eliciting forest values for community plantations and nature conservation 2006

LEdited by

Michael S. Philip

Ats ACADEMIC PUBLISHERS nDn

Forests, Trees and Livelihoods, Vol 16, pp329-358 1472-8028 $10 © 2006 A B Academic Publishers - Printed in Great Britain

ELICITING FOREST VALUES FOR COMMUNITY PLANTATIONS AND NATURE CONSERVATION

PETRINA ROWCROFT 1 JOHN STUDLEY2 AND KEITH WARD 3

ABSTRACT This paper outlines a participatory method for eliciting forest values and 'cultural loss' by gender and ethnic group and is illustrated with data collected from four ethnic groups who live in The Lugu Lake Nature Reserve (Ninglang County, Yunnan, China). A set of 13 forest values are recognized by most groups, but there are significant differences between the forest value sets on the basis of ethnicity and gender, and 'commercial values' typically used by economists for cost: benefit analysis (CBA) & internal rate of return (IRR) calculations represent only 6% of the sum total of scaled forest values (STSFV). The methodology is based on the psychometric scaling of forest values (1-100) which can be expressed as a % or rank order, and is easy to replicate. It has application both for Nature Reserves, biodiversity and for sustainable forestry programmes predicated on forest values or co-management. Further work is required to remove anomalies in the Chinese (and ethnic) terms used, to identify a suitable numeraire5 if contingent valuation methodology (CVM) or total economic value (TEV) is to be applied, and to evaluate the relevance of forest-related 'identity' and 'place attachment' values.

Keywords: China, Forest Values, cultural loss, Lugu Lake, participation, psychometric

scaling.

INTRODUCTION

The stewardship of forest resources involves a balancing act between the objectives and

needs of a variety of individuals and organizations. Attempts to manage forest resources

on a long-term basis without accommodating multiple interests in both decision-making

and implementation processes have generally failed. This is the raison d’être of

participatory forest management.

Governments have come under heavy criticism in many countries that assigned all

responsibilities and rights related to forest resources to government This excluded local

communities and all other groups from resource management decisions.

1 [email protected] 2 [email protected] (for correspondence) 3 [email protected] 4 Scaling is the assignment of numbers to objects (values) according to a rule http://www.socialresearchmethods.net/kb/scalgen.htm accessed 3rd Feb 2006 Manuscript received 13.2.05; accepted after revision 11.2.06 5 A numeraire is a money unit of measure within an abstract macroeconomic model in which there is no actual money or currency. A standard use is to define one unit of some kind of goods output as the money unit of measure for wages http://economics.about.com/cs/economicsglossary/g/numeraire.htm accessed 5th Feb 2006 Manuscript received 13.2.05; accepted after revision 11.2.0

330 ROWCROFT, STUDLEY AND WARD

The other extreme of the pendulum swing, turning forest management over exclusively to

rural people's organizations or local communities, also has its limitations. Local groups often lack

appropriate technologies and the broader perspective to manage forest resources so that they

make their maximum potential contribution to overall sustainable development. Long-term

management as private forest holdings, in concessions and by NGOs have also often had limited

success.

The best chance for success in sustainable forest management would seem to be through

processes that recognize and involve the multiplicity of ideologies, interests, objectives and

knowledge of the individuals and organizations that have a stake in the matter. The legitimate role

of different groups in sustainable management of natural resources was explicitly recognized at the

United Nations Conference on Environment and Development (Grubb et al 1993), held in Rio de

Janeiro in 1992, and in many subsequent national and international gatherings. More over, a range

of new approaches to forestry planning and management have emerged (Studley 2005), based on

collaboration among "traditional " partners and interests and individuals which were historically

excluded or failed to find political support for their concerns (FAO 1997). One such pluralistic

approach that is apposite for this research coalesces under the rubric of post-modern forestry

(McCay 2000) and an ethno-forestry paradigm (Pandey 1998) and is predicated on local forest

values (Rolstone and Coufal 1991) and biodiversity values (Posey 1999).

Pluralism has longstanding philosophical and political roots even though the term is fairly recent

(Clement, 1997). At its core, the concept of pluralism recognizes the inevitable existence of

differing, often conflicting, positions on any question of substance, from politics to ecosystem

management. Pluralism describes situations where distinct groups are actively autonomous and

independent, but often interdependent, with legitimate claims and different positions on critical

substantive issues. These differences are based on separate values, perceptions, objectives and

knowledge. It describes the dynamic interplay between different ideologies, interests and

organizations. When applied conceptually to forestry and rural development, pluralism may

improve the understanding of certain organizational situations and improve the assessment and

use of techniques and methods for sustainable forest management.

Forestry and rural development are increasingly characterized by different types of organizations

and groups which, although concerned with the same resources, often act independently and have

different and sometimes conflicting perceptions, values, objectives and even knowledge

systems. Moreover, these groups all demand a legitimate role in decision-making processes

concerning natural resource management. These differences often seem to defy traditional attempts

at conflict management, consensus building and agreement.

Pluralism is sometimes understood to be synonymous with diversity or is used to describe the

existence of numerous groups. The existence of many organizations in rural or forestry extension

331 ELICITING FORESTRY VALUES

activities does not necessarily reflect a pluralistic situation, since these groups may in fact not be

independent and autonomous.

