BASES FOR C O M M U N I T Y PARTICIPATION IN T H E M A N A G E M E N T O F T H E B U S O L W A T E R S H E D , BAGUIO CITY, N O R T H E R N PHILIPPINES. by CHRISTOPHER E D W A R D R O D D A N B. A.

, The University of Victoria, British Columbia, 1992 A THESIS SUBMITTED IN P A R T I A L F U L F I L L M E N T OF T H E REQUIREMENTS FOR T H E D E G R E E OF M A S T E R OF SCIENCE

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T H E F A C U L T Y OF G R A D U A T E STUDIES SCHOOL OF FOREST RESOURCES M A N A G E M E N T

We accept this thesis as conforming to the reauired standard

T H E UNIVERSITY OF BRITISH C O L U M B I A December 1994 C H R I S T O P H E R E D W A R D R O D D A N , 1994

In presenting this ;thesis in partial fulfillment of the requirements f o r an advanced degree at the U n i v e r s i t y of B r i t i s h Columbia/ I agree t h a t the L i b r a r y s h a l l make it f r e e l y a v a i l a b l e f o r r e f e r e n c e and study. I f u r t h e r agree t h a t p e r m i s s i o n f o r e x t e n s i v e copying of t h i s t h e s i s f o r s c h o l a r l y purposes may be granted by the head of my department or by h i s or her representatives. I t i s understood that copying o r p u b l i c a t i o n o f t h i s t h e s i s f o r f i n a n c i a l g a i n s h a l l not be allowed without my written permission.

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Abstract:

Increasingly government agencies charged with the responsibility of managing public forest lands and their resources are being faced with the reality that there are people living within these forest reserves and protected areas who are utilizing the forests for survival whether or not they have legal rights to do so.

Given this reality it will be necessary for the agency to evaluate whether it is possible to maintain a conventional management strategy that attempts to exclude the inhabitants from the management of the resources and in some cases from the forest itself. This entails a determination of whether they are equipped with the social management tools, adequate staffing or funding to maintain a police and protect management strategy.

There is also a corresponding need to generate data on the alternatives to their conventional management policies. During the past decades, the alternative strategies have focused on the social aspects of resource management. This has had profound implications for the inhabitants of protected areas such as watersheds.

The advent of participatory management processes allows the development agencies and government officials charged with the protection and management of these resources the opportunity to make a strategic decision. They can choose to either carry on with their existing management strategy or enlist the aid of the local residents in the management of the resources.

Ill

The purpose of this study is to demonstrate that local participation in decision making and goal setting is an appropriate strategy for management in protected areas with resident populations. To carry out this purpose the Busol watershed in the Philippines is used as a case study.

To date the primary thrust of Philippine forest policy has been to maintain a conventional management program, which historically has not acknowledged the presence and stewardship of indigenous populations. The failure to explore

alternative strategies which include forest inhabitants within the framework of forest management and stewardship has limited the response of resource managers in their ability to mitigate disasters for both the forests and its inhabitants.

The Busol watershed, a municipal watershed located within the boundaries of Baguio and La Trinidad cities in the province of Benguet, provides an ideal case study to examine the basis for establishing community cooperation and participation in natural resource management.

The history of the Busol is representative of the problems facing the entire Cordillera region. The agencies which are entrusted with the management of the Busol are currently confronted with several management constraints within the watershed. These have placed the agencies into a position of having to reevaluate their management policies for the watershed.

"Participation" and "participatory management" for the Busol watershed and the purposes of this report are defined as follows: The involvement in peoples development of themselves, their lives, and their environment as a means of achieving self determined change and

iv

sustainability (Davis-Case, 1989). It is a process in which the people join in detennining how information is shared, goals and policies are set, programs are operated and benefits are parceled out (Arnstein, 1969). The primary technique used in the collection of data for this research was Rapid Rural Appraisal (RRA). Grandstaff and Grandstaff (1985) defined rapid appraisal as any systematic activity designed to draw inferences, reach conclusions, test hypotheses, or make assessments requiring the acquisition of new information in a limited period of time. Rapid Rural Appraisal enables the quick generation, validation and analysis of information. It allows the use of several research methods to gain and assess new information as quickly as possible permitting the progressive revision of questions and hypotheses (Grandstaff and Grandstaff, 1987).

The findings of the RRA are organized in two sections. The first section provides a historical background of the Busol Watershed including an analysis of why the municipalities of Baguio and La Trinidad should be pursuing a participatory management strategy. The second section is an analysis of the communities within the watershed, the levels of information exchange and the extent of community involvement in the watershed conservation and management. The 10 bases of analysis utilized in this section were drawn from the literature and case studies on the dynamics of initiating participatory management programs. These bases of analysis are: ethnicity, existence of local organizations, grouping, geographic location, current levels of communication, database structures and distribution, levels of understanding inside and outside the watershed, planning, implementation, and distribution of rights and benefits.

Results of the study indicate that there are possibly large numbers of people within the watershed with very strong claims for the right to remain within the watershed. Therefore, management programs based on exclusionary principals will necessarily be constrained by these residents and their rights. Removing these people will only increase the pressure on the costs of the process as complex legal actions will be required to address their rights. If the agencies choose to continue ignoring them in the planning process then this will undoubtedly result in them continuing to spurn agencies efforts at management.

The question still remained however whether a participatory program could be a defensible strategy for the management of the watershed. The results of the study indicated that the inclusion of the residents within the planning framework will increase the probability for success on two levels. Initially, the programs will reflect the desires and needs of the residents thereby meeting their needs and the needs of the municipalities and the DENR. Secondly, the residents because they will be partners in these projects will become stakeholders in the projects. Through participation they will generate an awareness of the need to conserve and protect resources both for the good of themselves and the agencies. Participation entails the residents being involved in the maintenance and preservation of projects. This will be reflected in a generally higher success rate for initiatives within the watershed and a lowering of costs due to failure.

The field research in the Busol uncovered three broadly based communities within the watershed which are capable of undertaking restoration projects. All three of these communities are composed of primarily tribal peoples who have generational ties to the land within the Busol watershed. Efforts directed towards developing participatory management within these communities will require different

vi

approaches as each community has different social, economic, political and biophysical characteristics. Two of the communities Ambiong and Lamut are situated on the La Trinidad portion of the watershed while the third community of Pacdal-Liteng is situated on the Baguio side.

The findings also indicated that each community within the watershed is at a different stage of development. Correspondingly, they also operate on different levels of involvement with different information exchanges and bases., as was shown above. Therefore, any approaches to restoration of the watershed that acknowledge these differences and allow for them in the planning of strategies will increase likelihood for success. People at more advanced stages of resource protection and participation could serve as excellent models in farmer to farmer extension programs.

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Table of Contents Abstract: Table of Contents List of Figures: List of Tables: List of Maps: Acknowledgement I. INTRODUCTION: A. Purpose of study: B. Objectives: C. Context: Background to the Study Area: D. Literature Review: E. Methods: II. RESULTS: A. The Case Study in the Busol Watershed: III. SUMMARY : IV. RECOMMENDATIONS: A. How To Get To Participation. B. Principals for Selection of First Activities: C. Examples of Possible Initial Community Participation in Watershed Management and Protection Activities: V. REFERENCES: VI. APPENDIX A: VII. APPENDIX B: LANDUSE MAP GEOLOGICAL MAP ii vii viii ix x xi 1 3 3 4 15 27 39 39 76 81 81 83 83 84 87 93 93

List of Figures:
Figure 1: Figure 2: Figure 3: Figure 4: Figure 5. Figure 6: Location Map for the Philippines Map of the Cordillera Provinces Arnstein's Ladder of Citizen Participation (Arnstein, Sherry 1969.)Graphic Representation of Arnsteins Ladder Location Map for the Busol Watershed 5 6 17 20 42

Changes in rates of illegal hunting as a function of increased expenditure of management effort using different management designs; a) reliance on conventional civil servant scouts who enforce punitive measures without local involvement; and b) greater reliance on local participation with joint leadership between traditional rulers and civil authorities (Kaweche, Lewis and Mwenya, 1990) 62

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List of Tables:
Table 1: Table 2 The Bases for Analysis of Communities within the Busol Watershed.. Available census data for the Busol watershed 36 48

List of Maps:
Map 1: Table 2 Geological Map of the Busol-Watershed by DENR Landuse Map of the Busol Watershed by DENR 93 93

Acknowledgement

The fieldwork for this thesis was made possible through research scholarships from the Canadian Universities Consortium: Asian Institute of Technology Partnership Project and the Canadian International Development Research Center's John G. Bene Fellowship in Social Forestry. I would also like to thank all the people and agencies who helped me in this endeavor. The list includes: Dr. David King for all his insights into people and resources issues. Nanette Grospe and Malou Fernandez (The field Team) The Mayor and the Baguio City Government. Center for Alternative Systems Foundation Inc.( Roy and Linda Munsayac, Evelyn Tagudar, Cecil Afable, Julie Cabato, and Ruby Giron and Laida Lim-Perez. Thanks for the roof, the movies, and the Canao.) Baguio Water District (For taking a chance and surrendering Alfonso to us.) Baguio Colleges Foundation President Ray Dean Salvosa ( Thanks for the key introductions) UP Baguio Center for Cordillera Studies ( Thanks for the use of your researchers, Margie and Remy, and the panic reducing advice.) Benguet State University ( Thanks for providing Nanette's troops) Baguio Regreening Movement Philippine Department of Environment and Natural Resources. And of course the kind and welcoming people of the Busol Watershed. And finally my wife Laura and my family who supported and assissted me in all aspects of the job.

I.

Introduction:

Increasingly government agencies charged with the responsibility of managing public forest lands and their resources are being faced with the reality that there are people living within these forest reserves and protected areas who are utilizing the forests for survival whether or not they have legal rights to do so. Given this reality it will be necessary for the agency to evaluate whether it is possible to maintain a conventional management strategy that attempts to exclude the inhabitants from the management of the resources and in some cases from the forest itself. This entails a determination of whether they are equipped with the social management tools, adequate staffing or funding to maintain a police and protect management strategy. There is also a corresponding need to generate data on the alternatives to their conventional management policies. During the past decades, the alternative strategies have focused on the social aspects of resource management. This has had profound implications for the inhabitants of protected areas such as watersheds. By turning to the locals there is a recognition that they are the most immediate stakeholders. Local residents are the most vulnerable people in the management chain. As the water, soil and forest bases erode so do their livelihoods and communities; consequently, there exists within these communities strong motivations for partaking in management activities. Unfortunately, within these communities barriers to effective management are also present. These prevent the local residents from taking the necessary steps to protect and enhance water, soil

and forest resources. The shift away from traditional management towards more socially oriented systems will require the introduction of initiatives and policies which will serve to lower the barriers which prevent local residents from taking a leading role in enhancement and protection of the forest, soil, water and other resources on which they depend.

In order to develop strategies which include the locals in the management schemes more information about the factors which are leading to their land-use decisions must be generated. This information must include more than motivations. It must uncover the economic, political, social and biophysical constraints and opportunities faced by the community. Simply designing projects around the assumptions of the traditional managers with regards to the needs of the local populations will not suffice and will in fact lead to the continuation of resource exploitation and leave the plight of dependent communities unmitigated.

The advent of participatory management processes allows the development agencies and government officials charged with the protection and management of these resources the opportunity to make a strategic decision. They can choose to either carry on with their existing management strategy or enlist the aid of the local residents in the management of the resources.

A. Purpose of study: The purpose of this study is to demonstrate that local participation in decision making and goal setting is an appropriate strategy for the management of protected areas with resident populations. To carry out this purpose the Busol watershed in the Philippines is used as a case study. B. Objectives:

The specific objectives of this study are aimed at uncovering why participation is a sustainable strategy for the conservation and management of the watershed by; - Identifying the constraints to continued exclusionary management based on the historical context of the Busol. - Identifying the opportunities for adopting a participatory management strategy for the Busol based on the historical context of management in the Busol. Then the objective will be to uncover the processes necessary for generating participatory solutions for conserving the Busol watershed by; - Identifying the barriers to and opportunities for public participation in the watershed as they relate to involvement - Identifying the barriers to and opportunities for public participation in the watershed as they relate to information systems. - Identifying the various communities within the watershed and their potentials for partaking in participatory management. Finally, using the data generated from the preceding objectives, a series of recommendations will be developed for initiating effective local participation in the management of the Busol watershed.

C. Context: Background to the Study Area:

The Northern Philippine Uplands, located on the Island of Luzon, encompass the Gran Cordillera which is made up of the provinces of Benguet, Mountain Province, Ifugao and Kalinga Apayo. (See Figures 1 and 2) This 24,000 square kilometer area is composed of a series of narrow high mountain ranges which form the headwaters of the river systems which feed the lowland agricultural areas of Northern Luzon.

The pattern of the Philippine upland forest management is indicative of the trends that are explored in this study. To date the primary thrust of the Philippine forest policy has been to maintain a conventional management program, which historically has not acknowledged the presence and stewardship of indigenous populations. The failure to explore management strategies which include the forest inhabitants within the framework of forest management and stewardship has limited the managers in their ability to mitigate costs for both the forests and its inhabitants. To better understand this process it is necessary to explore the historical roots of Philippine forest policy development.

The history of Philippine forest management is a legacy of colonial rule. Prior to the arrival of the Spanish, the uplands were inhabited by people living in small village settings which were based on swidden agriculture, hunting and gathering (Sajise and Omegan, 1990). These communities were small, autonomous and based their resource management systems on cooperative work groups and communal organizations. "Their prevailing social system, technologies and low population densities resulted in sustainable land-use practices that had limited impact on the environment" (Sajise and Omegan, 1990).

Figure 2: Map of the Cordillera Provinces

The colonization and introduction of the Regalian Doctrine in the 16th century placing the Philippines resources under the control of the Spanish crown began the process of removing control of the resource base from the upland dwellers. When the Americans began their colonial rule in 1898, they pressed forward with additional shifts in tenure which completed the erosion of native title. The Regalian Doctrine was institutionalized by the American colonial powers in the Public Land Act of 1902, the Land Registration Act of 1905, the Cadastral Act of 1913 culminating with the Commonwealth Act in 1938 (Lynch, 1984; Ancestral Domain Research Network, 1993; Chaloping and Evanso, 1992).

The post World War II Philippine Republic continued this trend toward centralization of resources. In 1975 Presidential Declaration 705, the Revised Forestry Code, declared all lands with slopes of 1 8 % or greater, including mountainous land over 600 meters above sea level to be public domain unless these lands were subject to legally recognized claims before 1975 (Gibbs, Payuan, and del Castillo, 1990). By 1981 public forest land and unclassified public land covered 90% of the Gran Cordillera (Lynch, 1984).

