NTFP Project 1 Supporting the sustainable use of Non-Timber Forest Products

Transcription

1 NTFP Project 1 Supporting the sustainable use of Non-Timber Forest Products Consultants Report 3/96 Methodology For Collecting Environmental Information For Supporting Baseline Monitoring and Evaluation Of Project Impacts Prepared by D. McKone Assisted by P. Phaengsintham November 1996 DEPARTMENT OF FORESTRY LAO PDR 1 P.O. Box 4340 IUCN, Lao PDR Vientiane, Lao PDR Tel.: ( ) Tel. & Fax.: ( ) Fax.: ( )

2 Acknowledgements I would first like to thank Mr. Pheng Phaengsintham, MSc. for his assistance in the field and with other aspects of the development of this methodology. Of course, I cannot forget to thank Mr. Sounthone Ketphanh, National Project Coordinator, for his very important support and Mr. Andrew Ingles, Project Adviser, for his time and insight. I would also like to thank the other members of the Project Management Team in Vientiane for tolerating my almost constant presence in their rather cramped office. In addition, I extend my full appreciation to all members of the Champassak, Oudomxai and Salavan Field Teams, for their support in the field and hospitality in their homes. Also, I would like to thank a certain wise man from Ban Kham Teuy, for his insights into NTFPs and the reality of the whole sustainability thing. Finally, lots of thanks and appreciation to JSE. To improve readability and save space, references to papers and books have not been put in the text or appendices, except in a few places. I acknowledge, however, that much of the information in this methodology has appeared elsewhere. Contact address: Daniel McKone Until early January 1997: c/o NTFP Project P.O. Box 4340 Vientiane, Lao PDR Tel/Fax: After early January 1997: c/o Department of Forestry or Environmental Systems Program, Department of Environmental Engineering Humboldt State University Arcata, California USA Fax: (Forestry Dept.) or (Environmental Engineering Dept.) DJM5@axe.humboldt.edu

3 Table of Contents Acknowledgements... i Table of Contents... ii List of Tables... iii List of Boxes... iii List of Figures... iii List of Appendices... iii Abbreviations... v Introduction... 1 Profiles and their associated activities, tools and methods for collecting environmental information for supporting baseline monitoring and evaluation of Project impacts... 4 Part Forest Block Profiles Establishing forest blocks Ties with other activities Limitations Forest block Ties with other activities Limitations Investigating and recording forest user management objectives and treatments in forest blocks Ties with other activities Limitations Forest block surveys Forest block surveys using Temporary Sample Plots (TSPs) Determining TSP size Determining number of TSPs to use Placement of TSPs Forest block survey using Point-Centered Quarter Method (PCQ) Establishing and carrying out PCQ transects Ties with other activities Limitations Part NTFP Species Profiles Investigating and recording forest user treatments related to selected NTFP species Ties with other activities Limitations Selected NTFP species inventory, census and off-take surveys NTFP Species Inventory Determining TSP size Determining number of TSPs Placement of TSPs Ties with other activities Limitations Census of NTFP species Limitations Off-take surveys Ties with other activities Limitations References and Source Materials List of Tables Table 1 Profile components and their associated activities and tools... 3

4 Table 2 Suggested minimum number of temporary sample plots per forest block Table 3 Addition to plot dimension distance measure for sloped terrain [slope correction] Table 4 Worked example using PCQ method Table 5 Importance Values for species List of Figures Figure 1 Placement of TSPs [four plots] Figure 2 Placement of TSPs [six plots] Figure 3 Placement of regeneration sub-plots in a TSP Figure 4 Locating point-centred quarter (PCQ) transects Figure 5 PCQ transect with points and quarters; regeneration and bamboo/rattan circular plots Figure 6 Example of a size class distribution graph [for a tree species] Figure 7 Sub-plot layout in a TSP for NTFP species inventory Figure 8 Broad topographical positions Figure 9 Drawings of some indicators of accelerated soil erosion Figure 10 Broad topographical positions Figure 11 Where to measure dbh on tress Figure 12 Sampling for density: the effects of vegetation variability Figure 13 Dispersion patterns in vegetation Figure 14 Example of a running mean graph List of Boxes Box 1 How to carry out blocking... 5 Box 2 How to carry out a forest block description... 7 Box 3 How to investigate and record FU treatments in forest blocks... 8 Box 4 Planning a forest block survey Box 5 How to investigate and record FU treatments related to specific NTFP species Box 6 Planning an inventory of specific NTFP species Box 7 How to carry out a census of NTFP species (plants) List of Appendices Appendix 1 Forest Block Description (Form A) Appendix 2 Forest User Management Objectives and Treatments in Forest Block Checklist (Checklist B) Appendix 3A Forest Block Survey [Temporary sample plots] (Forms C, D and E) Appendix 3B Forest Block Survey [PCQ Method] (Form F) Appendix 4 Forest User Treatments related to specific NTFP species checklist (Checklist G) Appendix 5 Selected NTFP Species Inventory (Form H) Appendix 6 Selected NTFP Census (Form I) Appendix 7 Forest types and other vegetation/land-use categories in Lao PDR and Brief notes on forest/vegetation classification Appendix 8 Brief notes on sampling vegetation... 84