Pluralism can usefully be considered in contrast to two other seemingly opposing views. One

view assumes that there is one and only one reasonable, rational system of sustainable forestry

and rural development. This is the assumption behind the "expert authority/technocrat", such as a

government forest service, imposing its conception of natural resource management. The other view

asserts that all values are situational, that they are contextually defined and socially constructed. In

any given situation, therefore, a particular value or value system may take precedence over others.

Both views can be criticized as not fully operational or analytical frameworks; the former because

it is too dogmatic and cannot easily accommodate a wide variety of beliefs and preferences, the latter

because it provides no evaluative criteria and therefore risks anarchy (Daniels and Walker, 1997).

In contrast, pluralism recognizes that, although there is no single, absolute technical solution

to any natural resource management problem and there are multiple values and objectives,

accountability is still required. It also rejects the idea that differing positions are always and solely

the result of ignorance and of specific interests.

Although forestry was influenced by postmodernism much later than other disciplines (Omohundro

1999), and the early literature (Bryant 1996) mostly focused on forestry discourse analysis that

critiqued 'Scientific, Utilitarian, & Colonial' Forestry, within the last decade it has provided an

emerging paradigm that allows foresters to move beyond the narrow confines of 'Utilitarian

Forestry' and adopt an alternative multifaceted approach to forest stewardship (Shindler B et al

1999).

Rudel & Gerson (1999) summarise post-modernism as having five components; a rejection of

grand elite discourses, ever-changing social conditions that require a flexible approach, a rejection

of universal and a corresponding emphasis on the local and particular, multiple voices and logics, and

attention to the interpretation of signs and symbols in which meaning is contingent on social

relations.

McCay (2000) goes further than most authors to argue that a new post-modern natural resource

management has emerged predicated on; utilitarian & non-utilitarian values, whole systems that

are non-deterministic, scientific uncertainty creating space for other sources of knowledge,

adaptive management models, the recognition of indigenous knowledge through bottom-up

approaches, and local people as active participants in the system.

Schelhas (2003) draws on research from the USA and Costa Rica to identify four 'paradigm shifts'

that he believes are characteristic of post-modern trends

• from simple to multiple interests in natural resources

• from simple ownership to bundles of rights

• from deterministic science to multiple knowledge systems


• from public interest to stakeholder groups Typically, however many elite institutions have adopted post-modern rhetoric while operating

under the constitution of 'modernity' (Studley 2005). Joint Forest Management & participation

have become the new tyrannies (Cooke & Kothari 2001) and while the IUCN (Coffman 1998) and

many ENGOs (Abraham 1990) have seemingly adopted a post-modern "biocentric" approach

(Kitossa 2000 page 23) to natural resources, they have continued to base management on elite

knowledge systems, 'ecological imperialism' (Driessen 2003) and a new 'enclosure' movement

(McMaken 2001). These approaches may enhance biodiversity but they often exclude local

people, ignore their knowledge and "linguistic ecologies" (Maffi 1999 page 25) and appropriate

their customary trusteeship of local forest or forest commons.

"Modern knowledge systems" as defined by Banuri and Marglin (1993 page 10) lead inexorably to

ecological destruction and do not provide many models of sustainability. Post modernity offers an

alternative holistic paradigm to enhance the forests and the well-being of the people who depend

upon them It provides a platform to address :- multiple-aim forest management, sustainability,

stakeholder needs, local & indigenous forest values, knowledge equity, and synergy between

formal & customary forestry knowledge systems,

Although ethno-forestry has existed as a vernacular practice for hundreds of years it did not gain

international recognition until the late 1990s when the term was coined (Pandey 1998) and it was

addressed at the 11th World Forestry conference in Ankara in 1997. It can be defined as local

communities continual customary practices of creating, conserving, managing, and using forest

resources and it resonates with ethno-development6. It differs from community and social forestry

in that best practices are premised on racial and knowledge equity, ethnic inclusion, and synergy

between knowledge systems. Ethnoforestry offers the possibility to build on the unique ethnic

traditions of explicit nature conservation, epistemologies of nature, vernacular environmental

education, "topocosmic"7 mediation , forest values, and sacred landscapes found among ethnic

and local peoples, rather than introducing scientific models of resource management that require

training and alienate local people from their culture and landscape.

National forest management planning issues have traditionally been framed in terms of forest

uses - especially commodity uses - rather than forest values or perception (Rolstone and Coufal

1991). Seeded, however by a post-modern paradigm shift (Omohundro 1999), forest values and

cultural and spiritual values are being considered as integral parts of multiple use forestry and

6 Ethnodevelopment as a concept refers to the participation of indigenous groups in the formation and

implementation of development projects in accordance with their own needs and aspirations. Ethnodevelopment projects are designed by rather than for the people concerned, which implies the revaluation of their own culture as the basis upon which future development is to be constructed. Ethnodevelopment is thus opposed to ethnocidal development projects imposed upon local communities by dominant national elites (see Seymour-Smith 1986)

7 Gaster (1987) coined this word from the Greek - topo for place and cosmos for world order. Topocosm means 'the world order of a particular place'. The topocosm is the entire complex of any given locality conceived as a living organism - not just the human community but the total community 0 the plants, animals and soils of the place. The topocosm is not only the actual and present living community but also that continuous entity of which the present community is but the current manifestation.


biodiversity (Posey 1999) and are being incorporated into planning (Schelhas 2003).

