Participatory Forest Management and Livelihoods of Ethnic People: Empirical Analysis from Bangladesh

PARTICIPATORY FOREST MANAGEMENT AND LIVELIHOODS OF ETHNIC PEOPLE: EMPIRICAL ANALYSIS FROM BANGLADESH

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PARTICIPATORY FOREST MANAGEMENT AND LIVELIHOODS OF ETHNIC PEOPLE: EMPIRICAL ANALYSIS FROM BANGLADESH

TAPAN KUMAR NATH

Nova Science Publishers, Inc. New York

Copyright © 2009 by Nova Science Publishers, Inc. All rights reserved. No part of this book may be reproduced, stored in a retrieval system or transmitted in any form or by any means: electronic, electrostatic, magnetic, tape, mechanical photocopying, recording or otherwise without the written permission of the Publisher. For permission to use material from this book please contact us: Telephone 631-231-7269; Fax 631-231-8175 Web Site: http://www.novapublishers.com NOTICE TO THE READER The Publisher has taken reasonable care in the preparation of this book, but makes no expressed or implied warranty of any kind and assumes no responsibility for any errors or omissions. No liability is assumed for incidental or consequential damages in connection with or arising out of information contained in this book. The Publisher shall not be liable for any special, consequential, or exemplary damages resulting, in whole or in part, from the readers’ use of, or reliance upon, this material. Independent verification should be sought for any data, advice or recommendations contained in this book. In addition, no responsibility is assumed by the publisher for any injury and/or damage to persons or property arising from any methods, products, instructions, ideas or otherwise contained in this publication. This publication is designed to provide accurate and authoritative information with regard to the subject matter covered herein. It is sold with the clear understanding that the Publisher is not engaged in rendering legal or any other professional services. If legal or any other expert assistance is required, the services of a competent person should be sought. FROM A DECLARATION OF PARTICIPANTS JOINTLY ADOPTED BY A COMMITTEE OF THE AMERICAN BAR ASSOCIATION AND A COMMITTEE OF PUBLISHERS. LIBRARY OF CONGRESS CATALOGING-IN-PUBLICATION DATA Nath, Tapan Kumar. Participatory forest management and livelihoods of ethnic people : empirical analysis from Bangladesh / Tapan Kumar Nath. p. cm. Includes index. ISBN 978-1-61728-559-2 (E-Book) 1. Forest management--Bangladesh--Citizen participation. 2. Forest management--Economic aspects--Bangladesh. I. Title. SD235.B35N38 2009 333.75095492--dc22 2008047772

Published by Nova Science Publishers, Inc.  New York

CONTENTS Preface

vii

Chapter 1

Context and Significance of the Book

1

Chapter 2

Participatory Forest Management in Bangladesh and Description of the Research Sites

9

Chapter 3

Livelihood Analysis, Research Framework and Objectives

23

Chapter 4

Agroforestry in the Chittagong Hill Tracts Region

41

Chapter 5

Participatory Forestry Program in the Chittagong Hill Tracts Region

59

Chapter 6

Shifting Cultivation in the Chittagong Hill Tracts Region

105

Chapter 7

Small-Scale Betel Leaf Agroforestry in Sylhet Region

125

Chapter 8

Linkages between Livelihoods of Forest Villagers and Forest Conservation in Sylhet Region

143

Conclusion

165

Chapter 9 Index

181

PREFACE “This book makes a significant academic contribution because the study enriches the theories of social capital, governance and participatory forestry by making use of the evidence of empirical data collected in the field-work in Bangladesh. It also provides great policy implications in the field of rural development.” - Professor Makoto Inoue “This is a timely and important book addressing a vital topic for the planet’s future, namely how to maintain both tropical biodiversity and the cultures of the peoples living in and around them. It draws on experiences from Bangladesh of shifting cultivation, and shows how careful analysis of people’s livelihoods combined with participatory forest management programs can make a difference. A clear and cogent account, and essential reading for a wide variety of disciplines.” - Professor Jules Pretty

Chapter 1 - This chapter describes the relationship between participatory forestry (PF) and sustainable rural livelihood and its application in Bangladeshi context. In order to do so, at first, the issues that set off the concept of PF as a government forest management scheme, especially in developing countries, is highlighted and its view point is extended to Bangladesh forestry practices. It has been observed that despite the governmental emphasis and popular support, systemic academic research on the role of PF on the livelihoods of the participant farmers has remained remarkably limited. Chapter 2 - This chapter first describes the situation of forests and the emergence of participatory forest management in Bangladesh. Then the research sites are described and research problems are identified. Bangladesh forests have experienced deforestation and degradation since the British colonial period which continued during the Pakistan era and was inherited by the independent Bangladesh. Of the total forest land (17%), a large part of the area has no tree cover and the situation is worsening despite an attempt to preserve it. Since the early 1980’s, forestry in Bangladesh has witnessed a rapid succession of participatory forestry programs in an attempt to redress public alienation and to allow for wider participation of people in forest use and management. Two recent participatory forestry projects, namely,- the Upland Settlement Project (USP) in the CHT and Khasia forest village, in the Sylhet forest division, have been selected for studying the effects of participatory forest management on livelihoods of the ethnic communities. The research sites are described and

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past studies that have been conducted in these study sites were reviewed and research problems were identified for the study. Chapter 3 - This chapter first briefly reviews livelihood literature. It has been found that sustainable livelihoods’ (SL) framework is being widely used as a tool to improve our understanding of livelihoods, particularly the livelihoods of the poor. It presents the main factors that effect people’s livelihoods, and typical relationships among them. However, the SL framework discusses very little about market, production technology and governance issues. In light of review, I formulate a research framework and then set four interrelated research objectives based on research problems identified in the first chapter and the research framework. At the end, I discuss the method of study in short. Chapter 4 - This chapter explores the effects of small-scale agroforestry on upland community development in the Chittagong Hill Tracts, Bangladesh. More specifically, the study clarifies the merits and demerits of different agroforestry systems as perceived by planters, their impacts on the rural economy and the environment, farmer’s attitudes towards the adoption of agroforestry and impacts of various government policies. Field data was collected by administering questions to a randomly selected group of 90 planters in the Upland Settlement Project (USP), as well as project staff. The results indicated that the agroforestry interventions have in fact increased planters’ income through employment and the selling of farm products, as well as by improving the ecological conditions of these areas through reduction of soil erosion, increasing tree coverage and maintaining soil fertility. The adoption of different agroforestry systems was governed mainly by the planters’ interest in following these techniques, their ability to cultivate the land in the prescribed manner, and the market demand for their products. The major obstacles that prevented increased agroforestry improvements included lack of confidence in new land use systems, inappropriate project design (e.g. top-down innovation approach) and policy issues regarding land tenure. Recommendations are being proposed to strengthen social capital in local organizations to enhance the livelihoods of the upland communities. Chapter 5 - The Upland Settlement Project (USP) is a recent intervention that aimed to settle landless shifting cultivators through a participatory forestry program and other social development activities. By taking two contrasting sample villages (one relatively successful and the other relatively unsuccessful) as case study sites, this chapter investigated the present conditions of the USP in terms of progress towards achieving targeted objectives and its impacts on planter’s livelihoods. Both qualitative and quantitative approaches were used. Findings indicate that although customary forestry practices could not support planters’ livelihoods all year, joining the USP had improved their livelihoods by building several livelihood capitals including human, physical, natural, financial and social capital. Many planters have given up customary forestry practices completely and diversified their livelihood strategies to make a living. Due to budget allocation disparities, differences in raising awareness about project benefits, and inconsistencies in monitoring motivation, project outcomes varied depending on the divergence of livelihoods capital between the villages. Several local-level governance and policy issues were identified that underlay inadequate settlement project achievements. Suggestions are made for effective participation by planters that would heighten the sense of ownership, enhance collective management, and ensure long-term program sustainability. Chapter 6 - Despite the trend of dwindling productivity, ethnic people of the Chittagong Hill Tracts (CHT) still practice shifting cultivation as a dominant hill farming system to