5 Abbreviations BA Basal area cm Centimeter cm 2 Square centimeters dbh Diameter at breast height (1.3 m) ECM Environmentally Conservative Management FBD Forest block description FBS Forest block survey FT (plural: FTs) Field Team FU (plural: FUs) Forest User ha Hectare (10,000 m 2 ) m Meter m 2 NTFP (plural: NTFPs) PCQ PRA RRA TSP (plural: TSPs) Square meters Non-Timber Forest Product Point-Centered Quarter Method Participatory Rural Appraisal Rapid Rural Appraisal Temporary sample plot

6 Introduction The Non-Timber Forest Products (NTFP) Project s Annual Plan for 1995/96 included the following objective: To obtain baseline information from those pilot sites where agreements have been made and approved The Annual Plan also stated that:...the Project will collate existing materials and undertake additional baseline surveys in forests...for the purposes of future monitoring and evaluation, This paper proposes a methodology for gathering the information needed for monitoring and evaluating indicators of the environmental 2 impacts of Project interventions. Most projects that have a monitoring component are concerned with establishing a baseline. This term has a variety of meanings, including the conditions that prevail when a project begins or when monitoring starts, and the basis upon which all future change is to be assessed. Environmental systems, however, are characterised by cyclical or stochastic changes that, without lengthy periods of initial surveillance, make the establishment of a true baseline somewhat problematic. [See: Collecting environmental information for supporting baseline monitoring and evaluation of Project impacts: an issues paper, which discusses the above issue and others related to the development of this methodology]. The methodology proposed here uses a set of profiles. These profiles measure and document indicators of the existing environmental condition 3 of forests 4 and selected Non-timber forest product (NTFP) species and the ways in which these are being managed. The profiles are repeated over the life of the Project to help gain insight into the environmental impacts of Project interventions. Periodic profiles can assist in revealing environmental changes that may require immediate corrective action or that call for longer-term changes in Project interventions. The profiles are based on inputs from not only Project personnel and consultants, but also from those who are actually managing forests. This paper suggests that the concept of Environmentally conservative management (ECM) of both forests and selected non-timber forest product species should form the basis for monitoring indicators of the environmental impacts of Project interventions. 2 Environmental or environment, in this methodology, refers to the natural environment(s) in areas where the Project is active (this includes biological, ecological and physical factors). 3 Condition describes the current biophysical characteristics of an area (e.g. variety and abundance of vegetation present and extent of accelerated soil erosion). 4 The term forests, for the purposes of this methodology, includes vegetation usually referred to as forest, as well as fallow swidden, shrubland and so-called agro-forests, as well as associated biophysical resources (e.g. soils). 6

7 Environmentally conservative management of NTFPs is defined in terms of exploiting 5 NTFP species in a manner that is conservative 6 and which minimises the negative environmental impacts 7 on the forests where these NTFP species are found The following profiles provide a means for the NTFP Project to collect environmental information to support baseline monitoring and evaluation of indicators of environmentally conservative management of NTFPs: Forest block 8 profiles, which: Provide basic biophysical information about forest blocks. Document the management objectives of forest users (FUs) 9 and treatments 10 applied in forest blocks. Record detailed forest block characteristics 11 from temporary sampling units 12. NTFP species profiles, which: Document the management objectives of forest users and treatments related to specific NTFP species found in one or more forest blocks. Record biological and ecological information on specific NTFP species in forest blocks. See Table 1 on next page. 5 Exploitation, in this case, refers to pre-harvest, harvest and additional treatments, including domestication, associated with specific NTFP species. 6 Conservative implies: minimising negative impact(s) on the regeneration/continued viable existance of resources (e.g. populations, species and ecosystems) being exploited and their natural environment(s). Also, see below. 7 Negative impacts refers specifically to activities which may adversely affect population(s) of individual species; the diversity (richness and abundance) of species, permanently change and impair forest ecosystem processes under average environmental conditions; and/or reduce the ability of forest ecosytems to withstand, and recover from, extreme events. 8 Forest blocks are areas of forest which are relatively homogenous in terms of their species composition, structure and function; plus other biophysical characteristics, and levels of disturbance and degradation. 9 Forest users (FUs) are local groups of individuals who utilize or manage local forests. 10 Treatments refers to the multitude of ways which forest users manipulate and extract forest resources, including specific NTFP species, as well as to other activities carried out by FUs and others in forests. 11 Characteristics include density of tree species present, abundance of tree regeneration, vegetation species richness, and indicators of wildlife present in a forest block. May include NTFP species. 12 Sampling units include sample plots and plotless sampling techniques. 7

