 Socio demographics of Community Forests

From the tables below, it is important to acknowledge that the total number of

households represented under each treatment varies. 518 households are represented in the

Certified, REDD treatment, 615 are represented in the Non-Certified, REDD treatment,

and 482 in the Non-REDD treatment. They also differ in travel time to or from Charikot,

the districts’ capital, where the REDD and FSC implementing bodies’ branch headquarters

are located. Some of these forests are clearly more accessible to the main road than others

– in this way, distance is not the only factor determining access to the headquarters and

therefore, markets, services, and spaces of exchange. On a side note, the two non-REDD

participating forests are located furthest away from the headquarters. Although

Kalinchowk CF may be only 18km away (while Kalobhir is 52km away), it is located at a

very high altitude (almost 4000m), and the road to get there is in poor condition, which is

52

why it has the largest travel time to Charikot. Transportation to and from this location is

infrequent and costly, and exchanges between members from this community with others

is limited.

Distance and time has often been considered as the main barriers in accessing

services including healthcare, markets, government offices and opportunities to collaborate

and participate in regional activities, including development initiatives including FSC

forest certification and REDD (Choulagai et. al., 2013). Members from remote

communities often experience difficulties in meeting members from other communities to

communicate with them. This can lead to the voices of certain groups to be heard louder

than others – the concerns and needs of remote communities can inadvertently be ignored

due to development practitioners’ inability to communicate with them due to the barriers

related to time, distance and cost to travel to the district headquarters.

Table 1: Demographic information (area, # of households and travel time) of 3 certified,

REDD participating community forests

Community Forest Area (ha) # of households Travel time (min) to Charikot

Bhiteri Pakha 542.64 224 35

Majhkarka-Lisepani 174.18 206 20

Simpani 64.4 88 3

Table 2: Demographic information (area, # of households and travel time) of 3 non-

certified, REDD participating community forests

Community Forest Area (ha) # of households Travel time (min) to Charikot

Dimal 38.2 163 40

Bhamse Pakha 10.93 165 15

Thansa-Deurali 124.37 287 20

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Table 3: Demographic information (area, # of households and travel time) of two control

community forests, who are not participating in REDD

Community Forest Area (ha) # of households Travel time (min) to Charikot

Kalinchowk 546.25 267 120

Kalobhir 1050 215 100

4.1.2 Community Forest Characteristics

From the tables on the following pages, we note that all community forests share

similar forest types. The dominant forest species of each community forest varies, however

they are more or less similar when pooled from the same treatment. In other words, there

is more variation within treatment groups than across them. All forests contain a range of

dominant species - some more than others - due to the mountain terrain that characterize

this region of the world (Subedi, 2006). In general, a change in elevation is coupled with a

change in climate, and therefore, the vegetation present. Identified major NTFPs also

differ, but lokta and aregli, which are high value plants used for Nepalese handmade paper,

are common in most community forests studied here. This paper has been produced for

centuries for different purposes, most notably for ancient Buddhist texts (Dormaracka et.

al., 2012). The craft has received significant worldwide interest since the tourism industry

sprung in the 1970s, allowing for linkages between western agencies to be made

(Dormaracka et. al., 2012). For this reason, many community forests within the 1,600m –

4,000m elevation range (Biggs and Messerschmidt, 2005) aim to plant, collect and

54

sometimes process these plants into paper so that they can then be sold or traded to larger

enterprises before exporting them7.

7 Interview, Certified/Non-REDD forest member, January 2014

55

Table 4: Forest characteristics (forest type, dominant species, canopy classification and major NTFPs) of 3 certified, REDD

participating community forests

Community

Forest

Forest Type* Dominant

species**

Canopy

classification***

Major

NTFPs****

Bhiteri

Pakha

NP 3,4,9 D C,L,A,M,O

Majhkarka-

Lisepani

NP 6,7,8,9 N L,C,O

Simpani NP 2,3,5,9 N n/a

*N = Natural forest, P = Plantation forest, NP = Mix of natural and planted trees with good regeneration

**1 = Shorea robusta forest; 2 = Subtropical deciduous forest; 3 = Pinus roxburghii; 4 = Schima castanopsis forest; 5 = Alnus nepalnesis forest; 6 =

Oak rhododendron; 7 = Upper slope coniferous forest; 8 = Upper slope mixed hardwood forest; 9 = Others

Pinus roxburghii forests are dominated by robust pine trees often planted in very poor soils for forest regeneration purposes; Schima castanopsis forests

are dominated by a hardwood tree used for the construction of buildings and shingles; Alnus nepalnesis forests are dominated by a pioneer species

which is useful for small timber and fuelwood; Oak (Quercus spp.) and Rhododendron spp. forests are located above 2000m use for construction,

cultural and medicinal purposes ; Upper slope forests are characteristic of a plethora of medicinal NTFPs along with cedar and rhododendron trees

(Forestry Nepal, 2014)

*** D = Dense, N = Normal, G = Gaps of sparse forest.

Canopy classification is an important indicator to evaluate possible management intervention. Forest canopy cover is described as the proportion of the

forest floor covered by tree crowns (Azizi et. al, 2008).