Preface

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support their livelihoods. Drawing on an empirical study in Khagrachari district of the CHT, this chapter examined how far the production from present shifting cultivation supports the ethnic people’s livelihoods and what alternative livelihoods strategies they have adopted for subsistence by using data on input/output and income/expenditures, and analyzing current government policies. The findings showed that productivity declined markedly, yields were almost equal to input values, and farmers experienced food shortages for at least two to six months in a year. To make a living, farmers have adopted new occupations such as wage labor, animal husbandry, cultivation of annual monocrops, and extraction and selling of forest products. Policy analysis indicates that previous policies were unable to reduce shifting cultivation intensity or improve ethnic people’s livelihoods or the region’s forest resources. Reorientation of government policies, easy access to institutional support, and the active participation of local people in development projects are of the utmost importance in order to find alternative land uses for sustainable hill farming, to improve the farmer’s living standards, and to conserve forests and protect watersheds. Chapter 7 - The Khasia ethnic community of Bangladesh has been a population of forest villagers in the northeastern hill forests of Bangladesh since the early 1950’s, practicing a betel leaf-based agroforestry system on land granted by the Forest Department. This chapter explores indigenous management of agroforestry and the sustainability attributes of betel leaf production in the agroforestry system. The data and information of the study have been drawn from randomly selected three forest villages of Sylhet forest division. Villagers were classified into three categories based on their mean monthly income. Eight households were selected at random from each category in each village for household interview. Officials of the Forest Department were interviewed to explore the impacts of the farming system on forest conservation. Findings indicate that the lives of the Khasia people are centered on the hills and hill resources. Their economy is forest based, using simple, traditional technology. Their principal occupation and source of livelihoods is betel leaf agroforestry. The presence of several positive attributes of sustainability such as composition of agroforestry, disease control, soil fertility management, profitability, socio-cultural acceptability and institutional support indicate that betel leaf production within the agroforestry system seems stable under prevailing traditional management system. Income from the sale of betel leaf is the principal livelihoods means and villager’s reciprocal contributions help to conserve forest resources. Chapter 8 - Even though many forest villagers have been living on forest department (FD) land and serving the department in the northeastern hill forests region of Bangladesh since the early 1950’s, their livelihood has not been fully explored yet. Taking a sample forest village of the Sylhet forest division, as a case study, this chapter deeply examines the livelihoods of villagers (Khasia ethnic people) and their contribution to forest conservation. Findings of the study indicate that the villagers are well-endowed with all the capitals of a sustainable livelihoods framework, though human capital in terms of education is not satisfactory. Strong social capital, stable natural capital, and a productive market-oriented agroforestry system facilitates the generation of financial and physical capital that make the livelihoods of Khasia people sustainable. At the same time, their reciprocal contributions in terms of forest protection and plantation development support forest conservation. However, some institutional issues such as land tenure and regular agreement renewal problems need to be resolved for the sake of their livelihoods and forest conservation. Lessons learned from the

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study can be utilized in formulating future participatory forest management schemes in the country. Chapter 9 - This chapter conducts comparative analysis between the USP and the forest villagers, answers the research problems and recommends some policy implications. Comparative analysis indicates that Khasia forest villagers are in better position in terms of livelihoods and forest conservation than that of the USP planters. It could explore differential answers to the research problems in two study sites. The USP has been able to limit the jhum, improve livelihoods of planters through building of several livelihood capitals and is able to reduce land degradation through introduction of small-scale rubber plantations and promotion of homestead agroforestry. Even though having some institutional and governance problems, in contrast, the livelihoods of Khasia people has improved remarkably after joining as forest villagers in Sylhet forest division. Khasia people conserve and protect the state forests as their own asset because these forests support their livelihoods sustainably. This book has academic merits in terms of creation of new ideas and supporting the existing theories by case studies. Recommendations are made for sustainability of the USP activities and better livelihoods of the Khasia forest villagers and integrated regional development.

Chapter 1

CONTEXT AND SIGNIFICANCE OF THE BOOK ABSTRACT This chapter describes the relationship between participatory forestry (PF) and sustainable rural livelihood and its application in Bangladeshi context. In order to do so, at first, the issues that set off the concept of PF as a government forest management scheme, especially in developing countries, is highlighted and its view point is extended to Bangladesh forestry practices. It has been observed that despite the governmental emphasis and popular support, systemic academic research on the role of PF on the livelihoods of the participant farmers has remained remarkably limited.