Background to the study

During a survey conducted at Lugu Lakes in 2003 under the aegis of Yunnan Environmental

Development Programme9 100% of poor farmers identified:

• the critical nature of firewood supply & non timber forest product (NTFP) collection,

• the protracted conflict this caused with the staff of Lugu Lake Nature Reserve (NR), and

• the heavy workload for women.

Initially it was suggested that the boundaries of the NR be redefined so that each village was close

to a 'buffer zone', but this proved expensive (元103,000,000)11 and could not be completed within

the time-frame of the project. As an alternative, it was suggested that 400 mu12 of bare land within

the Nature Reserve be transferred, with the legal documentation, to local communities for

community plantations predicated on an ethno-forestry model. The vision for this was to restore

custodianship and traditional means of nature conservation and ameliorate the firewood/NTFP

crisis.

Although there was an emphasis within the project on DFID's sustainable livelihoods framework13

and ethnicity and gender, these aspects were not reflected in the Cost Benefit Analysis for this

proposal. Preparatory economic analysis undertaken in mid-2004 focused on estimating the

commercial value of timber from the community plantations and neglected other sources of

value placed on forest resource access and management. This is a common and fairly typical

limit to such analyses - especially when conducted on a small-scale and in natural resource and

environmental contexts. The consequence of this kind of analysis is to understate the real value to

local communities of such interventions.

Better understanding of the ways in which poor and environmentally-challenged communities in

Yunnan value such forest resources should lead to better planning for such types of interventions,

by both explicitly incorporating such values in ElRR-type14 calculations and by implicitly

incorporating them into broader State and provincial policies.

8 Ninglang County, Yunnan Province, China 9 partly funded by DFID 10 the Chinese symbol for yuan or RMB (Renminbi or the 'peoples money) 11E200,000 12 ca 27 ha 13 For a critique see http://www.chronicpoverty.org/CPToolbox/Livelihoods.htm accessed 6th Feb 2006 14 The EIRR expected internal rate of return that would be achieved on all project resource costs, where all benefits and costs are measured in economic prices


Map 1 Lugu Lake, Ninglang County, Yunnan Province, China


As a result of not fully comprehending, or incorporating local forest values, the State and

Provincial Forest Department does not fully address communities needs, and means that

existing measures for joint management of National Parks, reserves, etc are less consensual

and efficient, and thus more conflict-based, than they need be. Experience from around the

world (Reid & Miller 1993) suggests that when nature conservation/ forestry interventions are

introduced ex situ, and seek legitimacy and authority through government without fully

incorporating local value systems, this tends to reinforce existing divisions between local

people and government, thereby increasing alienation and conflict (Colchester 1996). Natural

resource expropriation by the State can lead to psychological imbalances and identity crises

that may be more or less severe according to the coping strategies15 that are adopted by

various ethnic groups (Bonaiuto, M et al 2002). Evidence from China suggests that bolstering

of group language, culture, religion, self-identity, place attachment and nationalism are all

forms of this phenomenon (Studley 2005).

Specifically in the Yunnan context, if State and Provincial planning were more firmly grounded in

understanding local forest values and how local communities use forest resources, more

sympathetic policies - as opposed to simple closure of traditional forests to local communities -

for their joint management could be developed. This could conserve some forms of indirect use

- maintaining continuity of spiritual and cultural access, and preserving inter-generational

environmental management knowledge and skills - and foster place attachment.

Better understanding of forest values should assist in the design of more sustainable policies for

National Parks, Nature Reserves and tourism, and in the identification of better forestry projects -

such as the rehabilitation of bare lands, the establishment of plantations, be they community

managed or otherwise.

The approach

The study has been evidenced-based, within the established theoretical and conceptual framework

provided by the concept of TEV or Total Economic Value (Kengen 1997). Attempts have

been made to elicit forest values from a range of ethnic communities and from a range of

individuals within each ethnic community in northwest Yunnan. Fieldwork was conducted in

Ninglang County (Lugu Lake) over the course of several days in mid-January 2005 with 4

ethnically-based focus groups. Development and pre-testing of the applied community questioning

techniques was the first activity. The approach has been as rigorous in concept and design as the

modest allocation of staff and other available resources allowed. Overall, the emphasis has been

on trying to augment existing Yunnan Provincial Government (YPG) forestry planning and

implementation practice, with information being gathered in a relatively informal yet practical and

pragmatic manner.

15 e.g., social change, acceptance, mobility or particularly social creativity


One intended output of the study has been the development of a “quick and dirty” approach to

identifying and scaling forest values with a view to calculating TEV, in 元 or £ per ha, with the

hope and expectation that this may be applied and replicated by YPG more widely in future.

The study is not strictly directly comparable with other studies of forest value TEV (in China or

elsewhere) that have typically been conducted over longer time periods, in larger populations and

with greater resources.