**** L = Lokta, M = Machino, C = Chiraito, A = Argeli, T = Taxus, Mj = Majhito, P = Pakhambed, O = Others

Lokta (Daphna bolua) and Argeli (Edgeworthia gardneri) plants are used for producing hand-made paper, while Machhino (Gaultheria fragrantissima),

Chiraito (Swertia chirayita), Taxus (Taxus baccata), Majhito (Rubia manjith) and Pakhambed (Berginia ciliate) are used for medicinal or aroma

therapeutic purposes.

56

Table 5: Forest characteristics (forest type, dominant species, canopy classification and major NTFPs) of 3 non-certified,

REDD participating community forests

Community Forest Forest Type* Dominant species** Canopy

classification***

Major NTFPs****

Dimal N 2,3,5,9 N M,C,Mj,O

Bhamse Pakha NP 2,3,5 G n/a

Thansa-Deurali NP 6,7,8,9 N,G L,A,C,Mj,M

*N = Natural forest, P = Plantation forest, NP = Mix of natural and planted trees with good regeneration

**1 = Shorea robusta forest; 2 = Subtropical deciduous forest; 3 = Pinus roxburghii; 4 = Schima castanopsis forest; 5 = Alnus nepalnesis forest; 6 =

Oak rhododendron; 7 = Upper slope coniferous forest; 8 = Upper slope mixed hardwood forest; 9 = Others

Pinus roxburghii forests are dominated by robust pine trees often planted in very poor soils for forest regeneration purposes; Schima castanopsis forests

are dominated by a hardwood tree used for the construction of buildings and shingles; Alnus nepalnesis forests are dominated by a pioneer species

which is useful for small timber and fuelwood; Oak (Quercus spp.) and Rhododendron spp. forests are located above 2000m use for construction,

cultural and medicinal purposes ; Upper slope forests are characteristic of a plethora of medicinal NTFPs along with cedar and rhododendron trees

(Forestry Nepal, 2014)

*** D = Dense, N = Normal, G = Gaps of sparse forest.

Canopy classification is an important indicator to evaluate possible management intervention. Forest canopy cover is described as the proportion of the

forest floor covered by tree crowns (Azizi et. al, 2008).

**** L = Lokta, M = Machino, C = Chiraito, A = Argeli, T = Taxus, Mj = Majhito, P = Pakhambed, O = Others

Lokta (Daphna bolua) and Argeli (Edgeworthia gardneri) plants are used for producing hand-made paper, while Machhino (Gaultheria fragrantissima),

Chiraito (Swertia chirayita), Taxus (Taxus baccata), Majhito (Rubia manjith) and Pakhambed (Berginia ciliate) are used for medicinal or aroma

therapeutic purposes.

57

Table 6: Forest characteristics (forest type, dominant species, canopy classification and major NTFPs) of 3 certified, REDD

participating community forests of two control community forests, who are not participating in REDD

Community Forest Forest Type* Dominant

species**

Canopy

classification***

Major

NTFPs****

Kalinchowk N 3,9 N L,T,C,M,A

Kalobhir N 6,7,8,9 N C,M,L,A,O

*N = Natural forest, P = Plantation forest, NP = Mix of natural and planted trees with good regeneration

**1 = Shorea robusta forest; 2 = Subtropical deciduous forest; 3 = Pinus roxburghii; 4 = Schima castanopsis forest; 5 = Alnus nepalnesis forest; 6 =

Oak rhododendron; 7 = Upper slope coniferous forest; 8 = Upper slope mixed hardwood forest; 9 = Others

Pinus roxburghii forests are dominated by robust pine trees often planted in very poor soils for forest regeneration purposes; Schima castanopsis forests

are dominated by a hardwood tree used for the construction of buildings and shingles; Alnus nepalnesis forests are dominated by a pioneer species

which is useful for small timber and fuelwood; Oak (Quercus spp.) and Rhododendron spp. forests are located above 2000m use for construction,

cultural and medicinal purposes ; Upper slope forests are characteristic of a plethora of medicinal NTFPs along with cedar and rhododendron trees

(Forestry Nepal, 2014)

*** D = Dense, N = Normal, G = Gaps of sparse forest.

Canopy classification is an important indicator to evaluate possible management intervention. Forest canopy cover is described as the proportion of the

forest floor covered by tree crowns (Azizi et. al, 2008).

**** L = Lokta, M = Machino, C = Chiraito, A = Argeli, T = Taxus, Mj = Majhito, P = Pakhambed, O = Others

Lokta (Daphna bolua) and Argeli (Edgeworthia gardneri) plants are used for producing hand-made paper, while Machhino (Gaultheria fragrantissima),

Chiraito (Swertia chirayita), Taxus (Taxus baccata), Majhito (Rubia manjith) and Pakhambed (Berginia ciliate) are used for medicinal or aroma

therapeutic purposes.

58

4.2 Forest Carbon Storage

In the following section, I will display and analyze forest carbon data from a total

of 14 community forests participating in REDD in Dolakha District. Non-REDD forests

are not included in the analyses below simply because there is no readily available carbon

data for them.

