Role of Externally Aided Projects

In Forest Development in India

by

Arun K. Bansal, IFS (retd.)Former Additional Director General Forests

Ministry of Environment and Forests

Government of India

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MCT for IFS officers - Phase IV-8th Course, organised by TERI,

IGNFA, Dehradun, 27th August 2015

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UN Conference on Human Environment 1972 - underlined the need for more prudent care for environmental consequence of our actions and gave a call for preservation and improvement of Human Environment – acceptance of responsibility by citizens, communities, enterprises and institutions at every level.

SFM - the term traced back to the UN Conference on Environment and Development June 1992 – main outcome

Inclusion of Social and Environmental

dimensions besides economic aspects

Major trend in Forest Policy development:

focus from wood production to much broader environmental and social, economic and cultural issues.

3

Forest Principles (1992)

• The guiding objective of Forest Principles is to

contribute to the management, conservation

and sustainable development of all types of

forests and to provide for their multiple and

complimentary functions and uses.

• Principle 2b “Forest resources and forest lands

should be substainably managed to meet the

social, economic, ecological, cultural and

spiritual needs of present and future

generations.”

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Global objectives on Forests

agreed at sixth session of UNFF 2006

SFM - the overarching principle for forest policy at both the national and

international levels, and outlined future priorities in the form of four Global

Objectives on Forest:

GOF 1 ; Reverse the loss of forest cover worldwide through sustainable forest

management, including protection, restoration, afforestation and

reforestation, and increase efforts to prevent forest degradation;

GOF 2 : Enhance forest-based economic, social and environmental benefits,

including by improving the livelihoods of forest dependent people;

GOF 3 : Increase significantly the area of protected forests worldwide and

other areas of sustainably managed forests, as well as the proportion of

forest products derived from sustainably managed forests;

GOF 4 : Reverse the decline in official development assistance for SFM and

mobilize significantly increased, new and additional financial resources

from all sources for the implementation of SFM. 5

Forest Instrument - NLBI Adoption by the UN General Assembly in September 2007 reinforced

the global commitment that SFM is a dynamic and evolving concept

intended to ‘Maintain and enhance the economic, social and

environmental value of all types of forests for the benefit of present

and future generations”.

NLBI has 25 National Policies and Measures aiming at achieving SFM

- most of which are in place in our country – but no process in place

for their effective/integrated implementation & for reviewing

/assessing their effectiveness.

Constraints in implementing NLBI in developing countries:

Inadequate use modern technology for planning and monitoring,

inadequate capacity, and

inadequate financial resources. 6

National Forest Policy, 1988

Continued with the Principles of Doctrine of Public Trust and

kept forest resources being gift of nature under the trusteeship

of Government for the benefit of everyone

• Primary objective – ecological security with a focus on meeting

livelihood needs of forest dependent communities.

• However, a paradigm shift in management from “regulatory to

participatory”. Rights and Concessions for bona fide use of

communities to be related to carrying capacities of forest, and

optimization of capacity by increased investments

• Motivating customary “rights & concessions” holders for

Protection & Development of forests (deriving benefits).

• Forests not source of revenue

• Forest diversions after careful examination

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National Forestry Action Programme 1999

under UNDP-FAO Project

• The NFAP (1999) was a comprehensive strategic long-term plan for 20 years to address the issues underlying major problems of the forestry sector in line with the National Forest Policy, 1988.

• Five main components namely – protect existing forest resources, improve forest productivity, reduce total demand (forest products), strengthen policy and institutional framework, and expand forest areas.

• Annual requirement of funds was assessed to be Rs. 66951 Million for 20 years at fixed (1998) prices .

• Allocation including EAPs has been less than one third.

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National Mission for a Green India (GIM)

• One of the eight missions – under the National Action Plan on Climate Change (2010)

• Focus on landscape approach for

• increasing forest cover over 5 Ha,

• improve quality of forest over another 5 Mha.

• increasing quality of ecosystem services,

• good governance at village level, and

• providing services for improved monitoring at the outcome level

Fund required 46000 Crores in ten years (12th 13th 5year plans)

Allocation: 200 Crores 2011-12, 12-13

Current Yr (2015-16) 100 Crores

Seeking convergence with CAMPA / MNREGA9

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the beginningthe beginningthe beginningthe beginning• In the initial years of independence – tree lands near villages &

cultivable common land converted to agriculture.

• Gradual realization ‘forestry is not just about trees, it is about people,

and about trees only in so far as trees can serve the people’s needs

• Social Forestry in India had formal origin - National Commission of

Agriculture of 1976 - recommended growing trees on lands accessible

to village people to reduce pressures on forests - encouraging

growing of trees by farmers on their land, and by block plantings on

various categories of public lands.