These western tenure adjustments tended to favour colonizers and well connected Philippines through the creation of ,written titles and other documents unavailable to the local populations. Areas inhabited by the Cordillera peoples were converted to forest reserves, parks and other reservations which excluded the local inhabitants (Chaloping and Evanso, 1992). This resulted in the disfranchisement of the land and resources of the Cordillera people. They became "squatters" on their own land. The land they had been occupying for generations.

By centralizing control of forest resources, the state was following a management principle that tended to stereotype forest inhabitants as the primary cause of deforestation regardless of the history of the people and their management practices. The government characterized the issue as a problem of "squatting" and slash and burn agriculture (Kaingero agriculture). In answer to these

characterizations there was a strengthening of the forest policies regarding the treatment of uplanders and forest dwellers further eroding their rights. Presidential Decree 1559 in 1978 declared that kaingeros, squatters, cultural minorities and other occupants of public forest and unclassified public land shall, whenever the best land use of the area so demands as determined by the Bureau of Forestry Development Director, be ejected and relocated to the nearest government settlement area.

In reality, the state was deficient in protecting the resources. The state has been unable to control the direction of resource management. Forest cover in the

country had been reduced to 6 million hectares as of 1990 from a total of 18 million hectares at the beginning of the century. The state has long been regarded as unreliable due to factors such as the inability to maintain proper data and inventories, control both legal and illegal logging operations and control the vested interests of officials and elites who saw the public domain land and the public forest as a primary source of power (Gibbs, Payuan, and del Castillo, 1990). Elite control and corruption has functioned to suppress development of resources in any real way. It has also prevented the long term forest inhabitants from gaining access to resources. Kummer (1992) described the results or consequences of elite control of the resources:

"a) it control facilitated the granting of primary forest resources to a small group of logging concessionaires; b) it led to corrupt and inefficient government regulation of the logging process; c) it encouraged migration of the poor to previously forested areas in an attempt to preclude structural reform of the socioeconomic system; d) it led to deliberate manipulation of government data on forest cover designed to mislead the Philippino media and forestry community and foreign researchers; e) the destructive logging set the tone for the poor migrants who followed and fueled the process of forest destruction; f) by concentrating financial returns in the hands of the elite, logging exacerbated the unequal distribution of income, which is most likely the greatest structural problem facing the Philippines" (Kummer, 1992). Consequently, the state hastened encroachment and deforestation by following a policy framework that centralized control of the resources because as Rood claims the Philippines are a "weak state". Ironically these were the processes the state sought suppress (Rood, 1993).

In the Cordillera it was the Benguet Pine forests which were first utilized. The mining industry of Benguet Province during the post World War II era became a major consumer of Pine forests for props and other structures. "By the mid 1950's, the number of sawmills and mining companies had increased and construction of the Ambuklao Dam intensified timber requirements" (Sajise and Omegan, 1990). Increased forest exploitation created increased access. Extensive areas of forest land became readily accessible to the lowlanders moving up into the mountains.

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In some cases natives and recent migrants were encouraged to expand into the recently cleared areas and cultivate commercial vegetable crops and other cash crops (Agaloos, 1993). However, the erosion of tenure security for the original inhabitants created a disincentive for long term resource stewardship. Without the written documents proving their title, they were not able to protect their original domain lands. As a result, they were no longer able to maintain customs and communal practices which in some cases enhanced resource stewardship.

The state also demonstrated its weakness in its legislation. While attempting to consolidate control of forest lands and public reserves into the hands of the government forest bureaucracies, a second line of legislation contradicts these attempts. This second line of legislation sought to recognize the rights of

indigenous peoples to the land which they have traditionally occupied and utilized for generations. The public land law of 1952, the Manahan Amendment of 1964 and Administrative order no. 1 1 provide mechanisms for long term inhabitants with proof of their occupancy to gain some tenure to land.

The first legislation to deal specifically with ancestral domain was Presidential Decree 410, the Ancestral Land Decree. The decree identifies all agricultural lands occupied and cultivated by members of national cultural communities since 1964 as alienable and disposable. The implementing order for this legislation; however, excludes watersheds, coverage forest reserves, national parks and other forest areas. The 1986 constitution also creates a legal basis for recognition of ancestral lands. In 1990 a special task force on ancestral lands was established. This task force was created to identify, evaluate and delineate ancestral claims in the Gran Cordillera. The problem for the ancestral claimants with these forms of legislation was that in order to legitimize their claims to their traditional lands they

1 1

were required to follow appropriate forms of registration and titling. Unfortunately, these processes are often long and complicated and dependent upon inefficient bureaucracies (Rood, 1993).

The inconsistency in the legislation created a situation in which on one hand, "the indigenous peoples' right to the land by virtue of occupation was recognized, but on the other hand, this right was taken away because of the setting aside of the uplands for forest reserves" (Rood, 1993). These conflicting policies weakened the states control over its resources and dampened the forest occupants desire for management. This policy weakness in the Philippines created a bisected resource management policy that prevented effective planning. " I t is suggested that state weakness has prevented the government from pursuing its sustainability initiatives" (Rood, 1993). It was neither capable of removing the Indigenous people from the forest reserves nor of effectively transferring control to these people.

During the 70's attempts were made to incorporate indigenous people in government reforestation programs. These programs used conventional program development channels in order to facilitate participation. "Researchers provided data to planners, who designed cost-effective projects for administrators to implement through large public bureaucracies" (Gibbs, Payuan, and del Castillo, 1990). The structure of these programs lacked client sensitivity and understanding of the mechanisms required for creating participation.

By the beginning of the 1980's concern was gathering over the future of the uplands. "The Philippine uplands and the upland populations were significant issues in national development" (Gibbs, Payuan, and del Castillo, 1990). The

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programs that were initiated during the late 70's which were aimed at controlling these problems by involving local people in tree planting and reforestation initiatives were largely unsuccessful. In these initiatives local communities were targeted more as available labour pools for reforestation than as partners in the restoration of the resource. There was little or no effort to include locals in the planning and implementation of these projects. The forest occupants were seen as targets of aid schemes, they were not viewed as clients of development initiatives.

In order to address the shortcomings of the early social forestry programs, the Upland Development Working Group was initiated by the Forest Management Bureau (FMB) in the early 1980's. This group consisted of FMB staff, NGO's, forest scientists, and social scientists from academic institutions. The purpose of the working group was to provide guidance to the government agencies dealing with forest inhabitants (Gibbs, Payuan, and del Castillo, 1990).

The information generated in the working group helped guide the development of the Integrated Social Forestry Project in 1982. This program incorporated

elements from the previous people-oriented programs of the previous decades. "The ISFP's objectives were: a) To provide security of tenure to the forest occupants through a twenty five year Certificate of Stewardship Contract; b) to improve the capability of the forest settlers for food production and income purposes; c) to establish market outlets for the farmers' surplus crops; d) to provide credit facilities to farmers so they can acquire basic farm inputs such as seeds, livestock, tools and work animals; and

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e) to convert the forest dwellers into agents of forest renewal" (Gibbs, Payuan, and del Castillo, 1990, Agaloos, 1993).

The ISFP represents a significant shift in resource policy in the Philippines. It is a program that aims for participation of communities in the management of the resources. The Community Forest Stewardship agreement component of the ISFP transfers the privileges and responsibilities of utilizing forest resources to rural communities (Agaloos, 1993). This is by no means a solution to all of the resource management problems in the Gran Cordillera, nor is this program without difficulties. The ISFP does, however, provide the government with an option to the conventional forest management strategy. The challenge to gaining success with the ISFP will be to recognize when conventional management strategies are failing and to institute the ISFP in order to create effective management. Once the strategic decision has been made to utilize the ISFP the next step will be to build upon the policy framework a set of tools and tactics for the effective creation of participation. It is these challenges that this paper seeks to explore by focusing in upon the Busol watershed.

The Busol watershed, a municipal watershed located within the boundaries of Baguio and La Trinidad cities in the province of Benguet, provides an ideal case study for examining these challenges.

The history of the Busol is representative of the problems facing the entire Cordillera region. The agencies which are entrusted with the management of the Busol are currently confronted with several management constraints within the watershed. Consequently, these constraints have placed the agencies into a

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position of having to reevaluate their policies and strategic options for the management of the watersheds resources.

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D. Literature Review:

The first three steps in the evaluation of the quality of forest management begins with the identification of a specific forest with a specific set of uses. This is followed by a set of policy goals which expresses the relationship between uses and forest in measurable terms. The third step is the development of management plans which give target forest structure related to policy and how user needs will be met in amount, quality, timing and location (Baskerville, 1988). What is being posited here is that for a specific strategy to meet the desired goals of management it must be realistically achievable within the limits of available skills and resources. Determining whether a management strategy is achievable requires an assessment of the resources that particular strategy will require. In order to carry out an assessment, a firm understanding of the strategy is required.

Traditional or conventional management practices within the Busol and the Northern Philippines are organized around strategies of policing and protecting the resources. This requires the power and resources to remove and control inhabitants of reserves and protected areas. This is achieved by monitoring and patrolling the resource base. The planning aspects of the traditional management strategies are organized through detailed maps and resource inventories. If the planners and field staff lack available skills and resources to achieve these ends then the implemented strategies may fail to meet their desired ends.

In instances where the available resources limit the success of conventional or traditional management strategies then alternatives must be explored. Making the step to developing alternative strategies is a difficult process. If participation is to

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be developed as an alternative management strategy then afirmunderstanding of what participation is and how it functions must be developed. 1. Participation Defined:

"Participation" and "participatory management" for the Busol watershed and the purposes of this report are defined as: The involvement in peoples development of themselves, their lives, and their environment as a means of achieving self determined change and sustainability (Davis-Case, 1989). It is a process in which the people join in determining how information is shared, goals and policies are set, programs are operated and benefits are parceled out (Arnstein, 1969). 2. What participation looks like.

Efforts at participatory management lacking a strong or clear conceptualization of participation have resulted in poor performances on the ground (Mittelman and Srelukwa, 1991, Cernea, 1993, Gronow and Shrestha, 1992). These failures are costly. An initial attempt at bringing inhabitants into the management of a

sensitive area without proper planning and background for participation can backfire. Poor implementation the first time may preclude proper implementation in the future as the trust of the inhabitants must be re-established before further planning or actions can take place. As a result, if participatory management is to be successful, a commitment is required by the agencies. This commitment is not possible without full understanding of the concept of participation.

The primary failure in participatory projects has been the inability to listen to the concerns of the community. Werner and Bower (1982) claim that "Community participation too often has come to mean getting people to do what we decide".

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The focus of participation must shift from the numbers of people involved in projects, to the quality and sustainability of their participation. As Jeffrey Fox (1993) points out it is not a question of "Who does?" but a question of "Who decides?".

How is it possible to make this shift and begin to focus upon who should be making decisions? It is first necessary to understand the core of participation.

If we accept Jeffrey Fox's claim then it follows that participation is dependent upon the upon two key variables, the level of involvement or inclusion of the communities, such as the Busol inhabitants, and the level of information flows or the availability of information to those communities. Participation is not itself a continuum, but is a point along a continuum. Participation only occurs when critical levels of both involvement and information availability are reached. Therefore, as Werner and Bower (1982) point out that "getting people to do what we decide" is in fact not participation.

8 7 6 5 4 3 2

CITIZEN CONTROL DELEGATED POWER PARTNERSHIP PLACATION CONSULTATION INFORMING THERAPY

Degrees of Citizen Power

Degrees of tokenism

Nonparticipation

1 MANIPULATION Figure 3. Arnstein's Ladder of Citizen Participation (Arnstein, 1969).

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To clarify this shift in perspective consider Arnstein's Ladder of Citizens Participation (see figure 3.). According to Arnstein (1969) levels 1 and 2 of the ladder are not participation. These are in fact ways of avoiding participation. This is an area of planning and management in which government strategies are directed towards "educating" and "civilizing" the people.. The agencies role is primarily to tell the people why they have to police and protect the resources.

Levels 3 and 4 (mforming and Consultation) are forms of tokenism. Information is exchanged, but in this form it is truly information flowing downward and upward. The information is lifted from the communities and then it is manipulated and perhaps utilized. The community has no way of monitoring the process of decision making and maintaining control of the information once it has been lifted. The communities are not yet considered as clients nor stakeholders.

Level 5 (Placation) is a higher level of tokenism. At this level the government will allow mediation and comment on the decisions; however, it is still the decision making body. The communities influence is dependent upon the quality of the technical information in its possession and on its ability to influence decision makers. However, the quality of the information is limited by the lack of

involvement in the decision making process and contra positively the level of involvement or influence of the people is limited by their lack of information.

To this point the communities and villagers are not considered stakeholders. They are denied secure access to the resources they depend upon. Without this tenure security the government is able to ignore the real needs and aspirations of the villagers as they lack real control and influence over the resources. government has reserved itself that right. The

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Levels 6, 7 and 8 (Partnership, Delegated Power and Citizen Control) are real participation. This is the realm where power sharing occurs. This is the area in which information is moving into and out of the community and government freely. The information is traceable and accessible to all the participants. At this level the agencies accept that the resident communities are utilizing the resource and as such are stakeholders in its sustainability. The information that is of relevance to the community is gathered because the community has decision making authority. As well, the availability of relevant information allows for effective planning and decision making (Arnstein, 1969, Vance, 1990).

The process of developing participation can be graphically organized around two axes, information flows and community involvement in processes (see figure 4). The graph demonstrates that increases in the knowledge base of communities, for example, in areas such as the status or management of their forest, soil or water resources, will tend to be acted upon. Further, increases in involvement of the people in processes such as decision making, ability to determine distribution of benefits will increase knowledge bases. These simultaneous increases will drive the process further towards participation. However, it follows that steps that prevent people from accessing or generating data bases will erode their involvement. Without timely and relevant data the people are prevented from making effective decisions or partaking in actions.

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Community Involvement in processes

Figure 4. Graphic Representation of Arnsteins Ladder Additionally, institutional barriers that prevent peoples involvement in the process will prevent the generation of the knowledge necessary for effective planning. Consequently, any movement towards participatory management will require a firm understanding of involvement and information flows.
3. Information Flows:

Participatory management requires a complete transfer of information between the people and the government. In order to reach this state, information must be

agreed upon and generated by all sides (Tan Kim Yong, 1992). This concept can also be better understood when described in terms of "languages".

A language is a model for comprehending, organizing and interpreting what people perceive as reality. All bodies of knowledge are derived through such models; hence, they are all therefore necessarily incomplete and imperfect because they are derived in a very selective and inevitably, subjective way (Grandstaff and Grandstaff, 1985). Quite often agencies may have one "language" which enables them to understand resource management issues. This language consists of

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technical information, accessed by technicians, forest researchers and fellow colleagues. This is an exclusive system into which information flows, but does not flow out. The agency acts as a sink for information and technical data derived
1

from the government, research and it's own employees. Therefore, the project's planning and design is restricted to the agencies because there is no mechanism in place for translation of information between the local residents and the agencies.