INTRODUCTION Forests are considered an important safety net for rural poor to meet their emergency needs, such as during food crop failure and economic hardship. Rural, and to some extent urban, households make extensive use of forest resources to meet their daily livelihood needs (Shackleton et al., 2007). Resource extraction from forests is an important source of income for them, without which their ability to satisfy basic needs would be jeopardized (LopezFeldman et al. 2007). Forests can provide both direct and indirect livelihood benefits including products, services and capabilities (Thoms, 2008:1453). The land and the forest resources are the determinants for the quality of rural livelihoods, which possesses ethical, economic and environmental value to the rural poor providing food security (Gurung et al. 2004; Vedeld et al. 2007). Over time, conversion of forest land for agriculture, together with the effects of economic and political changes have often greatly reduced the availability of forest resources for use by local people (Arnold, 2001). Expropriation of forests by governments as forest reserves or some other form of state property led to progressive degradation of the remaining forests (Arnold, 2001; Roy, 2002). The expansion of forest reservation thwarts local people’s access to local forest use and management. Restricted access to remaining forests due to lack of land tenure and intensified state control leads to the poverty of forest dependent people (Fisher and Hirsch, 2008:75). Exclusion of local people,- from state forest management, under conditions where dependency of the people on forest resources is high due to poverty and high population density, is not an appropriate policy because it does not automatically ensure

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protection from forest degradation or the avoidance of greater environmental problems (Gunawan et al., 2004: 31). To pursue conservation agendas by restricting access to forest resources relegate the rural poor to levels of livelihoods deprivation that entail health problems, loss of life, distress migration, social disaffection and conflicts (Mamo et al., 2007: 926). Many influential organizations in global conservation continue with the apparently deep-rooted assumptions that in tropical countries local people seldom hold significant conservation values, that conservation must be imposed, and that strict protection works best (Vermeulen and Douglas, 2007: 436). State authority claims that reservation ensures their sustainable use for environmental and economic benefits. The potential value of forests as a source of rent to governments helps to explain the reasons for breaking down existing use and management systems, and the bias towards forest management systems designed to meet industrial rather than local requirements (Arnold, 2001). Even though the state authorities looked to receive great deals of revenue through reservation, it was observed that,- in many developing countries,- that the state could not manage the forest effectively. All too often, these measures have been ineffective in protecting the rate of forest loss and degradation (Wiggins et al., 2004: 1940). Despite rigid management systems and well-trained forest cadres with scientific knowledge of silvicultural management, the centralized bureaucratic system failed to prevent deforestation (Rasul, 2007: 153). Authoritarian approaches to imposing conservation may claim some success in the tropics but are becoming increasingly indefensible (Vermeulen and Douglas, 2007: 438).The authorities could not protect the forests because of continuous illegal logging, and large tracts of forest areas have been encroached. The colonial attitudes of forest officers which make them isolated, custodial approach of forest management, shortage of manpower to monitor the huge amount of forest areas, increasing demand of forest products that were met unlawfully and socio-political pressure on forests have negatively affected the forest conditions. State authorities, who claim control over forest management, fail to adequately protect forest resources and they rarely deliver the benefits of forest use to local forest dependent communities (Both ENDS, 2000). Centralized, top-down decision making has become increasingly inadequate for responding to local natural resource issues and needs (Lurie and Hibbard, 2008: 438). Faulty design, inefficient implementation, and corrupt organizations have played an equally important role in the poor outcomes associated with state-centered policies (Agrawal and Gibson, 1999: 632). Combined with local intransigence and lack of livelihood alternatives, this mix of factors has turned most enforced conservation projects into spectacular failures (ibid.: 632). Wholesale failure of state-led forest management forced the government to change its policy and strategies towards people-oriented forestry practices (Hong, 2005). The failure of state-led resource management had demonstrated that there was a need for new ways to involve people living in and adjoining the forests in their management (Castren, 2005: 90). Reversing of tropical forest degradation is possible through involvement of local people when forestry programs address livelihood needs and environmental concerns (Blay et al., 2008: 503-4). Local people can be part of a solution, rather than of the problem, if they are given the opportunity (Vermeulen and Douglas, 2007: 434). Local communities have an interest in forest conservation despite the pressing need to extract from the forest (Guthiga et al., 2008: 704). Governments are no longer viewed as the sole or even primary stewards of forest resources (Walters, 2004: 178). Subsequently, governments had acknowledged that the centralized management of forests had failed in its primary purpose of conserving the

Context and Significance of the Book

3

essential productive and protective values of forest resources which led to recognition that deforestation and degradation in the forest condition could only be halted if action was taken with active involvement of local community, and if local needs for fuel wood, grazing and other things are considered (Arnold, 2001; Kubsa and Tadesse, 2003). The poor conservation outcomes that followed decades of intrusive resource management strategies and planned development have forced policy makers and scholars to reconsiders the role of community in resource use and conservation (Agrawal and Gibson, 1999: 630). Concern over these overlapping issues (e.g., forest conservation and basic needs of local people) meant that developing world governments, international donor agencies and foresters could no longer ignore the relationships between forests and people. A series of studies and meetings held during the 1970’s culminated in The Eighth World Forestry Congress in 1978, which took as its theme “Forest and People” (van Gelder and O’Keefe, 1995). The turning point came in the mid 1970’s. By the end of the decade community forestry, social forestry, participatory forestry or trees for the people, were the buzzwords on everyone’s lips. Community-based natural resource management that entails local, place-based projects, policies and goals of advancing healthy environments and human communities had emerged as an alternative to conventional, top-down approaches to public management (Lurie and Hibbard, 2008: 430). The role of community-based plantation development in forest rehabilitation and poverty alleviation is now a pressing issue (Blay et al., 2008: 503). The community-based forestry movement, which involves an attempt by people living in or near forests to gain control of, or at least increased access to- forests and forest resources, involves discourses which assert the ability of local communities to manage environments sustainably (Fisher and Hirsch, 2008: 76). Participatory forestry (PF) has emerged during the last decade as an effective approach to be used by local communities in taking part in decision-making to ensure the sustainable management and use of forest resources that are important to their livelihoods (Potters et al., 2003). Based on the idea of Warner (2003), PF can be defined as participation of stakeholders in forestry decisions, from policy formulation to field level execution and back with a full role in decision-making. It is regarded as an umbrella concept covering all of the different types of forestry activities that involve local stakeholders, especially villagers, in different degrees of decision-making authority (Potters et al., 2003). Participatory forest management (PFM) can be considered a non-market communitybased institution for forest management and protection- and sustainable human development (Prasad and Kant, 2003). Since the late 1970’s many PFM systems have been practiced in the tropics because professional foresters noticed that they could not manage the forests sustainably under the principle of conventional and industrial forestry (Inoue, 2000a) where the local people were considered to be obstacles or constraints to forest management (Inoue, 2003b). A PFM system is considered to be an indispensable policy concept in achieving sustainable forest management (Inoue, 2000a), and currently, PF is viewed as a potential and increasing feature of forest policy and practice in most of the developing countries (Brown, 1999). Increasingly, policies and programs are crafted with the intent of enlisting local people as partners in forest land management (Walters, 2004: 178). The involvement of local communities, local government, and other stakeholders (including private sectors, NGOs and international agencies) in forest management is accepted as an ongoing trend (Warner, 2003). In particular, the role of forest-based communities has received increased interest from researchers and policy-makers, and in developing countries, - forestry professionals have

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focused their attention increasingly on the interaction between communities and forests (Castren, 2005: 87).