The Study Area

Lugu Lake (See Map 1) is situated on the border between Sichuan & Yunnan province at an

elevation of 2690.7m. It is China’s third deepest lake with a maximum depth of 935m (a mean of

40.3m) and a surface area of 48.45 km2. A population of 2936 (YEDP 2003) live on its southern

shore (in Yunnan) either in Luoshui, the administrative village (xingzhen cun), or in one of 11

natural villages (ziran cun). These comprise four ethnic groups: - Mosuo (40%), Pumi (15%), Yi

(5%) or Han (40%), although the Mosuo or Na (Cai Hua 2001) are the most well known due to

their matriarchal/ matrilineal society and 'walking marriages' (azhu/axia) 16. There is a total of

3,387 mu (226 ha) of agricultural land (or 1.1536 mu per person) and average per capita

income is only 元 527 ( approx. £40).

History of Nature Conservation

From interviews (Studley 2004) and the literature (Wellens, K. 2002 Yang Fuquan 2002), prior

to the Cultural Revolution (1966) the Pumi and Mosuo had an animistic/shamanistic tradition of

nature conservation, that included elements of sacred landscapes, mediation between the

human-spirit-natural world and vernacular environmental education. There is evidence that

some Yi had similar traditions (Xu Jianchu et al 2004) but this was not supported at Lugu where

the Yi reported that they were a 'hunting minority' and historically 'did not care about nature'.

During the Cultural Revolution (1966 - 1976) forest temples were destroyed and local

shaman/priests17 were persecuted and in the words of a Pumi elder 'we lost our sense of

responsibility for the forest'. This was exacerbated in the 1970s and 1980s when, under an

expanding 'socialist market economy', the forests around Lugu were clear felled on

government quotas that exceeded their annual yield, resulting in flooding and landslides. In

response the government in 1986 established a Nature Reserve comprising 5525 ha and in 1998

16 In reality there is walking marriage, axia (9) cohabitation & monogamy (Yuan 2000) 17

known in Mosuo as daba (Cai Hua 2001) , in Pumi as hangui (Wellens 2002) , and in Yi as bimo (Bamo Ayi 2001)


following Chinas logging ban (Studley 1999a 1999b), Forest Protection was instituted, within

forests adjacent to the reserve Although the establishment of the Nature Reserve and Forest

Protection have allowed the forests to recover (see Table 1) close to the Yunnan average (of 220

cu m/ha) the local

Table 1 : Tree species in Lugu Lake Nature Reserve

Tree Species Volume m3 /ha ha Total m3

Abies delavayi 327 118 38864 A. ernesti 140 8 1120 Larix potanii 265 173 45924 Picea likiangensis 320 510 163360 Pinus armandi 164 45 7446 P. densata 149 12 1825 P. yunnanensis 65 864 56183 Quercus pannosa 340 367 124933 Q. rehderiana 449 5 2245 Sabina recurva 158 6 948 Tsuga dumosa 319 11 3509

people were excluded, in what has been described by some as a 'new enclosure movement'

(McMaken 2001) and nothing was done to:-

• compensate the local people who had previously hunted, grazed, cultivated &

collected NTFP from the forest

• address the subsistence needs of the poor

• assess local forest values and restore the 'cultural loss' they experienced when

their lands were appropriated for the Nature Reserve

• incorporate traditional indigenous knowledge, nature conservation &

custodianship into Nature Reserve Management

METHODOLOGY

A review of academic and theoretical literature of forest values and methods for identifying

'total economic value' (TEV) in similar circumstances was undertaken. Based on this

literature, a typology of potential/likely forest values in Yunnan was developed in Kunming18,

including a range of forest values based on various local ethnic circumstances and practices

(See table 2 below).

Although no internationally agreed typology of forest values exists, coalescing under the aegis of

a 'post-modern' forestry paradigm (McCay 2000, Schelhas 2003) there appears to be a set of at

least thirteen forest values which are important to many indigenous peoples and local communities

(Brown & Reed 2000).

18

The capital of Yunnan province


Table 2 : Forest Values

No. Value Narrative

1 Aesthetic I/we value the forest because we enjoy the forest scenery, sights, sounds, smells, etc.

2 Commercial19 I/we value the forest because it provides income from timber, fisheries, minerals and tourism.

3 Recreation I/we value the forest because it provides a place for outdoor activities. 4 Life sustaining I/we value the forest because it helps produce, preserve, clean, and

renew air, soil and water. 5 Learning value I/we value the forest because we can learn about the environment

through observation or experimentation. 6 Biological diversity I/we value the forest because it provides a variety of fish, wildlife,

plant life, etc. 7 Spiritual I/we value the forest because it is a sacred, religious, or spiritually

special place to us or because we feel reverence and respect for nature

8 Intrinsic I/we value the forest in and of itself for its existence, no matter what others think about it.

9 Historic I/we value the forest because it has places and things of natural and human history that matter to us.

10 Future I/we value the forest because it allows future generations to benefit from the forest.

11 Subsistence I/we value the forest because it provides necessary food and supplies to sustain our lives.

12 Therapeutic I/we value the forest because it makes us feel better, physically and /or mentally. 13 Cultural I/we value the forest because it is a place for us to continue and pass

down the wisdom, knowledge and trusteeship from our ancestors 14 Identity20 I/we value the forest because of its historic and cultural links with our

community] identity. 15 Place attachment' I/we value the forest or parts of it because we feel an emotional,

spiritual or psychological attachment. These values were integrated into the standard TEV framework (Figure 1) and were used as a

starting point for asking communities about the types of forest values that are important to them

