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Manual on Preparation of a Participatory Forest

Management Plan (PFMP)

September 2007

Front inside cover. Blank

MANUAL ONPREPARATION OF A PARTICIPATORY

FOREST MANAGEMENT PLAN (PFMP)

September 2007

4 Manual on Preparation of a Participatory Forest Management Plan (PFMP) September 2007

TABLE OF CONTENTS 2LIST OF ACRONYMS 4GLOSSARY OF TERMS: 51. PART ONE: BACKGROUND 61. 1 INTRODUCTION 61.1.1 What is this Manual for? 61.1.3 What is forest resource management? 61.1.4 What is a Forest Management Plan (FMP)? 71.1.5 Different levels of Forest Management planning. 71.1.6 Why Participatory Forest Management Plans (PFMPs)? 81.1.7 What is the position of the forest legislation on PFMPs? 9

1.2 DEFINATION AND RATIONALE FOR PARTICIPATORY AND COLLABORATIVE FOREST MANAGEMENT (PFM) 91.2.1 What is PFM? 91.2.2 Current status of PFM within the East African region. 91.2.3 Characteristics of PFM 101.2.4 Rationale for use of Participatory Management Plans in Forest Management 111.2.5 Why prepare Participatory Forest Management Plans (PFMPs)? 121.3 VISION FOR PARTICIPATORY FOREST MANAGEMENT PLANS (PFMPS) 131.4 ROLES AND RESPONSIBILITIES OF MAIN STAKEHOLDERS 141.4.1 The Government (KFS) 141.4.2 Local Authority 141.4.3 Forest adjacent communities 141.4.4 Non-governmental organizations (or Civil society organizations) 151.4.5 Forest Area Managers 151.4.6 Forest Officers 152. PART TWO: PARTICIPATORY FOREST MANAGEMENT PLAN PREPARATION PROCESS

162.1 HOW DOES PFMP PREPARATION PROCESS RELATE TO THE PFM GUIDELINES?

162.1.1 Overview of PFM process. 162.2 PREPARATION OF A PARTICIPATORY FOREST MANAGEMENT PLAN (PFMP) 172.2.1 STEP 1: IDENTIFYING THE COMMUNITY AND VERIFYING THE RESOURCE 172.2.2 STEP 2: ASSESS FOREST AREA AND COMMUNITIES 222.2.3 STEP 3: PREPARE DRAFT MANAGEMENT PLAN 262.2.4 STEP 4: FACILITATE THE DEVELOPMENT/ MODIFICATION OF APPROPRIATE LOCAL ORGANIZATIONAL STRUCTURES. 272.2.5 STEP 5: NEGOTIATING AND DRAFTING A FOREST MANAGEMENT AGREEMENT 312.2.6 STEP 6: REVIEW OF THE MANAGEMENT PLAN AND MANAGEMENT AGREEMENT BY STAKEHOLDERS 333. PART THREE: ANNEXES 363.1 ANNEX ONE: SUGGESTED CONTENTS AND OUTLINE OF A PARTICIPATORY FOREST MANAGEMENT PLAN 363.2 ANNEX TWO: SUGGESTED FORMAT FOR ASSESSMENT OF A MANAGEMENT PLAN

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September 2007 Manual on Preparation of a Participatory Forest Management Plan (PFMP 5

PREPARATION APPLICATION 373.3 ANNEX THREE: SUGGESTED CONTENTS OF A FOREST MANAGEMENT AGREEMENT (AN EXAMPLE OF ---- FOREST IN TAITA TAVETA DISTRICT) 383.4 ANNEX FOUR: FOREST MANAGEMENT OPTIONS MATRIX (EXAMPLE) 443.5 ANNEX FIVE: FOREST PROFILE BY RAPID ASSESSMENT 453.6 ANNEX SIX: FOREST CONDITION CHARACTERISTICS 473.7 ANNEX SEVEN: DEFINITION OF FOREST VEGETATION TYPE 493.8 ANNEX EIGHT: DEFINITION OF FOREST CONDITION CHARACTERISTICS 503.9 ANNEX NINE: FOREST CONDITION CLASS 513.10 ANNEX TEN: SELECTED REFERENCES 52

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FORWARDThe production of this manual marks the end of along process that started in the year 2004 and is intended to guide preparation of Participatory Forest Management Plans (PFMP). Its coverage includes the first three of the eight steps highlighted in the PFM guidelines. The KFS and other stakeholders have prepared the manual and is applicable to all types of forests where participatory management principle is embraced. The manual gives in a detailed way the mini steps that need to be considered as the plan preparation is underway. It is however a guide as each forest is unique and therefore some adaption in some of the steps may be necessary.

The legal support for the use of this manual is covered in section 35 which require all forests be managed in accordance with management plans and section 46 (4) and (5) which require that applications by Community Forest Associations to the Director KFS for permission to participate in conservation and management of forests be accompanied by draft management plans.

Use of management plans in management of forests is the best assurance that the resource is managed in a sustainable way and that the interests of the future generations are not compromised by the current use. This tool therefore empowers the stakeholders who apply it in planning to be more systematic in mitigating against the identified challenges and also address the short and long term objectives of the forests.

In conclusion, it should be understood by all that the manual is not cast in stone, new ideas and challenges are likely to come up in future, periodic reviews will therefore inevitably have to be done.