From the Figures 2 and 3 on the following pages, we note slow growth rates

(positive trend) in forest carbon storage over time. A one-tailed, two sampled unequal

variance t-test conducted on this data resulted in a probability value of 0.36 (p=0.36),

indicating that the two groups (certified and non-certified) are not significantly different

from each other. From these graphs, we cannot make an inferential assumption in

differences between certified and non-certified forests into the larger context. However,

we can speculate that the growth over time displayed by both certified and non-certified

forests may only be attributed to natural forest growth. We can point out, as well, that the

presence of REDD in these forests may be promoting a net growth in the forest, instead of

a reduction in forest carbon through other income-generating activities such as the removal

of trees, etc. We do not visually see a significant difference in the slopes (and therefore the

rates) of carbon increase over time between certified and non-certified forests. On a side

note, one certified community forest (Simpani) has a much lower density than the others.

This may be due to its proximity to the district headquarters and its accessibility to the main

highway in comparison to other community forests. From Table 1, we noted that it only

takes 3 minutes to reach this community forest by vehicle. The ease of access to and from

this forest may have promoted more significant exchanges in forest products compared to

more remote community forests. An increased exchanged in forest products would

59

inadvertently result in a decrease of forest carbon storage per hectare, as trees and plants

are removed. In general, we cannot make any assumptions with regards to the rate at which

forest carbon is growing over time in Dolakha District.

60

Figure 2: Total Forest Carbon (tC/ha) in 3 certified forests between 2010 and 2012. All forests display a similar rate of natural

growth over time.

170

180

190

200

210

220

230

240

2010 2011 2012

Tota

l Fo

rest

Car

bo

n (

tC/h

a)

Year

Bhiteri Pakha

Majhkarka-Lisepani

Simpani

61

Figure 3: Total Forest Carbon (tC/ha) in 3 non-certified forests between 2010 and 2012. All forests display similar rates of

natural growth over time.

170

180

190

200

210

220

230

240

2010 2011 2012

Tota

l Fo

rest

Car

bo

n (

tC/h

a)

Year

Dimal

Bhamse Pakha

Thansa-Deurali

62

From Figure 4 on the following page, we observe the pooled forest carbon between

7 certified forests and 7 non-certified forests (4 of each in addition to the ones studied).

The data from these forests were added to gain a more significant representation of the 65

community forests in the Charnawati watershed. These forests exhibit similar forest types

and major NTFP activity, and have the same level of accessibility (distance and time) from

Charikot, making them good replicates for the treatment groups (as they are expected to

display, to a certain extent, similar levels and types of forest activities) in terms of the forest

carbon storage variable. Averages from both groups exhibit an increase in forest carbon

storage over time.

A one-tailed, two sampled unequal variance t-test conducted on this data resulted

in a probability value of 0.03 (p=0.03), indicating that the two groups (certified and non-

certified) are, in this case, reliably different from each other. The certified forests examined

in this study do have, on average, higher forest carbon growth than non-certified forests.

This is because they started participating in REDD with higher levels of forest carbon

storage in comparison to non-certified forests. This can be explained by their previous

engagement in FSC forest certification activities, which requires forests to heavily reduce

their logging activities. Thus, by already having relatively rigorous forest conservation

practices in place, certified forests display higher forest carbon storage per hectare than

non-certified forests, supposedly placing them in a more facilitated position to benefit from

REDD. Therefore, an indication of higher forest carbon storage per hectare may indicate

that a forest would be more likely to obtain funding in the first couple of years during which

REDD is implemented. This analysis supports that forest carbon storage can, when put into

63

context (i.e. consider neighbouring communities), be interpreted to understand synergies

between REDD and FSC.

64

Figure 4: Column graph depicting the average total forest carbon (tC/ha) in certified and non-certified forests during the years

2010, 2011 and 2012. Bars of standard deviation are displayed.

150

160

170

180

190

200

210

220

230

2010 2011 2012

Mea

n F

ore

st C

arb

on

(tC

/ha)

Year

Certified Non-certified

65

4.3 Main Forest Activities

In general, it was observed that main forest activities include plantation, timber and

NTFPs in all observed forests. Secondary activities include trimming/weeding, and

fodder/firewood collection and forest conservation efforts. Interviews conducted with

members from certified forests found that they expressed less importance on timber

activities and more on alternate activities compared to members from non-certified forests8.

Profits obtained from REDD or forest certification premiums are often invested in

alternative income provision programs including tailoring, metal making, livestock

farming, and vegetable farming.

It is also important to note that both certified and non-certified forests consider their

NTFP activities as a primary forest activity. These include high value NTFPs such as lokta,

argeli, allo and chiraito. In addition, the control certified forest (not involved in REDD)

stated that the planting, harvest and trade of NTFPs was their most dominant forest activity.

It is important to note that this CFUG is located in Jiri, where many Europeans - especially

the Swiss - have taken interest due to its location – the gateway to Mount Everest for

trekkers. It is also near this community forest where the main highway ends.

4.4 Socio-Economic Conditions

From Table 7 on page 67, we observe that in general, all measured socio-economic

conditions improved to a rating of 3 or beyond after the introduction of REDD.

Interestingly, members from certified forests rated themselves as having relatively higher

8 Interview, Certified/REDD forest member, January 2014

66

socio-economic conditions than those in non-certified forests. This can be due to the fact

that they were either certified, or in the process of being certified, during REDD’s

introduction in 2009. As aforementioned, forest certification schemes and REDD have

share socio-economic benefits. Drawing from this logic, certified forests were already

“ahead” of non-certified forests, explaining the more favourable initial conditions they

claim to have had.