8 TABLE 1. Profile components and their associated activities and tools. PROFILES ACTIVITIES TOOLS Forest block profiles, which: Provide basic biophysical information about forest blocks Establish forest blocks Forest block descriptions Forest walks with key informants. Direct observation. Forest block appraisal form. Participatory mapping/ sketch mapping. Document the management objectives of forest users and treatments applied in forest blocks Investigate and record the management objectives of forest users and treatments applied in forest blocks. Forest user treatment form for forest blocks. Semi-structured interviews. Interest groups. Forest walks with key informants. Direct observation. Time charts (seasonal diagrams) Participatory mapping/ sketch mapping. Record detailed forest block characteristics from temporary sampling units in forest blocks (can include information on selected NTFP species) Forest block surveys Temporary sample plot forms. Point-centered quarter method (PCQ) sample forms. Forest visits with key informants. Standard vegetation sampling techniques NTFP species profiles, which: Document the management objectives of forest users and treatments related to selected NTFP species Investigate and record management objectives of forest users and treatments related to selected NTFP species. Forest user treatments form for selected NTFP species. Semi-structured interviews. Forest walks with forest users. Direct observation Interest groups. Participatory mapping/ sketch mapping. Time charts (seasonal diagrams). Record biological and ecological information on selected NTFP species in forest blocks Selected NTFP species inventory and census in forest blocks; and off-take studies. Selected NTFP species inventory and census forms. Forest walks with forest users. Semi-structured interviews. Direct observation. Standard vegetation sampling techniques. Participatory mapping/ sketch mapping. 8

9 There is no set order for collecting the information needed for monitoring indicators of ECM. Some activities must be carried out before others can be undertaken and many activities can be combined. The reason there are different activities in the first place, however, is to make things more manageable for those having to collect the information. The Project should experiment to see how best to consolidate information gathering activities. Profiles and their associated activities, tools and methods for collecting environmental information for supporting baseline monitoring and evaluation of Project impacts The profiles are completed using Rapid Rural Appraisal (RRA) and Participatory Rural Appraisal (PRA) techniques, as well as more conventional quantitative vegetation sampling methods. Some of the quantitative sampling techniques suggested in this methodology involve lengthy, complicated and fairly tedious tasks, with statistical limitations 13. These should only be used in cases where detailed quantitative information is perceived by the Project to be necessary for monitoring and evaluation purposes; and where there are fewer constraints on Field Teams (FTs) time for such work. The information collected while carrying out profiles and their associated activities should be saved for future use. The methods presented here should be modified and improved based on experience. As with the NTFP Project as a whole, this is very much a work in progress. Part Forest Block Profiles Forest block profiles provide a variety of biophysical information on specific forest areas. The spatial basis for collecting information is the forest block. Forest block profiles should be done in areas that are of importance to forest users (FUs) and field teams (FTs). Forest block profiles involve the following activities: Establishing forest blocks Forest block descriptions Investigating and recording forest user management objectives and treatments in forest blocks Forest block surveys 1.1 Establishing forest blocks The Project is active in areas where forests are quite extensive. Therefore, it is desirable to divide areas of forest into units of manageable size. Forest blocks are the spatial basis for collecting much of the information needed for monitoring indicators of ECM. They should be established prior to carrying out forest block descriptions (FBD) or forest block surveys (FBS). 13 They cannot be used to determine estimates of precision or sampling errors and, therefore, are not appropriate for hypothesis testing. 9

10 Blocking is a subjective activity during which areas of forest (or other vegetation of interest) are divided into units called forest blocks. Forests typically consist of a number of individual species (though there are forests composed of only a few species). These individuals are difficult to group precisely into classes or types with clear boundaries. If boundaries between vegetation are readily apparent, this is often due to environmental or management factors. Therefore, a forest block is a unit of vegetation that is more or less, though unlikely completely, homogenous with respect to species composition, structure and function; plus other biophysical characteristics (e.g. soils) and intensity of disturbance and degradation. The establishment of forest blocks should be based on minimising the variation within a block, while maximising the variation between blocks. Forest block locations and approximate boundaries should be well documented. Visible natural or permanent human made features, such as streams, hills, roads or trails along with their local names, may be used for block boundaries. BOX 1: How to carry out blocking Locate forest of interest. Delineate the approximate boundaries of this forest on a sketch map which, if possible, is based on a topographical map. If there are major natural features, such as rivers, hills or large rock outcrops present, note these. Identify areas within the above forest which are relatively homogenous in terms of their species composition, structure and function; plus soils, and levels of disturbance and degradation. Recent, large-scale aerial photos may be useful in identifying potential forest blocks. Delineate the boundaries of these areas on the above sketch map using any available natural or permanent human made features such as streams, roads or trails. These will become forest blocks. The location of selected NTFP species can also be used as a reference point. If available, a Global Positioning System (GPS) unit can help to record the location and boundaries of the block. The sketch map should also note the general location of selected NTFP species. Forest blocks can be established by going on forest walks with forest users, using direct observation and participatory mapping/sketch mapping, aerial photos and a Global Positioning System (GPS), if available Ties with other activities Forest blocks are the spatial basis for forest block profile activities, as well as selected NTFP inventory and census Limitations Forest blocks with poorly documented locations and boundaries may be difficult to relocate over time. 10