D.K. MbuguaDirector, Kenya Forest Service


List of acronyms

1. PFMP Management Plan

2. FMP Forest Management Plan

3. PFMP Participatory Forest Management Plan

4. DF Director of Forests

5. SFMP Strategic Forest Management Plan

6. KFS Kenya Forest Service

7. NGO Non –Governmental Organization

8. CBO Community Based Organization

9. PFM Participatory Forest Management

10. RB Responsible Body

11. JFM Joint Forest Management

12. CFM Collaborative Forest Management

13. KWS Kenya Wildlife Service

14. GIS Geographical Information Systems

15. CFA Community Forest Association

16. FCC Forest Conservation Committee

17. 4Rs Roles, Responsibilities, Rights and Returns

18. PT Planning Team

19. NTFPs Non Timber Forest Products

20. CEO Chief Executive Officer


Glossary of Terms1. A local community is defined as including persons and households living in close proximity

to a forest and identified by common history, common culture or common residence and may, from time to time, include all the residents of a village which share a boundary with a forest.

2. Responsible Body (RB) means a body designated to manage, maintain and control a forest reserve or a community forest under the Forests Act, 2005 and in the case of a private forest, the owner or person in charge of the forest.

3. Non Government Organization (NGO) are not-for-profit organizations working for the public good, that are approved by government but are not part of the government.

4. Service Providers are support organizations including NGOs, CBOs, Civil society and the private sector involved in service delivery for enhancement of forest management

5. Forest user group means a group comprising members of a local community involved in a particular user activity in a forest or part of a forest.


1. PART ONE: BACKGROUND

INTRODUCTION What is forest resource management?Forest Resources Management means the application of business methods and technical forestry principles to the operation of a forestry property. It involves the task of building up, putting in order, and keeping in order a forest business. One or a multiplicity of parties (stakeholders) can do this. What is a Forest Management Plan (FMP)?Traditionally a FMP is a framework showing the kind of organizational set up required for starting, stimulating or carrying on sustainable management of a forest ecosystem. The objectives of a management plan are:

• To enable the owner(s) of a forest estate undertake the responsibility of managing the forest effectively.

• To suggest the kind of organizational set-up and resources required for running the forest.• To act as a basis for operational planning (work plans) for sustainable management of the

forest ecosystem.

At the end of the preparation of a management plan, the following information should be available to forest managers:

A. Forest resource information including:• basic classification of forest types• silvicultural treatments needed• basic assessment of standing timber• materials that can be removed in selection felling from over-mature or under thinned

areas.• bare land and scrub requiring replanting/rehabilitation• plantations requiring thinning in the next five years.• stands which are ready for clear felling and require replanting.• older stands from which timber can be taken as thinning or selective felling.

B. Labour requirements

C. Supervision requirements

D. Equipment requirements

E. Finance and management requirements

F. Monitoring framework

G. Environmental Impact Assessment


Different levels of Forest Management planning.Improving forest management is an iterative (stepwise) process, starting with agreement on relatively broad objectives for management of entire regions or forest management areas and moving down through site specific planning, to agreements for the management of more specific forest resources.

Broadly, four levels of forest management planning are recognized thus:

• Forest Sector Master Plan, which sets out national goals and objectives for the forestry sector, and defines strategies to achieve them. Usually with a long time frame.

• District Forest (management) Development Plan that defines long term management objectives, priorities, and implementation strategies for all defined forest zones within the District. These may cover a whole forest management area, or an entire District.

• Strategic Forest Management Plan (SFMP) which define broad objectives and strategies to achieve them. SFMPs have long time frames, usually over ten years. They are less detailed and therefore can be prepared quickly through a rapid process of consultations with key stakeholders. These kind of plans address large areas such as Forest Ecosystems

• Operational (working) plans are site specific and define detailed management objectives and means of achieving them (rules, regulations, activities, budgets, responsibilities etc) for a specific area of forest. There could be many for one forest reserve. It usually develops activities to implement strategies identified in a strategic plan.

• Work plans that define in detail all the annual activities to be undertaken. This plan is derived from the Operational plan and covers a period of one year.

What is this Manual for?This manual is intended to be a guide on salient issues and information necessary for a cost/effective Participatory Forest Management Plan (PFMP) preparation for community involvement in forest management. It provides a sequence of events and activities to be undertaken. It is supposed to be a guide to the Responsible Body (RB), the applicant and the facilitators on the process of preparing Participatory Forest Management Plans (PFMPs). PFMP preparation forms the first three steps of the eight covered in the PFM guidelines prepared by KFS. However, it is important to appreciate the uniqueness of each forest, thus, calling for emphasis on certain site-specific issues; making each Management Plan unique.

Why the manual?The Forest Act 2005 makes it mandatory for any forest (state, local authority or provisional forest, registered private forest) to be managed in accordance with an approved Forest Management Plan (FMP). This manual aims at assisting in preparation of a FMP, also considered as an operational (working) plan for a specific site. The manual can also be used as a guide in preparing other higher levels of management plan such as a strategic management plans. Why Participatory Forest Management Plans (PFMPs)?Management of Forests in various parts of the world has been guided by management plans drawn for specific time periods by the responsible body. In Kenya, emphasis on management plans


was on Forest plantation development and watershed management. Kenya Forest Service (KFS) or projects working closely with the Service invariably prepared the plans. The recognition and acceptance of the role of local communities and the Civil Society (including NGOs, CBOs, Private sector companies, etc) in forest management and conservation, has led to co-management of certain forest areas by the Government with other stakeholders. The new arrangement has been termed Participatory Forest Management (PFM). Since a management plan is mandatory as entrenched in the new legislation, the involvement of other relevant stakeholders in preparing the plan is inevitable under a PFM arrangement. PFMPs are applicable to all types of forests; rich or poor in biodiversity; intact or degraded; large or small; moist, montane, woodland or mangrove, including commercial plantations.