On the other hand, non-certified forest members rated themselves as having higher

socio-economic indicators after the introduction of REDD than certified forest members

did. This may be explained by a difference in the perceived change brought by REDD

between certified and non-certified forests. Respondents from non-certified forests may

perceive a more positive change (and consequently “overrate” these socio-economic

indicators), due to less favourable conditions relative to their counterparts from certified

forests in 2009. This is analogous to a honeymoon effect, a period during which a group

remains satisfied with a change in governance or economic activities and remains

supportive of the implementers due to its newness and fresh promise for change (Bernhard,

2003). This can also be due to the fact that FECOFUN, the trusted civil society organization

responsible for representing community forests in Dolakha, is very supportive of REDD

and was very active in its promotion since 2008.

There are other reasons that explain why respondents from non-certified forests

may have consistently rated a larger difference. The rapid influx of funds from foreign

institutions to support the REDD initiative may have made a considerable initial impact on

the infrastructure and incomes of many community members (Nzunda, 2011). This holds

67

especially true for access to primary health care resources and food security, as one

interviewee mentioned that the roads built or improved, with the REDD project funds, have

allowed for community forest members to better access local markets and health care

services9. In other words, the funds generated from REDD may not have been directly used

for health care services or invested in food security schemes, but the infrastructure it

resulted in facilitated community members to physically (and not financially) access these

services.

Table 7: Socio-Economic Indicators rated in REDD participating forests from 1-5 (1 –

unsatisfactory, 2 – less than satisfactory, 3- satisfactory, 4 – above satisfactory, 5 –

excellent) before 2009 and in early 2014.

Certified, N =3 Non-certified, N=3

Indicator Before 2009 Early 2014 Before 2009 Early 2014

NTFP activity 3 3.7 2.7 3.7

Children’s education 2.7 4.7 2 5

Food security 2.7 4.3 1.8 4.7

Primary Health-care

resources

2 4 1.2 4.7

Social inclusion 2.3 4.3 1.5 4

In general, socio-economic indicators improve in all REDD participating and non-

REDD participating community forests as seen in Table 8 below. Although the non-REDD

community forests are not actively participating in the REDD programme, it can be argued

that they are indirectly benefitting from them. Representatives from these forests expressed

9 Interview, Non-Certified/REDD forest member January 2014

68

some knowledge of the REDD project, and knew of the funds being used to support the

construction, maintenance and improvement of roads in the district10. In addition, there are

other forces or initiatives unmentioned in this case study that may have contributed to an

improvement in socio-economic conditions. For example, the two non-REDD forests are

placed in regions that are currently supported by government agencies due to their location

in potential, or existing, tourist locations (UNEP, 2011). They also have a more significant

NTFP market than other community forests studied, because the community invests a lot

of their effort and resources into this market as there aren’t as many income-generating

alternatives compared to REDD participating forests.

Both certified, REDD participating and non-certified, REDD participating groups

reported a significant improvement in the availability of primary health-care resources and

social inclusion after the introduction of REDD in 2009. This can be explained by the

improvement in road availability or conditions, facilitating access to health-care resources.

An improvement in social inclusion in REDD participating forests can be attributed to both

REDD and FSC’s sustainable forest management agenda – to promote equity and the

inclusion of disadvantaged groups in the sharing of the community forests’ responsibilities

and resources (Nzunda, 2011; Medjibe et. al., 2013). Non-REDD participating forests

reported some improvement in actively including members from disadvantaged groups.

This can be due to other, smaller-scale awareness campaigns sponsored by government and

local agencies. Another explanation

10 Multiple interviews, “control” forest members, January 2014

69

Another important observation is that non-REDD participating community forests

reported an improvement in food security to 2.8 – just below satisfactory. More

specifically, the forests who had a higher travel time to the district headquarters due to the

lack of roads expressed frequent food shortages, especially during transportation strikes,

and in some cases, landslides blocking the roads11. As both of these forests are more remote

than the other ones, it can be more difficult for these forests to access local food markets.

In addition, one interviewee pointed out that due to their remoteness, many young people

leave and do not continue tending to their family farms, which provided for subsistence in

the past12.

Table 8. Socio-Economic Indicators rated in REDD and Non-REDD participating forests

from 1-5 (1 – unsatisfactory, 2 – less than satisfactory, 3- satisfactory, 4 – above

satisfactory, 5 – excellent) before 2009 and in early 2014.

REDD, N=6 Non-REDD, N=2

Indicator Before 2009 2014 Before 2009 2014

NTFP activity 2.8 3.7 3.5

5

Children’s education 2.3 4.8 3.3 5

Food security 2.3 4.5 1.8 2.8

Primary Health-care

resources

1.6 4.3

1.8 4

Social inclusion 1.9 4.2 1.5 3

11 Interview, Certified/Non-REDD forest member, January 2014 12 Interview, Certified/Non-REDD forest member, January 2014

70

From Table 9 below, we observe that all community forests, regardless of group,

report an overall improvement in socio-economic conditions as indicated by the averages

above. Representatives from non-certified forests (REDD and non-REDD participating)

report the largest change in socio-economic indicators before and after the introduction of

REDD in 2009. This can be explained by other sources of support received from

government agencies, due to their proximity to potential and existing tourist locations as

aforementioned. This can also be explained by a “honeymoon effect” as previously

mentioned.

