Manual on Forming and Registering Community Forest ... · Manual on Forming and Registering...

Manual on Forming and Registering Community Forest

Associations (CFAs)

March 2009

The Kenya Forest ServiceThe mandate of the Kenya Forest Service is to provide for the establishment, development and sustainable management, including conservation and rational utilisation of forest resources for the socio-economic development of the country.

Vision statementTo be the leading organization of excellence in sustainable forest management and conservation

Mission statementTo enhance conservation and sustainable management of forests and allied resources for environmental stability and socio-economic development

Value statementAt Kenya Forest Service we provide services to protect, maintain and expand Kenyan forests in a way that ensures productivity, sustainability and profitability of enhanced natural resource base for the benefit of all Kenyans

Contact AddressThe DirectorKenya Forest ServiceP.O. Box 30513-00100 NairobiTel: (254) 020 3754905E-mail: [email protected]://www.kfs.go.ke/

The Kenya Forests Working GroupKFWG is a gathering of individuals and organizations (government and non-government, local, national and international) concerned with forests, their conservation and management. KFWG was formed in 1995 to provide a forum for exchanging and sharing information and experiences among members. It is a sub-committee of the East African Wild Life Society. KFWG’s goal is to improve the status of Kenya’s forests and increase the benefits from them through sound management and conservation practices.

Contact AddressThe CoordinatorP.O. Box 20110-00200 NairobiTel: (254) 20 3871335Mobile: 0726816000/ 0736600700Email: [email protected] www.kenyaforests.org

Manual on Forming and Registering Community Forest Associations (CFAs) �


Associations (CFAs)

The views expressed in this publication are those of KFWG and contributors and do not necessarily reflect or represent the views of our donors or any governments.

This publication was developed and published through the generous support of:

FORD FOUNDATION

Manual on Forming and Registering Community Forest Associations (CFAs)�

Table of Contents

Foreword.....................................................................................................................................................................................3

Acknowledgement.....................................................................................................................................................................4

List of Acronyms........................................................................................................................................................................5

Definitions...................................................................................................................................................................................6

1.0 Introduction to the manual..............................................................................................................................................7

2.0 Step I: Identification and negotiation stage..................................................................................................................9

2.1 Case I: Where there is an existing group.................................................................................................................9

2.2 Case II: Where there are no structures....................................................................................................................11

3. Step 2: Scope of activities for the CFA...........................................................................................................................12

4. Step 3: Establish CFA rules and regulations..................................................................................................................14

4.1 Awareness creation on Forests Act and other environmental legislation.........................................................14

4.2 Preparation of constitution, by-laws and other relevant regulations...................................................................14

4.3 Assist the community to prepare for free and fair elections..................................................................................14

5. Step 4: Organize and facilitate transparent and fair elections for CFA...................................................................15

5.1 Election of association committee...............................................................................................................................15

5.2 Registration of the association with Attorney General...........................................................................................15

5.3 Step 4: Registration with Kenya Forest Service........................................................................................................18

6. Step 5: Capacity Building for the CFA and Forest Committee..................................................................................19

7. Step 6: Form a forest level management committee...................................................................................................20

Annexes


Foreword

This manual explains step 4 of the Participatory Forest Management (PFM) guidelines prepared by the Kenya Forest Service (KFS). The guidelines have eight steps on the PFM process. Step 4 of the guidelines is on Com-munity Forest Associations (CFAs) formation. It provides critical information towards establishment of well founded CFAs with inbuilt mechanisms to stand the test of time and realize set objectives

The Forest Act 2005 legally entrenches PFM in Kenya. In recognition of the critical role local communities play in managing forests, the Act provides for creation of CFAs to act as legal entities for community engage-ment with KFS in forest management.

There are two key objectives for developing the CFA formation manual. First, the guidelines provide PFM fa-cilitators with required information for forming effective CFAs, and secondly, they provide a national standard for CFA formation.

This manual is an important output of the National PFM Technical Committee.

Its primary target audience is the facilitator, herein defined as the party leading the process of CFA forma-tion, but it also aims to sensitize communities and practitioners on critical aspects to consider for realizing effective and well governed CFAs.

This manual is prescriptive and adaptive. It should be used together with other legal documents and the PFM guidelines. It will be reviewed periodically as more experiences come in from the field.

To the readers of this manual; use it as a learning tool and a practical guide. Use it to tap the potential of PFM for effective forest management, as its success (PFM), is dependent on existence of effective and firmly grounded CFAs.


Acknowledgement

This manual has been prepared through wide stakeholder consultation and has heavily benefited from lessons learnt from the field in areas where CFAs have been formed. To enrich this document, two stakeholder workshops were held in Nakuru and Mombasa. They drew the participation of PFM practitioners, representatives of selected CFAs and the National Alliance of Community Forest Associations. To all those who were consulted, offered ideas and comments on the manual, we wish to express our strong appreciation.