Rationale for use of Participatory Management Plans in Forest Management Adoption of Participatory management plans in the management of forests is one approach to achieving improved and more efficient management of the forest estate. In many countries, forestry management agencies are slowly moving away from the command and control system of management to participatory approaches that require the involvement of a broad spectrum of stakeholders. Needless to say, these stakeholders have to be involved in planning to enhance both understanding and ownership of the planned interventions and strategies – hence the participatory management plans.Participatory forest management is one of the important emerging forms of forest management. Where initiated, it has improved community sense of understanding of roles and responsibilities, improved relationships among stakeholders and helped resolve conflicts. It has also addressed equity in access and sustainable use of forest resources, empowered communities to make decisions as well as enabled them to appreciate biodiversity value.

Why prepare Participatory Forest Management Plans (PFMPs)?Reasons for preparing PFMPs include: i. To incorporate scientific approaches to forest management.ii. A recognition that a forest reserve can be better managed if involvement of the forest adjacent

communities and other stakeholders is obtained,iii. A desire to minimize conflicts with forest adjacent communities and other stakeholders,iv. A desire to create opportunities for local people and other stakeholders to contribute towards

protection and rehabilitation of forest resources and hence share the costs of management,v. Commitment to human rights and therefore to fair and equitable treatment of communities

living adjacent to forest reserves who have traditionally accessed forest resources,vi. Support sustainable forest-based livelihoods in poor rural communities.


VISION FOR PARTICIPATORY FOREST MANAGEMENT PLANS (PFMPs)The vision for developing PFMPs is to improve forest conservation and the livelihoods of forest adjacent communities and other stakeholders. PFMPs are a key tool in achieving some of the objectives of the forest policy and legislation. PFMPs help to:

i. Ensure the forests are conserved and managed in a way that meets the needs of the present generation without compromising the rights of future generations by safeguarding forest biodiversity and environmental benefits accruing from them.

ii. Promote improvement of forest adjacent communities’ livelihoods in all strategies and actions designed to conserve and manage the forests.

iii. Encourage and facilitate public participation in the management and conservation of forests and trees.

iv. Facilitate greater public awareness of the cultural, economic and social benefits of conserving and increasing forest cover.

v. Ensure the sustainable supply of forest produce and services through maintenance of sufficient forest area under efficient, effective and economical management.

vi. Promote equitable sharing of forest benefits, with special focus on disadvantaged groups; with emphasis on women and the poor sections of the community.

Additionally, a Participatory Forest Management Plan (PFMP) is expected to:

• Manage/reduce conflicts between Central/Local government and forest adjacent communities by establishing the terms of a fair deal in terms of distribution of benefits, responsibilities, and decision making authority in management of forests,

• Share costs and ensure fairer distribution of the costs of forest management,• Enable sharing knowledge and skills between both the KFS and its partners• Create a sense of ownership and promote security of tenure of local people over forest

resources.

ROLES AND RESPONSIBILITIES OF MAIN STAKEHOLDERS Participatory management plans aim at sharing roles, responsibilities, rights, authority and benefits between the different partners in forest conservation and management. The roles and responsibilities of some of the partners in the preparation and implementation of PFMPs are as follows:

The Government (KFS)• KFS may already have an existing management plan for the forest or initiate the process

of making one in accordance with the Forests Act 2005. • The role of KFS shall be that of raising awareness about PFMPs and guiding, informing

and supporting the forest management planning process.• Initiate joint preparation of a management plan for a provisional forest.• Approval of management for implementation.• Drafting and signing of the Forest Management Agreements to implement the plan


Local Authority• The local authority may initiate the process of preparing a management plan for a local

authority forest,

• It could also request KFS to assist them in management planning for a Local Authority Forest,

• It can enter into partnership with local communities in preparation of management plans for forest reserves, be they Central government, local Authority or private.

Forest adjacent communities• A local community or any other potential partner may equally approach Central

Government or a Local Authority to participate in the management and legal utilization of a particular forest or its resources.

• The community can reach out and mobilize resources required for the preparation of PFMPs

Non-governmental organizations (or Civil Society Organizations)• These may be requested / contracted to facilitate a third party (community, or interested

forest user group) initiate management plan preparation in their adjacent forest.

• They may also be involved in building capacity in communities in such areas as negotiations, etc

Forest Area Managers• Overall responsibility for management planning process and for liaison with KFS

headquarters, and local development committees

• Supervising and guiding community forest management committees and assisting them in the field as necessary, especially in data collection.

• Ensuring that draft agreements respect the law and the objectives of management for the forest reserve,

• Ensuring that law enforcement and participatory management are coordinated in the management plan and agreement.

• Building capacity of local communities.


2. PART TWO: PARTICIPATORY FOREST MANAGEMENT PLAN PREPARATION PROCESSOverview of PFM process.There are eight main steps in the PFM process, as described in the PFM guidelines prepared by KFS. Information and data for preparation of a participatory forest management plan is generated from steps 1 and 2. Step 3 covers actual drafting of the plan. This manual should therefore, be read together with the PFM guidelines.