Table 9: Pooled average of all measured Socio-Economic Indicators rated in all 8

community forests from 1-5 (1 – unsatisfactory, 2 – less than satisfactory, 3- satisfactory,

4 – above satisfactory, 5 – excellent) before 2009 and in early 2014.

Certified Non-Certified

Before 2009 2014 Before 2009 2014

REDD 2.5 4.2 1.9 4.4

Non-REDD 3.3 4.1 1.4 3.8

4.5 Changes in Attitudes and Perceptions with the introduction of REDD

4.5.1 Conservation and Ecosystem services

In certified forests, respondents claimed that the introduction of REDD, along with

its workshops and benefits, heightened the awareness of the benefits that the programme

can bring to the community. These include; carbon sequestration, increased greenery for

aesthetics, incentive to employ sustainable forest management, voluntary reforestation, and

a reduction in logging. Respondents from non-certified forests reported similar attitudes,

however illegal logging seemed to be a major issue that was especially underlined in these

71

forests through REDD13. Illegal logging is described as; removing more timber than the

forest states in their operational plans or removing timber in a non-sustainable manner

(cutting down too many young trees) (ANSAB, 2010). For example, one respondent from

a non-certified forest claimed that they no longer needed to hire forest guards to control

illegal logging14. This is due to the alternative income activities that are developed and

promoted with the funds used from REDD (Nzunda, 2011). These programmes are

designed to create alternate sources of income in hopes to reduced heavy logging in the

forests.

The non-REDD participating forests reported slightly different attitudes. Illegal

logging was the main issue in these forests, and a heightened awareness and acceptance of

sustainable forest management was noted after the introduction of REDD. Although these

forests did not participate in REDD, other local agencies did conduct their own sustainable

forest management campaigns in these areas15. They introduced ways to reduce the amount

of carbon used in the community, such as improved cooking stoves, which requires less

wood to burn for the same amount of energy. This technique is especially important for

forests where wood is more scarce, such as one of the two control forests, as much of its

territory is located at elevations above 3,500m.

Evidently, forest management priorities between certified forests and non-certified

forests differ. Certified forests have an edge on non-certified forests in meeting REDD

objectives, as certified forests enforce reduced-impact logging techniques while non-

13 Interview, Non-Certified forest member, January 2014 14 Interview, Non-Certified forest member, January 2014 15 Interview, Non-Certified/Non-REDD forest member, January 2014

72

certified forests tend to practice conventional ones (Medjibe, 2013). Reduced-impact

logging is described by the Tropical Forest Foundation (2009) as a set of management

techniques that meets the rising global demand for tropical woods while minimizing

collateral damage to different components of the environment. These techniques includes

the careful selection of trees to be harvested. Thus, the synergy between forest certification

and REDD allows community forests to address deeper drivers of deforestation and forest

degradation. While non-certified forests must first address its unsustainable logging issues,

certified forests are in a better position to address more abstract topics such as social

inclusion and the equitable sharing of benefits from the forest.

4.5.2 Subsistence and Livelihoods (Income)

Respondents from certified forests expressed that with the introduction of REDD,

NTFPs have been receiving even more attention and have been given higher priority. This

is because financial gains are maximized when carbon dense plants, like trees, remain

standing (Nzunda, 2011). Therefore, in order to maximize returns from carbon trading,

community members have been investing more of their resources and time towards the

harvest, sell and trade of NTFPs, which are lower in carbon density, instead of logging.

They have also expressed the ability to engage in other forest activities, such as vegetable

or livestock farming, due in part to the funds generated through REDD.

On the other hand, respondents from non-certified forests expressed that the funds

received from REDD are used to build roads, and some of it is used for a loan programme.

It was also stated that timber remains a very valuable source of income for many

community forests members, whereas timber or logging was not as highly prioritized in

73

certified forests16. This can be due to the extra premiums the certified communities receive

from their NTFPs – non-certified forests would trade their NTFPs to the international

market for a price lower than certified products, rendering the trade less attractive than the

simple profit obtained through logging activities (Subedi, 2014). In this case, forests

practicing both REDD and forest certification allocated higher priority to their NTFP

market after the introduction of REDD, while non-certified forests did not. Although Table

7 indicates that NTFP activities were rated at a similar level between both certified and

non-certified forests, it is possible that this result is due to the fact that certified forests

understand that their current NTFP market may be expanded, therefore rating its current

activity at a lower level in anticipation that it will improve. Non-certified forests, on the

other hand, are not yet formally engaged with expanding their NTFP market as certified

forests are.

In conclusion, certified forests are in an advantageous position to expand their

NTFP markets due to their involvement in the FSC certification programme (Subedi,

2014). As an attractive NTFP market is more available to them in comparison to non-

certified forests, they are better equipped to further reduce logging than their non-certified

counterparts. In other words, it is more difficult for members from non-certified forests to

find alternatives to trading timber. It is therefore expected that certified community forests

may store more carbon per hectare of forested land than non-certified community forests.