In particular, we wish to thank the team that tirelessly worked to have the manual finalised and published for use in the field. These include: David Kuria (KENVO), Jack Omondi and Olivia Odhiambo (Forest Action Network) Enock Kanyanya and Fred Barasa (Nature Kenya), Ben Wandago (IUCN-ESARO), Joram Kagombe (KEFRI), Erick Nahama and Erastus Kibuka (KFS), Thuita Thenya (UoN), Michael Gachanja, Rudolph Makhanu, Jackson Bambo and Liz Mwambui (KFWG), and the KFS taskforce; Owino. S.O (Legal), Okello Joshua (Management Plans), Josphat Bundotich (MMMB), Gregory Mbita (Eco-tourism), Inganji Yakhama (Project Manager NRMP), Jerome Mwanzia (Project Manager GZDSP).

Financial support for this manual was provided to the Kenya Forests Working Group by the Ford Foundation, which supported the drafting of the manual and the Kenya Civil Society Strengthening Programme (KCSSP) of USAID/Pact Kenya through Forest Action Network, which supported stakeholder meetings in Nakuru and Mombasa, and publication.

We hope that this manual will guide formation of new CFAs, and where others have been formed and registered provide, where necessary, neeeded corrective action.


List of Acronyms

AG Attorney General

CBO Community Based Organization

CDA Community Development Assistance

CFA Community Forest Associations

FCC Forest Conservancy Committee

KEFRI Kenya Forestry Research Institute

KFS Kenya Forest Service

KFWG Kenya Forests Working Group

MOA Memorandum of Agreement

NGO Non Government Organization

OCA Organization Capacity Assessment

PFM Participatory Forest Management

PFM Participatory Forest Management

UON University of Nairobi


Definitions

Community Forest AssociationA group of persons who are registered as an association under the Societies Act (Cap 108) and who are resi-dent in an area close to the specified forest.

Facilitator The party leading the process of CFA formation. The facilitator could be a community member, Civil Society Organization (CSO), government agency or any other person or institution driving the process.

Forest user group Any group of individuals formal or informal who; collects, harvests or utilises any part or product from a for-est for subsistence or commercial purposes.

PFM A forest management approach, which deliberately involves the forest adjacent communities and other stake-holders in management of forests within a framework, that contributes to community’s livelihoods.

Forest Level Management Committee A committee initiated by the Service consisting of representatives from the Service, Community Forest As-sociation and other relevant stakeholders to assist the CFA to implement the community forest management agreement.

Management Agreement An agreement between the Service and a Community Forest Association. Local authority, or any person or organisation for the purpose of managing a State or local authority forest.

Responsible Body A body designated to manage, maintain and control a forest reserve or a community forest under the For-ests Act, 2005 and in the case of a private forest, the owner or person in charge of the forest.

Gender and Age EquityRefers to being just, impartial, and fair in gender and age representation within the CFA. It means levelling the field for men, women and youth so that all have opportunity in the CFA structure, access to forest resource through user groups and other CFA activities.


1.0 Introduction to the ManualIn the recent past, the concept of community conservation has been gaining popularity in Africa. In Kenya the concept has been embraced as PFM within the forest sector and it allows co-management of natural resourc-es with local communities. The Forests Act 2005 recognizes that local communities are key stakeholders in achieving forest conservation objectives. Attached to this is the inevitable need to reassess the objectives and approaches to conservation. The Forests Act 2005 stipulates that for communities to be engaged in forest management they should be organized into CFAs.

Legal Note:Section 46 (1) of the Forests Act states: “ A member of forest community may, together with other members or persons resident in the same area, register a com-munity forest association under the Societies Act”.

Section 46 (2) of the Act states that an association registered under subsection 1 may apply to the direc-

tor for permission to participate in the conservation and management of a state forest or local authority forest in accordance with the provisions of this Act.

Thus the Forests Act recognizes CFAs as the only legal entity through which communities enter into a man-agement agreement with the Director of KFS.

Forest sector reforms have seen the creation of new institutions that will take on devolved authority and responsibilities regarding forest management. CFAs are among the new institutions whose creation the Forest Act 2005 provides for. The Act however does not provide elaborate procedures for their formation. However, this is elaborated in the forest (participation in sustainable forest management) rules 2008 which provide for engagement of communities through CFAs through management agreements. The PFM guidelines also provide the process of engaging communities including formation of CFAs in step 4. This manual explains this step further as illustrated in figure 1 below.


The need to fill information gaps regarding CFA formation and the recognition that successful Participatory Forest Management is highly dependent on existence of effective (well established and properly governed) CFAs is the basis for developing this manual.

The objectives for developing the manual are: 1. To provide required information for formation of effective CFAs, 2. To come up with national standards of CFA formation,3. Fasten the process of formation by providing the necessary information.

As such, this manual is intended to be a guide on relevant issues and information necessary for establish-ment of a CFA. It provides steps necessary for formation of CFAs. The manual is a product of the National PFM technical Committee with facilitation of KFWG through a consultative process that involved input from existing and emerging CFAs.

This manual presents two possible scenarios that may exist during establishment and development of a CFA; one where there are existing structures (eg organized group/existence of a potential CBO, stakeholders committees, forest trust, and project based initiatives among others) and two, where there are no structures and the CFA formation process starts from a clean slate. It should be observed that whether the area has organized groups or not, some factors are common in the two scenarios and they influence the existence and development of the CFA. The presence of a willing group (with conservation objectives) is a boost and hastens the process. Please note that both scenarios start with identification or discovery stage and have several sub steps. The following should guide any field practitioner who is facilitating formation of a CFA. The facilitator could be a community member, Civil Society Organization (CSO), government agency or any other person or institution driving the process.