Preparation of A Participatory Forest Management Plan (PFMP)

Step no. Step title Relation to PFMP

1 Identify community and resources Source of information for PFMP

2 Assess forest area and communities Source of information for PFMP

3 Prepare Draft Management plan Draft stage for PFMP

4 Facilitate the modification/development of appropriate local organizational structures for PFM

Creating local ownership for PFMP

5Negotiate, draft and sign a forest management agreement & declare the area an official PFM

area.

Entrenching local communities

participation in forest management

6 Implement the plan

Involving communities in forest

management and conservation

7 Review and revise the plan on the basis of experience

Monitoring performance of the

plan

8 Monitor and evaluate Entrenching PFMPs in forest management

Information and data for management plan preparation is derived from steps 1-3 of the PFM guidelines. Each forest has its own unique features, thus making a management plan for any forest different from any other. However, the plan preparation generally goes through the following process:


STAGE 1: IDENTIFYING THE COMMUNITY AND VERIFYING THE RESOURCEInitiating the processThe responsible body (KFS), local community or other interested parties (e.g. NGO or CBO) can initiate the process of preparing a management plan.To prepare to apply for PFM, and therefore be involved in the development of a management plan, the community concerned does not have to be a legal personality but could be any of the following:

• A forest adjacent community or group of forest adjacent communities• A forest user group• Communal land associations• Co-operative society• Farmers groups• A Non Government Organization that draws its membership from the local community

However, it is expected that as the process continues and particularly when the signing of the management agreement is being done, the community should have registered their association under the Society’s Act (CAP 108).

All sections of the community concerned have to be consulted with regard to the management of the forest. Hence, the group to be involved in the preparation of the management plan must be truly representative of all sections of the community. Building trust among and between the local community groups and the responsible body (KFS or Local Authority) is very vital before any meaningful plan preparation can be realized.


Objectives of initiating the process • To create awareness in the forest adjacent communities, local administration and politicians

about the plan in line with the Forests Act 2005• To build local community skills necessary for developing a management plan• To initiate good working relations between responsible body and local community.

Expected outputs • Target forest adjacent communities aware about opportunities presented by the management

plan• The District Environment Committee and other relevant institutions understand and support

the process• Local communities agree with other stake holders to prepare a PFMP

Activity Suggestions on how to do it Responsibility Notes/Suggested tools

Inform District Development & other relevant Committees about the plan

Inform the relevant committees and their senior officials of the PFMP, outlining their roles, principles and objectives of the PFMPStart to build relationships with local communityInform all parties about their responsibilities in preparing the PFMP

RB, NGO, CBO Letters, information meetings, pamphlets, brochures, workshops and key informants.

Inform local communities on opportunities for a PFMPBuild relationships between RB and local communities.

Meet with local leaders (especially) opinion leaders to explain the need for a management plan and get their supportStart community awareness and educationMobilize community for preparation of a PFMPInform local community members about importance of a PFMPHold regular village meetings where the community comprises of several villagesMake household visits to key forest user groups (and community members who may not attend meetings, but are important for a successful preparation of a PFMP to explain the principles of a PFMP

Local Community leaders.Area forest managers.Service providers

Group discussions,one to one dialogues,meetings and workshops,household visits,conflict management,confidence building and pamphlets in local language where possible.

Assess opportunities for a PFMP

Review existing PFMP if any.Clarify what parts of the forest are/will be covered by the PFMP.Identify current uses and values of the forest to local communitiesIdentify main concerns of the community relating to future forest management.Draft some preliminary management objectives for the identified forest.

Local community with support from responsible body, community leaders and service providers

Forest walks,maps, list of local uses and values of forest.

NB -Activities are not in order of sequence

Activities to initiate management plan preparation


Making an application for preparing /reviewing a management planThe activities of initiating the process will help to create awareness and interest among stakeholders to apply to undertake preparation or review of a management plan from the responsible body. Objective of making an application to prepare a management plan• To register community interest and commitment in participating in the management of the

forest through a negotiated PFMP.

Expected outputsi. A public meeting held to discuss and agree on the application to prepare a PFMP to the RB.ii. An application submitted to the RBiii. A response from the RB to the applicant.

Activities to prepare an application for management plan preparation


Agreeing on the community body that will make the application

Hold open discussions with interested parties

Local community / applicant/service provider

Public meetings.

Interested group hold an official meeting to agree on groups intention to apply

Plan and publicize meetingInvite all members of interest groupPresent/share ideas on the need for a PFMP in the meetingIdentify suitable volunteers to draft the applicationPrepare minutes of the meeting including list of participants.

Whole community with support from service providers.

Written notices on notice boards. Meetings with the following representation; relevant government and user group representatives, vulnerable groups, youth and women. A neutral person should chair the meeting.

Draft an application

Nominated representatives prepare draft applicationInformally request for technical advice from the RB if necessaryReview draft application with the whole group / communityObtain consensus on issues in the application

Local community / applicant

Convene drafting meeting

Publicize the application

Display the application Local community / applicant/service provider

Village notice boards



Submit application to RB

Submit the application through the chain of command of the RBDeliver to the nearest designated RB representative

Applicant/service provider

Get confirmation of receipt of the application

RB review the application

On receipt of application, RB field officer reads the proposal and attaches comments.Send proposal with comments to his senior.