• Social Forestry started on substantial scale in late 70’s with external

assistance [1979 to 1993/96 – 14 projects AP, Bihar, Gujarat,

Haryana, J&K, UP, Karnataka, Kerala, Maharashtra, Odisha, Tamil

Nadu, WB World Bank (5), SIDA(5), CIDA, USAID, ODA (DFID)/ USAID

& World Bank ]

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focus of initial EAPs – Social Forestry

A. Establishment of woodlots - predominantly on village lands, and other uncultivated public lands available to villagers for communal use (non-forest) - to provide much-needed source of energy to the villages, raw materials to cottage industries ... – However, areas of woodlot available to a community were usually

small; often too small to contribute significantly to meeting local needs. Moreover, most spp. planted had commercial value (pole, pulpwood etc.) so the product got diverted.

– Due to shortage of community lands, Social Forestry planting got diverted onto roadsides (which were available to forest departments but which were less easily brought under communal management and usage), and on to categories of public land for which legal authority for establishment of village woodlots was weak or absent.

B. Free distribution of seedlings to people/ institutions for planting on their own lands. 13

Condition of forests --- 80s

• First time a satellite imagery based assessment of India’s forest cover by NRSA in 1983 - focused the dismal picture about degradation of forests. Forests lost between 1972-75 to 1980-82 was ~ 9.10 Mha (mostly good density > 30%). Although ~3 Mha was taken up for plantation under various schemes, maintenance & survival was not properly monitored.

• Factors: large scale diversion of forests for agriculture, continued degradation of forests/tree cover near habitations including that got vested in Government on abolition of Zamindari and merger of princely states.

Initiation of community involvement in management of village wood

lots, and then in protection and management of forests (JFM).

MOEF created, NWDB established, National Forest Policy 1988, 14

intermediate stage intermediate stage intermediate stage intermediate stage

• from 1990 to 2004 (adoption & extension of Joint

Forest Management approach)

• 15 projects -World Bank (7), JBIC (4), EEC, ODA,

OECF, GTZ.

• AP, Gujarat, Haryana (Aravali), HP, Kerala,

Karnataka (Western Ghats), MP, Maharashtra,

Punjab, Rajasthan, UP-Uttra Khand, WB, one

National Project (FREEP)

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1st generation forest sector projects

assisted by external donors

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focus of 1st generation forest Sector projects

Shift from ‘forestry” to “forest sector” and sector reforms encompassing capacity development – HRD, strengthening institutions, bio-diversity conservation, re/afforestation(forest areas) in addition to Social Forestry

The MP Forestry Project (World Bank , 1995-99) for implementation of MP Govt. strategy for development of the forest sector and evolving long-term strategic plan for International Development Assistance to the sector.

GoMP forest sector strategy involved substantial change in sector’s management - introduction of participatory management of forests. Four main components: (a) management development to improve the management sector; (b) forest development; (c) extension, technology and research programs; and (d) biodiversity conservation.

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forest condition ~ 90s

• Streamlining of JFM approach • GoI JFM circulars 1990 – 2000/02 : State JFM Resolutions–

– Initially only degraded forests, then included good forests – then also PA other than core areas & mangroves (Odisha)

– JFMC - GB/EB – all adults -greater participation of forest dependent communities and women. President/Vice president to be a woman, Elected President/VP/members.

• Forest cover started getting stabilized in spite of continued dependence of adjoining communities for livelihood.

• Carbon stock up by 592 Million tons (1994 – 2004)

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current scenario EAPscurrent scenario EAPscurrent scenario EAPscurrent scenario EAPs

• ongoing (2nd generation forest sector

projects)

• Assam, Gujarat, Haryana, HP, Karnataka, Odisha,

Rajasthan, Sikkim, Tamil Nadu, Tripura, UP, West

Bengal, Uttra Khand in addition to one National

Project (MoEF&CC).

• JBIC/JICA except in Assam (AFD – Assam

Project on Forest & Biodiversity

Conservation).

• JFM graduating to JFM+

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JICA’s assistance

for

forest development

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JICA’s JICA’s JICA’s JICA’s ---- Forest Sector Development Assistance Forest Sector Development Assistance Forest Sector Development Assistance Forest Sector Development Assistance

• JBIC/JICA assistance to forestry sector in India started in 1991 with Afforestation & Pasture Development along Indira Gandhi

Canal Area in Rajasthan

• 23 projects have been supported over the last two decades with total loan assistance of JPY 224.8 billion about 11800 Cr Rs. .