CONTEXT OF THE STUDY Like many other developing countries, there has been an unprecedented enthusiasm for PF in Bangladesh since the 1980’s and the government has attached highest priority to it as a means of social development (Khan, 2001). There is a growing consensus amongst key forest decision-makers that traditional forestry is needed to make the transition to a more sustainable forestry (Salam and Noguchi, 2005), which leads to the development of PF in Bangladesh. Participatory forestry in Bangladesh ensures active participation by the rural people in planning, implementing, and benefit sharing of tree growing programs (Task Force, 1987). It includes afforestation programs in marginal and degraded state and communal forest lands and varied other manifestations of agroforestry (Khan, 2001; Khan et al., 2003). The primary objective of PF, - in most of the developing countries, - is to reduce the poverty of local communities through livelihood support and empowerment. It helps to secure livelihoods through better access to forest resources (Fisher and Hirsch, 2008:75). Forests contribute directly to reducing extreme poverty and hunger and ensure environmental sustainability, two of the Millennium Development Goals (FAO, 2005). In the past, the impacts of PF on poverty reduction were assessed in terms of income or food security. The current approach, however, attempts to go beyond the previous criteria and include multidimensional characteristics and causes, and that is of sustainable livelihoods (Warner, 2003: 24). The sustainable livelihoods (SL) framework (illustrated in Chapter Three) is being widely used by researchers to investigate the livelihoods of rural people. The SL approach places people at the center of development initiatives (Warner, 2003: 24). Even though PF is now considered as a part of government and donor orthodoxy in forestry investment, it is not clear yet what the impacts of such interventions would be on the livelihood of participants and on the conservation of forest resources (Bandyopadhyay and Shyamsundar, 2004). Drawing on the report of Das (2000), Adhikari and others mention that most of the studies on PF projects in South Asia concentrate on biophysical and institutional aspects rather than the effects on villager’s livelihoods (Adhikari et al. 2007). Khan et al. (2003) mentioned that despite the governmental emphasis and popular support, systemic academic research on the role of PF on the livelihoods of the participant farmers has remained remarkably limited in Bangladesh. This study was designed to investigate the livelihoods of participant farmers, who were involved with two PF projects namely, Upland Settlement Project (USP) in the Chittagong Hill Tracts and forest villagers in Sylhet forest division of Bangladesh. Both USP and forest villagers were considered as PF because planters and forest villagers had some sorts of participation in terms of project beneficiaries, involvement in project implementation activities as labor, and some of them attended project meetings. However, they did not contribute to decision-making processes or project planning.

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1-3. SIGNIFICANCE OF THE BOOK Being a developing country with a large and dense population, Bangladesh is constrained with many problems, poverty being the most prominent. Poverty status in the country varies locally and regionally based on access to resources and services. Even though natural resources such as forests are mostly available in the country’s hilly areas, access to this resource by forest dependent people, mainly of the ethnic communities, is very limited. Apart from this, services such as institutional supports, access to markets, healthcare facilities, etc. that are considered essential for livelihood are, forthrightly speaking, lacking in these areas. Moreover, inappropriate government policies, construction of development infrastructures without considering the needs of the local people, privatization of communal land and other regional and national socio-political pressures negatively affect the standard of living in ethnic communities. Constrained with these enormous problems, the local people have no alternatives, but exert pressure on forest resources with passive, though sometimes active, support from influential people who are mostly involved with illegal logging resulting in the degradation of natural resources. In order to improve the condition of forest resources and to improve the livelihoods of local communities, several participatory development interventions have been conducted with varying degrees of success] in the hilly areas of Bangladesh. The USP and participatory forestry in the Sylhet forest division were examples of such a kind of interventions. The outcomes of these programs in terms of livelihoods improvement and forest conservation have not fully been investigated yet, however. The earlier studies that have been conducted so far were very shallow in the sense that they explored the livelihoods outcomes in view of income generation, employment opportunities, social status, extent of participation in project activities and profitability of the production technologies, and suggested some policy issues to improve the livelihoods of the participant farmers. These research projects did not provide data on the formation of different livelihoods capital – human, physical, natural, financial and social capital - that are considered as the building blocks of sustainable livelihoods. The previous studies did not shed any light on whether the project was successful in achieving the desired goals, what the levels of adoption of forest production technologies by the participants were, which factors drove the farmers to adopt or not to adopt the technologies or what the enabling environments that affect the formation of livelihood capitals were. People’s strategies and the diversification of livelihoods by utilizing the available capitals are also of great importance in maintaining the sustainability of their livelihoods, which were not studied in the past. This study anticipates exploring all the shortfalls of previous studies through SL approach. Along with others, this study sheds light on the approach of social capital formation and how it effects resource management and livelihoods outcomes, because it is considered the principal factor maintaining the sustainability of interventions, as well as the vehicle of livelihoods support. It is hoped that the study will be able to find out the factors which make the interventions successful and sustainable or unsuccessful and non-sustainable. The lessons that will be learned can be of useful for academics, policy makers, and politicians for conducting future research in livelihoods analysis, formulating policies for replicating, or implementing new interventions. The outcomes of this study will also be helpful for the participant farmers. This study will

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draw an outline on how to operationalize their resources such as social capital for better management of natural resource base to achieve sustainable livelihoods.

1-4. STRUCTURE OF THE BOOK The book consists of nine chapters (Figure 1.1) including this chapter.

Chapter One (Context and Significance)

Chapter Two (PF in Bangladesh)

Chapter Three (Research Framework and Objectives)

CHT region

Sylhet region Chapter Seven (Farming systems)

Chapter Four (Agroforestry)

Chapter Five (Participatory forestry) Chapter Eight (Forest villagers) Chapter Six (Shifting cultivation)

Chapter Nine (Conclusion) Figure 1.1. Diagrammatic presentation of the structure of the book

Context and Significance of the Book

7

Chapter One Describes the emergence of the concept of participatory forestry, its role on rural livelihoods, and the context and significance of the study.

Chapter Two Shows salient features of Bangladesh forest management and emergence of PF in the country. Research sites and rationale for selection of case study sites are described. It reviews previous studies in the study areas and then identifies the research problems for investigation.

Chapter Three Presents research framework to carry out the entire study keeping in mind the research problems identified in chapter two. In order to develop the conceptual research framework, it extensively reviews sustainable livelihoods framework. In light of conceptual framework and objectives of the two studied PF programs, this chapter then sets objectives of this study. Finally, it briefly highlights the methods deployed to carry out the study.

Chapter Four Describes the land uses in the USP by drawing data from 15 project villages. It analyzes different land uses, their advantages and disadvantages, planters’ attitude towards adoption of different land use technologies, policy issues and the relative contribution of different land uses to their income. Although planters adopted new technologies still many of them practice the traditional farming system- jhum which provides for them the principal-food grain- rice.