16 Interview, Certified forest member, January 2014

74

4.5.3 Social Inclusion

Respondents from both certified and non-certified forests reported an increase in

the effort to include disadvantaged groups into forest activities after the introduction of

REDD in 2009. This includes decision-making processes at the management level, and the

more equitable distribution of benefits reaped from the forests (Subedi, 2010). In particular,

a portion of the funds received from REDD is used for disadvantaged community members

to jump-start their vegetable or livestock farming activities (FECOFUN, 2014; Karky,

2009). For example, one Dalit17 woman claimed that she used REDD funds to buy 2 goats,

and now has a herd composed of 4 goats which she intends to grow. She uses these goats

for milk, and sells them as well18. Another important portion of these funds is used as

scholarships especially for young girls, to encourage them to pursue their education

(FECOFUN, 2014).

All respondents expressed that social inclusion was given a higher priority than it

was before. This is especially true in non-certified forests, where respondents attested that

the inclusion of marginalized groups was never really of importance. In certified forests, it

is expected that there is a certain “standard” of social equity amongst members, as outlined

in the aforementioned certifying bodies’ guidelines (ANSAB, 2005). This resulted in

efforts to render marginalized groups more engaged and interested in forest activities and

consequently, further interest in development initiatives. Another respondent from a non-

certified forest claimed that when disadvantaged groups, who usually take little interest in

community forest activities/meeting/assemblies, observed their neighbours benefiting from

17 Dalits are designated as people belonging to an “untouchable caste”, and have historically been marginalized at the bottom of Nepal’s social structure (DWO, 2010). 18 Interview, Non-Certified forest member, 2014

75

REDD, they were more interested to participate and benefit in carbon sequestrating

activities19.

Clearly, the inclusion of marginalized groups (Dalit, Janajati, women) into

decision-making processes and equitable benefit-sharing, certified forests were in a more

facilitating position at the moment REDD was introduced in 2009. As equitable benefit-

sharing detracts community members from engaging in illegal logging activities, certified

forests would be more likely to remain dense as members do not cut down the forests.

Therefore, because certified forests are already actively addressing social inclusion as a

requirement to become certified, they in a better position in meeting REDD’s objective to

avoid deforestation activities, namely logging.

4.5.4 Land-use

With the introduction of REDD into certified forests in 2009, land-use practices

haven’t changed much since their certification in the mid-2000s. It was only expressed that

FSC’s agenda to promote the trade of NTFPs over timber was further advocated by

REDD’s financial incentive to keep carbon dense trees standing. Otherwise, it was

expressed that changes in plant species for domestic use did not change, as people do not

consciously plant dense carbon species to maximize funds from REDD. This is because

these forests are located at higher elevations where carbon-rich species cannot grow, in

comparison to forests in southern Nepal. They do however, continue to plant species that

grow well for their specific environmental conditions.

19 Interview, Certified forest member, 2014

76

In non-certified forests, it was mentioned that community members were

encouraged to plant more high-value NTFP yielding species in their forests. Some forests

were also encouraged to plant mauwa trees, which are good for timber20. However, this

was ineffective and community members discontinued the practice, as some NTFP yielding

species did not grow well in these areas due to geographic differences. Respondents also

noted that there were no conscious changes in land-use practices, other than the fact that

they avoided harvesting from and around REDD measuring plots used to extrapolate forest

carbon storage.

With regards to changes in land or species use, certified forests were further

encouraged to grow their NTFP species with the introduction of REDD. This action is

beneficial to both FSC forest certification and REDD programme higher revenues would

be generated from more significant volumes of NTFPs being traded in the demanding

international market (Subedi, 2014). Redirecting resources to harvest NTFPs over timber

would generate higher funds from REDD. Therefore, it is clear that certified forests are in

a better position than non-certified forests to benefit from REDD due to their current

engagement in FSC activities.

20 Interview, Non-Certified forest member, 2014

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Chapter 5: Conclusion

5.1.1 Objective 1: To quantify forest carbon storage in various community forests

The findings of this paper support the hypothesis for the first objective (p.41), that

forest carbon storage varies between communities depending on whether or not they are

certified. It was found that certified forests have higher forest carbon storage than non-

certified forests, both prior and during REDD’s presence in the district. To reiterate, this

can be explained by the certified forests’ prior enforcement in more rigorous forest

management practices, such as reduced-impact logging.

This study should be redone after a decade or so, when more pronounced

differences may be observed and better attributed to the effect the development initiatives

have on forest carbon storage throughout the years. Since REDD is still in its pilot phase,

it is difficult to discern what will be its long-run influences in the community. As FSC

forest certification has been involved for approximately a decade in Dolakha district, it has

had a more obvious influence on forest management practices (reduced logging) in

certified forests. In a study in Indonesia, Medjibe (2013) observed that certified forests did

have decreased emissions from their logging activities. Further study specifically on

different emission-causing activities within community forests is warranted in order to

better understand which activities change, and how much more or less do they contribute

to carbon emissions before and after the introduction of forest conservation mechanisms.

5.1.2 Objective 2: Identify trends between carbon data and socio-economic status

between 2009 and 2013

Second, this research found that while certified forests do exhibit higher carbon

storage than non-certified forests, higher forest carbon data per hectare may not necessarily

78

result in higher economic indicators due to several factors. First, although certified forests,

which also had higher forest carbon storage, were more engaged in the NTFP trade market

than their non-certified counterparts, the certified NTFP market is still too small and too

recently established to help us predict whether the profit gathered is sufficient to replace

income sources from less-friendly forest management practices, such as logging. Also,

these certified products are only sold to a certain niche of western companies, as they are

more expensive than non-certified ones (Subedi, 2014). Therefore, it is currently difficult

to discern whether the certified NTFP market will bring sustainable change to community

forests – this will depend on the future relationship between these communities and western

agencies.