RB representative Review against criteria set out in the PFM guidelines.

RB respond to application

RB headquarters review the application and respond to the community

RB executive officer

Refer to PFM guidelines.

Activities to prepare an application for management plan preparation (...continued)

Meetings between applicant and responsible body

The RB, in consultation with other service providers organizes meetings at appropriate places in the field for stakeholders, in which the application is further reviewed and discussed and the PFMP preparation process launched.

Objectives of the meeting• To review and agree on the application.• Launching of the PFMP preparation process Expected outputs • Application and objectives for PFMP agreed between the RB and applicant,• Shared vision between applicant and RB,• Roles and teams for preparing the PFMP agreed between the RB and the applicant,• Launch the PFMP preparation process.


Activities to facilitate official meeting between applicant and RB


Prepare a program for the meeting

Identify:Objectives of the meeting,- Presentation method and the - issues for discussionParticipants and their roles in the - meeting including the secretary to take notesResources required for the - meeting e.g. venue, funds, flip charts.

RB in consultation with the applicant

Meeting / workshop

Publicize the meeting to the local community through their leaders and others institutions.

Inform the local provincial administration about the meetingInvite other stakeholders to the meeting

Community, local leaders, RB field officers /service provider

Written notice in public places. Announcement in churches and/or mosques. Radio and local newspapers.

Conduct the meeting

The applicant and RB agree on the process facilitator at this meeting who should be neutral with good facilitation skills. During the meeting, review, discuss and amend the application as agreed by the stakeholders and communicate the management planning process to the community.When the application is agreed on by stakeholders, develop a plan of action.Discuss and agree on the shared vision for the PFMP

RB in consultation with applicant.Community leaders and service providers

Ensure all key stakeholders are represented and participate in the meeting including specific groups such as women, youth and poorer members of society.

Finalize the application

If the RB is satisfied with the application, the designated representative writes a letter to the community confirming that the application has been accepted.

RB representative

Letter, radio and public notice boards.

Launch the management planning process

Organize a public meeting for launching

RB, applicant and service providers

Letter, radio and public notice boards


STAGE 2: ASSESS FOREST AREA AND COMMUNITIES This is also referred to as Participatory Situation Analysis. The scale and scope of the analysis will depend on the forest area and resources for which the PFMP is being developed. Most of the activities here will be done through community meetings. The discussions should be in a language majority of the community members are comfortable with.

One does not have to carry out all the suggested analyses below, but only those that are relevant for the PFMP preparation for the particular forest. The level, type of analysis and tools to be used will depend on the local situation and experience of the planning team. Stakeholder analysis should be carried out several times during the process to capture changing roles and entry of new ones.

The information collected will be used to prepare the management plan (see annex 1 for suggested contents and outline of a PFMP). Detailed forest assessment such as stock mapping may be done during plan implementation. However, forest inventories will need to be undertaken in areas where commercial logging is envisaged. Use of relevant existing information should be preferred to collecting new information to cut on costs.

One of the limitations for the community and other stakeholders is to adequately describe the forest condition so as to properly define the management interventions desirable to restore or sustainably manage the forest. Annexes (5-9) provides a quick guide on how to make a forest profile by rapid assessment, enabling the stakeholders determine the condition of the forest; whether very degraded, degraded, medium or good.

Participatory Situation Analysis.

Objectives of Forest area and community assessment

• To understand in sufficient detail the resource use patterns and values local communities attach to the resources,

• To identify the threats to the forest,

• To identify forest users and other interested parties (stakeholders) who can influence or will be influenced by the management of the forest,

• Identify conflicts on resource use,

• To identify the social, economic, physical and institutional set-up of the local community, Expected outputs• Information for the management plan collected and analyzed,

• Key issues and challenges for forest management identified and prioritized,

• Stakeholders have been identified, contacted and are aware of how they can take part in the management of the forest.

• Socio economic and institutional set up of local community identified and documented.


Activities for development of a local planning team


Initiate formation of a local planning team

Set a criteria for selectionAgree on who will comprise the local planning team.

Applicant representatives, RB & other key stakeholders

Nominations /elections but ensure that knowledgeable persons are appointed

Make a program on the PFMP preparation process

Identify roles and responsibilities for the teamDescribe the methods, program, resources to be used and time frame.


Planning skills

Train the planning team

Prepare a check list of information needs and methods to collect it,Carry out training for the team


Training needs assessment.Conduct relevant training

Activities for organizing community meetings


Planning for the meetings

Identify:Objectives of the meetings,- Presentation method and the issues - for discussion,Participants and their roles in the - meeting including the secretary to take notes,Resources required for the meetings - e.g. venue, funds, flip charts.Advertise the meetings to the target groups using appropriate means,Inform communities of the scheduled series of meetings in advance.

Applicant, RB and local planning team

Organize a series of community meetings in the target area to carry out situation assessment

Conduct meetings

Explain the purpose of the overall situation assessment and any specific analysis tools to be used,Explain the role that the participants are expected to play in each meeting.During the meeting collect views from community.


Local community meetings.


Activities for carrying out the various analyses

Activity Suggestions on how to do it Responsibility Suggested tools

Village/household analysis and mapping

Make a preliminary selection of villages/households to be involved,Review the target forest adjacent villages and produce a location map with villages indicated,Agree on the Geographical scale.


GIS and participatory village/household mapping.