11 1.2 Forest block descriptions A forest block description (FBD) provides basic information about a single forest block, including: An overview of the biophysical conditions in a forest block A summary of past and present management objectives and activities and how these have influenced current conditions in the forest block. A FBD should be carried out with the assistance of forest users. FUs can provide insights into the past and present history of a forest block, as well as information on the names, growth, and regeneration status of plant species and wildlife found in the block. In addition, specimens of unknown vegetation (or of uncertain identification) should be collected for later identification at a herbarium. Information that can be gathered during a forest block description includes: Forest block location and boundaries Area, elevation range, broad scale topographical position and aspect Indicators of accelerated soil erosion Soil cover Current main vegetation type Vegetation layers present and the extent of their cover; and dominant species present Regeneration of vegetation NTFP species, including wildlife Human impacts See Appendix 1: FBD form (Form A), for more details. This information can be gathered by going on forest walks with key informants; asking local participants questions; drawing the block and its general features on a sketch map; checking available topographical maps and recent, large-scale, aerial photos; and by making ocular estimates of vegetation cover, accelerated soil erosion and other features. 11

12 BOX 2: How to carry out a forest block description FTs should read, review and discuss the FBD form and explanation sheets. Make sure the explanations and definitions are clear to those who will be carrying out the FBD. Find knowledgeable local informants who have the time and desire to visit the forest area of interest with FTs. Explain the purpose of the FBD to local participants. If the forest area has not yet been blocked, then this should be carried out while undertaking the FBD. The approximate location and boundaries should be drawn on an existing large-scale 14 topographical map, if available. If not, a sketch map 15 showing these should be made; or they can be shown on a sketch map of a larger forest area. Record information on the FBD form as the FT and local participants move about the forest block. Do not rush through the activity, and be sure to allow for periods of discussion if necessary Ties with other activities FBDs can be carried out during the establishment of forest blocks. Also, investigating and recording FU treatments in a block is possible, though this activity may overwhelm the local participants with questions if done at the same time! Information on the location of specific NTFP species and their ecology and biology may be gathered while carrying out a FBD. It is important to remember, however, that a FBD is meant to gather basic information on a forest block and that additional information gathering may hinder the FBD process Limitations FBDs provide only a brief and simplistic picture of what may be a substantial area of forest. Information is gathered from discussions and ocular estimates, i.e. the methods are subjective ( soft ). In terms of their usefulness and appropriateness for monitoring, repeated FBDs may provide indicators of gross change in a forest block. They do not provide a means of observing subtle changes in forest blocks over brief periods of time. 1.3 Investigating and recording forest user management objectives and treatments in forest blocks The documentation of FU management objectives and treatments in forest blocks is an important component of a forest block profile. What one sees in terms of forest block condition today, is based on past and present treatments applied to the forest block (along with natural events). What a forest will look like in the future is based on past and present management objectives and treatments (and natural events). Documenting the history of management objectives and treatments, along with current management objectives treatments and trends may help to indicate the nature and direction of changes in the condition of a forest. Also, it can provide a basis for monitoring the Project s influence on the choices FUs make regarding the treatments they are currently using and may use in the future. In addition, investigating and recording forest user treatments in forest blocks can complement other components of a forest block profile by documenting trends in FU treatments in forest blocks, which may then be compared with long-term trends observed in FBDs and Forest Block Surveys (FBS) over time. 14 Ideally, 1:50,000 scale or larger. This includes maps at scales of 1:25,000; 1:10,000; and 1:5, Based on known distances, either from an existing topographical map or another type of map. 12

13 Information that can be obtained by investigating and recording FU management objectives and treatments in forest blocks includes: Identification of FUs. Insight into FU decision making dynamics and processes related to management objectives and treatments. The history of treatments in the block, including those related to NTFPs. Current treatments in the block, including those related to NTFPs. The location of these treatments. The history of management objectives in the block Current management objectives in the forest block. Trends in management objectives and treatments. See Appendix 2 for Forest user management objectives and treatments in forest block checklist (Checklist B). This appendix contains a list suggested general topics and specific information that should be investigated and documented. This information can be gathered by semi-structured interviews, through dialogue with interest groups, forest walks with key informants, direct observation, time charts, and using participatory maps/sketch maps. BOX 3: How to investigate and record FU treatments in forest blocks Select forest blocks of interest to FUs and FTs. Investigation and documentation should be done for each forest block of interest. FTs should review the FU management objectives and treatments checklist, discuss the topics presented in it and make additions or other changes, if necessary. Also, FTs may have already gathered much of this information during previous RRA/PRA activities. Identify FUs who are active in the block. Be aware that the FUs may hold a variety of views and have different levels of influence on management objectives and treatments in the block. Use appropriate participatory tools to obtain and record the information required to provide useful and complete documentation of treatments. Participatory mapping/sketch mapping is important for recording the spatial aspects of the treatments within a forest block Ties with other activities Much of the information needed for documenting FU treatments can be acquired during other FT activities in villages and forests. FBDs, Forest block surveys (FBS), and activities related to NTFP species profiles may also provide additional information on FU management objectives and treatments in forest blocks. Information on treatments applied to specific NTFPs may be gathered during this activity Limitations Forest users may not want, or be able, to provide honest and complete answers to all questions on management objectives and treatments, for a variety of reasons. Knowledge of past treatments carried out by government agencies or others may not be available. 13