Also, the rapid influx of funds from REDD may have caused a “honeymoon effect”

amongst community members, especially to those in non-certified communities. With

REDD’s introduction came alternative employment opportunities for the locals such as

forest technicians, awareness campaign members and training staff. Initial funds from

REDD also included loans for people to earn income from alternate sources such as

vegetable or livestock farming. For this reason, reported socio-economic status may have

been higher than expected in non-certified, REDD participating forests. In addition to this,

forests that are not participating in REDD may benefit from the infrastructure (i.e. roads)

built with REDD funding, and to a certain extent, may gain an awareness of more

sustainable forest practices simply by interacting with members from different community

forests. These spillover effects have also led to an improvement in socio-economic status

in non-REDD participating forests.

79

This research concludes that, interestingly, the presence of a few certified forests

in an area (in this case, Dolakha district), with significantly higher forest carbon storage,

can contribute to the socio-economic status of other community forests through these spill-

over effects in addition to their own. However, this conclusion is cautiously made due to

the honeymoon effect that both non-certified, REDD participating and non-REDD

participating forests may have been influenced by when rating their socio-economic

statuses. More research can be done to better understand this phenomenon, by comparing

a region where forest conservation mechanisms are not present in order to further “isolate”

the spillover effects. In general, this objective would be better addressed through more

rigorous research, in which forest inventory and market transactions are being monitored.

5.1.3 Objective 3: To elucidate the interaction of various development initiatives

together (REDD and FSC).

This research found that community forests already involved in one development

initiative (FSC forest certification) were more capable of handling the introduction of

REDD on a management and administrative level. Most notably, they were better able to

equitably share benefits amongst members of the community forest, which is a goal shared

by both FSC and REDD. REDD can serve as an extension to the benefits received by

community forests from abiding by FSC standards. Therefore, as expected and anticipated

in the literature, forest conservation mechanisms with similar expected outputs can enhance

each other. Medjibe (2013) supports non-certified forests to undergo certification, as the

extra funds received from REDD may be sufficient to cover the costs of certification, and

the improved management techniques adopted from REDD’s influence can place them in

a better position to become certified. The hope is that this will become true in Dolakha

district as an initiative to certify an additional 99 forests – many of them already

80

participating in REDD – is currently underway21. If a later initiative is implemented

properly and at the right time, the community forest would likely be in a more facilitated

position to successfully adopt and benefit from the later initiative. Donors and other

stakeholders in the development community should recognize and understand the existence

of forest conservation mechanisms beforehand to ensure future projects, policies or plans

can be implemented with relative success and sustainability. This study can serve as a guide

in that endeavour.

5.2 Policy Implications

In order for the synergistic effects between FSC and REDD to be continued,

community forests in Dolakha must first expand their NTFP markets. The current certified

NTFP markets, along with the support of government and other national and international

agencies, must make an effort to raise the levels at which not only Dolakha but Nepal, in

general, can cost-effectively trade their high-value NTFPs. These efforts include reliable

infrastructure to regularly transport these forest products around outside the country. This

is because the certified market niche is largely located in western countries. It may also

include speeding up the transfer of forested area, from the Nepalese government to

community forests, which could expedite the process of developing a community-based

management scheme which attracts morally conscious western buyers. Nepal currently has

the potential to sustainably grow and harvest NTFPs on a larger scale, but is unfortunately

lacking the infrastructure, technology and support to do so.

Second, carbon trading through REDD must remain cost-effective in the long-run.

In this study, funding from REDD was, in general, effectively used for people to divert

21 Observation by researcher, Dolakha District, January 2014

81

their activities to alternate sources of income. It is expected that these alternate sources of

income will permanently replace other forest activities, especially logging, in the future.

However, it is known that over time, the returns from REDD will reduce due to the slowed

growth of the forest, and that the ability for communities to entirely refrain from using their

forests is highly unlikely. Therefore, carbon credit “buyers” must pay higher prices per

ton of carbon dioxide sequestered, to ensure that “break-even” prices are met and exceeded,

otherwise communities in which their newfound alternate sources of income may fail

(competition in local markets, crop failure, etc.) may revert to logging in the future (Karky,

2009). To ensure this, the Forest Carbon Trust Fund in Nepal must fix higher carbon credit

prices in order to make carbon trading more viable for these communities. An increase in

funding from REDD could be used to make a promising investment – by allocating a

significant amount into education. Although some funds are currently being used for

scholarships, it has been expressed that these scholarships are rare and short-term22. A

larger portion of these funds should be used to send more community children to school

not only at the elementary level, but also at the secondary and post-secondary levels23. It is

believed that educated youth are less likely to rely on forest activities as their main source

of income in the future, therefore allowing the forest to preserve its carbon storage and to

continue providing valuable ecosystem services24. These findings may be taken into

consideration as Nepal, and even other countries, design their permanent REDD strategies.