Chapter Five Elucidates an in-depth analysis of the livelihoods of the USP planters by sampling two contrasting project villages. Besides focusing on livelihood capitals, this chapter explores the factors that influence the success and failure of the USP in achieving proposed objectives and recommends a number of policy implications for betterment of future development interventions. Findings in chapters three and four revealed that planters still practice jhum even in project lands and hence a comprehensive study was conducted on jhum.

Chapter Six Discusses current situation of jhum in the CHT. It examines the sustainability of jhum, livelihoods of jhumias and relevant policy issues. Findings indicate that present conditions of

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jhum were unsustainable and could not feed jhumias round the year. In the face of declining jhum yield, they adopted new livelihoods strategies including selling of labor, animal husbandry and extraction of forest products. In order for better livelihoods and forest conservation, it is suggested here for collective management of jhum, promotion of suitable agroforestry systems and development of community-based tourism activities in the CHT with appropriate policy and institutional supports.

Chapter Seven Presents the basic socio-economy of the Khasia people, their farming systems and sustainability, farm income and contribution of farming systems to forest conservation. The indigenous farming system- [betel leaf based agri-silvicultural type of agroforestry system] that utilizes local available resources as inputs provides them the main source of their livelihoods. By evaluating several criteria and indicators, the agroforestry system seems sustainable and it helps to conserve forests.

Chapter Eight Deeply analyzes the livelihoods of the Khasia forest villagers and the role they play in forest conservation and development. Qualitative analysis of this chapter identifies several local governance and institutional issues that need proper attention for better livelihoods of forest villagers and conservation of regions’ forest resources.

Chapter Nine Final chapter of the book, draws a comprehensive discussion, and concludes by answering the research problems stated in chapter one. It performs two comparisons- major findings of the CHT region (chapter 4 & 5) and jhum (chapter 6), and the participatory forestry in the CHT region and forest villagers in Sylhet forest division. Comparative features indicate that USP, - could not achieve objectives fully, but has been able to reduce extent of jhum, provide employment opportunities to planters and improve forest conditions in the region. Forest villagers (i.e., Khasia community), in contrast, are in good position in terms of livelihoods outcomes and forest conservation. So, it seems that the joining of ethnic people in participatory forestry programs improve their livelihoods in varying degrees, and their reciprocal contributions help to expand conservation of forest resources in the regions. Finally, it suggests an integrated multi-disciplinary approach of regional development.

Chapter 2

PARTICIPATORY FOREST MANAGEMENT IN BANGLADESH AND DESCRIPTION OF THE RESEARCH SITES ABSTRACT This chapter first describes the situation of forests and the emergence of participatory forest management in Bangladesh. Then the research sites are described and research problems are identified. Bangladesh forests have experienced deforestation and degradation since the British colonial period which continued during the Pakistan era and was inherited by the independent Bangladesh. Of the total forest land (17%), a large part of the area has no tree cover and the situation is worsening despite an attempt to preserve it. Since the early 1980’s, forestry in Bangladesh has witnessed a rapid succession of participatory forestry programs in an attempt to redress public alienation and to allow for wider participation of people in forest use and management. Two recent participatory forestry projects, namely,- the Upland Settlement Project (USP) in the CHT and Khasia forest village, in the Sylhet forest division, have been selected for studying the effects of participatory forest management on livelihoods of the ethnic communities. The research sites are described and past studies that have been conducted in these study sites were reviewed and research problems were identified for the study.

2-1. FORESTS AND PARTICIPATORY FOREST MANAGEMENT IN BANGLADESH Of the total area of Bangladesh (14.75 M ha), forest land accounts for nearly 17%; that includes classified and unclassified state forest land, homestead forests and tea and rubber plantations (BBS, 2006). Geographically the forests of Bangladesh consist of hill forests, mangrove forests and inland Sal (Shorea robusta Gaertn) forests that represent tropical wet evergreen, tropical semi-evergreen and tropical moist deciduous forests types. Of the total forest land, a large part of the area has no tree cover (FMP, 1992). Another report shows that actual forest coverage is only 6% of the total forest area and the situation is worsening despite an attempt to preserve it (Hossain, 1998: 23). The forestry situation of the country is further exacerbated by the eccentric spatial distribution of the existing forest areas (Millat-e-Mustafa,

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2002: 115). The distribution of forests in Bangladesh shows that 28 districts out of 64 have virtually no designated government forest (Muhammed et al., 2005: 375). Currently, per capita forestland in the country is around 0.018 ha, which is one of the lowest in the world (Ifthekhar, 2006). Bangladesh forests have experienced deforestation and degradation ever since the British colonial period, which continued into the Pakistan era and was inherited by the independent Bangladesh. In many South and Southeast Asian countries, the command and control approach to forest management is an upshot of colonial rule which manages forests from a commercial viewpoint, ignoring the needs of the local communities. Unfortunately, the colonial legacy of forest policies and management lingered even after independence, with a resulting loss in overall forest cover (Balloni and Inoue, 2007: 414). For the colonial foresters, extracting timber as fast as possible was the single goal of forest management and the interdependence between forests and local people was largely ignored (van Gelder and O’Keefe, 1995: 8). Over a 20 year period ending in 1980, the forests cover of Bangladesh declined by 2.1% annually (FMP, 1992). High population pressure and associated landhungry agriculture, scarcity of dwelling places and unplanned urbanization has led to notable degradation and poor stocking of the forests (Safa, 2004: 224). A huge amount of forest land has been encroached upon and put to other land uses like agriculture, habitation and industries (Muhammed et al., 2005: 375). If the forests continue to be depleted at the current rate, the area of forests will be less than 1 M ha by 2050 (Ifthekhar, 2006). As is occurring in many tropical countries, forests in Bangladesh are deteriorating at an alarming rate due to various socio-economic threats, biotic pressure and competing land uses (Muhammed et al., 2008). The major weakness of forest management in Bangladesh has been the inability to secure the participation of villagers and the community at large, which has led to large scale encroachment and pilferage and this can only be stopped by getting public participation (FMP, 1992: 50). The national forest resources and the authority, the Forest Department (FD) over them have been centralized under government, superseding traditional rights and communal authority (Millat-e-Mustafa, 2002: 114). In response to forest degradation, increasing emphasis has been placed, over the last two decades, on social forestry, which provides a new dimension of small-scale, participatory forest management, leveraging local understanding and knowledge for the utilization, protection and maintenance of forest ecosystems (Muhammed et al., 2008). Since the early 1980’s, forestry in Bangladesh has witnessed a rapid succession of PF programs in an attempt to redress public alienation and to allow for wider participation of people in forest use and management (Millat-e-Mustafa, 2002). The FD adopted a more participatory approach in protecting the natural forest and afforesting the degraded and encroached forest land with a benefit sharing mechanism (Forest Department, 2008). Conceptually, PF is a form of forestry management system where a selected group of people participate in the forestry production system (Alim, 1988: 15). The PF in Bangladesh is an umbrella term that covers several forms of forest management approaches including social forestry and community forestry. The Asian Development Bank (ADB) funded community forestry project implemented in 1981 – 1987 paved the foundation of PF in Bangladesh (Forest Department, 2008). A list of major PF projects in Bangladesh is shown in Table 2.1. The components under PF include woodlot or block plantations, agroforestry, strip plantations along road sides and canal banks, afforestation, establishment of nurseries, and the raising and distribution of seedlings. Most of the PF projects have made commendable