In order to calculate the total economic value of forest values defined in this way, the contingent

valuation methodology (CVM) appears to have potential. CVM is the most widely used and

accepted method of valuing non-priced commodities. It is the most commonly used in

environmental economics for the valuation of ecosystems throughout the world. Although it does

19 Note that the study proposal referred to this component as “economic value”. It was changed for the purposes of the present study to reflect the distinction between commercial (financial) use values (which provide opportunities for the subjects to generate cash incomes), and subsistence use values which do not generate cash. 20 A further two sources of economic values were also anticipated a priori; these were place attachment, (14) and identity (15), although they were later dropped during the focus groups as being too hard to distinguish with confidence in reporting.


Figure 1. TEV framework including forest value numbers - (See Table 2)


have limitations, and some indigenous people do not accept it, it is not only accepted for litigation

but increasingly by donor agencies and banks for project & policy appraisa121.

CVM has been used to value subsistence use of forest products, to value "non-market" woodland

and forest resources in valuing the indigenous rights of Torres strait islanders to their sea estates

tropical rainforest protection the local protection of the Krau Wildlife Reserve, Malaysia and the

local conservation of the Cedar Forests in Lebanon and, in China, to assess the loss of 'cultural

assets' as a result of involuntary resettlement22.

CVM can be, however, a relatively complex process not suited to rapid rural appraisals and is not

necessarily appropriate for a primarily subsistence (i.e., non-monetized) rural economy; cash

measures may have little relevance in a subsistence economy such as exists around Lugu Lake.

For the present study, it was therefore decided to scale forest values by asking focus groups to

allocate 100 thumb pins (representing the sum total of their forest values) between a set of 13

forest values. This would produce a scale between 0-100 for each value, a % and a rank order

based on scale magnitude. Four focus groups, covering the four ethnic communities (i.e., Han,

Mosuo, Yi and Pumi), were organized and meetings conducted in the following villages:

Table 3: Lugu Lake focus groups

Total No. Female Village Ethnic Group Male Participants Participants Participants Puluo Han 16 11 5 Shan Kua Mosuo 13 4 9 Wan Jia Wan Yi 10 5 5 Lang Fang Pumi 15 8-10 7

A pre-test session was held in advance to ensure that the basic concept of forest values was

understood and that the translation of each value adequately conveyed the correct meaning in the

respective communities.

At the first village, it was apparent that the women sometimes had different views to men

regarding the relative importance of certain forest values. As a result it was decided to use

separate focus groups for men and women at each of the remaining villages. Each focus group

consisted of 4-11 participants.

At the start of each focus group meeting, the purpose of the study was explained and the TEV

framework described. The forest values were presented

21 Contact the authors for references 22 Contact the authors for references.


Table 4: Ranking of scales forest values by ethnicity and gender


Table 5: Monetary-based TEV


and a narrative summary with relevant examples provided to clarify each value. Each of the forest

values was written (in Chinese) onto a coloured circle and placed in order (for ease of recording)

on a table in front of the participants. Where not all the participants were familiar with the

characters, one of the villagers was able to translate it into the local language. Once the values had

been explained and described, 100 pins were made available to the participants who were then

asked as a group to distribute all 100 pins across the different forest values according to their

relative importance to the community (See Fig 2). That they did not have to place pins on all the

circles was made clear, and that they could also add any values that they thought were missing from

the presented typology.

Figure 2 : Pin allocation of forest values by Pumi men (n= 8-10)


Once all the pins had been allocated, the group was asked if they were all satisfied with the

resulting allocation and whether they could think of any additional values not included in the

typology so far presented. In most cases, there were few changes or additions and then the

number of pins on each circle was counted.

The number of pins on each circle represented a relative scale and rank order for each forest

value (See Plot 1-5 and Table 4)

This methodology can be easily replicated, and could also be extended (with slightly increased

resource implications) to incorporate derivation of cash values for forest values, using a

common numeraire or unit.

RESULTS

Plot 1: Scaled forest values by all group


Plot 2 Han Men and Women

Plot 3 Mosuo: Men & Women


Plot 4 Yi: Men & Women

Plot 5 Pumi: Men & Women


Discussion

The Scaling and Ranking of forest values

Commercial values only ranked 8th out of 13 forest values or 6% of the sum total of scaled forest

values (STSFV) among respondents at Lugu Lake and these findings resonate with a similar

study in Alaska (Brown and Reed 2000). Clearly some care must be taken not to over-interpret

these results, but overall they do suggest that forestry projects that typically use commercial or

market values only capture a small part of the total economic value of the forest to local people.

Until recently, forests were seen as only having economic importance in so far as they could

support commercial timber or wood extraction. Ultimately, unless the results of valuation are

geared towards changing the economic trade-offs that are involved in sustainable forest

management in the real world and capturing forest benefits as real values for local people, there is

a real danger that the source of much of the world's economic life, will disappear altogether

(Brown and Reed 2000).