HelpNotes

‘Use the manual flexibly, rather than following it rigidly. Pick and choose from, and adapt and experiment with ideas that follow. Since every situation is different, there is no rigid formula or ‘blueprint’ that will work everywhere’.

2.0 Step I: Identification and negotiation stageThis involves studying or assessing the community set-up or finding out the best way to gain entry into the community. Most of the communities have social structures that could provide excellent opportunities for entering into the community. During this phase, the facilitator should establish existence of organized groups, either formal or informal, as well as other stakeholders such as government agencies and civil society orga-nizations. At this point the local government (e g Community Development Assistant (CDA), chiefs, forester etc) or NGOs field officers, would be excellent sources of information. Getting in touch with these officers might require an official introductory letter or a visit to the office. The local social and/ or registering depart-ments could give more information about local existing groups.

�.� Case I: where there is an existing group This is where there is an existing group and the intention is to nurture it into a CFA. This involves several steps as follows;

Manual on Forming and Registering Community Forest Associations (CFAs)�0

a) Identifying the existing groups and information gathering.

Most of the CBOs are registered with government as formal self-help group. The registering office at the local level could provide the basic information (contacts and type of the group). Most of these groups have officials and a contact person. Once contact persons have been established, the next stage is to understand stakeholders beyond and within the group who have an interest in the forest resource and their interaction. Deliberate effort should be made to reach all stakeholders including vulnerable and special interest groups. The status of the group in terms of acceptance by the larger community and track record should be verified.

Information gathering

The other thing to do at this stage is to gather information on the background, objectives, and activities of the group through site visits and participation in groups meetings.

Where conservation objectives do exist, establish whether there is a clear focus. Explain the Forests Act 2005 and what it says about community participation in forest management and conservation. This establish-es an appropriate relationship and leads toward a participatory approach of working towards agreed goals.

Site visit

Manual on Forming and Registering Community Forest Associations (CFAs) ��

In certain areas (though limited), there may be only one existing group, which needs to be nurtured into a CFA. In most areas, there are more than one community group and hence the need to merge the groups into a CFA.

b) Merging of community groups into CFA

The PFM guidelines as well as the subsidiary legislation provides for one CFA per forest station except in unique cases. The different community groups should be encouraged to merge and form one CFA. This could be done through consultative meetings of officials and members from the groups. This may require an exter-nal facilitator. After merging some of the groups could become user groups within the CFA. There are cases where many CFAs have been registered in a forest station. In this situation, the CFA will have to agree on formation of one CFA that will cater for the interests of all. The umbrella CFA will be involved in managerial and administration duties in direct contact with user groups.

Once formed, the CFA will have to formulate clear objectives, activities and regulations governing its mem-bers before registration under the Societies Act Cap 108. This should be done through consultative meetings.

�.� Case II: Where there are no Structures

This is where there are no forest related groups that can be nurtured into a CFA. The main focus here is to understand how the local community is structured and who the key players are. a) Identify an entry point to the community

The facilitator should ascertain the existence of community groups in the area with the registering office at the local level. In the absence of forest related community groups, the facilitator should seek to identify appropriate en-try points to the community by working with the local forester, chief, opinion leaders and any existing community structure including faith based organizations that would help him to mobilize the community.

Group meeting

Manual on Forming and Registering Community Forest Associations (CFAs)��

b) Formation of a committee to spearhead CFA formation process

Once the key individuals or interested parties have been identified, the facilitator may through meetings en-courage formation of a local committee that would help to carry the process forward. The facilitator needs to explain the Forest Act and the requirements of community participation.

The local committee and the facilitator should discuss the appropriate structures to put in place for forma-tion of the CFA. It is important at this point to find out who the forest users are, and other stakeholders that need to be included in the CFA.

The committee should comprise of the local chief, local forester, provincial administration, opinion leaders and other stakeholders in the area.

Key considerations for this case • Avoid working with only a few people • Avoid a situation where the initial committee transforms itself into a CFA • Ensure that the entire village is reached either through public meetings, chiefs baraza and other means

Some of tools to be used in the formation of the CFA include consultative meetings including local barazas. Once formed, the CFA will then have to formulate clear objectives, activities and regulations governing its members before registration under the Societies Act Cap 108.

3. Step 2: Scope of activities for the CFA This is step 1.2 in figure 1. Through a participatory method, the facilitator should help the CFA to assess activities of the groups forming the CFA with a view of coming up with activities for the CFA in keeping with the provisions of the Forest Act. It is important to assess ‘necessary conditions’ i.e. factors which are impor-tant for successful execution of the activities such as willingness by members. As a step to get to consensus from the wider community on the activities, the community groups should be encouraged to organize local workshops and stakeholder meetings themselves.

In certain cases, the forest area may be large enough to warrant formation of several associations. Such as-sociations may agree (NOT A MUST) to form an umbrella organization to coordinate their activities.

stakeholder meetings


Be aware of insincerity and unfaithfulness during the process: An existing group may have a hidden agenda. Whereas members will agree to all suggestions, they will not take part in the implemen-tation, and may not support the process. A facilitator needs to take time to fully understand key objectives and aims/motivation of an existing group

Never be in a hurry: The process should not be rushed. The facili-tator should allow the process to mature, and must be available

to help the community sort out emerging challenges/conflicts in a participatory manner.