There is within this system an inherent devaluation of the knowledge base of the community. Since the kind of processes used at a village level are not quantifiable, universal nor technical in nature, there is a tendency for agencies to view these processes as externalities or as complicating factors. This is because agencies are not able to comprehend the "language" of the locals. Primarily, rural people and agencies often perceive and understand rural environments in ways that are very different, but equally important (Grandstaff and Grandstaff, 1985).

Given the development surrounding the agencies "language system" it becomes much easier for them to obtain information about the physical attributes of a landscape, than to collect data concerning relevant social issues and conditions. Also, traditional methods available to planners for obtaining this information were inappropriate. These forms of information gathering were slow, too broad, very expensive and in many cases either biased or just plain inaccurate. For example, a community may have a unique set of names for species of trees in their region. If the forester ignores the local names of the species and continues to use scientific
For the purposes of this paper agency is defined as including the sets of rules or conventions that govern the process of decision making, the people that make and execute these decisions and the edefices created to carry out the results. (Gunderson, Hulling and Light, 1994)
1

22

nomenclature then a process of alienation has been created.

In this process no

direct links are created between the agency and the community. The majority of the information remains the property of the agencies where for the local residents it remains linguistically and technically inaccessible. Simultaneously, quite often information which may be of use to the agency exists within local communities; however, it remains inaccessible due to this same linguistic barrier. Understanding the need to eliminate the "language barrier" is important because information determines the flows of all other elements of the project. It is safe to assume that the route of the capital and resources or benefits from a project will follow the same flow patterns as information

Creating a common "language" between these two groups and hence a common understanding of the issues which are a concern to both the agencies and the people increases the likelihood of a successful participatory solution. Developing this "language" is a gradual and an ongoing process. This is a dynamic process in which all parties must be redefining themselves and their roles especially in the atmosphere of continuously generated information (Tan Kim Yong, 1992).

The development and constant redefining of the common language base erodes the erratic behavior which is characteristic of systems in which there are no longer any controls on the use of the resources. Where there is common understanding there can be predictable interplay between the groups and the agencies" (Wilson, 1966). The creation of predictability of management actions is crucial for successful participatory resource management. It creates a climate in which the planning

horizon can be pushed further out. An extended planning horizon offers the ability to create common information bases and assess the problems; thereby reducing the potential for introducing ineffective and sometimes detrimental programs.

23

"Identifying problems and solving problems is seen as a gradual process. As project partners work together through stages to improve situations in land-use and forest management, both develop a common understanding of local problems" (Fox, 1988).

Ultimately a database is created which will be visible and public, owned and verifiable by the community. In this instance the community will debate and modify information bases. (Chambers, 1990, 1991). This allows for the creation of effective involvement in the process of planning and implementation of actions.
4. Involvement:

As was stated above, participation is dependent upon information, as well as the ability to create or alter that flow. In order for the people to generate information they must be included in the process. Therefore, for it to be participation the inhabitants of areas such as the Busol must be included in all aspects of the management process (Philippine Association For Intercultural Development, 1989, Fox, 1993, Apichatvullop, 1993).

The management process can be simplified into four stages: planning; implementation; benefits and costs; and evaluation (Uphoff, 1981). This is not necessarily a linear process as there are several feedbacks throughout which create redefinition in any one of the stages depending on results of actions. This is a key point and a logical advantage of participatory processes because of the inherent flexibility of participatory management. In an agency oriented management

system changes experienced on the ground, such as new people attempting to

24

inhabit a portion of the watershed or poaching, are dealt with by slow bureaucratic response. However, with peoples involvement comes more immediate response.

Involvement in planning has four elements: the participation analysis; the problem analysis; the objectives analysis and the development alternatives analysis. The first element, participation analysis, attempts to identify not only all parties suitable for partaking in participatory management, but also information about additional aspects of their socio-ecological characteristics: the resources available and their uses of them; the timing of their uses of these resources; the preferences of the people with regards to resource use; the social fabric of their community; a ranking of the members of the community and the history of the people within the community and of the community itself (Hoare, 1988). Problem analysis consists of identifying and ranking the major problems faced by a community. If the participant identification analysis was successful, the local people will have revealed the network of processes that makeup their community themselves. This enables them to identify more clearly the problems inherent in their community. This allows the local people to identify for the agencies exactly where within the communal network the problems arise.

At this point the participants are then able to begin identifying what their development objectives will be, as well as, alternatives available to them to meet these objectives. The agencies play a role in pointing out some of the constraints and the realities of the various options, such as budgetary constraints or silvicultural prescriptions. Local people should be responsible for providing the objectives and the alternatives analysis. "Too often, at this point in the project,

25

development officials become fixated with the idea that only they can count. This has tended to obscure the capacities of rural people themselves" (Chambers, 1990).

Processes, such as the ones described above, can be clarified by focusing upon forest resource management. In order to do this a definition of forestry and its functions are in order. Silviculture is a set of well established and widely practiced techniques used in the management of forest landscapes. It is the

process of fitting a prescription to the biological reality of a site. It follows from this that there are two fundamental processes that make each silvicultural prescription unique, the ecology of the site and the social desires of the people for whom the prescription is intended to benefit. It is this social desire which is the driver of silviculture. It is here that the goals of silviculture are developed. The ecology of a site will determine the range of options possible for that site, but the option chosen will be determined by the goals of the society of stakeholders.

In silviculture, the forester is a employee of a client, perhaps the government forestry department, who seeks a forest product to fulfill some need, usually timber supply. The job of the forester is to first assess the resources of the client to see if this desire is achievable. If it is possible, her next duty is to convert those resources into the desired product using her skills in the techniques of silviculture. The parallel in participatory management should also hold true. Unfortunately, too often the government department still sees itself as the client not the community it seeks to serve. However, the client is the target community. This shift of perspective puts the community or group in the position to set the goals of the project. For local residents within these communities it means that their concerns should be addressed at the planning phase. This is very important. The failure to include the residents at the planning phase will reduce their incentive to

26

participate in the project. Furthermore, participation may occur in the project implementation, but this is not necessarily a success if the needs of the people are not being addressed. In the implementation of projects, local contributions of labour, materials and resources are necessary. As well, the people become involved in management process, collecting the data regarding the project, such as, maintaining budgets and records. This necessarily leads the people into having a primary role in the evaluation and monitoring of the progress of the implemented solutions. Finally, the tenure issue is too important to be ignored. Policies need to be in place that allow the participants to accrue the benefits of their efforts and that will not discourage investment of peoples time and energies. The people in a participatory system are the source of key decisions. Hindering this process may de-motivate the participants and cause them to abandon their efforts. This shifts part of the onus for the success of the project on to the agencies, as they are responsible for generating policies that favour local resource management. Agencies must be willing to take the risk of allowing the people to be involved.

Remember technical programs are not ends in themselves, with success being measured by the numerical targets achieved. Increasing the number of trees etc. in an area may have little beneficial effect unless it is closely related to the needs and priorities of the people. The underlying objective here is to generate solutions, by overcoming the forces which prevent stewardship through increased awareness and enhanced group organization. The goal is to increase participation in the various stages of planning, design and management and this will begin the push towards empowered residents able to generate solutions which are sustainable both economically and biophysically.

27

The push towards empowerment will require sustained involvement. This can only be achieved through integration and continuous interaction (Tan Kim Yong, 1992). The management efforts must meet the needs of the people. Achieving success in participatory management requires mitigating the circumstances which prevent the local groups from taking part in resource restoration and protection. This will require integrative approaches to restoration which focus on more than just trees or water. These approaches can eliminate barriers to peoples

participation by focusing upon relieving the constraints on peoples ability to obtain an adequate income (Mittelman, 1992). The long term primary goal of participatory resource management strategies is the development or strengthening of the local community base. The conservation of key resources will be a by product of this process. This is the key difference between participatory management and the traditional technical based management schemes which sought to create sustainability for communities by enhancing only the resource base through technical measures whether or not the community saw it as a priority.

E. Methods:

1. RRA: An Overview of the Methodology: The primary technique used in the collection of data for this research was Rapid Rural Appraisal (RRA). Grandstaff and Grandstaff (1985) defined rapid appraisal as any systematic activity designed to draw inferences, conclusions, hypothesis, or assessments including the acquisition of new information in a limited period of time. Rapid Rural Appraisal enables the quick generation, validation and analysis

28

of information. It allows the use of several research methods to gain and assess new information as quickly as possible permitting the progressive revision of questions and hypotheses (Grandstaff and Grandstaff, 1987). " I t is a study used as the starting point for understanding a local situation ;carried out by a multidisciplinary team; lasting at least four days; and based on information collected in advance, direct observation and interviews where it is assumed that all relevant questions can not be identified in advance" (Beebe, 1985).

The strength of RRA lies in its research adaptability. It is a research methodology which recognizes and accommodates both uncertainty in and complexity of systems. What RRA recognizes is that rural resource management efforts in which people inhabiting the land base will be directly affected will have conditions of uncertainty and complexity. RRA addresses these issues. It is a methodology that respects the need for qualitative analysis. Furthermore, the problem and

hypothesis identification is derived in the field and is generated by interaction with the people. The direction of the study is determined by the needs of the people and the conditions in the field (Grandstaff and Grandstaff, 1985). RRA has achieved this level of flexibility through the development of it's core principals a) Core Principals of RRA

1. Triangulation: The major purpose for triangulation is to provide new directions of inquiry. It is the conscious combining of different pieces of information from different sources for purposes of verification. Grandstaff and Grandstaff (1985) suggest that there is often no best way of obtaining information, or the best way cannot be seen in advance. Hypotheses and "indicators" are often determined in research prior to

29

entering the field; however, these may require respecification after entry into the field. This is why there must be triangulation to get various directions into the data or information gathered. The idea is to arrive at 'indicators' and hypothesis from several different angles, as viewed and felt by different people. Furthermore, the activation of various methods, tools and techniques improves the quality of the data and validates it (Grandstaff and Grandstaff, 1985).

2 Exploratory and Highly Iterative Research: RRA looks for the key variables within the research site. It is a process that is designed to pick-up patterns and opportunities for generalization, particularly when these are unexpected. As a result, RRA accepts the abandonment and

reformulation of hypothesis when evidence indicates to do so. It achieves this end by being highly iterative. This facilitates quicker learning as inappropriate Methodologies such as semi-structured

hypothesis can be abandoned sooner.

interviews are a good example of this process. Semi-structured interviews give the interviewer the ability to change quickly the structure of interviews to allow interviewees to direct the interview towards matters that are of interest to him/herself that are not being captured by the questionnaire. This interviewee led process can lead to reformulation of the primary questions and hypothesis.

3. Rapid and Progressive Learning: RRA is a learning process which provides quick consensus but provides further questions. The iterations drive the inquisitions in a progressive direction. New questions and insights move the research towards an understanding of the real problem and their solutions. Survey research methodologies with predesigned and fixed questionnaires tend to lack progressive learning during field activities

30

(Grandstaff and Grandstaff, 1985). RRA emphasizes the need to fill this gap by specifically addressing it in its techniques and tools.

4. Substantial Use of Indigenous Knowledge: According to RRA practitioners there is no substitute for going into the field. There can be no remote rapid appraisal. The perceptions of locals and farmers are vital to the success of the study. RRA recognizes that in rural resource

management problems, the locals are stakeholders and as such solutions must be acceptable in the local context otherwise the study and its recommendations will fail. RRA also recognizes the substantial knowledge bases within rural

communities regarding their social, political and biophysical environments. Practitioners and the developers of the methodology such as Robert Chambers have long understood the capacity that farmers have for not only devising viable solutions to local problems based on their own understanding, but of also conducting relatively sophisticated field experiments in response to local constraints and opportunities. Many of the tools and techniques of RRA were developed for the purpose of eliciting, evaluating and avoiding misunderstanding the knowledge base of the locals.

5. Interdisciplinary Approach and Teamwork: The complexity of localized resource management problems necessitates the building of a RRA team to uncover the various issues at stake. A small team of researchers from various disciplines is apt to be more effective in this setting (Grandstaff and Grandstaff, 1985). Team members from different disciplines will process the information from different points of view. This information is then shared in meetings with the other members of the team for validation and iterative purposes. RRA therefore builds within itself a triangulating and validation process

31

that speeds learning and problem formulation that could not be achieved by a single discipline researcher or team. researchers in intensive "RRA engages multi-disciplinary team

interaction, both among themselves and with

information/respondents from outside the research community. This interactive context enables all parties to participate in synthesizing and refining knowledge" (Grandstaff and Grandstaff, 1985).

These core principals are then incorporated into three standard stages of research activity: a preparatory or initiating nature at the start of the RRA; the field visits; and the post field research analysis and follow-up. The nature of the constraints and the opportunities faced in researching the Busol watershed afforded an excellent opportunity to incorporate all of the key components of RRA in this three stage process. 2. The Use of RRA in the Busol Watershed: a) Preparatory activities: For the Busol study a RRA team consisting of one DENR employee, one Philippine National Irrigation Authority employee, one Canadian tenure and community development specialist and one Canadian forestry student was assembled.

Prior to entering the field, the background and the contexts of the Busol Watershed were reviewed by the team both in the literature and in meetings with the Baguio Water District, the Department of Environment and Natural Resources Cordillera Administrative Region Office, and the Mayor of the City of Baguio.

32

The literature reviews and the initial meetings helped establish a general direction for conducting the field interviews. During initial meetings with Alfonso Dulnuan, the forestry supervisor for the Baguio Water District, it was learned that there were four broadly based communities within the watershed. Maps supplied to us by the BWD were sufficient for us to identify these groups geographically in the watershed. In addition, Mr. Dulnuan was able to identify key community leaders for two of these areas. The BWD claimed to be in good standing with these groups; consequently, it was decided to use the BWD for initial introduction to the groups within the Busol. This later proved to be a non-productive choice due to existing tensions between the BWD and the inhabitants of the watershed. b) Field Data Collection:

Following an initial reconnaissance of the watershed and introductions to the key leaders of each community, field interviews were conducted involving local inhabitants of the Busol Watershed. Translation and field assistance was provided by a research assistant from University of Philippines Baguio's Cordillera Studies Centre.

Thefieldstudy consisted of 3 phases organized around differing lines of inquiry, but built upon the data generated in the previous phase. Thefirstphase of the field study was focused on the identification of the various communities within the watershed. Questions focused on determining the structure each community

within the Busol, the communities longevity, ethnic origins, economic structures, and internal governing structures.

33

The next phase of the study shifted to inquiries concerning the management of the soil, water, forest and agricultural resources within the watershed. The interviews were focused on determining how the various communities participated in management activities or conservation of the local resource base in the past as well as the present. At the same time, interviews also targeted the systems and levels of information exchange between agencies and the inhabitants of the watershed, as well as, uncovering the processes available to the inhabitants for involvement in the management process. Questions focused on the extent of peoples knowledge of watershed issues and the current policy framework, and the quantity and quality of inhabitants interaction with the governing agencies.