Assess forest resources

Describe the extent and nature of the target forest area and understand who is involved in its utilization and management,Identify animal, plants, insects and other forms of life and their use using botanical names and local languages,Identify non living features (e.g., water bodies, minerals, roads, ecotourism features) and their use


Participatory resource assessments

Map forest and resource use patterns.

Conduct participatory forest mapping and produce a map showing:- Forest boundary- Management zones- Physical features- How communities use the forest- Which parts of the forests/trees are used and for what, - Which resources are found where- Local names of the various parts of the forest- Areas of degradation / threat in the forest

Applicant, RB, Planning team and service providers

Participatory mapping -this should blend local community based mapping and GIS skills.

Undertake stakeholder analysis

Use the appropriate tools to identify groups or individuals dependent or impacted on by the forest, Establish their roles, responsibilities and benefits.

Applicant, RB and planning team

Household mapping/profiling, 4Rs1, Stakeholder analysis.

Undertake Livelihoods Analysis

Identify all community groups including vulnerable groups, Identify main sources of income for various groups,Identify the linkage to use of forestry resources,


Vulnerability analysis,well-being (livelihood) analysis and wealth ranking.

Undertake value and threat analysis

Identify values and threats according to importance attached.


Value and threat analysis, forest use cards and rapid vulnerability assessment

1 Roles, Rights, Responsibilities and Relationships


Activities for carrying out the various analyses (... continued)


Undertake Analysis of seasonal use of resources

List resources and seasons when they are used.


Historical analysisGroup meetings

Carry out Conflict Analysis

List existing and potential sources of conflictsHold a meeting of stakeholder representatives to analyze conflicts over resource use and managementWhere conflicts exists, negotiations and arbitration is conducted to mitigate the conflicts


Conflict mapping,Root cause analysis

Carry out institutional analysis

List existing institutions, Identify roles and responsibilities of various institutions, Carry out a SWOT (Strengths, Weaknesses, Opportunities and Threats) analysis for each institution.

Applicant, RB, planning team, Key stakeholders and forest user groups

Group meetings,Institutional analysis

Conduct a community feed back meeting to verify the above information

Explain the purpose of the feedback meeting,Present the situation analysis report for verification and endorsement,During the meeting collect views from community.

RB and local planning team



STAGE 3: PREPARE DRAFT MANAGEMENT PLAN This is where negotiating and drafting of the PFMP is done. This step should start with the formation of a community negotiating team to ensure adequate community representation.

Negotiating and drafting the management plan.

Objectives of negotiating and drafting the Management Plan

• To define management objectives and strategies arising out of the problems.• To form a community team that will negotiate with the RB• To prepare a draft PFMP. Expected outputs• A shared vision and objectives of PFMP • A representative local community negotiating team• A draft PFMP


Activities for formation of a negotiating team

Activity Suggestions on how to do it Responsibility Note/Suggested tools

Organize a meeting

Invite the local communities to a meeting to select their representatives to the negotiating team Help community to set sensible composition of the negotiating team and criteria for nominating representatives


Group meetings

Carrying out elections

In the community meeting:Agree on an independent - facilitator, or respected member(s) of the community who are not offering themselves for election,Facilitate nominations- Conduct elections and announce - results.

Facilitator Secret balloting, acclamation and queue voting. Ensure that the politicians and/or the elite do not hijack the elections and that all user, ethnic and minority groups are represented in the elections.

Activities for negotiating and drafting the PFMP


Identify forest management problems

Construct a problem tree based on the results of a threat analysis


Problem analysis and group meetings

Set overall objectives

Build an objective matrix out of the problem tree – through logic buildingSet objectives and define outputs and strategies/ activities to achieve them.Prioritize strategies.Analyze activities that are to be implemented under each strategy.Discuss management interventions.


Intervention analysis and group meetings

Prepare a zonation map

Conduct a participatory forest zonation meeting,Describe, discuss and agree different zones based on the information generated in stage 2 (resource mapping).


Participatory mapping and GIS



Management objectives and activities.

For each zone, Identify:Major threats- Prioritized list of forest - products/speciesAvailability of the product- Demand for each product.- Set specific objectives and activities for each zone


Use Forest Management Options Matrix (Annex4)

Important forest products/services within each zone should be included.

Negotiate Rules, Roles, Responsibilities, Rights and Benefits.

Reach consensus on preliminary rules on important aspects such as access, silviculture and boundaries.Define preliminary Roles, Responsibilities, Rights and Benefits.

Applicant, RB, planning team and service providers,

4Rs (Rules, Roles, Rights, Responsibilities)

Draft PFMP Organize meetings for the drafting team Agree on the PFMP outline and produce a first PFMP


Refer to suggested contents of a PFMP ( Annex1)

Drafting can be done in retreats, meetings and workshopsAnnual workplans will be drawn to help with the implementation of the plan.

Conduct stakeholders feed back meetings

Explain the purpose of the feedback meetings,Present the draft PFMP for verification and endorsement,Incorporate stakeholders views

RB and local planning team


Submit Plan to RB

Hold a meeting with RB for presentation of the endorsed PFMP


RB HQ should be constantly informed of the progress of the negotiations.

Activities for negotiating and drafting the PFMP ( ... Continued)

NB: Logic building is the best way to cross check whether the objective formulated is correct, precise and achievable. The objective tree is built from the problem tree. Objectives should always lead to or achieve the goals. Where this is not the case, a better objective should be formulated.