The local communities are diverse and have different views on how things should move. Measures to enhance information dissemination should be put in place, as lack of infor-mation/communication breakdown fuels rumours and suspicion.

Inadequate information about the existing CBO. There are situations where critical informa-tion about existing CBOs is unavailable. This could bog down progress and a facilitator needs to device creative ways of accessing such information.

Observe the following during CFA formation;

GenderGender balance still remains a dilemma. Men and women often have different percep-tions on utilization of natural resources. Traditionally, in many parts of Africa there has been separation of roles between men and women. This seems to influence conserva-tion projects. Gender analysis would increase the understanding of the gender-based division of labour, resources and community participation in conservation. A mixed CFA helps in understanding of the perceptions of both sexes in conservation.

AgeAge plays a very important role in sustainability of a group. CFAs should be encour-aged to have members from different ages who should be able to understand the group activities and be committed to the group’s work.

Culture /Religion and social settings. Culture usually dictates the roles, duties and tasks of individuals. A CFA that is sensitive to the local culture and social setting is likely to be accepted by the community. Most of the CFA are deep rooted in the local area. It is important for them to design activities that don’t clash with local beliefs and religion.

HelpNotes


4. Step 3: Establish CFA rules and regulations This is step 1.3 in Figure 1. Under this step the facilitator will create awareness on the Forests Act and other environmental legislation, help in the preparation of a constitution and other relevant by- laws and regula-tions for the CFA and help conduct free and fair elections.

�.� Awareness creation on Forests Act and other environmental legislations

The facilitator should be familiar with the provision of the Forests Act and other related environmental legis-lations. The following details and facts about CFAs should be stressed;

1. CFAs are the legal entities through which the community will undertake PFM.2. It is through CFAs that communities will have an opportunity to participate in forest conservation com-

mittees.3. It is through the CFAs that they will be represented in the KFS board through Forest Conservation

Committees. 4. Its through the FCC that CFAs are represented in the KFS Bord..

�.� Preparation of Constitution, by-laws and other relevant regulations

Once the community has come together to form a CFA, the facilitator should co-ordinate technical advise to prepare a good constitution and relevant by-laws to steer the activities of the CFA.• The constitution should be clear and understandable to the members• It should be gender sensitive• They should be able to take care of issues concerning the vulnerable groups• The rules should be clear on membership • Rules that can be relevant for long period of time.• The constitution and rules should conform with the principle Act.• There should be wide stakeholders consultation and involvement• The CFAs could also register a separate enterprise for the purpose of engaging in commercial enterprises. See Annex 1 for a Checklist for formulating a CFA constitution

�.� Assist the community to prepare for free and fair elections.

• A nomination committee should be put in place to screen and vet candidates• An agreeable nomination criteria indicating minimum qualification for candidates for office bearers

should be developed


• The roles and responsibilities of the office bearers, and term of office should be clear• Nepotism should be discouraged• Neutral returning officers should be engaged to conduct the elections • The time frame and mode of conducting elections, AGM’s and meetings should be understood by all.• The composition of the committee should ensure gender and vulnerable groups representation.

5. Step 4: Organize and facilitate transparent and fair elections for CFA

This is step 1.4 in Figure 1. This step is in fulfilment of the requirements by the Registrar of Societies and Kenya Forest Service. It expounds on the necessary steps to be followed to ensure that it is fairly representa-tive of the forest adjacent community in place. It is organized in 3 main sub-steps: Election of Association committee, Registration with Attorney General and Registration with KFS

�.� Election of association committee

A CFA executive committee should be elected to be responsible for management and leadership of the as-sociation

The facilitator should ensure the following criteria is observed during elections:

• Applicable procedures for holding public meetings in Kenya for instance informing the local administra-tion are followed

• Representation of all user groups within the forest area are invited• Equity in age and gender representation• Elections are conducted by a neutral party agreeable to the CFA• That those running for office are drawn from the CFA membership• Candidates have a recommended minimum O level education and can read, write and interpret docu-

ments written in official languages• Discourage nepotism• Minutes of elections are kept. This will be required for registration with the AG.

�.� Registration of the association with Attorney General

Once the elections are held and the constitution agreed on, the process of registration with AG should be initiated by the executive committee and thereafter registration with KFS for recognition of CFA in PFM.

For registration with the AG the following steps should be followed. Prepare these documents – the CFA’s

Casting the ballot


constitution and the Minutes of the CFA electionsi) Have Ready the Registration fee as dictated by the AG’s officeii) Once you have the above submit the documents at the AG’s office in Nairobi and Mombasaiii) At the AG’s office you will be required to fill Form A and B (See Annex 2) Note that your constitution is

critical to filling form A. iv) The forms will require the signatures of three of the office bearers

Important information about registering with the Registrar of Societies

Registering process takes a while and has a vetting and feedback step. Once the application has been made the following would happen

(i) The Registrar of Societies would send the relevant govern-ment authority to the ground to verify the information provided

by the applicant. The officers would verify the information (activities, type of asso-ciation, membership etc). This vetting is done with the assistance of local provincial administration

(ii) If approved, the CFA is issued with a registration certificate. This is normally posted or can be picked at the AGs office.