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progress in achieving their physical goals: such as plantations establishment, seedling distribution and associated infrastructure building (Khan, 2001: 4). Table 2.2 portrays current physical achievements of PF in Bangladesh. Table 2.1. Major PF programs in Bangladesh Types of PF Community forestry project Upazila afforestation and nursery development project Coastal green belt project Forest resources management project Forestry sector project Sundarban biodiversity conservation project

Duration 1981 - 1988 1989 - 1996

Funding ADB funded ADB funded

1995 – 2002 1992 - 2001

ADB funded International Development Agencies grant and World Food Program assistance ADB funded Unknown

1998 - 2004 1999 - 2006

Source: Forest Department (2008)

Table 2.2. Physical achievement of PF projects during 1981 – 2003 in Bangladesh Components Woodlot/Block plantations Agroforestry plantations Strip plantations Rehabilitation of shifting cultivators Village afforestation Institutional planting & seedling distribution/sale Establishment of nursery and training center Establishment of plantation center No. of persons trained Source: Forest Department (2008)

Achievement 32,640 ha 8,778 ha 86,338 km 6,321 families 7,282 villages 168 M 98 no. 345 no. 1,77,261

There have been many reports on performance of the PF in Bangladesh. Van Gelder and O’Keefe (1995: 10-11) reported: “The Bangladesh community forestry project was set up in the early 1980’s, to provide fuelwood in north-west region of the country, an area which has one of the world’s most acute rural energy crises. Woodlots were to be established in village communal lands, along road and canal sides and on government-owned land. Millions of seedlings were planted, but no attention was paid to their care. Survival rates of seedlings were less than five percent.” With the evolution of PF, rural subsistence and marginal farmers have become so called ‘stakeholders,’ but their participation in policy formulation through implementation is somewhat limited. This means that people’s actual needs and aspirations are not properly

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reflected in the policy and plan (Muhammed et al., 2005: 377). Khan (2001: 4) mentioned that there has been limited success in meeting the social targets of public participation and equitable benefit distribution. Regarding people’s participation in PF, Van Gelder and O’Keefe (1995: 11) observed: “In many cases, the planning model has remained top-down and community participation is confined to government experts informing people of their plans. Even where local people are involved, it is typically the economically and politically dominant men who control proceedings. Calls for people participation remain rhetoric contained in development agency reports and conference papers.” In general, attempts to manage participatory forests on a long-term basis without accommodating the multiple interests of the participants in the decision-making and implementation process have failed (Salam et al., 2005). There are also reports that show the positive impacts of PF in terms of forest conservation and livelihood enhancement of the participants. Salam and Noguchi (2005) claim that in some exceptions, the PF programs become successful in terms of farmers’ participation, forest development and conservation, and income generation of beneficiaries. Safa (2004) observed that participation in PF increased household income, employment opportunities and financial and non-land assets. Returns from benefit sharing after final harvesting of trees have been able to improve the living standard and social position of participants (Muhammed et al., 2005). Forest department reports that during 1999 – 2006, 68,372 participants received nearly 1044 M Tk (1 US$= Tk. 68 as of 2008) as their shares are per agreed participatory benefit sharing agreement (Forest Department, 2008). In order to boost and maintain the sustainability of PF activities in the country, the government has taken up several measures. The current national forest policy that was formulated in 1994 emphasized the importance of increasing the country’s forest coverage by 20% by 2015, by involving local people in plantation development programs with appropriate benefit sharing. The forest act of 1927 was amended in 2000 to support and encourage PF and the tree farming fund (TFF) has been developed using 10% of the money from the final harvest of participatory forests to reduce the dependency on government and donor fund (Forest Department, 2008).

2-2. RESEARCH SITES Ethnic Communities of Bangladesh Ethnic communities refer to those people whose linguistic and /or cultural background is different from the linguistic and cultural background of the mainstream population of Bangladesh (Khaleque, 1998). Sometimes they are also called a tribe, or tribal group, or adivasi. The number of ethnic communities in Bangladesh has been variously estimated by several authors (e. g., Bessaignet 1958; Bertocci 1984; Khan 1998; Maloney 1984), and most recently by Khaleque (1998) at 27. These ethnic people are distributed sparsely in different districts of the country, however, mostly in the hill districts (Rangamati, Bandarban,

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Khagrachari, Sylhet, and Cox’s Bazar) of Bangladesh. Traditionally, the ethnic groups have been concentrated in the north and northeastern borders, the forest areas of the north-central region and the entire areas of the Chittagong Hill Tracts. The ethnic communities living in the Chittagong Hill Tracts (CHT) are one of SinoTibetan descent belonging to the Mongolian group and share physical characteristics with the people of north-east India, Myanmar and Thailand (Haque, 2000). The ethnic communities living in the CHT are made up of approximately 13 ethnic groups (Hoque, 1992). They are divided into three principal groups: Chakma, Marma and Tripura. The ethnic communities can be crudely divided into two broad categories: (a) Khyoungtha meaning "Children of the river," and (b) Toungtha meaning "Children of hills". The Chakmas and Marmas are the main ethnic communities of the Thyoungtha group, mostly living along riverbanks. The Tripuras, Murongs, Pankhus, Lushais and Kukis make up the Toungtha group, largely living in the hills (Chowdhury et al., 1979). The greater Sylhet district along the northeastern border of Bangladesh is the traditional area of Khasia, Manipuri, Pathor and Tripura communities. Scattered settlements of ethnic communities are found in other parts of the country. Among the ethnic groups in the Sylhet district, the main occupation of the Khasia ethnic community is betel leaf based agroforestry, though earlier they practiced jhum (shifting cultivation). The Manipuri are artisans. People of Pathor collect and sell fuel wood from neighboring forests. The ethnic people who live in the plain lands have long been engaged in settled wet rice cultivation, although they have other secondary occupations like trading, crafts, weaving and so on. As per the census of 1991, the ethnic population of Bangladesh is 1.2 million, which constitutes 1.13 percent of the country’s total population. However, the number could be more than the figure mentioned on census report. Among the ethnic groups, there are Christians, Hindus, Buddhist, and names of some ethnic people which are similar to Hindu names.