The final phase of the field work explored the alternative participatory mechanisms that may exist or be developed for Busol watershed inhabitants to allow them to participate in decision-making and bring about conservation of the resources in the watershed.

In each phase of the studyfieldinterviews were organized around an informal interview schedule and conducted in a semi-structured format. The notes of interviews were reviewed in the evenings and based on the nature of the days results the list of questions was updated to capture information which was alluded to by respondents, but not being elicited in previous interviews.

The selection of interviewees was generally done by entering walking trails and roads throughout the watershed. People working infieldsin yards or seen at houses were approached and spoken to randomly. These interviews were

conducted at various times of day from morning to early evening and on Saturdays and Sundays to capture people who were either out of the watershed during the

34

weekdays or were too busy to be interviewed during working hours. Key respondents in the watershed, such as community group leaders and Elders or people undertaking tree stewardship were sought out in a more deliberate manner. Often meeting times would be set with these people and in depth interviews would be conducted. Interviews with key informants were used as a means of

triangulating and cross checking results being collected in other interviews.

Primary data was also collected at group meetings.

These included cultural

festivals (canaos) and meetings organized by community groups to discuss urgent matters concerning the community.

For the final phase of the study, the research team organized a public forum at the Baguio city hall. The purpose here was to bring agencies ( DENR, BWD, LTWD, and the Mayors of both municipalities and representatives of their offices) together with the watershed occupants and representatives of communities within the watershed to discuss the issues surrounding the watershed. Occupants of the

watershed were deliberately given the opportunity to address the forum prior to statements made by the agencies. This allowed the inhabitants many of whom were Elders to set the agenda for the discussion.

Interviews were conducted with participants in the week following the forum in order to elicit responses and reactions to the proposals generated at the forum. Contact was also made with the representatives of the agencies to discuss their reactions.

Secondary data was collected from interviews with agencies and institutions outside of the watershed. These included, Baguio Regreening Movement an NGO

35

involved in reforestation and extension within the Busol, University of the Philippines Baguio campus' Cordillera Studies Centre, a university research centre dealing with indigenous and participatory management systems throughout the Cordillera Region, University of the Philippines Los Banos forestry extension office, Baguio Water District Files and the DENR Cordillera Adrninistrative Region Offices. Linkages were also made with Philippine Association for

Intercultural Development. This NGO is an advocate in support of ancestral land claims has previously undertaken some community organizing in one of the communities of the watershed.

Other secondary data was gathered from reviews of current literature on participatory management within and outside of the Cordillera Region. Secondary data for the Busol was obtained through interviews with agency staff, concerned academics and NGO staff. It was also obtained through the collection and review of relevant articles in local newspapers, periodicals and other papers such as sociological studies and other NGO findings. This data has been collated into several files and stored in the possession of the principal researcher. c) Analysis of Data:

The findings of the RRA are organized in two sections. The first section is an historical background of the Busol Watershed management providing an analysis of why the municipalities of Baguio and La Trinidad should be pursuing a participatory management strategy for the restoration of the Busol Watershed. The section following this is an analysis of the communities within the watershed, the levels of information exchange and the extent of community involvement in the watershed conservation and management. The 10 bases of analysis in Table 1

36

were drawn from the literature and case studies on the dynamics of imtiating a participatory management program.

To carry out these analysis the primary field data was collated into a matrix of key indicators, (see Matrix in Appendix A) The generation of the matrix made it possible to identify patterns, similarities and differences in the various categories among and between communities. Primary respondent interview data were cross checked with existing secondary data such as maps, sociological studies and other agency and NGO findings. The data recorded in the matrix was not tested

statistically because the sampling procedures employed were not formalized. However, this was not necessary for the purposes of our research.

Table 1: The Bases for Analysis of Communities within the Busol Watershed.
Analysis of: Community structure: Base -Ethnicity Key Indicators migrant group or indigenous group

Information flows:

-Existence of local organizations -Grouping heterogeneous or homogenous -Geographic location dispersed or congruous -Current levels of communication -Database structures and distribution -Levels of understanding inside and outside watershed -Planning Agency driven, no incorporation of local initiative or Participatory, community desires and goals incorporated through administrative structures or by local community organizations determined by local community organization in consultation with assisting agency or determined and regulated by governing agency

Involvement levels:

-Implementation -Distribution of rights and benefits

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3. Limitations:

Although this study provides important insights into participatory resource management systems and their application, it is important to note its limitations. This research is a micro-level study in a particular watershed with particular ecological and social constraints and as a result the findings in this study are specific to this watershed. This limitation is recognized in the purpose and objectives of this study, as well as, the choice of methodology.

Additionally, the study was limited in its ability to generated a more quantitative analysis of the watershed by the lack of reliable secondary data concerning the Busol Watershed and the period of time of the actual field study. Most of the data concerning resource use and timing of activities within the watershed was gathered as recall data due to our inability to observe a full years activities within the watershed. As this data is primarily from recall its primary use was for qualitative analysis.

The team was also limited in its ability to study the issues concerning the "residential" communities on the Baguio side of the watershed. The complex legal and social situations precluded us from attempting to establish strategies for this area. However, the precedents set in this part of the watershed do influence behaviours in the other communities in the watershed and their willingness to participate in resource management of the Busol in collaboration with the DENR and the BWD. These impacts created by the "residential" across the watershed as a whole are analyzed. Finally, this paper seeks to find workable solutions to the problems surrounding management in the Busol watershed. Consequently, the solutions posited in this

38

paper are at a micro-level and do not attempt to deal with the larger problems surrounding the Philippine society. It is acknowledged that the greater problems of the society may impinge upon the introduction of alternative solutions to the problem. It is further acknowledged that it is uncommon for the political and economic elites to facilitate appropriate stewardship of resources; however, cases of alternative resource management do exist in the Philippines and in other countries in Southeast Asia. These pockets of success are demonstration that given opportune circumstance alternatives to elite control can occur. What is certain is that without proper planning and development of alternative resource management strategies these instances of stewardship could not possibly have occurred.

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II. Results:

A. The Case Study in the Busol Watershed: 1 . Busol in the context of the Gran Cordillera: Baguio city is the gateway to the Gran Cordillera region. Located 250 Km north of Manila it is the beginning of the major arterial roads that lead north into the cordillera provinces.(see maps in Appendix B) Baguio city was established by the American colonial government to serve as the summer capital for the Colonial government. Located at 1500 meters the climate and the forests of the area served as a retreat from the heat of the lowlands during the summer months. The city was chartered in 1909 on forty-five square kilometers of land which was formerly Ibaloy territory (Prill-Brett, 1990). This resulted in the disenfranchisement of the people forcing them to move to the fringes of the city as its expansion increased. Lots within the city were converted into infrastructure suitable for a resort town in which bureaucrats, colonials and well healed lowlanders could spend their summer months.

The subsequent exploitation of the forest and mineral resources of the area increased the migration and broadened the mix of the migrants. Cultural groups from both the lowlands and the mountain areas were drawn into Baguio seeking employment opportunities. These waves of migration further disenfranchised the Ibaloy peoples forcing them further onto the fringes of the city.

These trends continue today.

Baguio with its metropolitan employment

opportunities continues to serve as a center for rural urban migrants drawing them from the lowlands and the cordillera region. However, because Baguio is a mountain top city its land area is limited, what land is available for residential purposes is already allocated. Complicating this is the high level of public

40

reserves surrounding the city. Consequently, new migrants into the city often rely upon squatting to establish homes and places of residence within the city. This includes occupying lands such as watersheds and other public and private domains. The conflict is further complicated by the fact that these reserves are in many instances already occupied by indigenous groups or are subject to Ancestral claim. Ancestral Ibaloys who were forced off of their lands are very resentful of lowlanders and mountain peoples who are now occupying the very lands they were forced to abandoned or have been threatened to abandon. This process is

indicative of the processes occurring across Baguio's public reserves including its watersheds. 2. Introduction to the Busol: The Busol watershed is a 336 hectare watershed created by Presidential Proclamation 15 (the Leonard Wood Proclamation) in 1922.(see Location Map for the Busol Watershed, Figure 5) The area consisted of Benguet Pine forests with a broken terrain of steeply sloping hillsides. This watershed is located only 4-5 kilometers north of the city of Baguio. Roughly one third of the watershed is located within the city of Baguio's jurisdiction and the remaining two thirds are part of the municipality of La Trinidad, the capital of Benguet province. This watershed supplies approximately 30% of the city of Baguio's water supply primarily from deep well sources with little utilization of the surface water by the city of Baguio. This is significant for two reasons. The proclamation boundary
2

does not include the entire catchment area for the watershed, in many places the height of land is not within the boundaries of the Busol. In addition, according to
Generated by the Local Water Utilities- UNDP Pilot Project developing a GIS for the Baguio and Region Water Systems.
2

41

the LWUA-UNDP study a large portion of the Busol aquifer is located outside of the boundary of the watershed.

According to the Leonard Wood Proclamation the Busol reserve was under the administrative jurisdiction of the Bureau of Forestry for the purpose of conserving and protecting water and timber, the protection of the watershed being of primary importance (Leonard Wood, Presidential Proclamation No. 15, April 27, 1922). The authority to enforce regulations within the Busol watershed was delegated to the Mayor and the police of the city of Baguio. However, Presidential

Declarations 198, 768 and 1479 transferred the administration and management of the watershed to the Baguio Water District (BWD) and the La Trinidad Water District (LTWD) in 1973. More recently, a the 1992 Special Order 26 of the Department of Environment and Natural Resources Cordillera Administrative Region established a task force composed of BWD and DENR staff responsible for the protection of the watershed.

The success or failure of the protection of the resources of the watershed may have a bearing on the ability of the Cordillera Autonomous Region to negotiate control over the natural resources within the region. This makes the Busol a significant watershed for study because it is a watershed under the direct control of the local government units. The failure to properly protect and mange resources such as the Busol watershed at a local level may provide strength to the central governments argument that the resources of the region remain within their control.

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scale 1:50,000 Figure 5. Location Map for the Busol Watershed

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3. A Historical Context of the Busol: The municipalities of Baguio and La Trinidad and the DENR when developing plans for the watershed are necessarily constrained by the management activities which have occurred in the past. Consequently, an examination of the history of the Busol watershed will provide the parameters within which planning can occur. The following is such an examination.

The history of management in the Busol watershed is representative of the processes which have occurred throughout the Cordillera. Since its creation, the agencies entrusted with the management of the Busol have been unable to maintain a consistent stance nor have they been able to rationalize tenure arrangements.

Four Ibaloy families were recorded within the original proclamation as having holdings inside of the Busol. Their holdings were surveyed and they were then ordered to leave the watershed. No compensation was ever given to these original four families. Later, some members of these families returned to resettle within the reserve.

There were other Ibaloy and Kankanaey settlements within the watershed at the time of the proclamation of which none were recognized in the proclamation. These people remained within the boundaries of the watershed continuing agricultural and pastoral practices. As a result of the creation of the watershed and the regulations governing the forest reserve these people became "squatters" stripped of any legal rights to the land and resources they were occupying and utilizing.

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The situation has been further complicated by the fact that no agency has been able to take a leading role in the management and protection of the Busol. Lack of funding and personnel has inhibited the ability of the agencies to perform their duties as specified in the proclamation. More importantly, numerous instances of political interference by past administrations in the management of the watershed allowed elected officials to garner votes by allowing people to occupy the watershed. Some of these local elites have been able to acquire building permits within the watershed. Over time, schools, roads, water supplies and electrical facilities have been established by various administrations. The inhabitants of the watershed view these services as "legitimizing" their communities.

In addition, disregard for the regulations set out by the proclamation extended to the agencies entrusted with the management of the resource. During the 1940's, 50's and the 1960's foresters issued permits to timber and mining companies to log the La Trinidad portions of the watershed. Following the harvesting they

encouraged the locals employed in the logging to establish gardens and residences in the logged over areas. All of these factors have contributed to the increasing inhabitation of the watershed. By the end of the 70's most of the forests on the La Trinidad side of the watershed had been converted to agricultural production and a large portion of the Baguio side had become residential housing. According to the DENR as of 1992 less than 20% of the watershed is still forested.

Coincidentally, the people of the Busol have been living under the threat of eviction from the city for violating the proclamation. Demolition orders and evictions have been used by the city since the 1960's as a means of "controlling" inhabitation of select areas of the watershed with little success. Moreover, the farmers of the Busol have been unable to receive assistance from the agencies

45

managing the Busol. Management of the watershed has gone on around these people or has been antagonistic towards them. To date, little effort has been made to include these people in the protection of the resource base.

Mixed messages or contradictory management practices have created a climate in which there is limited room for long-term resource management planning. This de facto open access situation holds for both the agencies entrusted with the care of the watershed as well as the inhabitants. The result has been a rapid decline of the resource base of the Busol. This is to the detriment of the City of Baguio but particularly to the inhabitants of the watershed whose livelihood depends on the state of the resource base within the Busol. 4. Why Participation: The municipalities of Baguio and La Trinidad are currently faced with two strategies for the restoration and preservation of the Busol. The first option requires an enhanced level of policing and enforcement of the rules of the proclamation. Carrying out this option will require the removal of all of the inhabitants of the watershed and preventing all agricultural activities within the watershed or maintaining the historical status quo management which attempted to manage resources around the inhabitants. The second option is for the

municipalities to initiate participatory management programs with residents within the watershed.

Given the historical context of the Busol watershed discussed above it would be possible to uncover several parameters which have various influences upon the future management of the watershed. However, Analysis of the state of the water

46

resources, agency staffing, resources and funding, and the rights of the present inhabitants within the watershed provides an opportunity for determining which of the two management options facing the agencies should be enacted.
a) Water Resources:

The assumption that people within the boundaries of the watershed are impacting both the surface water and the deep well supplies within the watershed forms the basis of the present management approach. Hence, the agencies are seeking to remove all residents from within the Busol boundaries as per the regulations contained in the 1922 proclamation as a means of protecting these resources. However, the finding of the Local Water Utilities Authority (LWUA)/United Nations Development Program (UNDP) joint study of the Busol Watershed revealed that there is in fact no current data available that proves the claims of the local agencies with regards to either the depletion of the Busol aquifer or the quality impacts upon deep well sources. Studies have revealed that surface water within the Busol contains residues from human wastes in the form of bacterial pollution carried in conform.

There is only one present surface water supply drawn upon within the watershed and this is utilized primarily during rainy season. The majority of the cities water is obtained from deep well sources as opposed to surface water. Furthermore, interviews with the BWD and the La Trinidad Water District revealed that future plans will also focus primarily upon deep well sources.

The combination of the above findings and the previous discussion demonstrating that a portion of the Busol aquifer lies outside of the proclamation boundaries destabilizes the agencies basis for continuing an enhanced enforcement program

47

within the watershed. Hence, an opportunity exists for allowing residents to remain within the watershed and participate in the protection and management of the aquifer.