(iii) In the event that the application is rejected, reasons are given to the applicants. The CFA should confirm the reasons for rejection and act on them swiftly to facilitate smooth registration process.

(iv) It is recommended that there be occasional follow-ups by the applicant to check on the progress with the Registrar of Society.

HelpNotes


Legal Note: Relevant sections of the Societies Act Cap 108

Section 16 (1) Every registered and every exempted society shall have an office and a postal address, and notice of the situation of the office and of the postal address shall be given to the Registrar in the prescribed form on application

for registration or exemption from registration.

Section 16 (3) Notice in the prescribed form of any change of the situation of the office, or of the postal address, of a registered or exempted society shall be given to the Registrar within fourteen days of the change, and the notice shall be signed by three of the officers of the society.

Section 26.(1) Every registered society shall keep one or more books of ac-count, and shall cause to be entered therein details of all moneys received and payments made by the society.(2) Any registered society which contravenes subsection (1) of this section shall be guilty of an offence.

Section 30.(1) Every registered society shall furnish annually to the Registrar, on or before the prescribed date, such returns, accounts and other documents as may be prescribed.(2) If any return, account or other document furnished under subsection (1) of this section is incomplete in any material particu-lar, it shall be taken not to have been furnished for the purposes of subsection (1) of this section.(3) Any registered society which contravenes subsection (1) of this section shall be guilty of an offence.(4) Any person who wilfully makes or orders or causes or procures to be made any false entry in or omission from any return, account or other document furnished under this section shall be guilty of an offence and liable to a fine not exceeding ten thousand shillings or to imprisonment for a term not exceeding one year, or to both such fine and such imprisonment.

Once the process is completed the CFA is legally registered with a certificate which has a registration num-ber and is signed by the Registrar of Societies. See attached sample (Annex 3)

The CFA has now met the legal requirements and is now ready to engage with other organizations within the CFAs objectives


�.� Step �: Registration with Kenya Forest Service

Once registered with the registrar of the society, the Forests Act 2005 (section 4:2) provides that the as-sociation registers with KFS.

This should be done as follows. i. Apply for registration with the prescribed form ii. Write a letter expressing interest to be engaged in PFM and indicate the forest block you are currently

operating iniii. Write a letter to the director to express your intention to prepare a management planiv. Prepare a draft management plan

The basic requirements of the application are outlined in Section 45(3) of the Forests Act

Legal Note: Section 45(3) of the Forests Act

The application referred to in subsection (2) shall be in the prescribed form and shall contain – a) a list of the members of the association and its address; b) the Constitution of the association; c) the association’s financial regulations;

d) the area of forest for which the association proposes to undertake conservation and management; e) the association’s proposals concerning – (i) use of forest resources; (ii) methods of conservation of biodiversity; (iii) methods of monitoring and protecting wildlife and plant populations and enforcing such protection; and f) such other information as the Director may require.

Once the Director approves the CFA, both parties can enter into a signed management agreement, which will enable the CFA to perform activities stipulated in the agreement and supported by Section 47(1) of the Forests Act. (see sample agreement Annex 4)


Legal Note: Section 47(1) of the Forests Act

Section 47 (1) of the Forests Act 2005 states:That an Association approved by the Director under sec-tion 46 to participate in the management or conservation of a forest or part of such forest shall-a) Protect, conserve and manage such forest or part

thereof pursuant to an approved management agreement entered into under this Act and the provisions of the management plan for the forest;b) Formulate and implement forest programmes consistent with the tradi-

tional forest user rights of the community concerned in accordance with sustainable use criteria;

c) Protect sacred groves and protected trees;d) Assist the service in enforcing the provisions of this Act and any rules and

regulations made pursuant thereto, in particular in relation to illegal har-vesting of forest produce;

e) With the approval of the Board enter into partnerships with other persons for the purposes of ensuring the efficient and sustainable conservation and management of forests;

f) Keep the service informed of any developments, changes and occurrences within the forest which are critical for the conservation of biodiversity;

g) Help in fire fighting; and h) Do any other act that is necessary for the efficient conservation and man-

agement of the forest

NB: To ensure compliance with the provisions of the MOA there will be a Forest Level Committee. For more informa-tion for the FLC see section 5 of these guidelines.

6. Step 5: Capacity Building for the CFA and Forest CommitteeThis step refers to 1.5 in figure 1.

In order for the CFA to meet its obligations, a capacity assessment should be done to identity areas where capacity is needed. Among the basic training needs common among many CFAs are entrepreneurship,

resource mobilization, book keeping, participatory monitoring and evaluation including data collection and entry, leadership and gov-ernance, advocacy, presentation skills and public speaking, conflict management and negotiation skills. The Facilitator can help to do a capacity assessment for the CFA. Capacity building should be a continuous activity.

A sample Organization Capacity Assessment (OCA) is attached as Annex 5 .

Manual on Forming and Registering Community Forest Associations (CFAs)�0

Special emphasis should be put on sensitizing the CFA on the Forests Act and more so on opportunities provided by the For-est Conservancy Committee composed of various members including representatives from community forest associations.