...........see next page



STAGE 4: FACILITATE THE DEVELOPMENT/ ODIFICATION OF APPROPRIATE LOCAL ORGANIZATIONAL STRUCTURES To implement the Management Plan, and therefore, involve themselves in participatory forest management, the community should acquire some legal status through registration under the Society’s Act (CAP 108). Existing institutions (informal or formal) should be examined first and made use of if appropriate. Both the new and existing institutions must be linked to the Central Government and Kenya Forest Service structures. Analysis of existing institutions has already been done in stage 2. Form or formalize a local community Forest management institution Objectives of forming or formalizing a local community Forest management institution

• To identify and isolate strong institutions at the local community level to participate in the management of the forest area.

• To agree on membership criteria and election procedures, which ensure that all groups (gender, wealth, residency status, and forest user groups) are properly represented.

• To build capacity for this institution to operate effectively.

Expected outputs• A functioning local community institution to implement the management plan.


Conduct a meeting for the local community

Hold a community meeting to explain the purpose of the institution.Select a team to work on the institution’s formation.

Applicant Institutional analysisIf there is no representative institution, a new one needs to be formed, or otherwise strengthen the existing one(s).

Design Articles of Association and Constitution.

Explain to the local community the need for the articles of association and registration.Draw the articles of association and constitution with the help of an expert facilitator. Define internal rules, rights of members, terms of reference for the forest management committee, financial management, election of officials, and their dismissal.Review the draft Articles of Association and constitution with the community.

Applicant, service provider

Ensure that the institution meets the requirements for the Management Plan. The applicant can contract a service provider, and possibly seek some financial assistance.

Register the institution

Register the organization with the Registrar of Societies..

Applicant Care should be taken not to register the committee members, who can change or be dismissed. The registration should aim at covering the entire forest adjacent community as well as other key stakeholders.

Activities to form or formalize a local community forest management institution


Notes on activities to form or formalize a local community Forest management institution

• Once an association is formed and officials elected, it takes over from other teams involved in the development of management plan.

• Care must be taken to ensure politicians and the elite do not hijack the process for their own gain and /or at the expense of the weaker partners.

• The issue of whether or not non-resident users have a place in the institution needs to be resolved through consultation with key local stakeholders.

• External assistance may be needed to build capacity of the Forest Management Committee in representation and negotiation skills before they negotiate and sign the Forest Management Agreement.

• Institutional development is in itself a learning process, likely to undergo much iteration before a suitable and successful institutional structure is established. It takes considerable time before members develop the necessary individual and group skills for ensuring long-term sustainable operations of the institution and implement its mandate effectively.

• New institutions should not be cast in stone. Mechanisms for internal review and change should be provided. This allows the institutions to adapt and evolve with experience.


3. PART THREE: ANNEXES

3.1 Annex one: Suggested contents and outline of a Participatory Forest Management PlanA management plan is a time bound document whose implementation is guided by the Forest management agreement. It therefore means that if the agreement is broken, the management plan and the rules and regulations contained therein also cease to be valid.

The plan contains the nuts and bolts, rules and regulations for the management of the forest. The plan is continually under monitoring and review, as the condition of the forest changes. The contents of the plan will largely depend on objectives of management and the negotiations between the parties preparing it.

The out line below should act as a guide and not a blue print for the contents of a management plan.

Part One: Background to the management plan• Background to the management plan• Name of forest• Physical features• Policy and legal issues• Boundaries• Forest resources and use• Biodiversity• Socio-economics• Institutions (including both government and community)• Threats to the Forest

Part Two: Plan of Action (The Plan)• Vision• Objectives of management• Time frame of the management plan• Roles, Rules, Responsibilities, Rights and benefits• Zonation• Management Programmes • Objectives ,Strategies, Activities and Lead Agencies for implementation• Institutional arrangements • Financing• Environmental Impact Assessment • Monitoring plan• Procedure for modifying management plan.

Part Three: Annexes• Maps• Forest Management Agreement , etc• Work plans

NB See also Annex 3 PFM Guidelines for additional information


3.4 Annex Four: Forest Management Options Matrix (example)

Productand services (e.g,)

Biodiversity Timber Wildlife Birds Honey NTFPs

Main species Rare & endangered spp

Podo spp Elephants

Supply(describe)

Only a few spp found on un-disturbed parts of the forest

Diminishing due to over exploitation

Seasonal when food crops are ready

Demand(describe)

High for study and research purposes

High for furniture & construction

Important for enhancing tourism

Problems Continued forest disturbance decimating the spp.

Sawing mainly done late at night

Raiding farms and crops

Opportunities Potential revenue earner through research and study levy

Grows fast and is easy to manage within farmlands

Existing forest area can sustain current elephant population

Objectives To enhance conservation of the rare and endangered spp.

To promote alternative sources for Podo wood

To confine Elephants within forest area minimize conflict

Strategies Identify, delineate and designate areas rich with endangered spp as biodiversity zones for non consumptive management.

Engage farmers in Podo growing within their farms.

Design and erect appropriate wildlife barriers

Note: The forest products should be listed, with input from community, from left to right in order of priority for each zone. Each problem and/or opportunity should have an associated strategy to tackle it or benefit from it. All important forest products/services should be analyzed and prioritized


3.5 Annex Five: Forest profile by rapid assessment

Name of forest

District

Forest Station

Information collected by (your name)

Date information was collected

Main vegetation type: ( Tick one) Grassland, Shrubland Conifer forest

Broad leave Forest Mixed Forest

Write the names of the three most dominant species (1. …..................….) (2……..............…….) (3………............…….).