The incidence of coliform within the surface water impacts the residents of the Busol directly, as this is the primary source of water for many of the inhabitants. Consequently, the inhabitants are the primary stakeholders in the conservation of surface water. It is they who stand to benefit directly from any participatory management program which aims to conserve and enhance the water resources within the watershed.
b) Staffing. Resources and Funding of the Agencies:

If the agencies are to continue developing and maintaining a strategy based on total exclusion of residents from the planning and implementation of programs aimed at conservation and restoration of the watershed then they will be required to create the necessary data bases from which to plan. As well, they need to provide the resources and staffing to implement these plans. Addressing the question whether total exclusion management is a defensible strategy for the management of the watershed requires an examination of the social and biophysical databases of the agencies, and the financial and resource costs of such a strategy.
(1)

Sociological and Census Data:

In a watershed which has residential and agricultural occupants, developing a management program based on an exclusion principal requires the agencies to develop accurate and precise data bases regarding the inhabitants. Without this information the agencies will not be able to create baselines from which to plan

48

programs for approaching the problem of occupation and conservation within the watershed. The question then turns to the preparedness of the agencies with regards to sociological data.

Two full census' were obtained, a 1993 BWD Census collected for a class action suit and a 1976 census prepared by the DENR. In addition to these census', figures for Busol populations were also reported in the Integrated Plan for the Busol watershed of the DENR. An analysis of these three sets of data revealed some inconsistencies and gaps in data.

By comparing the data both across time and by municipality the trends and omissions can be demonstrated, (see Table 2)

Table 2: Available census data for the Busol watershed. Census source: Portion Baguio Households 1976 DENR 1992 DENR 1993 BWD 40 N/A 258 La Trinidad Households 226 N/A 180 Total Population. Households 266 518 438

These figures suggest a decrease of 46 households in La Trinidad since 1976 and a decrease of 80 households for the entire watershed since 1992. Neither of these trends is consistent with responses of the BWD staff or the residents. To illustrate, twelve of the respondents of our study who claimed to be long term residents of

49

the watershed appeared on the 1976 census and yet did not appear on the 1993 survey. The increase in population for the Baguio portion of the watershed as reflected in the 1976 and 1993 census' may be correct considering the actions of past administrations in allowing speculation and squatting activities. As a result, the 1993 census may only be deficient for data collected in La Trinidad. It can also be assumed that the total population reported in 1992 is more conceivable, as it is not the case that the population across the watershed has decreased since 1992. Therefore, the population of the La Trinidad portion of the watershed is more likely to be approximately 260 households. This number is reached by subtracting the 1993 census data for the Baguio population of 258 from the 1992 DENR census total population of 518.

Using these estimates it is clear that the majority of growth within the watershed has occurred in the Baguio portion of the watershed. Since 1976, an estimated 232 new houses have been constructed most of these are of residential and speculative variety. The estimated growth in the La Trinidad portion of the watershed has been 28 households.

If we attempt to extend the analysis beyond raw numbers of households in the watershed additional limitations arise. The census' surveys were very rudimentary and as a result lacked any further in depth sociological data. The age, cadastral data, origin of household, community association and occupation are not captured by these surveys.

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(2)

Biophysical

Data:

There is also a lack of reliable longitudinal geographical data such as topographic maps, landuse and land cover maps, inventories of resources, resource management activities and infrastructure maps for the Busol (covering such things as roads and electrical supplies and settlement activities and land use and cover). In addition, some of the resources necessary for producing this data are not available to the DENR or the city. For example, air photos which are necessary for efficient mapping are not currently available for use by the city due to military security policies . As well, technologies such as GIS and satellite imagery which
3

would also be of benefit are, as of yet, too expensive to be utilized by the city and DENR.

The most recent maps in utilization by the BWD, City and DENR include a 1992 series of maps developed for the Integrated Development and Management for the Busol Watershed plan developed by the Ecosystem Research and Development Sector of the DENR Cordillera Administrative Region. This series includes a land use map, slope map, planning map, and maps on watersources and streams. As well, a geological map produced by the Geological Department of the DENR-CAR is also in use.

Analysis of these maps reveals many inconsistencies

and inaccuracies.

Comparison of the geological map to those of the Integrated Plan show that these two sets of data are not similar. There is discrepancy between the placement of Through cooperation with the Baguio Dagupan EEC Project working in Baguio, the Busol research team was able to check existing DENR maps against air photos being utlilized by the EEC project. These photos were in the possession of the EEC team with permission of the military. Due to the limitations placed on these photos the Busol team was not able to obtain copies. Nor was the city granted pemission to obtain these photos.
3

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roads, streams, contourlines, and current and abandoned water supplies and systems. Checks of these maps on the ground and with the air photos revealed that the geological map tended to be more reliable.

The 1:5000 detailed Land Use map ( Landuse Map, Appendix B) proved to be quite problematic. Once again ground proofing and checks with the aerial photos revealed discrepancies and omissions. The distribution and proportion of land uses shown on this map is incorrect. For example, the areas attributed to agriculture is not placed correctly nor does it cover enough area. Ground checks revealed that the majority of streams are bracketed by agricultural activities. The Landuse map clearly fails to reflect this.

The Land Use map of the DENR also omits and misplaces many of the households in the watershed. According to the most recent census of the BWD there should be at least 438 households, yet this map only shows 236 households. Furthermore, none of these maps show the individual gardens within the watershed so there is no way of associating size and location of holding to the households.

These discrepancies and holes in both the census and biophysical data prevent analysis of the actual sociological trends, as well as forecasts, of the of the actual carrying capacity of the watershed and rates of resource degradation. This prevents accurate planning for management activities within the watershed. Consequently, activities undertaken within the watershed will be less likely to meet their intended targets in terms of conservation and management.

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(3)

Staffing and Costs:

Programs for the conservation and restoration based on a strategy of exclusionary management of the Busol can employ two tactics, maintain the status quo or attempt to remove the residents as per the proclamation regulations. Both of these tactics will require staffing and funding to be successful, how these resources are utilized in either strategy bears investigation.

Historically the status quo within the Busol has meant managing the resources around the residents. The municipalities and the DENR implement programs within the watershed as if the residents do not exist. Planning does not include the people and hence fails to account for their impacts upon the projects. In this planning environment the agencies find themselves committed to providing staffing to protect the forest and water resources from exploitation by intruders and residents. They must shoulder the full responsibility of maintaining these projects, unable to include residents in the protection and maintenance responsibilities. The residents, because they have been excluded from the design of these projects feel no ownership of these programs, and are ambivalent to their success or failure. For example, small check dams constructed by the DENR without consultation with the residents were ridiculed by the some residents during interviews in the field. The dams destruction due to erosion or poor construction is was viewed by the residents as further evidence that the agencies are incapable of managing the watershed. The residents themselves make no attempt to protect these dams nor inform the DENR of their poor condition.

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It follows necessarily that this tactic has within it resource inefficiencies. Expenditures are put into programs with high probabilities of failure which simultaneously require higher levels of staffing and expenditure.

The second tactic available to the agencies would be the removal of all residents from the watershed in order to begin a program of restoration. If the agencies were to pursue this process there would be both social andfinancialcosts. Assuming that the current residents of the watershed would agree to leave the watershed should they be ordered to do so, the costs of such a program would be a financial stress on the resources of the municipalities of Baguio and La Trinidad. In addition to the costs of the removal of the buildings within the watershed, under such a program the city would have a responsibility to provide the residents an alternative settlement site. Discussions with Mayor Tabanda of La Trinidad

revealed that the average cost of a relocation could be as high as 150,000 Philippine Pesos (7,500 Canadian Dollars). This would place the costs of

relocation and expulsion at approximately 80,000,000 Pesos ($4,000,000) for the entire watershed. These financial costs are prohibitive for the municipalities.

Furthermore, the social costs of removal would exceed thefinancialcosts. It is more than likely that the residents would resist relocation efforts through the courts and physically. There is a real threat that force would be required to complete such a program. In addition, historical attempts at removal have been unsuccessful. Many of the residents who had been ordered to leave the watershed had managed to avoid eviction or returned later. And finally, a program of total exclusion will not address the perceived property rights of residents.

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c)

Inhabitants Rights:

Any program of management based upon an exclusionary principal assumes that the residents of the watershed have no rights to occupy and utilize resources within the watershed and, as a result, the agencies are within their legal rights to proceed with the relocation and resettlement of the residents. The question for the

municipalities of Baguio and La Trinidad then shifts to whether some residents within the watershed do in fact have some rights to remain.

To address this question an analysis of the rights of the 53 residents interviewed within the watershed was performed. Longevity of residence, ethnicity, and records such as residents proof of written documents in the form of tax declarations and Community Task Force on Ancestral Lands (CTFAL) documents were the basis of the analysis (see Matrix of findings in Appendix A).
(1) Longevity:

Longevity, the length of time in which a family has occupied the watershed, is a significant indicator of tenure rights within the watershed. According to Owen Lynch (1984) "national law as interpreted by the Supreme Court provides an equitable starting point. The longer you've been on so-called 'public land', the stronger your right of ownership" (Lynch, 1984).

Longevity data was collected through various sources and techniques including interviews with the respondents, triangulating respondents answers with written documents such as census material, and other studies, as well as, re-interviews to check consistency of responses. The results indicated that 19 of the respondents have been within the watershed for at least 50 years, at least two of them since before the 1922 proclamation. 8 of the respondents have been within the

55

watershed for 40 years, 1 for 30 years, 3 for 20 years, 7 for ten years and 9 for less than ten years.

Thefindingsindicate that all of the long time residents (over 50 years) are either Kankanaey or Ibaloy, the indigenous peoples of the region. The findings also indicate that the majority of the Kankanaey or Ibaloy respondents are descendants of the original inhabitants.
(2) Ethnicity:

The 1986 constitution of the Philippines provided a legal basis for the recognition of the rights of the indigenous cultural communities to their ancestral land to ensure their socio-economic and cultural well-being. In 1990 DENR special order No. 31, built upon the constitutional change by creating the Special Task Force on Ancestral Land. The responsibility of the task force is to identify, evaluate, and delineate ancestral land claims in the Cordillera Administrative Region. The task force findings are a first step to registering claimants. Although an ancestral land claims certificate is not formal title, when issued, it can provide a protective effect for indigenous peoples (Andong, 1993).

As a result, indigenous residents within the watershed do in fact have some security of rights to remain within the watershed. Therefore, differentiating between residents on the basis of ethnicity will determine which residents are indigenous and which are migrants. Within the Busol there are two indigenous groups to Benguet province, the Ibaloy and the Kankanaey.

The data was collected from interviews and by cross checking with census material. Nineteen of the respondents within the study were Kankanaey and 24

56

were Ibaloy with 7 being recent migrants. These findings, however, do not reflect the true proportions of illegitimate claimants nor the recent migrants that have moved into the southern portions of the watershed as is reflected on a 1993 census.
(3) Records:

Written documents such as tax declarations and ancestral land claims applications are further evidence of occupation within the watershed. These documents and others like them provide some rights to inhabitants within the watershed. While technically the tax declaration should not provide security of tenure within a protected area, there is some legal evidence which suggests they may provide some protection against eviction. At the very least a tax declaration provides for evidence of an occupants duration of occupation.

Ancestral land claims applications are processed through the DENR Community Task Force on Ancestral Lands. These applications also provide for some security in the form of possible proof of occupation and utilization of the lands within the Busol prior to the creation of the watershed in 1922. The purpose of the application procedure is intended as a first step to resister legitimate claimants. The findings of the field study indicate that the majority of the respondents do hold some form of written document claiming residence within the watershed. The majority of the respondents held tax declarations for their claimed areas some dating back to 1922. The majority of respondents have also filed for Ancestral Land claims, some as individual family groups others in larger community associations.

There are difficulties with the processing of these documents and the legitimacy of others. The study revealed that some non-indigenous families within the

57

watershed had filed for Ancestral Claims. In addition, the processing of tax declarations in a protected area is not legal and yet cash strapped local governments in the past were willing to accept these claims without regard for the location of such claims.
(4) Summary of the Spectrum of Rights:

The results of the analysis were organized into four categories of occupants rights to stay in the watershed: A: Strong claim with a relatively clear cut case for rights to stay B: Strong claim with a probable case of rights to stay C: Weak claim with no rights to stay D: no estimation due to lack of information

Based on the analysis above, an estimate of the respondents strength of claims were completed. Within the 53 residents interviewed it is estimated that 9 of them are in category "A". These respondents were all either Kankanaey or Ibaloy who had lived in the area for at least fifty years and their parents or grandparents were born in the watershed. All of these people hold tax declarations which demonstrate their long term residence. In addition they have filed high ranking ancestral land claims applications with the CTFAL.

There were 23 respondents in category "B". These people were also Ibaloy or Kankanaey and were born in the area and lived there continuously for at least 40 years. They also had grand parents and parents who were bora within the watershed. However, due to some inadequacies in the processing of their ancestral claims some key information regarding the status of their claims was unknown. Consequently, there was no basis on which to classify them as clear-cut cases or

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"A's". In many instances, these inadequacies were the result of poor funding within one of the CTFAL offices which hindered the processing of reports.

On the lowest end of the scale there were 5 respondents in category "C". These people were neither Kankanaey nor Ibaloy. All of them had moved into the watershed within the last decade.

These findings indicate that there are possibly large numbers of people within the watershed with very strong claims for the right to remain within the watershed. Therefore, management programs based on exclusionary principals will necessarily be constrained by these residents and their rights. Removing these people will only increase the pressure on the costs of the process as complex legal actions will be required to address their rights. If the agencies choose to continue ignoring them in the planning process then this will undoubtedly result in them continuing to spurn agencies efforts at management.

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d) Why Participation: Summary.

The analysis above indicates that a management program based on an exclusionary principal for the Busol watershed is not defensible. An indication of the breakdown of the current management strategy is the incidence of the "speculative" residence with the Busol.

The existence of "legitimizing" documents and other tenure "securities" for residents within the watershed in conjunction with the current exclusion management within the watershed creates a gap in control of the watershed or a tenure irrationality. This situation has been exacerbated by the existence of political interference which serves only to widen the gap. One of the outcomes within the Busol of this management environment is speculation.

There are within the watershed individuals whose soul purpose is the gathering of property for speculative purposes using tax declarations, ancestral claims and building permits to "legitimize" transactions. The major area of speculation is located along the southern and southwestern boundary of the Busol. These "residential" inhabitants are not organized around resource stewardship. If they are organized into groups their aims are generally to secure tenure for speculative purposes. In some cases, these are well-heeled people who have managed in the past to win political favour.