Background Information of Research Sites A good and well-conceived background about research sites will communicate to the reader the purpose and setting of the case study (Yin, 2003). The CHT and Sylhet division of Bangladesh are considered as the living ground of forest-dependent ethnic communities.

The Chittagong Hill Tracts (CHT), its Administration and Organizations The Chittagong Hill Tracts is a geographically isolated south-eastern region of Bangladesh which comprises three hill districts: Rangamati, Khagrachari and Bandarban (Figure 2.1), and is located between 21o25' and 23o45' north latitude and between 91o45' and 92o50' east longitude. It constitutes 10 percent of the total land area of country (Ahsan and Chakma, 1989). The area borders the Indian State of Tripura to the north, Mizoram and Lushai hills to the east and Myanmar to the south, and has an internal border with the Chittagong district to the west. The general features of the CHT during the late 18th and early 19th century was a mass of hills, rivers and cliffs covered with dense bamboo breaks, tall trees and creepers. The hills are steep and difficult to ascend. The highest hills are Keokradong (1230 m) and Pyramid hill (920 m) lying to the east. The hill ranges run from the south in a north-westerly direction. The

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relief ranges from 305-610 m above mean sea level in the north and 460-580 m in the south. The valleys were covered with thick forests interspersed with small watercourses and swamps of all sizes and descriptions (Hutchinson, 1906). The natural vegetation throughout most of the CHT is considered to be mixed tropical evergreen and deciduous forest occurring in association with each other and with bamboo. Out of 2.24 million ha of national forest land, the CHT covers more than 45 percent of total country’s forest land. However, due to relentless exploitation by the colonial government, current indiscriminate illegal logging and deforestation, the original forest has lost its immaculateness. Most of the forested areas become treeless and much of the lands become either denuded or encroached. Moreover, prevailing unsustainable land uses, for example jhum, are of great concern as they cause land and forest degradation in the region. The FD has plantation programs that started in the 1870’s, but due to improper management, most of the plantations failed after few years of plantation. The CHT has multiple administrative systems. The region is divided into three districts each controlled by a Deputy Commissioner (DC). The Union Parishad is the lowest tier in the local government and above it is the Upazila Parishad. These are elected bodies. Earlier, there were three Local Government Councils in three hill districts, which were renamed as the Hill District Councils after the signing of Peace Accord on December 2, 1997. These councils are headed by three nominated Chairmen from the local community (Haque, 2001). The other administrative system is indigenous to the region. According to it, the region is divided into three circles roughly matching the boundaries of the administrative districts: the Chakma circle, the Bohmong circle and the Mong circle. The head of each circle is called Chief or Raja. Each circle is divided into a number of mouza (a defined area for revenue collection) and each mouza into a number of villages. Each Mouza is headed by a headman and each village is under a karbari. A headman collects tax from household heads in the village for the circle chief and receives a percentage for this yearly tribute. The headmen and karbari are responsible for settling petty cases in the villages (Rafi, 2001a: 5). The Chittagong Hill Tracts Development Board (CHTDB), a premier government organization, was established in 1975-76 and undertakes the sector wise Annual Development Plan (ADP) for the overall development of the CHT (Rafi, 2001b: 28). Other independent government organizations carry out their activities as per their plan. Several non-government organizations (NGOs), mostly local, operate their activities including education, credit, sanitations, water supply, livestock husbandry, plantations and other income generation functions.

The Economy, Jhum and Land Tenure in the CHT For centuries, the lifestyle of the CHT people was oriented in forest-based activities as the region was fully covered with forests. The topography and climate make it imperative that the people fall back upon agriculture for their livelihood (Ahmed, 2002: 23). Two types of agriculture are visible in the CHT: plough cultivation in valleys and jhum in the hilly areas. Plough cultivation is usually associated with cash crops while jhum (shifting cultivation) is subsistence farming (Ahmed, 2002: 25). More than 80 percent of the CHT land is suitable for forests and only two percent of the land is suitable for rice cultivation (Haque, 2002: 187).

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Government development programs in the CHT, for example, establishment of industries that were intended for the socio-economic development of local people, in most cases, excluded hill people, not only from positions of authority and policy-making, but even as beneficiaries of new employment (van Schendel et al., 2001: 213). Ultimately then, in the CHT, it was a case of ‘development for the people,’ without the people (van Schendel et al., 2001: 213). Industries such as paper mills, plywood and match industries employed workers mainly from plain lands instead of from CHT region (Haque, 2002: 189). It seems that the CHT people have very limited livelihoods sources. Limited sources of livelihoods have accelerated the process of the denudation of forests, degradation of overall environment and the extinction of numerous species of flora and fauna (Manju, 2001: 123). It is considered that more than 90 percent of ethnic people of the CHT depend on jhum for maintaining their livelihoods. Earlier, they had practiced jhum on Unclassed State Forests (USF)1 land which covers more than 700, 000 ha, but due to over jhumming these lands became unsuitable and they are now practicing jhum in reserved forests areas (FMP, 1992). Diversified crops in a jhum guaranteed a harvest for nearly the whole year (Haque, 2002: 186), even surplus production were not harvested and remained in the fields. However, these scenarios are no longer seen in the region. Due to population influx, local population growth and lack of suitable land, farmers intensified their jhum and caused reduction in crop yield due to soil fertility loss and weeds infestation. In absence of any soil improvement and conservation management, the fertile top soil of the hill slopes washed away, resulting in the appearance of barren, nutrient deficient and unproductive land masses in the CHT (Rahman, 2004). Integration with plains land people has caused cultural changes that have broken down the traditional collective management of jhum and market demand created by increased population instigated farmers to produce commercial cash crops, which had impact on crop diversity. Migrant plains land people are not familiar with jhum practice, the intensive and more destructive farming system used to produce tuber crops such as potato, aroids, ginger, turmeric, etc. along hill slopes that cause huge soil erosion (Rahman, 2004). By the 1970’s and 1980’s, the fallow period had dropped to two to three years in many places. In fields, which were taken into production after too short a fallow period, weeds would proliferate and make cultivation impossible (van Schendel et al., 2001). Jhum exerts pressure on the natural environment but has been sustainable for many centuries (van Schendel et al., 2001). By improving upon the jhum, the people as well as the environment of the hills could be saved. Use of suitable natural soil regeneration methods, planting of leguminous plants on harvested field and terracing the slopes can improve soil conditions and help to maintain productivity (Haque, 2002: 186). A comprehensive discussion on jhum in the CHT is illustrated in chapter five. However, issues of land tenure are of utmost important for the improvement the jhum. Land tenure and land use are issues of central importance because all the issues related to conflict may revolve around the control of land and the use of land (Ahmed, 2002: 27). For the jhum cultivators, the land is a common property, belonging to the community, kinship

1

USF are one of the legal forest types of the Bangladesh hill forests owned by the government but not constituted into reserved or protected forests and are under the administrative control of their respective district commissioners.