14 1.4 Forest block surveys NOTE: The Project is seeking environmental information to support monitoring and evaluation of a wide range of environmental indicators. Much of this information is provided by the previous activities. The Project, however, may decide that gathering quantitative environmental information in forests is desirable and practicable. Therefore, the final activity in a forest block profile is a forest block survey (FBS). This activity is done either using temporary sample plots or a plotless sampling method. A large amount of information on forest vegetation 16, and to a much less extent, wildlife, can be gathered during a forest block survey. This information can provide insight into the current condition of a forest block, as well information useful for future monitoring 17. A forest block survey also gives FTs the chance to become intimately familiar with forests in the areas where they are active. A survey, however, requires a large amount of time and work to carry out. The Project may decide that FBDs and documentation of management objectives and treatments is adequate for their needs. Alternatively, the Project may decide not only to carry out a FBS, but also inventories of selected NTFP species in the block. This decision will depend on the time and work required for this activity and the amount and utility of information obtained compared to the other demands on Project resources. The quantitative information gathered during a FBS, if collected using the suggested systematic and plotless sampling methods, are not ideal for some statistical procedures, e.g. inferential statistics (including hypothesis testing 18 ). In most cases, the data from two samples, if obtained using systematic sampling, cannot be compared statistically, except as approximations. Therefore, the information gathered using these methods and tools may only by useful for calculating descriptive statistics. The limitations inherent in systematic sampling methods may be overcome by using random sampling methods (unrestricted or stratified), though random sampling has difficulties of its own 19. Also, there are subjective methods of surveying vegetation which can be used (see Malhotra et al. 1992, for example). See Appendix 8 for a further discussion of vegetation sampling. The following section describes approaches to a FBS should the Project choose to invest time on this activity. A forest block survey provides detailed quantitative information on the vegetation in a forest block and broad indicators of the presence of wildlife species. Surveys may be repeated over time to observe changes in the composition, abundance, regeneration and extent of disturbance of forest block vegetation. The information obtained from periodic FBS can also be compared to the information from periodic documentation of FU management objectives and treatments in forest blocks, to observe possible parallel or convergent trends or linkages. They may also be used to collect density and size class distribution information for selected NTFP species. Forest block surveys provide more detailed information than FBDs, but require more time and effort to carry out. FBS are undertaken by FTs, using temporary sampling units in a forest 16 Including NTFP species. 17 The use of temporary sample plots and plotless sampling transects for periodic monitoring results in increased sampling errors (decreased precision) and difficulty in determining causal factors/relationships. 18 Most statistical methods related to hypothesis testing requires that samples be drawn at random. 19 It is often difficult to locate randomly selected plots; also, standard parametric statistical methods may not be appropriate for many kinds of vegetation data. 14

15 block. The sampling units may be temporary sample plots (TSPs) or point-centered quarter method (PCQ) transects. The information required for forest block surveys can be gathered using standard vegetation sampling and measurement techniques, temporary sample plot forms, PCQ forms, forest visits with key informants, and sketch mapping. In addition, specimens of unknown vegetation (or of uncertain identification) should be collected for later identification at a herbarium. See Appendix 8: Brief notes on sampling vegetation. BOX 4: Planning a forest block survey A FBD should have been carried out already. Based on the size of the forest block and number of plots suggested, decide to use TSPs or PCQ method. (See Table 2). Discuss and review TSP or PCQ forms and the purpose and methods of the survey in general. Review basic notes on sampling vegetation to see if the FT would like to modify the sampling procedures. Explain and discuss FBS with FUs and invite them to help out. They can provide practical information like species names and wildlife information and they may also suggest additional things to measure Forest block survey using temporary sample plots Temporary sample plots (TSPs) are recommended instead of permanent plots because of the major difficulties associated with marking and relocating permanent sample plots. Also, there is the potential for FU bias in using areas in and around permanent sample plots. Unfortunately, the use of temporary sampling units for periodic monitoring, instead of permanent sample plots, results in increased sampling errors (decreased precision), large variances and difficulties in determining causal factors related to changes in forest blocks over time. This is especially true in areas where there is large variation in the population being sampled. Information provided by a forest block survey using TSPs includes: Density 20 of tree species Basal area (BA) 21 of tree species Density of shrubs Density of bamboo and rattan Density of cut stumps Abundance 22 of tree regeneration Species richness 23 (trees, shrubs, and bamboo/rattan) Indicators of wildlife Indicators of human impacts Optional: Relative density, relative frequency, relative BA and an importance value can be calculated on a per species basis from the information gathered using TSPs. (See ; Form F; and Peters 1996 for further information on the calculations involved). 20 Density is the number of individuals per unit area. It is an objective measure of abundance. 21 Basal area (BA) is the cross-sectional area of a tree at breast height (1.3 m). 22 Abundance=amount. 23 Species richness is the total number of different species in a given area. 15