Unfortunately, the ability of these people to capture rewards from the destruction and speculation of the watershed serves to influence inhabitants throughout the watershed. Some residents expressed their frustration at the speculators and their ability to gain from the sale of property to wealthy outsiders. Professors from the Cordillera Studies Centre (CSC), University of Philippines Baguio and some Busol

60

respondents explained that if the speculators are perceived to be obtaining protection and rewards by not being subjected to the same threats of eviction and enforcement as the agricultural and long term inhabitants then there will be no way to prevent speculation on a wider basis throughout the watershed. Ultimately if the current tenure irrationalities are left unmitigated then the resulting speculation will erode community influence and dampen the other inhabitants desires to invest in long-term management of the resources.

The question still remains of whether a participatory program could be a valuable alternative strategy for management of the watershed. The existence of residents with rights to remain within the watershed and the limitation of the resources and funding and staff available for the management of the watershed are parameters within which participatory programs can be effective. Considering that participatory projects are based upon the involvement of locals within the framework of management then it follows that within a watershed where there exist residents with rights to remain participation is more likely to generate successful management than strategies which aim to exclude residents.

Historical difficulties, with inhabitants counteracting efforts at reforestation and resource management, can be mitigated through participatory management. The information bases necessary for planning management programs in the watershed are available. Watershed residents in interviews revealed that they were aware of who "owned" the land, for how long and how many people lived in the houses. They were also aware of which areas were fallow gardens, which were active, who "owned" and planted trees and so on. They also revealed a great deal of understanding about the biophysical capacity of their gardens and surrounding land. However, if the agencies maintain an exclusionary principal, attempts at

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garnering this information will be thwarted. This is corroborated by the Philippine Association for Intercultural Development (PAFID), a Philippine NGO, in reports from field visits to the Busol in 1990. Within these reports there is documentation of instances of inhabitants preventing data gathering by officials. In contrast if the agencies were open to the community, as in a participatory management strategy, then as NGO workers for PAFID (De Vera, 1993) and the majority of the interviewed residents explained the inhabitants would be formcoming with the necessary data for planning.

Inclusion of residents within the planning framework will increase the probability for success on two levels. Initially, the programs will reflect the desires and needs of the residents thereby meeting their needs and the needs of the municipalities and the DENR. Secondly, the residents because they will be partners in these projects will become stakeholders in the projects. Through participation they will generate an awareness of the need to conserve and protect resources both for the good of themselves and the agencies. This will be reflected in a generally higher success rate for initiatives within the watershed. It will also reduce the rates of failure and their associated costs. Previous case studies in participatory management are evidence of the associated reduction in costs. For example, Kaweche, Lewis and Mwenya (1990) developed management costs curves associated with a participatory wildlife management program in Zambia, (see figure 6) The results demonstrate that the management cost per associated benefit curves associated with the participatory management are situated below the cost benefit curve associated with tradition enforcement management.

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Benefits can also be acquired through the shifting of current resources away from policing activities. For example, management staff within BWD and DENR can shift their focus away from enforcement activities towards enhancement and restoration activities. This reallocation of resources would be difficult to execute under the existing management program.

Poaching rates

Management Costs

Figure 6: Changes in rates of illegal hunting as a function of increased expenditure of management effort using different management designs; a) reliance on conventional civil servant scouts who enforce punitive measures without local involvement; and b) greater reliance on local participation with joint leadership between traditional rulers and civil authorities (Kaweche, Lewis and Mwenya, 1990).

The above analysis indicates that participation is a defensible principal upon which a strategy for the management of the watershed can be developed. Given this, the analysis shifts to the process necessary for establishing participation.

5. Analysis of the Busol Inhabitants, Busol Communities and Their Characteristics with Regards to Participation:

A watershed such as the Busol is a geographic entity and the people residing within this entity are not necessarily organized as a single community or social unit. In fact, the people inside the watershed represent multiple communities with

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different rights and exposures. The present population of the watershed according to the most recent census data of the Baguio Water District is said to be 438 households. Within this population are Kankanaey and Ibaloy indigenous groups with ancestral claims, long time residents, recent migrants, speculators and tenants of various groups. To date, little attention has been paid to the differences between these various communities within the watershed.

Participation is a site specific management strategy that recognizes diversity in the social and biophysical makeup of communities. Correspondingly, the process of creating participation within the Busol begins by addressing the particular nature of the various communities within the boundaries of the watershed. The analysis begins by exploring the current and potential information bases and levels of involvement of the inhabitants with the watershed.

The analysis focuses on identifying the constraints to and opportunities for participation. Appendix A. The analysis is based on examining the matrix of findings in

The analyses begin with the broader watershed community and then turns to the smaller individual communities within the Busol. These analyses will serve as a starting point from which to establish the appropriate management tactics

necessary for making the transition from exclusion based management to participation.

64 a) Findings Across the Watershed

(1) Information flows:

The two thirds of the respondents within the watershed had no understanding or knowledge of the policies governing the Busol. They had no understanding of the Busol as a protected watershed. These inhabitants doubted its existence, claimed it bounded areas other than where their land was situated. These findings were

consistent with those published by the DENR (Calanog and Calderon, 1992).

On issues of a biophysical nature, the inhabitants had a much different level of understanding. Three quarters of respondents understood the importance of trees as protection from erosion, as means to provide materials and as culturally significant components of the environment. The respondents also understood the need for improved gardening practices and the need to protect water and soil resources. What they were lacking, they explained, was the technical knowledge and the technical assistance required to enhance some of their own conservation techniques. Yet, when asked almost all of the respondents explained that they had received little or only intermittent extension and education from the various agencies regarding watershed issues and reforestation and agricultural techniques. This lack of effective extension has occurred in a climate in which the majority of the respondents explained that they would appreciate open lines of communication with the agencies in order facilitate an exchange of technical information.

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(2)

Involvement:

The majority of the respondents in the watershed were not currently involved in forest protection and conservation. They had not taken any tree management programs. The primary reasons cited by respondents for this failure to be involved in tree stewardship were related to tenure insecurity. The first reason cited by some respondents was that they believed that if your garden, has trees in it or you plant trees in your garden, then the DENR can reclaim this area for forestry purposes. This perception stems from an old DENR policy which is no longer in effect. Yet, the inaction of the DENR with regards to extension and education within the watershed has allowed this perception to remain. A third of our respondents reported that they would plant and protect trees, if they could accrue the benefits of such a program. They wish to be able to eventually harvest parts or all of the trees. However, the perception of these people is that if they plant the trees the DENR will not allow them to use them. They explained that in the end, they give up property and garden space for something from which they receive no benefit. In addition, some people claimed that the DENR would take these trees for themselves as they did in the past. As well, without security of tenure over the trees, the people expressed the view that they would be unable to protect the trees. Poachers, they said, would mock them claiming they were not their trees.

The processes described above are especially pronounced when it comes to Benguet Pine. The respondents were aware of the existence of a moratorium placed on the harvesting Benguet Pine. Those people who were already nervous of tree and land tenure security were very fearful of the repercussions that could result as a result of having mature Pine occupying a portion of their farms. Respondents explained that they would be willing to plant pine but, only if proper assurances were secured from the authorities.

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When asked if they would cooperate with the agencies on a conservation program that involved the residents all respondents said they would, but not unconditionally. Moreover, there were residents throughout the Busol who were actively involved in stewardship of trees and land. The variation in the ages , species and location of their trees made each steward unique. Many of the nonstewards interviewed expressed a respect for these stewards.

These are the broader conditions that exist across the watershed. The investigation now must turn to reveal the individual characteristics of the various communities that exist within the watershed.
b) Watershed Communities and their Structure:

The field research in the Busol uncovered three broadly based communities within the watershed which are capable of undertaking restoration projects. All three of these communities are composed of primarily tribal peoples who have generational ties to the land within the Busol watershed. Efforts directed towards developing participatory management within these communities will require different approaches as each community has different social, economic, political and biophysical characteristics. Two of the communities Ambiong and Lamut are situated on the La Trinidad portion of the watershed while the third community of Pacdal-Liteng is situated on the Baguio side, (see Landuse map, Appendix B)

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(1)

Baguio Side:

The Baguio portion of the watershed is characterized primarily by tree cover and residential development. It has the largest remaining area of tree cover in the watershed, (see landuse map, Appendix B) The team uncovered three broad categories of inhabitants which are present within this portion of the watershed. The first group were recent migrants who had established Kaingin or small slash and burn gardens under the tree cover. The second as previously mentioned were the "residential" communities. Finally, the third group consisted primarily of Ibaloy Ancestral Claimants some of whom were recognized in the 1922 proclamation. It is this community of people who represent the best opportunity for cooperative approaches to protection of the remaining tree cover within the Baguio portion of the watershed. (a) Ibaloy Ancestral Claimants of Baguio Portion:

The social makeup of this community is relatively homogenous. To begin with they are all Ibaloy's. In addition to this, most of these people are related on some level. They are also all of relatively equal economic standing. It is the contention of this group of people that the tree cover in the Baguio portion of the watershed exists primarily through the efforts of themselves and their ancestors preventing the BFD from harvesting the Baguio Portion of the watershed. As well, these people still maintain a cultural connection to the trees. Interviews conducted by the team with members of this community revealed a strong awareness of the connection between the existence of tree cover and the availability of water during the dry season. Evidence of their stewardship and protection of trees is easily seen. They are able to point out trees ancestors

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protected some as old as a hundred years. Stewardship for the Ibaloys does mean that they utilize the trees for traditional uses such as Canao and house repair, yet they are planting and protecting trees to replace those that are lost or used. Finally, unlike the La Trinidad portion of the watershed, the Baguio portion Ibaloy's farms are situated amongst residual pine trees.

The Ibaloy are not yet formally organized into a group which has resource management as a focus. However, they expressed a willingness to cooperate with some form of community organizing activity of the government in the watershed. They have been receiving some assistance from outside NGO's such as the Baguio Regreening Movement and others. The efforts of the DENR Ancestral Task Force in assisting the claimants has been excellent. Their responses regarding these

efforts have been very positive and they expressed a wish to receive more. The actions of the Ancestral Task Force members have even served to diminish some of the suspicion the people have had for the agencies.

A threat to the coordination and inclusion of the Baguio Ibaloy community in management is their lack of security and their geographic distribution. All of the respondents expressed an inability to protect trees from poachers. According to them, the majority of tree poachers enter from the outside of the watershed at night and cut and collect trees, because of their lack of tenure security they are not able to prevent this cutting. In addition, they claimed that they are not able to quickly contact the appropriate DENR personnel due to lack of consistent communication. Furthermore, they explained that they are not able to prevent encroachers from moving into their claimed areas. This causes fragmentation of their claims and diminishes their ability to protect and manage the resources. The expansion of the residential areas into their domain contributes to the fragmentation of their

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community putting wedges of housing between their gardens and their homes and between their neighbors. This mixing of communities threatens to diminish the ancestral Ibaloys wish to steward resources. Pressures are placed upon the longterm residents to adopt different strategies for survival. These people are generally poor and their resources are stretched. Especially when viewed in comparison with some of the "residential" squatters.

Potentials for working on a participatory level are evident. The efforts of the Ancestral Task Force and the DENR employees shows that the people can work jointly with government organizations. The residents expressed willingness to enter into cooperative planning and management with the government is a good starting point. The assertion was made by some of the respondents within this community that protection of the resources of the watershed and management of trees is not conditional upon receiving security, but their ability to do so is.
(2) La Trinidad Side:

There are two indigenous communities on the La Trinidad Portion of the watershed, Ambiong an Ibaloy community, and Lamut, a Kankanaey community. The respondents from the La Trinidad portion of watershed reported that both Ambiong and Lamut were founded prior to the signing of the proclamation in 1922. These communities have grown to approximately 260 households
4

"Department of Natural Resources 1992 and Baguio Water District 1993 Census Data. The figure of 260 is derived by subtracting the BWD statistic of 258 households on Baguio side from the 518 total watershed households as reported by the 1992 D E N R survey.

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The La Trinidad portion of the watershed is characterized primarily by open land and farming systems. Unlike the Baguio side, the La Trinidad portion of the watershed was not spared from logging in the post World War Two decades. According to all respondents who have been living in the watershed since at least the 40's, this portion of the watershed was logged over by certain foresters to provide timber to the rnining industry of Benguet province. These findings are consistent with the other reports of the history of the region and country (Agaloos, 1993, EEC, 1993, Philippine Association For Intercultural Development, 1989). The La Trinidad portion of the watershed in essence was opened for agriculture. Philippine Association for Intercultural Development (PAFID) reports indicate that even past administrations in the municipalities encouraged the removal of residual trees so that land could be declared for inhabitation and tax purposed (Philippine Association For Intercultural Development, 1989). The result being that the

communities of the La Trinidad portion of the watershed are in a very different stage of development than the communities on the Baguio side. These people have essentially lived and worked the land for a generation in which trees were viewed as impediments to their livelihood. Consequently, there is a very different strategy required for restoration of the La Trinidad Busol. (a) Community of Ambiong

Ambiong is primarily an Ibaloy community.

It is also an agricultural based

community, peoples livelihood being based upon vegetable and cut flower production. The leadership of Ambiong is vested in two places. The first place is the Barangay Council. These people are themselves residents of the Busol. The secondary source of leadership within this community is the Tribal Leaders and Elders.

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Ambiong is a well organized community. Through the efforts of local government (Barangay) and the people within the Ambiong, their community has been provided with roads, electricity, a church, a daycare centre and water services, all within the boundaries of the Busol watershed. There is also a school just outside of the watershed which services Ambiong. Furthermore, the people have received assistance for such livelihood projects as a piggery, agricultural aid and a tree nursery from such organizations as the Jaime V. Ongpin Foundation and the Highland Agricultural Development Project (HADP). The people of Ambiong cite these projects as an indication that they are a stable community. It is their contention that by providing these services to Ambiong, the government has legitimized their community.

In addition, Ambiong also has some active organizations.

These include the

Multi-Purpose Co-op, the Federation of Land Reform Farmers, Church groups and the Daycare organization. The larger of these groups, the MPC and the Federation of Land Reform Farmers, are organized around resource management and livelihood projects. Leaders and key people within these groups explained to the team that approximately 100 families belonged to these groups. This is a majority of the families in the Ambiong community. This claim was corroborated by the teams findings in interviews with people from Ambiong.

Opportunities do exist for participatory management with this community. There is an expressed willingness by the leaders and members of the organizations to cooperate with the government. In a meeting of the Ambiong residents which the team attended, the leaders of the community claimed they would be willing to

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plant up to 20% of their claimed areas with trees and re-establish a five hectare community forest.

However, the actual implementation of these proposals has not been planned out. How it would work on the ground has still to be addressed. This is because of a lack of knowledge regarding agroforestry systems. One third of the respondents from Ambiong were unaware of the nature and importance of tree stewardship. There is an information gap at work here. These respondents lack an

understanding of the role of agroforestry and trees in conservation measures. Community leaders explained that this could be due to the fact that Ambiong was developed as a community primarily due to the removal of the forest allowing expansion of gardens. Unlike the Baguio Ibaloys, there is a very small core of tree stewards within this community. Further aggravating the problem is the lack of forest and resource extension. The leaders explained that if Ambiong is to meet their stated objectives for resource management then effective education and extension programs must be enlisted.

