Eliciting Forest Values for Community Plantations and Nature Conservation 2006

L Edited by Michael S. Philip

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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 ROWCROFT1 JOHN STUDLEY2 AND KEITH WARD3 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 phrowcroft@yahoo.co.uk 2 johnfstudley@gmail.com (for correspondence) 3 keithaveryward@aol.com 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

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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

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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

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from simple ownership to bundles of rights

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from deterministic science to multiple knowledge systems

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• 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.

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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,

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

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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 partly funded by DFID 10 the Chinese symbol for yuan or RMB (Renminbi or the 'peoples money) 11 E200,000 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 9

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

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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

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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)

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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

Abies delavayi A. ernesti Larix potanii Picea likiangensis Pinus armandi P. densata P. yunnanensis Quercus pannosa Q. rehderiana Sabina recurva Tsuga dumosa

Total m3

ha

327 140 265 320 164 149 65 340 449 158 319

118 8 173 510 45 12 864 367 5 6 11

38864 1120 45924 163360 7446 1825 56183 124933 2245 948 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

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address the subsistence needs of the poor

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assess local forest values and restore the 'cultural loss' they experienced when their lands were appropriated for the Nature Reserve

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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

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Table 2 : Forest Values No. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

Value Aesthetic

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

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

Recreation I/we value the forest because it provides a place for outdoor activities.

I/we value the forest because it helps produce, preserve, clean, and Life sustaining renew air, soil and water.

I/we value the forest because we can learn about the environment Learning value through observation or experimentation.

Biological diversity I/we value the forest because it provides a variety of fish, wildlife, plant life, etc.

I/we value the forest because it is a sacred, religious, or spiritually Spiritual special place to us or because we feel reverence and respect for nature Intrinsic I/we value the forest in and of itself for its existence, no matter what others think about it.

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

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

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

Therapeutic I/we value the forest because it makes us feel better, physically and /or mentally.

I/we value the forest because it is a place for us to continue and pass Cultural down the wisdom, knowledge and trusteeship from our ancestors I/we value the forest because of its historic and cultural links with our Identity20 community] identity.

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.

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

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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. Village Participants Puluo Shan Kua Wan Jia Wan Lang Fang

Ethnic Group Han Mosuo Yi Pumi

Male Participants 16 13 10 15

11 4 5 8-10

Female Participants 5 9 5 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.

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

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Table 5: Monetary-based TEV

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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)

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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

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Plot 2 Han Men and Women

Plot 3 Mosuo: Men & Women

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Plot 4 Yi: Men & Women

Plot 5 Pumi: Men & Women

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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"3째 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)

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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

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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 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.

37

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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.

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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).

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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 elicit a range of forest values from local/ethnic communities, 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 o o

•

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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Asian Visions of Authority: Religion and the Modern States of East and Southeast Asia., University of Hawaii Press., Honolulu, pages 221-254 Ankerberg, J and Weldon, J 2005 Shamanism 0 Part 2 http://www.ankerberg.com/Articles/ PDFArchives/new-age/NA3W0505.pdf accessed 22nd August 2005 Ayi (2001) "On the Nature and Transmission of Bimo Knowledge in Liangshan", In Harrell, S. (ed.), Perspectives on the Yi of Southwest China, University of California Press, London, pages 118-131 Banuri, T. and Marglin, F. (1993) Who Will Save the Forests ? : Knowledge Power and Environmental Destruction, Zed Books, London & New Jersey Bennett, E. and Zurek, M., (undated) Integrating epistemologies through scenarios, at http://www.millenniumassessment.org/documents/bridging/papers/bennettelena.pdf accessed 12th Jan 2006 Bleisch, B. and Wong, H., (1990) Global Markets and Sacred Mountains : Nature Conservation in the Tibetan Areas of Sichuan and Gansu Provinces, In China Exploration and Research Society, China Exploration and Research Society, Hong Kong Bonaiuto, M., Carrus, G., Martorella, H. and Bonnes, M. (2002) "Local identity processes and environmental attitudes in land use changes: the case of natural protected areas", Journal of Economic Psychology, 23 (5) pp 631-653 Brown, G. and Reed P (2000) "Validation of a Forest Values Typology for Use in National Forest Planning", Forest Science, 46 (2) page 240 Brundtland, H. (1987) Our Common Future, Oxford University Press, Oxford Cai Hua (2001) A Society Without Fathers Or Husbands: The Na of China, Zone Books New York., Zone Books, New York Callicott, J. (1982) "Traditional American Indian and Western European Attitudes Toward Nature: An Overview", Environmental Ethics, 4 pp 293-318 Callicott, J. (1986) "On the Intrinsic Value of Nonhuman Species", In Norton, B. (ed.), The Preservation of Species, Princeton University Press, Princeton, pages 138-172 Clement, J. (1997) "Political and institutional aspects of pluralism in forestry", Presented at Paper prepared for the Workshop on Pluralism and Sustainable Forestry and Rural Development Conference , FAO, Rome, December 1997, FAO, Coffman, M., (1998) The IUCN• From the UN to Your Back Yard, Sovereignty International, Bangor ME at http://www.sovereignty.net/p/ngo/iucn.htm , accessed 5th May 2002 Colchester, M. (1996) "Beyond participation: indigenous peoples biological diversity conservation & protected area management", Unasylva 186 Forest-dependent people, 47 (3) Colfer, C., Prabhu, R. and Wollenberg, E. (1995) Principles criteria and indicators: Applying ockhams razor to the people forestry link, CIFOR Jakarta Colorado, P. (1989) "Bridging Western and Native Science", Convergence, 21 (2/3) pp 49-68 Cooke, B. and Kothari, U. (2001) Participation: The New Tyranny, Zed Books, London Daniels, S. and Walker, G. (1997) "Rethinking public participation in natural resource management: concepts from pluralism and five emerging approaches", Presented at Paper prepared for the Workshop on Pluralism and Sustainable Forestry and Rural Development Conference , Rome, FAO, DIIR, (July 2003) Tibet 2003: State of the Environment, at http://www.tew.org/tibet2003/t2003.resource.ext.html , accessed 14th July 2005 Driessen, P. (2003) Eco-Imperialism: Green Power, Black Death, Free Enterprise Press, Bellevue, Washington Emerton, L. (1997) "Valuing forest resources for conservation purpose", Presented at African Rainforests and Conservation of Biodiversity Proceedings of the Limbe Conference 17-24 January 1997 Conference , Limbe Botanic Garden Cameroon, Earthwatch Institute, http://www.earthwatch.org/europe/limbe/livelihood.html accessed