16 See Appendix 3A for forest survey forms (Temporary sample plots) [Forms C: Sample plot data form; D: Summary of sample plot data form; and E: Summary of forest block survey form (data from all plots in block)] Determining TSP size Sparse vegetation will normally require larger plots than dense vegetation, though this depends on the variation of the vegetation being sampled. Also, plots should be large enough to include one or more of the largest individuals or patches of vegetation. Therefore, two different plot sizes are suggested based roughly on the distribution of the vegetation present: For open forest or shrubland 24 (e.g. dry dipterocarp forest): 10 x 40 m (400 m 2 ). Regeneration sub-plots: 10 x 5 m (50 m 2 ). For dense forest or shrubland (e.g. evergreen or mixed deciduous forest): 10 x 20 m (200 m 2 ). Regeneration sub-plots: 10 x 2.5 m (25 m 2 ). The above TSP sizes can be adapted based on the variation and dispersion of the vegetation being sampled Determining number of TSPs to use Review the forest block size and decide how many TSPs will be necessary to adequately sample the vegetation in the forest block. The number of plots per block is based on the size of the block in hectares, the nature of the vegetation, and time requirements for doing the plots. A minimum sampling intensity of 2% 25 of the total area of the block is suggested, with a minimum of four plots per block to increase the likelihood that the sample is approximately representative of the forest block (population). Two regeneration sub-plots are located within each sample plot. See Table 2. If the forest block is very small, smaller plot sizes than those suggested above may have to be used. A subjective determination of an adequate sample size 26, may be obtained by using a running mean 27 of the data gathered in sample plots. 24 Shrubland is an area of vegetation dominated by shrubs. Shrubs are woody plants, usually with several woody stems starting from the ground; typically less than 3 m tall (though they can reach up to 7 m or more in height). 25 In the absence of preliminary sampling to guide inventory planning, the 2% figure is suggested as a compromise between workload and precision of estimates (i.e. not too much or too little for context of the Project). It should be noted that 3% of total area is sometimes given as a suggested minimum sampling intensity. 26 There are equations for determining adaquate sample sizes, which are statistically and practically efficient. However, these are based on data from preliminary or previous samples and require the use of random sampling methods. See Appendix See Appendix 8. 16

17 TABLE 2: Suggested minimum number of TSPs per forest block Number of plots in forest block Block size in ha 1 ha = 10,000 m 2 Open forest Dense forest < If forest block is >10 ha: use Point-centered quarter method (PCQ) Note : For PCQ method see below Placement of TSPs The TSPs should be distributed systematically about the forest block. This can be done by drawing a simple grid system over a topographical or sketch map of the forest block (which is based on a topographical map with known distances/scale). The spacing of the grid system is based on the number of plots required and the size of the block. The TSPs should be centred on the grid intersection points and be approximately equidistant from each other. These distances will depend on the size of the grid system. See examples in Figures 1 and 2. To reduce bias, plots should not cross into another block nor should the location of the sample plots coincide with a particular atypical pattern in the vegetation or environment (e.g. the plots are all located on areas of bare rock even though most of the plot is covered by evergreen forest). To locate the sample plots on the ground, use the sketch map and a topographical map of the area to determine approximate compass bearings and distances to plot locations. Pace off the distance to each plot centre, following a compass bearing. Use whichever sequence for doing the plots that is most convenient. Each TSP contains 2 regeneration sub-plots. See Figure 3 for the location of the sub-plots. FIGURE 1: Placement of TSPs (four plots) Approx. 300 m Approx. 100 m Equal distances Forest block: This forest block is approximately 3 ha in size. It contains evergreen forest. Four temporary sample plots of 10 x 20 m (200 m 2 ) should be established. Note: plots are not to scale or of exact shape. 17

18 FIGURE 2: Placement of TSPs (six plots) Methodology for collecting environmental information (NTFP Project) Approx. 280 m Approx. 280 m Equal distances Forest block: This forest block is approximately 8 ha in size. It contains dry dipterocarp forest. Six temporary sample plots of 10 x 40 m (400 m 2 ) should be established. Note: plots are not to scale or of exact shape. FIGURE 3: Placement of regeneration sub-plots in TSP 10 m 10 m 5 m Sub-plot 2.5 m 10 m 20 m Sub-plot 5 m 2.5 m sub-plot 5 m 5 m 40 m 10 m Regeneration sub-plots are located within the temporary sample plots. sub-plot 5 m 10 m The more or less systematic placement of plots (the location of one plot is then used to locate the next plot) is suggested here, due to the difficulties involved in locating truly random sample points. These difficulties include the need for very accurate maps, detailed x and y grid systems and the time required to locate random sample points. As previously mentioned, many statistical procedures and estimates are based on the assumption of random sampling (e.g. hypothesis testing based on probability). Systematic sampling, though, does generally provides a satisfactory estimate of population means. However, the precision or sampling error and confidence limits of the collected data cannot be estimated, except as approximations. 18