• 22 are state specific, covering 12 states, namely Rajasthan (5), Gujarat (2), Tamil Nadu (3), Karnataka (2), Punjab (2), Haryana, Orissa, Himachal Pradesh, Tripura, Uttar Pradesh, Sikkim, West Bengal, Uttara Kh and, and a National Project (Capacity Building in mostly other sates,

• Technical Cooperation project to DFE & CASFOS Dehradun).

• Major activities implemented through JFMCs

• No policy advocacy – but resulting into policy evolution 21

Evolution of JICA’s assistance Evolution of JICA’s assistance Evolution of JICA’s assistance Evolution of JICA’s assistance

for forestry projectsfor forestry projectsfor forestry projectsfor forestry projects

• First generation projects (1991-97)

• Focus on afforestation, soil & water conservation, training, extension.

• JFM just initiated in the country so community participation was evolving – For forest department community participation

meant providing work.

– For communities, it meant a source of earning

– Micro Planning mainly forestry centric, practically not participatory

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Break 1998Break 1998Break 1998Break 1998----2002 2002 2002 2002 • Economic sanctions on India in 1998 ~ freeze on new

projects • Introspection of assistance strategy• Analysis of on-going projects ~ design, implementation

strategy, effectiveness and sustainability• Findings/recommendations of the study ~ modifying

strategy in consultation with MoEF and SFD• Comprehensive and holistic projects with focus on

Ecological restoration & livelihood improvement

• Poverty Alleviation, one of the focal areas for JICA’s

assistance & Forestry projects viewed as good means

for initiating poverty alleviation measures to trigger

the process of overall development

• Transparency, effectiveness, socio-economic

productiveness and sustainability 23

Second generation projects 2002 onwards Second generation projects 2002 onwards Second generation projects 2002 onwards Second generation projects 2002 onwards

• Uniform mechanisms for implementation of projects –Society mode PMU

• Three phased approach for well structured, timely and effective implementation – establishing EB, execution of major activities, consolidation.

• Enhanced transparency and accountability through proper documentation, record keeping, audits etc.

• Empowerment of women through SHG activities

• Involvement of NGOs for training VFCs, SHGs

• Strong inter sectoral linkages for widening the ambit of socio-economic development

OFSDP – actual first second-generation project

Flexibility for innovative approaches within

the overall framework 24

important learning important learning important learning important learning –––– best practices best practices best practices best practices ----1 1 1 1 Institutional mechanism

• Autonomous Society as PMU ~ Odisha supported by Project Management Consultancy (Int’l/ National Experts)

• Society has own by-laws, administrative and financial powers, accounting procedures

• 3 tier structure �HPC, headed by CS ~ the highest decision making body �Governing Body, headed by APC/ACS ~ monitoring and guiding body� PMU Executive Body, headed by Project Director, at the state level

• An exemplary institutional mechanism �Decision making is quick for both administrative & financial matters

� Issues relating to others inter and intra departments get sorted out by HPC expeditiously

� Smooth fund flow to PMU, and from PMU to DMU/FMUS & VSSs

�Concurrent audits by CAs – higher transparency and accountability

� Implementation of activities is carried out in a timely manner

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Resource Development

– Comprehensive micro plans (perspective village development) - extensive resource mapping (forest/other resources/human skills) – treatment in forest areas – focus on local livelihood supporting spp.; development of other resources – EPA – convergence opportunities

– EDCs involvement around PAs -

– Destination development for Eco Tourism

– Focus on reducing sustenance dependence on forests

• aiming at higher incomes – alternative livelihoods

• Community based Eco Tourism around Pas

Facilitating innovative approaches – process driven

Important learning Important learning Important learning Important learning –––– best practices best practices best practices best practices ---- 2222

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important learning important learning important learning important learning –––– best practices best practices best practices best practices ----3333

Strengthening JFM – livelihood – IGAs

• In 1997-98, under Tamil Nadu Afforestation Project, process to strengthening JFM began through “Buffer Zone Activities” @ Rs. 1.5 lakhs per village (30% for CDA & 70% for IGAs) -Genesis for “JFM Consolidation Activities”- later enhanced to Rs. 6 lakh.

• Incorporated in Odisha project and other subsequent projects.