HelpNotes

7. Step 6: Form a forest level management committee This is a critical step to ensure the CFA has a governance structure in place. The FLC also helps with compli-ance in the implementation of the memorandum of agreement (MOA)

The key functions of this committee would be to:

Provide technical support for sound man-agement and operation of CFAAct as watchdog for effective service deliv-ery by higher bodies as FCC.Monitor and evaluate operations of CFAAssist to resolve and manage conflicts among CFAsAssist to develop work plans and offer guidance to ensure adherence to the same

In State forests (e.g. national forest reserves) such a committee is likely to comprise; Forester, KWS Warden, Forest Association Chairperson, and any other locally important stakeholders (e.g. a licensee, or eco-tourism company repre-sentative).

NB. 1. This committee should not be confused with the Forest Conservation Committee, the CFA and the

executive committee of the CFA. 2. Composition – members of the FCL are not necessarily members of the CFA3. FLMC should represent the grassroots CFAs in the area.

The following should be considered while forming a forest level management committee

• It should be formed though consultations with the various identified stakeholders, consider whether there is any need for formation of such a committee or not; if there is need to have it in place, state the reasons why it is needed.

• Agree on the composition and selection criteria of the committee• Agree on roles and responsibilities of the stakeholders• Define the relationship between the CFA, KFS and the FLMC• Draft terms of references for the management committee

•

•

••

•


AnnexesAnnex �: Checklist for Formulating a Forest Association Constitution

A Forest Association requires a framework within which its membership can operate as an effective body for the conservation and management of a forest, or part thereof. A constitution provides such a framework. The following key points should be considered when developing this instrument alongside the format on prepar-ing constitution from Registrar of Societies: o The name and physical address of the Associationo The objects for which the Association is to be established.o The person to whom membership is open.o The rates of entrance and subscription fees (if any) for membership.o The list of members.o Disciplinary procedures for Association members.o The titles of officers, trustees and auditors and their terms of office, and the method of their election,

appointment, dismissal and suspension. o Criteria considered for membership on the committee (gender, age, disability or any other criteria

which may require to be considered).o The authority for and method of filling vacancies on committees.o The frequency of, quorums for, and dates of the general meetings.o The custody and investment of the funds and property of the Association and the designation of the

persons responsible there for.o The purpose for which the funds may be used and in particular the prohibition of the distribution of

funds among members.o The inspection of the books and list of members of the Association, by any member or officer.o The annual or periodical audit of accounts.o The formation of branches, if branches may be formed.o The manner of amending the name, constitution or rules of the Association.o The manner of the dissolution of the Association and the disposal of its property on dissolution.


Annex 2: Form A and B to be fill at the Registrar of Societies


Annex 3: A sample of a Certificate of Registration


Annex �: A sample of a Forest Management Agreement

1. PARTIESThisagreementismadethis……………dayof…………20………………..betweentheKenyaForestServiceofP.O.BOX…………………………….Nairobi on one hand (hereinafter referred to as “the Service”) and………………………………Community Forest Association of P.O.BOX………………………ontheotherhand(hereinafterreferredtoas“theAssociation”).TheServiceandtheAssociationarejointly“thepar-ties”.

2. OBJECTIVESANDPURPOSE(a) ThepartiesenterintothisagreementforthepurposesofgrantingtheAssociationpermissiontoparticipateintheconservationand

managementof………………………………Forestlocatedat…………………………….ForestStationin……………………Division(“theforestarea”)aspertheattachedsite-specificmanagementplanintheFirstScheduletothisagreement.

(b) Theforestareacomprises……………………..hectaresanditsboundariesarebetterdescribedinthesketchplanandborderedinredintheSecondScheduletothisagreement.

(c) Theschedulesformanintegralpartofthisagreement.

3. ASSIGNMENTOFRIGHTSUNDERTHISAGREEMENT(a) TheAssociationmayonlyassignthisagreementwiththewrittenapprovaloftheService.(b) TheServicethroughtheDirectorshallnotapproveanassignmentofthisagreementwhichwoulddepartfromthemainobjectivesand

purposesetoutinthisagreement.(c) TheAssociationisliableforalltheactivities,actsandomissionsoftheassigneesofitsrightsundertheagreement.

4. DURATIONThisagreementhasatermof……………..yearsfrom…………………………...

5. AUTHORISEDACTIVITIES(a) TheAssociationmaycarryoutthoseactivitiesoutlinedinthesite-specificforestmanagementplan.(b) TheAssociationmay,withthewrittenapprovaloftheService,enterintopartnershiporagreementswithotherpersonsforthepurposes

ofensuringefficientandsustainableconservationandmanagementoftheforestarea.

6. BASICWARRANTIESOFTHESERVICE(a) Theforestareaisastateforest.(b) Atthetimeofmakingthisagreement,thepropertyrightsattachedtotheforestareaconsistof

i. theeasements,rightsofway,servitudes,mineralrights,orotherclaimsofrecordslistedinthescheduletothisagree-ment

ii. anycustomaryrightsestablishedundersection22oftheForestsAct,andiii. theGovernment’sownrightofownership andtheserightsshallremainduringthetenureofthisagreement.