19 In each TSP record the following information: Methodology for collecting environmental information (NTFP Project) Plot location reference Elevation Slope Aspect Current main forest type in plot Size of plot Species and dbh 28 of trees Species and heights of shrubs Number and broad diameter class of cut stumps Bamboo and rattan: diameter of clumps and number of culms per clump Tree regeneration Wildlife indicators or observed directly Human impacts In each sub-plot record the number of tree seedlings, saplings and coppice. See Appendix 3A for data forms, calculations and explanatory notes Forest block survey using the PCQ method The point-centered quarter method is suggested for use in forest blocks larger than 10 ha, due to the potentially large number of TSPs, and therefore increased workload and time, required for forest blocks of this size. The PCQ method, as with other plotless sampling methods, is generally suitable for sampling mixed species stands, the dispersion patterns of which may approach randomness. It is not recommended for use in sampling individual species, which tend not to be randomly distributed in a mixed species stand Establishing and carrying out PCQ transects Use a sketch map of the block along with a topographical map and compass to establish transects which adequately cover the variation in forest vegetation/condition in the block. Normally, two or more separate transects are done, though a continuous single transect which changes direction may be used to avoid crossing into another block. See Figure 4. Transect length will depend on the dimensions of the block: 1 km (1000 m) transects or longer for blocks with larger dimensions; shorter transects for blocks with smaller dimensions, e.g. 200, 500 or 800 m transects. Regularly spaced sampling points are established along the transects. Twenty points are considered to be a minimum sampling intensity for PCQ (accuracy increases as the number of points increases). Points should be placed every 100 m along 1 km transects and at shorter intervals for shorter transects, e.g. at 25 or 50m. All points should be equidistant apart, i.e. intervals between points should be the same throughout the transect. See Figure 5. Transects should start inside the forest block, about m from the block boundary. Transects should run upslope, bisecting contours at a right angle, if the block is hilly. Using a compass, move along the transect. Once a point is reached on the transect, locate an imaginary line running perpendicular to the transect; this divides the area around the point into four equally sized quarters. See Figure 5. Within each quarter, locate the nearest tree or 28 dbh is diameter at breast height (it is usually measured 1.3 m from the ground; some authors suggest 1.4 m). 19

20 cut stump cm dbh or greater, measure the horizontal distance (in meters) between it and the point (measure to middle on side of tree) and record species and dbh 30. Also, tree seedlings, saplings, coppice and bamboo/rattan should be enumerated circular plots centred on each point: regeneration in 20 m 2 nested circular plots and bamboo/rattan in 100 m 2 circular plots. See Figure 5. FIGURE 4: Placement of PCQ transects PCQ transects Forest blocks >10 ha in size FIGURE 5: PCQ transect with points and quarters with regeneration and bamboo/rattan circular plots Transect direction When measuring distance from tree to point, run tape to side of tree (center of bole). Q2 Q1 Q3 Q4 Point 3 Distance in Point 1 Point 2 Plot for sampling regeneration. Area of plot is 20 m 2 (radius = 2.52 m). Plot for measuring bamboo/rattan. Area of plot is 100 m2 (radius = 5.64 m). Radius of 2.52 m Radius of 5.64 m The data collected from one or more transects in a forest block is treated as if it came from a single transect: the lengths of all transects are added together to give a single length. The data are first summarised by dividing the total individual plant to point distances by the number of 29 Cut stumps are treated as a single species. 30 An individual tree or cut stump should only be measured once. 20

21 measurements taken. This will provide the mean distance from point to plant. The square of this mean distance is the mean area per plant. The total density of all species of plants recorded during the transect(s) can then be calculated by dividing the unit area by the mean area per plant [unit area is the area within which density is to be expressed, e.g. 100m 2, 1000 m 2, or 10,000 m 2 ; it should be the same units as mean area per plant, e.g. m 2 ]. Methods for calculations of the data collected and a worked example are shown in Appendix 3B. To summarise: Within each of the four quarters at each point, the following information is recorded: Distance in metres from point centre to the nearest tree or cut stump (10 cm dbh or greater). Species and dbh of tree (diameters of cut stumps) At each point: Enumerate and identify tree seedlings, saplings and coppice regeneration in 20 m 2 circular plots. Enumerate and identify bamboo/rattan in 100 m 2 circular plots. Using the information above, which is provided by a forest block inventory using the pointcentered quarter method, the following parameters can be calculated for a forest block: Absolute density 31 of trees and cut stumps Basal area of trees and cut stumps (absolute dominance) Absolute frequency 32 of trees and cut stumps Relative density 33 of trees and cut stumps Relative dominance 34 of trees and cut stumps Relative frequency 35 of trees and cut stumps Importance values 36 for trees and cut-stumps Species richness 37 for trees Regeneration of seedlings, saplings and coppice (from small circular sample plots) Density of bamboo and rattan (from circular sample plots) See Appendix 3B for PCQ inventory form (Form F) and a worked example Ties with other activities (TSPs and PCQ) A FBS can provide information on the density and size-class distribution of selected NTFP species Limitations The systematic placement of TSPs precludes the use of some statistical procedures and the determination of estimates of precision or sampling error of the data collected. The use of temporary sampling units for periodic monitoring, instead of permanent sample plots, results 31 Absolute density= Area/D 2 ; where Area= 10,000 m 2 (which is 1 ha); use whichever area is desired, e.g 1 m 2 ; and where D=mean distance 32 Absolute frequency for a single species= (number of points with species/total points) x Relative density= (number of individuals of a species/total summed number of individuals of all species) x Relative dominance [or relative BA] = (BA of one species/ba of all species) x Relative frequency= (frequency of a species/sum of frequency of all species) x Importance value= Relative density + relative dominance + relative frequency. 37 Species richnes is the total number of different tree species in a block, based on PCQ transect(s). 21