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17th 2000, FAO, 1997, Institutional pluralism in forestry: considerations of analytical and operational tools http://www.fao.org/documents/show cdr.asp?url file=/docrep/w8827e/w8827e07.htm accessed 6th Feb 2006 Gaster, T. H. (1987) "Ancient Near Eastern Ritual Drama", In Eliade, M ed (ed.), The Encyclopaedia of Religion, Macmillan, New York, pages 446-450 Grubb, M., Koch, M., Munson, A., Sullivan, F. and Thomson, K. (1993) The Earth Summit Agreements :a Guide and Assessment, Earthscan Publications Ltd, London Howard, P. (1994) "The confrontation of modern and traditional knowledge systems in development", Canadian Journal of Communication, 19 (2) http://www.cjc-online.ca/viewarticle.php?id=231 accessed 30th Jan 2000 Iman RL, Davenport JM, 1980, Approximations to the critical region of the Friedman statistic.

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Kengen 1997, Forest Valuation for Decision Making: Lessons of experience and proposals for improvement, Food and Agriculture Organization of the United Nations, Rome ftp://ftp.fao.org/docrep/fao/003/W3641E/W3641E00.pdf accessed 6th Feb 2006 Kitossa, T. (2000) "Same Difference: Biocentric Imperialism and the Assault on Indigenous Culture and Hunting", Environments, 28 (2) pp 23-36 Laverty, M and Sterling, E 2004, How Do We Define Intrinsic Value? http://cnx.rice.edu/content/m12160/latest/#Callicott accessed 5th July 2005 Long Chun Lin, (undated) Dragon Culture Sacred Forests and indigenous knowledge on resource management in western Yunnan China, Chinese Academy of Science Kunming MA (Millennium Assessment) and Island Press 2003 published OEcosystems and Human Well-being: A Framework for Assessment.0 http://www.millenniumassessment.org/en/Products.EHWB.aspx#downloads page 140 accessed 6th Feb 2006 McCay, B. (2000) "Post-modernism and the Management of Natural and Common Resources", The Common Property Resource Digest, 54 (Sept) pp 1-6 McMaken, R., (2001) The Environmental Enclosure, McMaken, R, Denver at http://www.lewrockwell.com/mcmaken/mcmaken32.html , accessed 20th Feb 2002 Omohundro, J., (1999) Forest Issues in Anthropology in the 1990's, SUNY Potsdam Anthropological Department, New York at http://www.potsdam.edu/ANTH/forest.html , accessed 14th Oct 2001 Pandey, D. (1998) Ethnoforestry: Local Knowledge for Sustainable Forestry and Livelihood Security, Himanshu Publications, New Delhi Pei Shengji (1993) "Managing for Biological Diversity Conservation in Temple Yards and Holy Hills", In Hamilton, L. (ed.), Ethics Religion & Biodiversity, The White Horse Press, Cambridge, pages 118-132 Posey, D ed (1999) Spiritual & Cultural Values of Biodiversity, Intermediate Technology Publications and United Nations Environment Programme - UNEP, London RAC (1992) Resource Assessment Commission Forest and Timber Resources Inquiry: Final Report Volumes 1, 2 and 3., Resource Assessment Commission (RAC): Australian Government Publishing Service, Canberra., Canberra.

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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 W = 0.34 p= 0.0042 4.71, 8.86, 9.43, 3.57,6.71, 8.14, 9.14, 4.14, 9.71, 5.71,5.86, 5.14, 9.86 5733 7 Q = 28.804 p = 0.005

Kendall's Coefficient of Concordance (W) Mean rank:

Treatment average sum of squares of ranks Number of blocks (focus groups) Friedman's Q statistic The calculation of the Friedman's Q takes ties into account Q (observed value) Q (critical value) DF One-tailed p-value < Alpha Friedman's Q is distributed as a Chi-square 'man & Davenport's F statistic

28.804 4.68 12 0.0001 0.05 F = 3.131 p = 0.0013

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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

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Table 9 Friedman's two way analysis on ranks at Lugu and Alaska Kendall's Coefficient of Concordance (W)

Treatment average sum of squares of ranks

W = 0.71 p=0.144 3, 8, 6, 2, 8, 7.5, 12, 6.5, 10, 3.5, 6, 5.5, 13 1638

Number of blocks (Lugu and Alaska)

2

Friedman's Q statistic

Q = 17.142857 p = 0.149

Mean rank:

The calculation of the Friedman's Q takes ties into account Q (observed value) Q (critical value) DF One-tailed p-value Alpha Friedman's Q is distributed as a Chi-square Iman & Davenport's F statistic

17.142857 4.68 12 < 0.0001 0.05 F = 2.5 p = 0.0631