• Both EPA and IGAs for enhancing livelihoods • JMFCs provided physical identity through VSS Office-cum-

meeting hall • Local youth as facilitators• Convergence with other development programs• Community based eco tourism around PAs

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important learning important learning important learning important learning –––– best practices best practices best practices best practices ---- 4444

Collaboration with NGOs • Under Karnataka project, network of NGOs created to

build capacities of VFCs & EDCs

• NGOs assisted in micro planning, strengthening of Income generation activities by SHGs etc

• Department evolved comprehensive system for assessment, recognition of and reward to JFMCs ~ VFCs & EDCs.

• After project completion, department has appointed volunteers/ motivators for further strengthening of VFCs & EDCs, out of state funds.

Different models for NGO Collaboration

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important learning important learning important learning important learning –––– best practices best practices best practices best practices ---- 5555

Technology based Planning & Monitoring

• Tamil Nadu & Odisha, the torch bearers for introduction of GIS as effective planning & monitoring tool

• Full scale GIS cell set up in Chennai with development of In-house expertise.

• Full Scale GIS/MIS cell set up at PMU & facility proposed to be used by SFD as well

• RS / GIS ~ extensively used to:

�Prioritize intervention areas

�Delineate water sheds micro-watersheds/DGPS mapping

�Plan water harvesting structures and other similar works

�Monitoring vegetation Changes 29

Sustainability ? ?

• Institutions set up/created/strengthened in the course of executing projects

• Post Project Continuity of forestry & livelihood activities - continued benefits to communities

• Institutionalizing convergence initiatives for overall development of Forest Fringe Areas

• Is one project cycle adequate?

• Need for integrating lessons in departmental working & National Programmes (NAP / CAMPA / GIM)

important learning important learning important learning important learning –––– key concerns key concerns key concerns key concerns

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2005 2009

Vegetation

Type

Area

(Ha) % Area

Area

(Ha)

%

Area

Moderately

Dense

Forest 0.68 0.797 5.01 5.875

Open

Forest 27.25 31.957 44.96 52.725

Scrub 38.38 45.009 24.48 28.708

Non Forest 18.962 22.237 10.822 12.691

Total 85.272 100 85.272 100

RS based monitoring of Vegetation change

OFSDP Site ANG4-1-0202/Birbhuin

Jun 2005 Jan 2009

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Participatory Ecological & Livelihoods Potential Assessment

(PELPA) of Forest Area

• To supplement (Interventions Planned under ANR)

• Methodology– Numbering the grids in the

Forest Map

– Transacts walks along a grid line and observing the grids at both the sides.

– Describing each grid

– Developing species mix for –livelihood/bio-diversity

– Grid specific treatment

– Allocation to SHGs

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Change Assessment in Vegetation Cover OFSDP, 2014

-20

-10

0

10

20

30

40

< 20 < 0 0-20 20 -40 40 - 60 60-80 > 80

Change in moderate/dense vegetation cover %n

um

be

r o

f si

tes

%

Crown

density %< 10 10-40 40-70 >70

water

bodiesTotal

Before 39250 73649 77872 17925 76 208772After 15350 49848 107738 35695 141 208772Change -23900 -23801 29866 17770 65 0

Crown Density Change Matrix (based on IRS Satellite data)

areas in ha.

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Initial Community Mobilizations Building Physical Capital through Convergence Water

Resources Development for enhanced income

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Improved CommunicationEnlightened Village

Enhanced food and nutrition

35

Improving Living ConditionsThrough Enhanced access to Water and Sanitation

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in Chitradurga District

Adavimallapura VFC

Harapanahalli Range

Davanagere Division

Average Water level

2001-02: 60 feet 2009-10: 30 feet

10 Vfcs 22 non vfc villages

37

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Crop details

Before After

AcreYields(Qtl)

Fodder(Carts)

AcreYields(Qtl)

Fodder(Carts)

Cotton 199 402 412 225 1149 1220

Ragi 28 28 40 42 194 194

Tobacco 114 570 250 114 686 310

Castor 34 68 80 34 95 110

Sesamum 18 18 - 18 26 -

Chilly 12 12 16 12 20 25

Land which isnot cultivating

- - - - - -

Total 405 1098 798 445 2170 1859

Effect of Solar fencing on crop production in Channagundi EDCImpacts & Outcome contd..

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Mini hydro electricity production unit produces 1 KW.power.

Beneficiary investment Rs. 20,000/-

Subsidy from department of Renewable energy Rs. 1lakh.