22 in decreased precision and increased sampling errors; along with difficulties in understanding causal factors related to changes in forest blocks over time. Plotless sampling (PCQ), in this case, does not provide as much detailed information as temporary sample plots. Data analysis/calculations for temporary sampling units are relatively complicated and tedious. A FBS provides little, if any, quantitative or even qualitative information on wildlife species. 22

23 Part NTFP Species Profiles A NTFP species profile provides information on the distribution, density and regeneration of selected NTFP species, as well as management objectives of FUs and treatments related to selected NTFP species. NTFP species profiles should be carried out for selected NTFP species which are or may be subject to increased exploitation, domestication or substitution as a result of Project interventions. NTFP species profiles consist of information which is provided by the following activities: Investigating and recording management objectives of forest users and treatments related to selected NTFP species. Selected NTFP species inventory, census and off-take studies. 2.1 Investigating and recording forest user treatments related to selected NTFP species The documentation of management objectives of FUs and treatments related to selected NTFP species is an important component of a NTFP species profile. The types and intensity of treatments currently being applied to selected NTFP species may indicate if a species is being exploited in an environmentally conservative manner. Also, periodic documentation may indicate trends in these treatments by FUs over time. The information that can be documented by investigating and recording FU treatments related to a selected NTFP species includes: Distribution of the population(s) of a species Spatial distribution of treatments NTFP species type Products obtained from species Formal and informal tenure/access/user rights status of FUs in relation to a NTFP species FU knowledge of the biological and ecological characteristics of a species Part(s) of individuals which are extracted Methods of harvesting Frequency and intensity of collection Seasonal patterns of collection Regeneration treatments and their effects Effects of regeneration treatments on surrounding vegetation Domestication 38 status Trends in treatments Perceived potential for change in exploitation, if practising ECM (should the exploitation of the NTFP species be increased, decreased or maintained at current levels)? 38 In the broadest sense, domestication includes any action in which the evoluationary process(es) of a species is influenced by humans to meet their needs; the deliberate selection and breeding of a species by humans. Some definitions of domesticated species, however, exclude wild species which are used in forests, even if they are subject to some degree of management ; or wild species removed from the forest but kept in a genetically unaltered state (e.g. seeds are collected from the wild but planted outside the forest). 23

24 See Appendix 4 for Specific NTFP species treatments checklist (Checklist G). This appendix contains suggested general topics and specific information that should be investigated and documented. This information can be gathered by semi-structured interviews, during dialogue with interest groups, forest walks with key informants, direct observation, time charts and sketch mapping. Also, existing literature and information already collected by FTs can provide additional input. BOX 5: How to investigate and record FU treatments related to a selected NTFP species FTs should review the treatments checklist form, discuss the topics presented in it and make adaptations or changes if necessary. Also, FTs may have already gathered much of this information during their previous activities. Use appropriate tools (mentioned above) to obtain and record the information required to provide useful and complete documentation of treatments. Sketch mapping is important for recording the spatial aspects of the treatments within a forest block. Keep this information together with other components of a specific NTFP species profile for future use Ties with other activities Much of the information related to NTFP species treatments may already have been gathered during previous activities, e.g. the investigation and documentation of FU treatments in forest blocks Limitations Forest users may not want to provide or be capable of providing honest and complete responses to questions on all aspects of management and treatments related to specific NTFP species, for a variety of reasons. Existing knowledge of the ecology and biology of specific NTFP species may be limited. 2.2 Selected NTFP species inventory, census, and off-take surveys An inventory based on sampling or a complete census provides information on the distribution, density and regeneration status of selected NTFP species. Off-take studies may provide insight into the abundance, yield, and regeneration status of selected NTFP species which are difficult to sample or census. These activities may be repeated over time to observe changes in the distribution, abundance and regeneration status of specific NTFP species NTFP species inventory An inventory is a spatially based quantitative estimate of one or more NTFP species of interest. In this case, the methods and recommendations for inventories presented here are applicable to vegetation, such as tree species, shrubs and some epiphytes and other nonwoody vegetation. 24