In addition, the respondents from Ambiong explained that their expressed proposal for partaking in participatory management of the resources of the community is a conditional offer. They explained that in order to fulfill the proposal they must be given security in terms of title to their property they are currently occupying and claiming, (see conditions of willingness to cooperate in the matrix of findings in the appendix)

73

(b)

Community of Lamut

Lamut is a Kankanaey community situated on the Northeastern boundary of the watershed. The gardens and inhabitants of this community are spread mainly throughout the Northern portion of the watershed.

Like Ambiong, Lamut is also primarily an agricultural community where cut flowers and vegetables make up the majority of the crops. The landscape and history of management in Lamut is the same as Ambiong. It is based on the clearing of land for gardens following deforestation by the Mining companies and foresters in the past.

It too has, through strong commitment from local organizations, managed to develop into a settled community. Infrastructures include a school, electricity, roads, churches, stores and water systems. All of these are located within the Boundaries of the Busol Watershed. developments as legitimizing factors. Similarly, the people claim these

The social structures of Lamut are, however, not the same as Ambiong. Within this community most of the leadership is vested in the Elders of the community. It is the Elders who play a key role in managing the community. Respondents from Lamut claimed that they approach the Kankanaey Elders prior to Barangay officials for settling issues within the community. This finding was confirmed by BWD staff who claimed that they must always consult with a certain old man before entering the community for meetings.

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The community is generally quite well organized in terms of resource planning. Through the efforts of an Elder in the community and his son, an employee of the Philippine Association for Intercultural Development (PAFID), a Philippine NGO. The community has received considerable organizational aid from PAFID. These efforts have resulted in the formation of a strong community organization the Busol Solidarity Foundation (BSF). This organization has the support of the majority of the community, over eighty percent of the teams respondents were members of the group. It's leadership has put forth a strong proposal for the management of the communities resources. For instance, they have applied to the DENR for inclusion in the Integrated Social Forestry Program. A program which provides security of tenure in exchange for protection and management of the resources of the area. PAFID's efforts have raised awareness within the

community regarding the ISFP and the need to begin cooperating on resource issues within the Busol.

Another reason for this organization and commitment is the existence of a dynamic Tribal Elder. This man has served as an excellent example for the community by planting in the fifties and subsequently protecting and managing five hectares of forest just outside the boundaries of the Busol. Most people in the community are aware of this forest and the benefits that the steward derives from it. To illustrate, consider that another old man in the community explained to the team that he wished he had also planted trees so he would have the same financial security. Now he says he is always telling his children to plant trees and not make the same mistake.

As an outcome of the work of PAFID and this Elder, over three quarters of the respondents from Lamut were aware of the importance of trees. They were also

75

aware of the conditions of the ISFP program requiring the planting and maintenance of trees within the community. Accordingly, the team found that over three quarters of our respondents were willing to plant and protect trees. Still, in translating these commitments onto the ground many of the same problems concerning project design in Ambiong will need to addressed in Lamut as well.

Similar to Ambiong the communities the peoples willingness to participate is also conditional upon receiving some form of security. The nature of this security is, however, different from Ambiong. Unlike Ambiong, which seeks individual clear title, Lamut will be willing to accept the conditional tenure of a something like a ISF program. This further demonstrates that Lamut is further along in the planning and organizational process, (see conditions of willingness to cooperate in the matrix of findings in Appendix A)

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III. Summary:

By DENR definition, the Busol Watershed is in critical condition. In sections of the Busol, the forest, soil and surface water resources are in peril. This may pose a threat to the city of Baguio and the Municipality of La Trinidad, as they plan for water extraction from the watershed. However, the evidence available to date shows there has been little impact on the ground water , the primary source of water for the municipality. The major impact is upon the surface water and the soil resources of the watershed. (Veracion 1993.) It is arguably the case that the continued decline of the resources of the watershed may be having a more damaging effect upon the livelihood of the inhabitants of the watershed than on the water supplies of the city. Consequently, the collapse of the resource will hurt the people within the watershed much sooner and more severely than the water supplies of the city. In fact, some respondents within the watershed were reporting rapid declines in the productivity of the soil causing them to introduce costly inputs.

Correspondingly, by participating in resource management and Agroforestry projects, the inhabitants may have most of the benefits of the resource protection conferred upon them. In terms of participation this could be a strong catalyst to getting it off the ground. However, the farmers must first be helped to understand the linkage between resource protection and their welfare. In order to make these connections they must be helped over the barriers that have prevented their stewardship. Ultimately these barriers are related to the extent to which the residents are involved in the management and stewardship of their surroundings and the quality of the information they have regarding their management decisions.

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Initiating a process of lowering these barriers will require the agencies to generate tactics for the adoption of participatory principals. Investigation into the current status of the agencies organization revealed that communication has traditionally been very weak.

Information is not being openly shared between the governing agencies. Maps and census data are not openly available. Often there is duplication of efforts This lack of cooperation between

sometimes resulting in differing findings.

agencies then becomes an information gap that produces uncoordinated efforts on the ground. Various instances of conflicting efforts were evident both in the secondary data and in the field. Issuance of Tax declarations, Kaingin Permits, Building Permits, and the construction of such facilities as water supplies, roads and schools have served to conflict with the historical effort of removing residents.

There has also been a tendency for agencies to implement conflicting efforts. One division of an agency will seek to make the people insecure while another division undertakes a measure which increases the security of the inhabitants. One such case in point, is the provision of temporary water supplies to the Brooks Point inhabitants by the BWD. These services have been extended to inhabitants, and simultaneously the city and the BWD pursue a class action suit against all structures (inhabitants) within the watershed.

A distrust of the BWD and DENR and some of their, personnel has developed as a result of these gaps in communications. All of the respondents expressed some negative feelings for the agencies, citing various instances that have caused them to be suspicious of their actions. For example, the 1993 census of the BWD failed to include some key persons in the watershed. These omissions were detected by

78

residents of the watershed. This resulted in suspicion of the BWD and brought on comments of incompetence.

The municipalities and the DENR have considerations beyond internal communication that need reconciliation prior to implementing strategies for restoration of the watershed. The tree security issue must be resolved. Incorrect assumptions concerning clearing of land must be addressed. Moreover, ways of assuring rights to trees must be developed. These information gaps that remain open prevent and will continue to prevent residents from partaking in agroforestry schemes.

Furthermore, if government departments are going to assist watershed inhabitants in adopting stewardship programs then they should be cognizant that trees were removed from crop fields at the express recommendation of some of their predecessors. This makes extension efforts from the agencies more difficult. The sentiment had been expressed by a couple of respondents that they are proud flower growers. Trees they claimed will inhibit their ability to grow flowers and other commercial crops.

These sorts of sentiments, while they were not the norm for the watershed are obstacles to restoration. Save the Children in Thailand encountered similar

obstacles. According to Dr. Mittelman and Vichen Srelukwa (1991), the project coordinator for SC, "outsiders recommendations that farmers incorporate trees onto their crop fields can be met with skepticism." Save the Children has begun to overcome these problems by allowing or having farmers identify by themselves that planting trees directly addresses their own problems and objectives (Mittelman and Srelukwa, 1991). This can be achieved by using the existing tree

79

stewards from within the Busol in farmer to farmer extension and education programs. This is a feasible tactic for the Busol. As the findings indicated, there are several individuals currently involved in stewardship of trees. These stewards would be excellent candidates for such a program. In interviews, all of the stewards were very proud of their achievements and expressed a willingness to partake in such a program.

The findings also indicated that each community within the watershed is at a different stage of development. Correspondingly, they also operate on different levels of involvement with different information exchanges and bases, as was shown above. Therefore, any approaches to restoration of the watershed that acknowledge these differences and allow for them in the planning of strategies will increase likelihood for success. People at more advanced stages of resource protection and participation could serve as excellent models in farmer to farmer extension programs.

However, as the research indicated, not all people within the watershed are aligned with the above communities. The current municipal administration has established a committee to distinguish between residents with strong claims within the watershed and those who have no rights to remain. How the municipalities approach the process of distinguishing between the residents will be critical to the success of a participatory management program. An approach that recognizes the ability of the communities to distinguish and come forth with proposals for meeting the municipalities requirements will achieve this end in a much more efficient fashion. Furthermore, by entering into a cooperative process the agenda for this committee can be appropriately expanded to distinguish between residents suitable for involvement in participatory restoration and those who are not.

80

Finally, barriers to participation are often related to the short term economic security of the residents (Mittelman and Srelukwa, 1991). This was certainly the case within the Busol. Interviews with residents revealed the need to set aside long term plans to meet short term supply needs. By acknowledging these needs and initiating tactics for meeting the short term economic security of the residents participating in management, there is a greater chance the people will participate in longer term conservation (Lewis and Kaweche, 1990, Mittelman and Srelukwa, 1991).

The location of the Busol may make getting over this hurdle easier. In the teams research it was found that the people of the watershed would appreciate some extension with regards to marketing. The proximity of the watershed to markets and the existence of NGO's in Baguio capable of assisting in livelihood projects works well in their favour. For the city, it should be understood that increases in revenues from the same area of land due to increases in markets and productivity may cause the people to slow expansion and return some land to tree cover.

In all it would be a far wiser investment of time and money to accept a participatory approach. The question remains, how do you get there?

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IV. Recommendations:

A. How To Get To Participation. Moving towards a participatory solution will require joint community, NGO and Government agency action for the prevention of further resource degradation and to begin the slow process of regreening, restoration and conservation. The process must begin with the information base. A. There needs to be a comprehensive, open access, user friendly information base on all aspects of the Busol Watershed and the people who live there and the stakeholders (Public and Private) in the watershed. i. The information should be generated and verified by community organizations with assistance from the agencies. This information should be shared with all for validation before integration into the overall data base as fact. ii. The data base needs to be maintained and updated jointly by both community watershed organizations and the representatives of the government agencies. iii. The data base also needs to be assimilated into one data bank to be maintained at one office. This office should be easily accessible to the inhabitants of the watershed. iv. As well, copies of the data base should be given to watershed community organizations B. Functional community organizations need to be developed and nurtured in the Busol Watershed. i. There needs to be long term consistent community organizing assistance to foster new organizations and to enhance the existing ones. ii. This organizational effort should have as part of its focus the identification of and the creating of solutions to the barriers (economic and political) that prevent resource stewardship within the watershed.
The recommendations are adapted from the AIT project team's strategic plan for the Busol Watershed presented at Bagiuio City Hall Oct. 1993.
5

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iii. The organizational effort must foster a climate in which the community is able to identify problems and design and implement the solutions to them. They must be able to share in the rewards as well. C. To achieve the above ends and enhanced stewardship there needs to be regular forums where different community organizations in the watershed can discuss and coordinate their activities with each other and with government agencies. D. The DENR and the local Government agencies need to coordinate their efforts with regards to the watershed. i. Part of this coordination of effort should be the creation of a policy climate which favours resource management. E. Finally there is a need for a comprehensive training program for DENR and BWD field staff and officials in the techniques of community organizing and participatory planning.

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B. Principals for Selection of First Activities:

Community Action by recognized communities within the Watershed should begin with actions: i) Where there is common concern / Agreement of community and government that action is needed and desirable. ii) Where all members of the community and watershed residents are "winners" while agency objectives Re: watershed management are also met. iii) Activities that require modest investments of peoples time and money iv) Activities that generate benefits in the short run vi) Activities that are not dependent upon complex or untried technologies

C. Examples of Possible Initial Community Participation in Watershed Management and Protection Activities:

i) Protection of watershed trees and enterprises from theft by individual or groups outside of the community or watershed ii) Dry season water conservation and community rationing iii) Community forest nurseries with species for both resource conservation and to meet the community needs for wood resources iv) Community education on low fertilizer / pesticide or biodegradable input use for agricultural production systems

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V. References:
Agaloos, Bernardo C. 1993. Social Forestry in the Philippines: An Overview. Regional Development Dialogue Spring 1993. UNCRD, Japan. Ancestral Domain Research Network 1993 The Baguio Land Problem. Arnstein, Sherry 1969. A Ladder of Citizen Participation. Journal of the American Institute of Planners, July 1969. Attorney Andong, O N C C member, Community Task Force on Ancestral Lands, C E N R O , Pacdal, Personal interview, September 1993. Baskerville, Gordon 1988, Evaluating Forest Management Performance. Paper presented to Vancouver Section CIF. Calanog and Calderon, 1992, Busol Watershed: A Socio-Economic Characterization. Paper prepared for Integrated Development and Mangement for Busol Watershed. Ecosystem Research and Development Sector.Technical Director for Research- Dr. Veracion D E N R - C A R Cernea, Micheal. 1993. Strategy Options for Participatory Management. Regional Development Dialogue Spring 1993. UNCRD, Japan. Chaloping and Evanso 1992. The Ancestral Land Issue in the Cordillera. Cordillera Studies Centre, University of Philippines College Baguio Chambers, Robert. Notes and Parts of Papers provided by Hugh Marshall, International Forestry Consultant. September 1991. Chambers, Robert. Rapid and Participatory Rural Appraisal: Past, Present and Future. Seminar paper for the University of Chiang Mai. November 1990. Davis-Case, D'Arcy. 1989. Community Forestry: Participatory Assessment, Monitoring and Evaluation. F A O Rome. De Vera, Dave: Philippine Association for Intercultural Development. Personal interview at University of the Philippines De La Salle Campus, October 1993. Department of Natural Resources 1992 and Baguio Water District 1993 Census Data. E E C , 1993. Midterm Report of the Baguio Dagupan EEC Project. Fox, Jeff. 1988. Aerial Photography and Thematic Maps For Social Forestry" Network Paper 20 in Environment and Policy Institute, East-West Center, Diagnostic Tools for Social Foretry. Honolulu, 1988.