Recreational values are recognized at Lugu Lake where they ranked 7th out of 13 for Mosuo

women who mentioned a religio-cultural festival when they danced in the forest. Increasing

tourism and the newly proposed "China Shangri-la Ecological Tourism Zone"3° will result in

an increase in tourism and forest recreation at Lugu Lake and may threaten ethnic culture and

authenticity.

The life-support values of forests are recognized in the region where they ranked 1st out of 13

values at Lugu Lake, and were expressed in terms of preventing 'large-scale downstream

flooding', a view supported through much of 'High Asia' (Studley 2005). The western mindset

incorrectly assumes that many life-support services were largely independent of human agency,

but from research in the region (Studley 2005), those surveyed saw every living and non-living

thing in the world as being interrelated and interdependent and, typically, they embed nature in

society (Raven Sinclair 2003 ).

Learning values include all the indigenous modes of knowing that people use to elicit

knowledge about and from the forest on the basis of cognition, epistemology and perception.

They rank 1st among Yi men and 3g1 among Yi women. They are paradigmatically challenging for

natural resource managers because they are part of a holistic and spiritual process that "gathers

information from the mental, physical, spiritual, social, cultural, and historical realms" (Colorado

1989 page 52). The research tools ( Raven Sinclair 2003 ) employed to investigate such values are

metaphysical and polyphasic31 and may include feelings, history, prayer relations, spirit

helpers32 and dreams (Wayman 1967)

30 Comprising 50 counties 31 polyphasic cultures recognize that these other states of consciousness offer valid, valuable and complementary modes of knowing and types of knowledge that are not adequately addressed in our usual waking state alone (Walsh and Vaughan 1993) 32 The spirit helpers, for some people, are a conduit of information and knowing and dreams are a very important means of acquiring information, including knowledge of plants, songs and events of the future (Ankerberg and Weldon 2005)


as well as activities which may mirror western methods of knowledge gathering and learning .

Biodiversity and conservation values only ranked llth at Lugu Lake although this is often a

classic State/official technical rationale for forest-based interventions. For the peoples of Lugu

Lake the spiritual significance of conservation appeared more important than the ecological

significance. This response is similar to that of some other indigenous people (Callicott 1982),

in that they are not deliberate conservationists or ecologists, but they manifest an ethical attitude33.

From the perspective of the local people who have their own epistemologies and cosmologies of

nature, species occupy special places and are protected, but not as species that should be

'conserved '. Discourse on biodiversity means little and is unrelated to local practices harnessing

biodiversity for use. The concept of biodiversity, as embodied in the Convention on Biological

Diversity, is strongly expert based. The focus is typically on genes, numbers of species, or

ecosystem types. It fails to protect cultural diversity and traditional ethnic knowledge, which is

already under threat (Howard 1994), or recognize the need to preserve areas where people live

and rely on local biodiversity (Grubb et al 1993).

The importance of spiritual values to the Pumi (ranking 2nd among men and 6th among women)

is supported by earlier research (Studley 2004) who provided very good exemplars of

conservation and bio-diversity, backed by religious sanction (Pei Shengji 1993). In common with

the indigenous peoples of the region (Studley 2005) most respondents were able to identify

sacred mountains, trees, animals, and springs.

Intrinsic values presented challenges semantically and paradigmatically. In common with many

indigenous peoples respondents consider the "intrinsic value paradigm" (MA and Island Press

2003 page 140) to be important and a central tenet of religious beliefs (Callicott 1986, 1999) where

'everything on earth is inherently valuable because it has been created by a divine being' (Laverty

and Sterling 2004). This contrasts with the enlightenment thinking (Locke and Kant) of many

economists today and some ethicists who believe that intrinsic values do not exist, arguing that all

values are human-cantered, and that a value cannot exist without an evaluator (Laverty and

Sterling 2004). The economists participating in this study largely supported this view, so intrinsic

value was recognized as a local forest value but disconnected from the other components in the TEV

framework (Figure 1).

The importance of 'future' forest values (or 'intergenerational access to forest resources') has

been debated in numerous studies34 and is recognized at Lugu Lake35 in common with other

indigenous peoples (Colfer et al 1995). Although local indigenous peoples have repeatedly asked

the Chinese for guarantees of forest access (DIIR 2003) these have not been forthcoming. Not

33 Normative guidelines governing man's attitudes, behaviour, and action toward the natural environment. 34 Contact the authors for details 35 where it ranked 7th out of thirteen values


only is intergenerational access important but so is intergenerational equity (RAC 1992). Whilst

there can be a range of interpretations of intergenerational equity, the view put forward by

Brundtland (1987 page 8-9) expresses the relevance of this concept to sustainability and the

long-term management of forests.

Subsistence values (or forest products) ranked 3rd at Lugu Lake and are crucial in the

subsistence economies of many indigenous peoples. Their value has until very recently (Emerton

1997) been either ignored by economists and developers or included under the aegis of "culturally

perceived poverty", and therefore a pretext for economic development (Shiva 1989 page 10). This

is in spite of the fact that 80 percent of the "majority world" (Studley 2005 page 45) depend on

forest products for their primary health and nutritional needs. Several million tribal people all over

the world depend on these products for meeting their subsistence consumption and income

needs and in many countries 'minor forest products' are a major export.