7. BASICWARRANTIESOFTHEASSOCIATION(a) TheAssociationisdulyincorporatedorregisteredorvalidlyexistingandingoodstanding.(b) TheAssociationshallretainitspower,abilityandcompetenceincarryingoutitsrightsandobligationsunderthisagreement.

8. RIGHTSOFTHESERVICE(a) ThisagreementissubjecttotheprovisionsoftheForestsAct.(b) TheServicemayinspectrecordskeptbytheAssociation.

9. RIGHTSOFTHEASSOCIATION TheAssociation,itsmembers,servants,employeesandagentsshallhavetherighttoentertheforestareaforthepurposesofcarrying

outactivitiestofulfilltherequirementsofthisagreement.

10. USERRIGHTS(a) TheAssociationshallhavethefollowinguserrights:

(Inserttheuserrightshere)

(b) SubjecttoSection47oftheForestsAct,theServicethroughtheDirectormay,inconsultationwiththeAssociation,makerulesregulat-ingtheperformanceofanyoftheaboveuserrights.

(c) ThegrantoftheuserrightsshallnotexcludetheAssociationoritsmembersfrompayingsuchfees,taxesandleviesrequiredfortheexerciseoftherightorcarryingoutofactivityorbyanylaw.

11. OBLIGATIONSOFTHESERVICE(a) TheServiceshallallowaccesstotheforestareaoftheAssociation,itsmembers,servants,employeesandagentsforthepurposesof

carryingoutactivitiestofulfilltherequirementsofthisagreementprovidedthatsuchaccessisdoneinanorderlymanner,ondesignatedpaths,routesandroadsandwithoutcommittalofanyoffencesundertheForestActorregulationsorunderanylaw.

(b) TheServiceshallmonitorandevaluatetheimplementationofthesite-specificmanagementplan.

12. OBLIGATIONSOFTHEASSOCIATION(a) TheAssociationshallprotect,conserveandmanagetheforestorpartthereofpursuanttothismanagementagreementandtheprovi-

sionsoftheapprovedmanagementplanfortheforest.(b) TheAssociationshallprotectsacredgrovesandprotectedtrees.(c) TheAssociationshallassisttheServiceinenforcingtheprovisionsoftheForestsActandanyrulesandregulationsmadepursuant


thereto,inparticularinrelationtoillegalharvestingofforestproduceandhuntingofgame.(d) TheAssociationshallinformtheServiceiftheAssociationbecomesawareofanydevelopments,changesandoccurrenceswithinthe

forestwhicharecriticalfortheconservationofbiodiversity.(e) TheAssociationshalltakeprecautionsagainstoccurrencefireandwhereitoccurs,helpinfirefighting.(f) TheAssociationshallmaintainarollofitsmembers,agents,servantsandemployeesandshallupdatethesameregularlyandfurnish

thedetailsoftherolltotheServiceuponrequest.(g) TheAssociationshallkeepwrittenrecordsofallactivitiesconductedintheforestareaandpreservethoserecordsforatleastsixyears

fromwhenfirstwrittenorthroughoutthedurationofthisagreementwhicheverislonger.(h) WheretheAssociationengagesincommercialactivities,theassociationshallcomplywithallthelawsforthetimebeinginforceforthe

regulationsofsuchactivities,andanyviolationofthoselawsisabreachofthisagreement.

13. INDEMNITY,RISKANDLIABILITY(a) TheAssociationshall indemnifytheServiceagainstall lossesclaimsdemandsactionsproceedingsdamagescostsorexpensesor

otherliabilityarisinginanywayfromthisagreementoranybreachofanyoftheobligationsonthepartoftheAssociationcontainedinthisagreementortheexerciseorpurportedexerciseoftherightsgivenherein.

(b) TheAssociationshallprovideadequatesecurityforitsmembers,employees,servantsandagentsandshallensurethatprecautionandothernecessarymeasuresaretakentoprotectthemselvesagainstriskssuchharmfromwildlife,fires,rivers,fallingtreesandotherobjectsassociatedwithmanagementoftheforest.

(c) Inthisregard,theServiceisnotliableforanyinjury,lossordamageoccurringtotheAssociationitsmembers,employees,servants,agents,goodsorequipment.

14. DISPUTERESOLUTION(a) WheretheServiceisdissatisfiedwiththeimplementationofthisagreement,itmaysubmitthedisputeforarbitration,toberesolvedin

accordancewiththeArbitrationAct(ActNo.4of1995)LawsofKenya.(b) WheretheAssociationisaggrievedbythedecisionoftheServiceontheimplementationofthisagreement,

i. itmaywithinthirtydaysafterbeingnotifiedofthedecision,appealtotheBoardoftheServiceagainstthedecision.ii. intheeventofthepartiesbeingdissatisfiedthereafter,thepartiesmaysubmitthedisputeforarbitration,tobere-

solvedinaccordancewiththeArbitrationAct(ActNo.4of1995)LawsofKenya.(c) Whereadisputeissubmittedtoarbitrationundertheprovisionsofthisagreement,

i. thecostofarbitrationshallbeborneequallybybothparties.ii. Thearbitrationshalltakeplaceattheheadquartersoftheforestconservancyareawheretheforestareaissituated.