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FoxJeffery, 1993. Commentary in Regional Development Dialogue. Spring 1993. UNCRD, Japan. Local Water Utilities- UNDP Pilot Project developing a GIS for the Baguio and Region Water Systems. Gibbs, Payuan, and del Castillo. 1990. The Growth of the Philippine Social Forestry Program, in Keepers of the Forest: Land Management Alternatives in Southeast Asia. Ed. Mark Poffenberger, Kumarian Press, Conneticutt. Grandstaff and Grandstaff. 1987. A Conceptual Basis for Methodological Development in Rapid Rural Appraisal in Rapid Rural Appraisal Proceedings of the 1985 International Conference at Khon Kaen University Thailand. Gronow and Shrestha. 1992. From Mistrust to Participation: Creation of Participatory Environment Through the Reoreientation Process in the District Forest Office in Nepal. Local Organizations in Community Forestry Extension in Asia. RWEDP, FAO. Bangkok, September 1992. Kruks, S. 1983. Notes on the Concept and Practice of Participation in the Kenya Woodfuel Development Programme. Beijer Institute, Stockholm, Sweden. Kummer, David M . 1992. Deforestation in the Postwar Philippines. Ateneo de Manila Press, Quezon city. Leonard Wood, Philippine Presidential Proclamation No. 15, April 27, 1922. Lewis, Mwenya, Kaweche. 1990. African Solutions to Wildlife Problem in Africa: Insightsfromaa Community Based Project in Zambia Unasylva 161, Vol. 41, Rome. Lynch, Owen. 1984. Whithered Roots and Land Grabbers: A survey of Research on Upland Tenure and Displacement, in Uplands and Uplanders: In Search of New Perspectives, Charles Castro(ed.), BFD Upland Development Program, Bureau of Forest Development. Mittelman, Andrew and Vichen Srelukwa. 1991. Catalyzing Potentialfor Farm and Community Forestry by Integrating Agro-/Environment Rehabilitation. Paper prepared for Poles of NGOs in Promoting On-Farm Growing Technologies, Pune India. September 1991. Mittelman, Andrew. 1992. Mobilizing Community Action for Forst Rehabilitation: Local Organizations in Sustainable Forestry Development. Local Organizations in Community Forestry Extension in Asia. RWEDP, FAO. Bangkok, September 1992.

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Philippine Association For Intercultural Development. 1989. A Chronology of Events in the Settling of the Busol Area: As Narrated by Ambiong and Lamut Elders. Philippine Association For Intercultural Development! 1989. A Chronology of Events in the Settling of the Busol Area: As Narrated by Ambiong and Lamut Elders. Unpublished Field Notes of PAFID, Manila. Prill-Brett, June. 1990. A Multi-ethnic City and the Development of the Ibaloy as an Ethnic Minority CSC working paper 15. Rood, Steven. 1993. State Policy, Indigenous Community Practice, and Sustainability in the Cordillera, Northern Philippines. Paper submited for the 10th annual conference on Southeastern Asian Studies. Cordillera Sudies Centre, Baguio. Sajise and Omegan. The Changing Upland Landscape of the Northern Philippines. Uphoff, Norman. 1981. Farmers Participation in Project Formulation, Design and Operation, in Proceedings of the Second American Agricultural Sector symposium. Uraivan Tan Kim Yong. 1992. Participatory Land-Use Planning for Natural Resouce Management in Northern Thailand. Rural Development Forestry Network Paper 14b ODI London. Vance, Joan E . 1990 Tree Planning: A Guide to Public Involvement in Forest Stewardship. B.C. Public Interest Advocacy Centre. Veracion. 1993. Integrated Development and Mangement for the Busol Watershed. D E N R Baguio. Werner, D and Bower, B. 1982. Helping Health Workers Learn. The Hesperian Foundation Palo Alto. Wilson, Everett. 1966. Sociology: Rules, Roles, and Relationships. Dorsey Press, Homewood 1 1 1 . Yaowalak Apichatvullop. 1993. Local Participation in Social Forestry. Regional Development Dialogue Spring 1993. UNCRD, Japan.

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VI. Appendix A:
Matrix of Findings for the Busol Watershed: The Matrix is a collation of the key indicators. Interview and Secondary data was collated into a format which would allow an examination of the patterns between and amongst differing groups on key indicators of participation. The bases of analysis, column designations, were as follows: Res #: The number of the respondents interviewed. This number is utilized for accounting reasons. Geographic Community: The geographic community within the Busol in which the respondents live. Origin: The province from which the respondent emigrated to the Busol, if the respondent was not born within the Busol. Longevity: The length of time a respondent has resided within the Busol in years. The approximate ages for respondents born within the Busol were recorded as a means of determining length of time they have been in the Busol. Records: 1. Tax Records: Whether or not a respondent has filed a tax claim. 2. Ancestral Application: Whether or not a respondent has registered an Ancestral Claim. A response with a star indicates that the team was able to verify the respondents claim with the DENR. 3. Census: Whether or not the respondents name appears within the obtained census data Rights: The Rights Column is an estimation of the occupants strength of claim for rights to remain within the watershed. A B C D - Strongest Claim, relatively clear cut. - Strong Case, Highly Probable - No Case, very weak claim - No estimation.

Member of Organization: Whether or not the respondent belongs to any organization within the Busol. Name of Organization: The organizations are as follows: BSF - Busol Solidarity Foundation M P C - Multipurpose Co-op of Ambiong B B A C F - Baguio Benguet Ancestral Claimants Foundation BPMPC - Brooks Point Multipurpose Co-op

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Willingness to-Cooperate: This is an assessment of whether the respondent would be willing to participate with the agencies in the conservation of the watershed. This is based upon interviews which were cross checked. The Fraud entry is because this respondent is being investigated for defrauding the DENR in a planting project. Plant and Protect Trees: Used as a key indicator of the respondents understanding and willingness to partake in conservation and protection of the watershed resources. 1 .Present: Whether or not the respondent is currently growing and protecting trees or conduction some form of agroforestry. Based on visual and verbal checks. 2. Willingness: Whether or not the respondent is willing to undertake the planting and protection of trees. 3. Condition: The condition column refers to the conditions the residents place upon their willingness to cooperate on resources management with the leading agencies. These agencies being the BWD and the DENR A - Cooperation is conditional upon the fact that trees must not interfere with garden production B - Cooperation is conditional upon having tenure security in the trees they plant B* - Ability to steward trees not cooperation is dependent upon tenure security. C - Cooperation is dependent upon having a Stewardship Contract with the D E N R D - cooperation is dependent upon the clearing up of the BWD class action suit. E - Cooperation is conditional upon having free title to all claimed land. Extension Received: Whether a respondent has ever received extension and helpful communication from either the city administration, the B W D or the DENR. Intermittent - Communication has been inconsistent and sporadic. Understanding of: 1. Watershed: Whether the respondents were familiar with the policies, boundaries and purpose of the Busol watershed as a source of water for Baguio City. 2. Trees: Whether the respondent was aware of the importance of trees for conservation. This included whether the had the knowledge to grow trees on their property in an advantageous manner. Opinion of Government: The feeling of the respondent towards government agencies. This is also a measure of whether the respondent trusted agencies based on past and present experience. Deforestation Causes: Past: Respondents explanation for who was responsible for the past logging and deforestation. B F D - Bureau of Forest Development (now the DENR) CO's - Companies; primarily the Mining and Timber Present: Respondents explanation of who is currently cutting down trees in the Busol. Outsiders - people from outside of the Busol

89

Farmers - people farming within the Busol In-Out - both Fire: Whether the residents knew of forest fires causing damage. Improvements: Investments people have placed on their "property" within the Busol. House: Whether they have built homes Farm: Whether they have developed agricultural fields Other: These include Trees - Planted trees and small patched of trees shop - Small shops with goods for sale dams - Small check dams for erosion and water control.

Appendix A : Matrix of Findings for the Busol Watershed

Re s Ethnicity
.#

Geographic community

Origin

Longevity Est. Yrs. several yea

Records Ancestral Rights Census: Tax Application 19761 1993

.

qo

1 Kankanaey Lamut 2 Kankanaey Lamut 3 Kankanaey Lamut 4 Kankanaey Lamut 5 Kankanaey Lamut 6 Kankanaey Lamut 7 Kankanaey Lamut 8 Kankanaey Lamut 9 Lamut 10 Kankanaey Lamut 11 Kankanaey Lamut 12 Kankanaey Lamut 13 Lamut 14 Kankanaey Lamut 15 Kankanaey Lamut 16 Kankanaey Lamut 17 Kankanaey Lamut 18 Kankanaey Lamut 19 Kankanaey Lamut 20 Ibaloy Ambiong 21 Ambiong 22 Ibaloy Ambiong 23 Ibaloy Ambiong 24 Ambiong 25 Ibaloy Ambiong 26 Ibaloy Ambiong 27 Ambiong 28 baloy Ambiong 29 baloy Ambiong 30 Ambiong 31 baloy Ambiong 32 Ambiong 33 Ambiong 34 baloy Ambiong 35 baloy Ambiong 36 baloy Ambiong 37 baloy Ambiong 38 Ibaloy Ambiong 39 <ankanaey Ambiong 40 baloy Ambiong 41 Ambiong 42 baloy Brooks Point 43 baloy Brooks Point 44 Brooks Point 45 baloy.. Pacdal- Liten 46 baloy Brooks Point 47 baloy Pacdal- Liten 48 oaloy 3rooks Point 49 locano Brooks Point 50 baloy Pacdal- Liten 51 baloy acdal- Liten 52 baloy Pacdal- Liten 53 baloy Outside
3

Busol Outside Busol Busol Busol Busol Outside Busol Busol Busol Outside Busol Busol Busol Busol Mountain Busol Segada Busol Busol Pangasinan Busol Busoi .ubos Busol Outside Busol Outside Outside Outside Busol 3usbl Busol Busol Busol Outside 3usol Outside Busol Busol Busol Manila Busol Busol Busol Busol

D Yes* Yes Yes* Yes Yes* Yes Yes Yes

A

<1 50 plus 1 month 52 80 plus <5 24 45 26 14 Teens 40 plus 40 Plus 25 Plus 74 42 4-5 60 plus 50 plus Several 30 50 plus 20 plus 50 plus 47 40 plus 4 <10 . 51 20 Plus 60 Plus 68 50 plus 50 plus <1 60 plus <2 97 70 plus 11 40 plus 60 Plus 30 plus 40 plus

Yes Yes Yes Yes Yes

D B D Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes
A

Yes Yes Yes Yes Yes

Yes Yes Yes Yes Yes Yes* Yes Yes*

Yes Yes Yes Yes

Yes Yes Yes Yes Yes Yes Yes

6 B C B B B D D B B D . B
A

Yes Yes* Yes Yes Yes Yes

Yes Yes

Yes

Yes Yes Yes

Yes

Yes No Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes* Yes Yes No Yes* Yes* No Yes* Yes* Yes Yes* Yes* Yes Yes Yes Yes Yes Yes Yes. Yes Yes

D C B B C . B B D B B D D D D B B B B B
A

D D
A

D C Yes Yes
A A !

Yes Yes Yes Yes Yes Yes Yes

C
A :

Yes Yes Yes :

Yes Yes

D
A

B B B

Res #

Member ol Name of Willingness tc) Plant and Protect Trees: Extension organizatio organization Cooperate Present Willinqnes Condition Recieved BSF BSF BSF BSF BSF BSF BSF BSF BSF BSF BSF BSF BSF BSF BSF BSF MPC MPC MPC MPC MPC MPC MOC MPC MPC Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Fraud Yes Yes Yes Yes Yes No Yes Yes Yes Yes Yes Yes Yes No No No Yes Yes Yes Yes? Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes? Yes Yes Yes Yes Yes Yes No Yes Yes Yes N/A N/A Yes Yes Yes Yes Yes Yes Yes Yes yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes A A, C , D No No

Understanding of Watershed Trees No No No No No Yes No

i ?

1 Yes 2 Yes 3 No 4 Yes 5 Yes 6 Yes 7 No 8 Yes 9 Yes? 10 Yes 11 Yes 12 Yes 13 No 14 Yes 15 Yes 16 Yes 17 Yes 18 Yes? 19 Yes 20 Yes 21 No 22 Yes 23 Yes 24 No 25 Yes 26 Yes 27 No 28 Yes 29 Yes 30 Yes 31 Yes 32 No 33 No 34 No 35 Yes 36 Yes 37 Yes 38 Yes 39 Yes 40 Yes 41 No 42 Yes 43 Yes 44 No 45 Yes 46 Yes 47 No 48 Yes 49 Yes 50 Yes 51 52 Yes 53 Ves

B ,

No , No intermittent No No

Intermittent No No No N/A No B, C D No B, C, D No B.CD No No A C , D No A, B A Intermittent No No No Intermittent Yes intermittent No No No No No No No Intermittent N/A No ntermittent ntermittent No No No . ntermittent ntermittent No No No No No intermittent No No No No No

Yes Yes Yes No Yes Yes Yes No Yes Yes Yes Yes Yes No Yes Yes No No Yes

Yes No No Yes Yes? yes? No No

A, B, E A, E E E
E

Yes Yes Yes Yes Yes BBACF Yes BPMPC Yes Yes LCA, BBACF Yes BBACF Yes Yes BBACF BPMPC Yes LCA, BBACF Yes Yes MPC Yes BBACF

MPC MPC MPC MPC MPC, BSF MPC

Yes? N/A N/A No Yes? Yes Yes Yes Yes Yes Yes? Yes No No yes Yes Yes Yes No yes Yes Yes

yes No Yes No Yes Yes Yes Yes Yes Yes No Yes Yes Yes Yes Yes Yes Yes Yes

A A A, B* B B A B*

No Yes Yes No Yes No Yes Yes No Yes

B* . B* B* B*

B** '.. Yes

Res Opinion of Gov't # 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46, 47 48 49 50 51 52, 53 Neg

Deforestation Causes: Improvements: . Past [Present IFire House 1 Farm 1 Other Yes Yes Yes Yes Yes Yes Yes Yes Yes BFD, Co's Outsiders Yes Yes BFD, Co's Yes Yes Yes Outsiders Yes Yes Trees Yes Yes dam Yes Yes Yes Yes BFD, Co's Yes Yes Yes. Yes No BFD, Co's Outsiders Yes BFD, Co's Outsiders Yes Yes BFD, Co's Outsiders Yes Yes BFD, Co's Outsiders Yes Yes Farmers? Yes BFD, Co's Outsiders Yes Yes Yes Trees Yes Yes Yes Yes BFD, Co's Yes Yes BFD Outsiders Yes Yes Yes Yes Outsi Shop Farmers Yes Yes Farmers Yes Yes Outsiders No . Yes Outside Yes BFD, Co's Yes Yes Yes Yes Yes Yes Yes Yes Yes No Yes Yes Yes Yes i In-out Yes Yes Yes Outsiders Yes Yes ; Yes BFD, Co's Yes : Yes Outsiders Yes Yes ' BFD, Co's Outsiders Yes : Yes : Trees BFD, Co's Yes : Yes Yes Shop*; Yes Yes Yes BFD, Co's Outsiders Outside Yes Trees Yes Yes Himself Yes Yes BFD, Co's Outsiders Yes Yes Yes. i Trees! BFD, Co's Outsiders Yes Outside Yes Trees Yes Yes BFD, Co's Outsiders Yes .. Yes Trees Yes Yes i . - - . *i BFD. Co's Outsiders Yes Yes Shop Outsiders Yes Yes Outsiders Yes Yes Trees Outside j No :
; ;

Neg

Neg Neg Neg Neg Neg Neg

Neg Neg. Neg Neg.

Neg Neg.

Neutral Neg

Neg Neg

Neg Neg Neg Neg

VII. Appendix B: Maps of the Busol Watershed produced by the DENR. Geological Map of the Busol Watershed Landuse Map of the Busol Watershed