There is evidence that cultural, historic, aesthetic and therapeutic values do exist in the region

and that they tend to rank higher among the Pumi than other ethnic groups. Some resource

managers36 realize that they must consider all the ways in which people are involved in ecosystems,

not just commercially, physically and biologically, but also culturally, symbolically, mythically,

psychologically, and emotionally. The symbolic and emotional connections between people and

the land are as real and as important as the ecological relationships between species of plants and

animals. Therefore, we need to look for ways to bridge the scientific understanding of the world

with the indigenous ways of experiencing nature.

Some anomalies appear to exist in the Chinese terms used, in particular with intrinsic and

spiritual values. Spiritual has historic connotations (Anagnost 1994) with 'superstition'37 and so

'beliefs' was used instead. Beliefs, however includes moral, religious & political beliefs which

may not have been a suitable substitute.

Difficulties in distinguishing between 'identity' (身份价值) and 'place attachment'

(对地方的依恋情结价值) were encountered in spite of the fact that no such difficulties were

experienced in other research (Studley 2005) conducted at 57 sites in the region. A commonly

accepted list38 of 'alternative' Chinese words and narrative summary should be adopted for

further research in China, with further field testing and translation into ethnic languages would

be required.

36 A detailed reading list may be obtained from the author 37 The term "superstition" (迷信 mixin) as a pejorative description of certain beliefs and ritual practices came to China, via Japan, in the late nineteenth century. This and the subsequent campaigns against superstition has had the effect of separating practices such as shamanism & animism off as discontinuous with the other forms of belief, which were classified as "religion" (宗教zongjiao). 38 A draft of some such words and narrative summary may be obtained from the author.


Forest value ranking

In order to test the concordance, comparison and association (correlation) between forest

value ranks at Lugu and with similar studies several non-parametric tests were adopted. The

results of the Friedman test (Table 6), Kendall's tau and Speannan’s Rank-Order Coefficient of

Correlation (Tables 7 & 8) and a comparison with a similar study in Alaska (Table 9) are given in

Appendix 1.

At Lugu there is a significant difference between forest value ranks based on Friedman’s Q statistic

and Iman & Davenport's F statistic and little evidence of concordance between ranks based on

Kendall's W. There is a significant pair wise correlation between 4 or 5 focus groups, out of 21, on

the basis of both Kendall’s tau and Spearman’s Rank-Order Coefficient of Correlation (ROCC).

This supports the impression gained in the field that different groups have unique forest value

rankings, but there is some overlap. Further research is required in order to develop more

definitive ranking profiles by ethnic group.

On the basis of aggregated data there is no significant difference between Lugu and an Alaska

study (Brown & Reed 2000) and evidence of strong concordance. This suggests that disparate

communities with similar worldviews and livelihood strategies rank forest values on a similar

basis.

Generating Monetary values from forest value sets

The scaling of forest values can be extended to include monetary values, using an estimation

of any one components monetary value as a numeraire39 to generate monetary values for

all the other components of the TEV. In the present study, the numeraire varied between

groups (in some cases it was a non-commercial value, in other cases it was a subsistence'

value). This is less than ideal, in the sense that valuations of the same items by different

communities would have been more consistent (and thus rigorous). Also, where a value

was summed over several categories of forest product 0 for example with commercial or

subsistence values 0 and because groups could value only some of the products, the

proportions of each product making up the entire benefit have had to be assumed or

derived on the basis of further and more detailed questioning to ascertain the component

composition. The considerable variation across focus groups for the monetary value of

TEV was probably due to some respondents reporting values for the household, others for

the focus group (i.e., say 15 households) and others for the community (i.e., about 100+

households). The estimated values of firewood were in some cases quite different from those

reported in the literature (Studley 2003). For these reasons, the derived measures for TEV

across ethnic groups and between men and women from this study are not formally reported

39 See Emerton 1996 for numeraire selection.


but are shown in Table 5, without comment. The application of the methodology in the present

study, including for the generation of TEV components, could easily be replicated.

CONCLUSIONS

The purpose of the study was to investigate the extent to which

• meaningful information about the identification and scaling of forest values (and

resultant TEV) in northwest Yunnan by local communities could be collected in a

relatively “quick and dirty” manner, and :-

• the applied methodology (and extensions to it) could be replicated by Yunnan

Provincial Government agencies in future,

• the information thereby generated could provide insights to assist YPG in forest project

and policy design and implementation,

• The study could provide the basis for further research and application globally.

The Chinese State has not always pursued natural resource (including forestry) policies which have

had the full interests and involvement of local communities, especially ethnic minorities, at their

heart; the resulting technical interventions have been both inefficient (e.g., because costs of

management/ custodianship which could have been partly borne by local communities have

become entirely State-funded) and inequitable (e.g., because loss of resource-based ethnic

culture has occurred). Forest closures,

following the 1998 logging ban, and extreme levels of exploitation (from 1949 onwards) and

resource appropriation have resulted in great losses to communities such as those covered in the

current study. Tangible forest uses such as tree felling/timber production, firewood collection,

pine needle collection, hunting, grazing and cultivation are all lost when forests are closed, and

less tangible uses 0 such as custodianship, sacred forests, dragon culture (Long Chun Lin, undated),

indigenous knowledge and education are also typically compromised.