Power sufficient to run Mixer Grinder, Fan, 15 Lightsand TV without interruption

Mr. Ganapaiah, President,Anehalla VFC, Sampaje Range,Madikeri Division, KARNATAKA

Energy saving device – solar lampArasapura VFC, Davanagere Range

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State Government circular issued by Chief Secretary on convergence with line department programs in OFSDP villages

Livelihood Improvement - basic needs

Health &

Sanitation

Education Ren. Energy

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3-Pronged IGA Strategy in OFSDP

Cluster IGAGroup of SHG, economies of

scale, higher market, going up in

VC,

IndividualLeast priority, through SHG, Rs

5000/-

CIG

Small IGASmall loan, Small Time, SHG-

focus, lower end of VC, Local

market

41

Alternative Livelihood – IGAs OFSDP

0

1000

2000

3000

4000

5000

6000

7000

8000

1 2 3 4 5 6 7 - 13

Number of Loans availed

Loans taken by SHGSs from VSS revolving fund

OFSDP

Nu

mb

er

of

SH

Gs

IGA support through SHGsRevolving Fund RS 2 Lakh/VSS

SHGs covered 7245 in VSS 2500+

Average Loan – Rs. 28000/SHG/loan

SHGs own contribution – 15% of loan

Loan Recovery - 60% of total loan

Average Intt. Rate – 3.2% (SHG to VSS)

Entrepreneurship Development70 Product Clusters in 468 VSSs/1080 SHGs/12000 members

incl. 54 Forest Produce based

Average investment Rs. 4.5 lakhs per cluster, Return on Investment 22%

40 Cluster to be organsied into Producer companies – linked with NABARD42

Details ConventionalOven

SaralaOle

(Impro-visedSimpleoven)

Population using firewood

21.70 lakh 21.70 lakh

No. of Families at the rate of 7 persons per family

3.10 lakh 3.10 lakh

Requirement of firewood per family

6.9 Kg. 3.5 Kg.

Requirement offirewood for all families

2139.55 MT 1085.28 MT

Requirement of firewood per year

780935.75 MT

396025.00MT

Total quantity of firewood saved per year

384910.75 MT or 49%

Findings of the study conducted on consumption of firewood in Ghataprabha Forest Division,

Gokak, during 2010-11 Tamil Nadu

Source: DCF, Ghataprabha Forest Division, Gokak 43

No. of VSS – 797

Smokeless Chulhas - 80507

Smokeless Fuel efficient Chulha under OFSDP

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Convergence around Livelihoods

• With other Project/Agencies� Agriculture Implements Subsidy to VSS/SHG – Dir. Agriculture

� Goat de-worming & breed improvement -Dir. ARD

� Vegetable kit & Other Horticulture activities – NHM

� Fish pond and fish fingerlings – Dir. of Fisheries

� Village Health Plan, Health Camps etc. –NRHM

� Training of Animators on Malaria as FTDs & distribution of medicated mosquito nets NRHM and NVBDCP

� Total Sanitation – Gram Vikas

� Constructions under EPA ~ Roads, Renovation of ponds etc.- NREGS

� Training of 148 Animator/Educated youth as NFE Instructors- OPEPA 45

Way Forward for EAPs• Convergence of various ongoing initiatives for improvement of

livelihood need both basic needs and income generation fro effective and sustainable restoration/development of forests.

• JFM to graduate to “JFM plus” by incorporating livelihood issues and for dovetailing development initiatives at village level

• 12th FY Plan Steering Committee “…..JFM also needs to be evolved into a higher platform “JFM Plus” where the livelihood promotion of the communities, especially women Self Help Groups (SHGs) formed for such activities, gets increased importance in the conservation and development of forests. To achieve this, JFMCs are required to be adequately and strategically revitalized and empowered.

• Bringing JFMCs under legal regime, relationship with Gram SabhaHarmonising JFM with (other) legal provisions - clear boundary demarcation (DGPS), unambiguous definition of and mechanism for benefit sharing

• Facilitating readiness for carbon financing benefits - 46

Important contributions of EAPs

• Forest restoration not possible unless survival dependence on forests

in reduced through alternative sustainable livelihoods.

• Evolving approaches for “comprehensive forest sector development”

with increasing focus on enhancing livelihoods of local communities

in addition to eco-restoration of degraded forests & FF - JFM Plus

• Enhanced transparency, community empowerment – with

responsibility and accountability – JFMC/SHG revitalization –

strengthening – institution building

• Use of modern technology in forest management planning,

implementation and monitoring – GIS-/MIS, geo reference maps of

forest blocks, treatment areas

• Focused HRD – communities, FDs and other stakeholders (NGOs)

• Development of alternative system of executing forest projects/

programmes – Society mode PMU – facilitating injection of young

talent in the system – project based 47

bansalka@yahoo.in

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