22 Interview, Non-Certified forest member, 2014 23 Interview, Non-Certified forest member, 2014 24 Interview, Certified forest member, 2014

82

5.3 Final thoughts

Nepal is a unique, diverse country in which forests represent survival for the vast

majority of its people, through both subsistence and insertion into local and global markets.

With an innovative community forestry programme built on civil society, community

forests also represent the space in which community members can mobilize and become

politically engaged for reasons extending beyond land and forest user rights, such as

education and health services. In this regard, forest conservation mechanisms are ideal

projects to implement in a society aware of their human and civil rights. It is important to

note that there exists a plethora of forest conservation mechanisms, and that their intended

outputs often overlap – in this case, these synergies may be interpreted through carbon

storage data, however the data needs to be put into context (i.e. considering neighbouring

communities and the initiatives that are involved in is key). If implemented appropriately

and in conjunction with other existing forest conservation mechanisms (for example, using

funds from REDD to fund annual FSC certification costs), there is room for synergistic

effects between them. It is my hope that this study will be of use to future researchers,

policy makers and development practitioners in understanding the geographic and temporal

scales in which development initiatives operate and interact with each other.

83

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88

APPENDIX 1

Researcher: Luzianne Reid, Centre for Critical Development Studies, University of Toronto

Scarborough

Supervisor: Professor Marney Isaac

Class: IDSD01 – Research Seminar

Undergraduate Thesis Requirement (B.Sc.)

Questionnaire

Community Forest/Organization:____________________________

Member consulted:_______________________________________

Date:___________________________________________________

1. What is this CF’s Ethnic composition?

2. What are the main forest activities that take place in your community?

3. How do women help the forest in regards to these activities?

-What percent of the total work (based on forest activity) do women contribute to?

-What specific tasks do women do?

4. Why is the forest beneficial to the community?

- Why is planting trees beneficial?

- How does the forest help families?

-In what ways? Financially? Socially? Environmentally (quality)?

-What were your forest activities before REDD in 2009 (2066 B.S)? Did they

change since REDD was implemented? How? How did they change the way land

cover and forest products is used/harvested? Have you changed the types of

plant/tree species you use for certain activities?

5. Socio-economic indicators (before and after REDD); NTFP activity, education status of children,

food sufficiency, confidence level, condition of health, skill status/social status, number of

animals (scale of 1-5)

Indicator Scale rating

(Before)

Scale rating

(After)

NTFP activity 1 2 3 4 5 1 2 3 4 5

Education status of

children

1 2 3 4 5 1 2 3 4 5

Food sufficiency 1 2 3 4 5 1 2 3 4 5

Confidence level 1 2 3 4 5 1 2 3 4 5

Condition of health 1 2 3 4 5 1 2 3 4 5

Skill and Social

Status

1 2 3 4 5 1 2 3 4 5

89

APPENDIX 2

Researcher: Luzianne Reid, Centre for Critical Development Studies, University of Toronto

Scarborough

Supervisor: Professor Marney Isaac

Class: IDSD01 – Research Seminar

Undergraduate Thesis Requirement (B.Sc.)

The purpose of the proposed research is to further investigate the interaction between different development

initiatives (REDD+ and NTFP) and their subsequent effects of forest carbon storage. You have been selected

as a participant based on your involvement and/or knowledge in community forestry activities in Dolakha

District, Nepal. This consent form, a copy of which will be left with you for your records and reference, is only

part of the process of informed consent. It should give you the basic idea of what the research is about and what

your participation will involve. Please feel free to ask if you require any additional information about anything

mentioned here. Please take the time to read this consent form carefully. You may contact me at any time to

discuss the study at (977)-9803994561 (text or call) or e-mail at luzianne.reid@utoronto.ca.

I, __________________________________, understand that this interview is being conducted for an Undergrad BSc.Thesis Requirement with the Department of Critical Development Studies at the University of

Toronto. I understand that this interview will focus on the implementation of concurrent development initiatives and

their subsequent effect on forest carbon storage. I understand that I will participate in an interview that will last 10-20

minutes. I understand that with my permission, the interview may be audio-recorded and later transcribed. I am aware

that I do not have to answer any questions that I do not feel comfortable answering, and that I can stop the interview

at any time. I am aware that the audio-tapes/notes will only be accessed by the researcher. I am aware that the

answers I provide the researcher with will be kept confidential. I understand the transcripts and audio-tapes will not

have my name or any other identifying information on them. A research code number will be used instead. All data

will be kept on a secure computer that will be password protected. The completed interview schedules, transcriptions,

audiotapes and other research data will be stored in a secure place. No information will be released or printed that

would disclose any personal identity, and all such research data will be destroyed upon the completion of the

project on May 2014, unless the interviewee would like to _______________________________________.

Any questions I have asked about the study have been answered to my satisfaction. I have been assured

that no information will be released or printed that would disclose my personal identity and that my

responses will be completely confidential. Any risks or benefits that might arise out of my participation

have also been explained to my satisfaction.

I understand that my participation is completely voluntary and that my decision either to participate or

not to participate will be kept completely confidential. I further understand that I can withdraw from

the interview at any time without explanation and without negative consequences.

I hereby consent to participate in this study.

Date: _____________________________________________________

Name of Participant: _________________________________________

Signature: _______________________________________________