Although now pursued with more benign and sympathetic intentions, current State/Provincial

and local policies and projects fail to identify and consider fully the composition of local

communities0 forest values, and are likely to be less sustainable because they have less local

ownership and they do not embody a balance between economic, social and environmental

values. The way in which communities value natural capital (DFID’s livelihoods framework) -

such as forests - needs to be properly understood and this understanding incorporated in policies,

institutions and processes in order to achieve sustainable livelihood outcomes (including a full

range of cultural, spiritual and religious dimensions).


The achievements of the present study can be summarised as demonstrating :-

• that it is possible to design and apply a relatively simple field-based

methodology to

o elicit a range of forest values from local/ethnic communities, o identify and differentiate sources of economic value arising from a range of

natural resources (including forests), and o rank them in terms of their relative importance,

• that the method can be extended to derive monetary values for different sorts of

economic values, through the identification and application of appropriate numeraires,

providing some rigueur in clarity, consistency and application,

• that valuing forest values on this basis around Lugu Lake has provided useful

information for conservation planning; in particular, most importantly, it demonstrates the

significance and diversity of forest use in local livelihoods and household subsistence,

especially for resource-poor households who have few alternatives. Plausible differences in

valuation structures between ethnic communities and between men and women were

recorded

• that quantifying forest values highlights the heavy costs that forest protection imposed on

local communities by cutting off legal access to vital sources of subsistence. Likewise, it

demonstrates the benefits of a conservation system based on sustainable forest use

according to local needs and priorities, rather than on protection and exclusion, and

• that the sum total of forest values for local populations is linked to local forestry

knowledge and reflected in a range of customary practices and management systems

(incorporating a range of use and non-use values) designed to conserve highly valued

forest resources. These systems provide valuable building blocks for collaborative forest

conservation and should be built upon by enlarging the scope of YPG policies and

practice.

In addition to under estimating forest values, there are major paradigmic differences between

indigenous people and natural resources managers that cannot be addressed by integration or by

dichotomising forest values as exclusive entities (Agrawal 1995). There is no epistemological or

psychological framework for integration (Bennett, E. and Zurek, M., undated) and more effort

needs to be made at synergistic bridging between multiple forest value sets (Studley 2005) on the

road to sustainable forest management.

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Appendix 1. Statistical analysis

The Friedman test can be seen as a two-way analysis of ranks. It tests, in this case, inter-scaling

reliability between focus groups and forest values, and the Friedman statistic (Q) tests the

hypothesis that there is no systematic difference in scaling. If the significance of Friedman

chi-square is less than .05, the groups do not differ on the criterion variable. Kendall's W can

be interpreted as a coefficient of concordance (agreement) among focus groups. The coefficient

W ranges from 0 to 1, with 1 indicating complete inter-scaling agreement, and 0 indicating

complete disagreement among focus groups. Note that we report the F-statistic because Iman

and Davenport (1980) have shown that the Friedman test statistic is better approximated using

an F-distribution than the previously identified chi-square distribution.

Spearman's rank correlation provides a distribution free test of independence between two variables. It

is satisfactory for testing a null hypothesis of independence between two variables but it is

difficult to interpret when the null hypothesis is rejected. Kendall's rank correlation

improves upon this by reflecting the strength of the dependence between the variables being

compared.

Table 6 Friedman's two way analysis on ranks at Lugu

Kendall's Coefficient of Concordance (W) W = 0.34 p= 0.0042 Mean rank: 4.71, 8.86, 9.43, 3.57,

9.14, 4.14, 9.71, 5.71, 9.86

6.71, 8.14, 5.86, 5.14,

Treatment average sum of squares of ranks 5733 Number of blocks (focus groups) 7 Friedman's Q statistic Q = 28.804 p = 0.005 The calculation of the Friedman's Q takes ties into account

Q (observed value) Q (critical value) DF One-tailed p-value <

Alpha

28.8044.68

120.0001

0.05

Friedman's Q is distributed as a Chi-square

'man & Davenport's F statistic F = 3.131 p = 0.0013


Table 7 : Kendall’s tau between focus group ranks at Lugu Lake - based on 13 cases

Table 8: Spearman’s Rank Correlation between focus group ranks at Lugu Lake - based on 13

cases


Table 9 Friedman's two way analysis on ranks at Lugu and Alaska

Kendall's Coefficient of Concordance (W) W = 0.71 p=0.144

Mean rank: 3, 8, 6, 2, 8, 7.5, 12, 3.5, 6, 5.5, 13

6.5, 10,

Treatment average sum of squares of ranks 1638

Number of blocks (Lugu and Alaska) 2

Friedman's Q statistic Q = 17.142857 p = 0.149

The calculation of the Friedman's Q takes ties into account

Q (observed value) 17.142857 Q (critical value) 4.68 DF 12 One-tailed p-value < 0.0001 Alpha 0.05

Friedman's Q is distributed as a Chi-square

Iman & Davenport's F statistic F = 2.5 p = 0.0631

eliciting forest values for community plantations and nature conservation 2006

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