Estimated area (ha.) Measured area (ha.)

Altitude Aspect

Local management? (circle) Yes/No

Planted? (circle) Yes/No

Forest change in the last five years (circle) Yes/No

Year(s) of planting (if planted)

Forest co-managed with the community? (circle) Yes/No

Current stocking? (if planted, seedlings per ha.)

Forest User group code (if co-managed)

Stocking class (if planted, circle one) under-stocked/stocked/overstocked

Other information:

Participatory map, sketch map, other? (yes/No)

Reference number of forest block on map (if map exists)

Does a plant species list for the block exist? (Circle) yes/no


3.6 Annex Six: Forest Condition Characteristics For each forest or shrub-land, complete the four forest condition characteristics listed below, then use them to determine Forest Condition Class.

Forest condition characteristic 2 –Crown coverCrown cover (for forest & shrub-land only) Dominant crown cover class (circle one)

More than 70% Dense

40% to 70% Moderate

20% to 40% sparse

Less than 20% Very sparse

Forest characteristic 3 -Regeneration density

Density of regeneration Regeneration class

More than 5,000 trees or shrubs per ha. Dense

1,500 to 5,000 trees or shrubs per ha. Moderate

500 to 1499 trees or shrubs per ha. Sparse

Less than 500 trees or shrubs per ha. Very sparse

Write the names of the three most dominant species in the regeneration1 2 3

Forest condition characteristic 4 –Density of seed trees (used for shrub-land only)

Density of seed trees Seed tree class (circle only one)

More than 50 seed trees per ha. high

10 to 50 seed trees per ha. moderate

Less than 10 seed trees low

Forest condition classUsing the four forest condition characteristics above, determine a forest condition class for the block (circle one):

Very degraded degraded medium good

Soil cover Soil class cover class (circle only one)

More than 50% of the soils are covered High

25% to 50% Moderate

Less than 25 % of the soils are covered Low

Forest condition characteristic 1 –Soil cover


3.7 Annex Seven: Definition of forest vegetation type • Grass land: Vegetation dominated by grass species and where the area covered by tree or shrub crowns

is less than 10%.

• Shrub land: Vegetation dominated by woody plants that are multi-stemmed near the ground, or if single

stemmed, are less than 2 meters tall. An upper stratum of emergent trees may be present and comprise up to 5 percent of the total crown cover.

• Forest: Vegetation dominated by woody plants more than 2 m tall, with a single stem or branches well

above the base. The area covered by tree crowns must exceed 10%. (This conforms to the FAO classification of Forests)

• Conifer forest: 75% or more of the tree species present are coniferous

• Broad leaf forest 75% or more of the tree species present are hardwoods.

• Mixed forest: All other combinations of trees present.

Adapted form ‘A Field Manual on Participatory Techniques for Community Forestry’ by W. J. Jackson and A. W. Ingles (May 1998)


Forest condition characteristic.

Definition

Soil cover The percentage of the area assessed, which has the mineral soil surface, totally covered by either live vegetation or a layer of other plant material.

Crown cover (forest) The percentage of the area assessed which is within the vertical projection of the periphery of tree crowns.

Crown cover (shrub-land)

The percentage of the area assessed which is within the vertical projection of the periphery of shrub crowns.

Regeneration (forest) Seedlings, saplings and coppice re-growth of naturally occurring tree species that are less than 2m tall

Regeneration (shrub-land)

Seedlings, saplings and other re-growth that does not originate from stumps above the ground level, which are of naturally shrub species and are less than 0.5m tall.

Seed trees Trees greater than 2m tall that have healthy, intact crowns capable of producing flowers and seed within one growing season.

3.8 Annex Eight: Definition of Forest condition characteristics


3.9 Annex Nine: Forest condition class3

Soil cover class

Dominant crown cover

class

Regeneration class

Seed tree class4

Condition class

Low ormoderate

Very sparse orSparse

Very sparse orsparse

LowVery degradedModerate or

Moderate ordense

Low

Moderate or high

degraded

Very sparse or sparse

low

Moderate ordense

Moderate or high medium

Moderate ordense

Low

Moderate or high

highVery sparse orsparse

Very sparse orsparse

low Very degraded

Moderate or high

degraded

Moderate ordense

low

Moderate or high

medium

Moderate ordense

Very sparse or sparse

low degraded

Moderate or high

good

Moderate ordense

low medium

Moderate or high

good

3 Adapted from ‘A Field Manual on Participatory Techniques For Community Forestry’ by W. J. Jackson and A. W. Ingles (May 1998) 4 Not used for classifying forest. Used only for shrub-land classification.


3.10 Annex ten: Selected References

I. Participatory Forest Management Guidelines – KFS, September 2007:

II. Forests Act 2005 – KFS

III. Draft Forest Policy (Sessional Paper No.1 of 2007) - KFS

IV. National Guidelines for Implementing Collaborative Forest Management in Uganda –April 2003

V. Participatory Techniques for Community Forestry – A field Manual, by W.J. Jackson and A. W. Ingles, - May 1998.

VI. Workshop proceedings on Integrated Natural Resources Management Planning- Mt Elgon Integrated Conservation and Development Project,- 6th-10th September, 1999

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