15. TERMINATIONORWITHDRAWALOFUSERRIGHT(a) TheServicemayterminatethisagreementinthefollowingcircumstances:

i. WheretheAssociationisderegistered;ii. WheretheAssociationbreachesanyofthetermsandconditionsofthisagreement;iii. WheretheServiceconsidersterminationasnecessaryforpurposesofprotectingandconservingbiodiversity;iv. WheretheAssociationitselfsorequests.

(b) TheServicemaywithdrawaparticularuserrightinthefollowingcircumstances:i. WheretheAssociationbreachesanyofthetermsandconditionsofthisAgreement;ii. WheretheServiceconsiderswithdrawalasnecessaryforpurposesofprotectingandconservingbiodiversity;iii. WheretheAssociationitselfsorequests.

(c) WheretheServiceintendstoterminatethisagreementorwithdrawalaparticularuserrightitshallgivetheAssociationthirtydays’noticeinwritingtoshowcausewhythemanagementagreementshouldnotbeterminatedortheuserrightsowithdrawn.Duringthisperiod,thisagreementortherightinquestionshallbesuspended.

16. RELATIONSHIPOFPARTIES(a) Thisagreementdoesnotcreateanykindofjointventureorpartnershipbetweentheparties.(b) Thisagreementdoesnotmakeeitherpartytheagentoftheother.(c) ThisagreementdoesnotgivetheJointManagerexclusivepossessionoftheforestareaoranypartthereofanddoesnotcreatenoris

itintendedtocreatealeaseortenancyinanywaywhatsoever.

SEALEDwiththecommonsealofthe )KENYAFORESTSERVICE )Inthepresenceof ) ) )Director ) ) )Inthepresenceof ) )

SIGNEDforandonbehalfofthe )……………CommunityForest )Association )Inthepresenceof ) ) ) )Chairman ) ) )Secretary )


Annex �: A sample of an OCA sheet

SCORE Categorymedian

Component Median

Overall Score

A. GOVERNANCE A governing body exists Governing body is representative of members Governing body conducts elections as stipulated. Governing body has a clear understanding of the constitution/bylaws/rules/regulations. Governing body adheres to the CFA constitution/by-laws/rules/regulations. Governing body gets information from members and vice versa. There is a clear delineation of roles among members of the governing body. There is gender balance in the governing body B. MEMBERSHIP Membership is well defined. Composition of members reflects diversity Members are actively involved in decision-making Members are able to demand for accountability C. FINANCIAL MANAGEMENT Budget and Expenditure Budgeting procedures are in place and adhered to . Budgets are prepared according to implementation plans. CFA members understand and approve budgets. Expenditures reflect programme activities. Members of CFA approve adjustments to budgets. Procedures and reporting CFA has a bank account. Books of accounts are kept. Financial reporting is carried out regularly (monthly/quarterly). Financial reports are in a form that the members understand. Members discuss the financial reports with the board. CFA undertakes independent external financial audits. Financial reports are accessible to the governing body and CFA members.Financial Management Capacity Skills exist within the CFA to implement financial procedures. Skills exist to prepare budgets. Treasurer and board are able to understand financial reports. There is an awareness of existing and potential funding sources CFA mobilizes its own resources. Investment/Benefit Sharing A benefit sharing mechanism exists CFA members approve utilization of profits Part of the profits is ploughed back to the CFA members Endowment/”rainy day” fund is established. Profits are invested in other sound and profitable projects. CFA generates resources/income through, e.g investments. D. CONFLICT MANAGEMENT Leadership intervenes in a timely manner to resolve/manage conflicts. Leadership possesses necessary conflict management skills. CFA has a conflict management mechanism in place. E. CFA SUSTAINABILITY CFA benefits received/projected are important to members. CFA negotiates mutually profitable business agreement. CFA has diversified sources of income from its activities. Skills for fund raising exist in the CFA. CFA has a long-term strategy for financial sustainability.


Associations (CFAs)

March 2009

The Kenya Forest ServiceThe mandate of the Kenya Forest Service is to provide for the establishment, development and sustainable management, including conservation and rational utilisation of forest resources for the socio-economic development of the country.

Vision statementTo be the leading organization of excellence in sustainable forest management and conservation

Mission statementTo enhance conservation and sustainable management of forests and allied resources for environmental stability and socio-economic development

Value statementAt Kenya Forest Service we provide services to protect, maintain and expand Kenyan forests in a way that ensures productivity, sustainability and profitability of enhanced natural resource base for the benefit of all Kenyans

Contact AddressThe DirectorKenya Forest ServiceP.O. Box 30513-00100 NairobiTel: (254) 020 3754905E-mail: [email protected]://www.kfs.go.ke/

The Kenya Forests Working GroupKFWG is a gathering of individuals and organizations (government and non-government, local, national and international) concerned with forests, their conservation and management. KFWG was formed in 1995 to provide a forum for exchanging and sharing information and experiences among members. It is a sub-committee of the East African Wild Life Society. KFWG’s goal is to improve the status of Kenya’s forests and increase the benefits from them through sound management and conservation practices.

Contact AddressThe CoordinatorP.O. Box 20110-00200 NairobiTel: (254) 20 3871335Mobile: 0726816000/ 0736600700Email: [email protected] www.kenyaforests.org

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