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groups and even members of the spirit world, with individual families exercising the right to use the land (Ahmed, 2002: 28).

Settlement Programs in the CHT Declined jhum yield and lack of other sources of living created many problems to the hill people. The main problems of this region are socio-economic and they can be listed as acute poverty, superstitious beliefs and practices, poor health, sanitation and nutrition (Ghafur et al., 1987). To mitigate these problems and resettle the displaced shifting cultivators (jhumias), the government has undertaken a number of settlement programs to rehabilitate the internally displaced people and the jhumias for developing permanent and sustainable farming systems in the CHT. The first settlement program in the CHT was started in 1957, with an aim to rehabilitate the people affected by the construction of Kaptai Dam on the river Karnafully for hydroelectric power generation. This rehabilitation scheme resettled about 15,074 displaced families during 1957-66 in the upward three northern valleys (ADB, 1978, 1979). The second settlement program was the supplementary rehabilitation scheme implemented during 196675 to resettle 3,799 families (ADB, 1978, 1979). The third scheme was the horticulture based CHT development program implemented during 1968-79 to resettle 3,799 families. The fourth one was also the horticulture based Joutha Khamar (collective farming) scheme implemented by the district administration, with the funding from CHTDB, which resettled 1,540 families during 1976-83. Most of these programs failed to live up to the stated goals and expectations. The lack of success of the previous projects were partly due to the lack of experience and expertise on the part of the officials, partly due to the appropriation of the funds by corrupt officials and partly due to the lack of experience of the farmers themselves who were not used to planting and tending fruit trees on a commercial scale (Roy, 1998). Farmers and officials claimed that the locations of many of the farms were chosen with security considerations in mind (the armed conflict was then continuing in the CHT) without due regard to such factors as soil conditions, access to drinking water facilities and marketing mechanisms (AITPN, 2000). As far as the horticultural projects were concerned, the growers were initially successful, but due to bad communication, marketing problems, and the lack of credit and storage facilities the projects have been in decline since the 1970’s, but only since the late 1980’s has there been a slight slowing of this decline (Roy, 1998; 2002).

The Upland Settlement Project Based on the lessons learned from the previous projects, the government of Bangladesh planned to launch a multisectoral development program in the CHT region. The government requested ADB to assist in mobilizing resources for the development of CHT region. The ADB appraisal mission in May 1979 conceived the Chittagong Hill Tracts Multisectoral Development Project [CHTDP (M)] with eleven components including the USP. The USP has been implemented in two phases by the CHTDB, which conducts most of the development works in three hill districts of the CHT. The Asian Development Bank funded first phase of the USP started in 1985 and ended in 1993 by settling 2,000 ethnic families and

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establishing 1620 ha of homesteads agroforestry and 3240 ha of rubber plantations in 39 project villages in the Khagrachari district. Each family was allotted permanent and inheritable rights to 2.5 ha of the government’s degraded forest land in the first phase of the project: 0.1 ha for homestead, 0.8 ha for agroforestry development, and 1.6 ha for rubber plantation. Considering the success of the first phase, the second phase of the USP was formulated with the following objectives (Anon, 2001): • • •

Settlement of landless and marginal ethnic farmers/jhumias in suitable areas in Khagrachari and Bandarban districts (Fig. 2.1), Development of suitable upland areas (which are currently unused) for diversified cropping with horticulture, agroforestry and rubber plantation, and Long-term socio-economic development of the target groups

The short-term objective (ibid.) is to improve economic conditions of the landless and marginal ethnic farmers of the area through: i. increased horticultural and rubber production ii. raising farm income and creation of rural employment iii. enhancing local participation in project implementation activities The specific objective of the project was to settle 1,000 landless ethnic farmers in 20 project villages in the Bandarban and Khagrachari districts, 10 villages in each district; each village accommodating 50 families. This phase was financed by the government’s own grant under the Ministry of CHT Affairs. Even though the original project period was 1993-2000, it has been extended to the 2006-2007 fiscal year in order to complete the establishment of rubber processing units and the project funding period ended in June 2007. In this phase, 506 ha of homesteads agroforestry and 1620 ha of rubber plantations have been established. Due to shortage of suitable land, quantity of allotted land was reduced and each family got 2.1 ha of degraded forest land of which 0.5 ha for homestead agroforestry and 1.6 ha for rubber plantation. All planters (participating families) of every project village developed a rubber plantation as a compact block of 81 ha (1.6 ha for each family) adjacent to their village. The rationale for implementing the CHTDP (M) in general and USP in particular, emerged from a soil and land use survey undertaken in 1964 by Forestal Forestry and Engineering International, Canada, which concluded that the CHT region was unable to support its growing population despite lower population density. As such, an alternative strategy for food and ecological security, preserving at the same time the socio-ecological integrity of the ethnic population was necessary and for their social and economic upliftment, a comprehensive package program was developed (Anon, 2001).

Sylhet Forest Division The Sylhet forest division that extends in four districts of Sylhet Division (out of six administrative divisions of Bangladesh) covers an area of about 76,725 ha (nearly four percent of country’s forest land) of which, much of the land is denuded and encroached

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(FMP, 1992). The reservation of the forests of this division started in 1914 (Anon, 1970). Prior to reservation, jhum used to be practiced extensively in all the forest areas, many of which were common grazing grounds for the entire neighborhood. Reservation put a stop to jhum and grazing was greatly reduced. Though the main objective of reservation was to protect the forests, the condition of the forests did not improve due to illegal removal of forest products and the continuation of jhum. Little untouched forest is now left in what is almost entirely secondary re-growth. The FD started plantation programs in 1922 with the object of restoring the previous forest coverage (Anon, 1970), but little was achieved due to shortage of labor.

Khasia People in Sylhet Forest Division Even though the majority of the people of Sylhet division are agriculturists, many of the local people of Sylhet areas immigrated to the United Kingdom and they and their families are fairly wealthy. Consequently, they were not interested in being paid laborers in the forest. Therefore, the FD introduced the forest village concept. The FD initially registered a few Khasia people as forest villagers in the 1950’s. These people had moved from the nearby Indian border and were granted forest land for their house construction and betel leaf farming. The Khasia people supply their labor when and where needed. They maintain the plantations and protect the forest from pilferage. Under this scheme, the plantation program gained momentum in the period of 1955-1960 with the establishment of some 200 ha per year, and increased in 1975-1980 to some 500 ha per year (Drigo et al., 1988). At present, there are about 62 Khasia punji (village), including registered and non-registered forest villages, under the jurisdiction of the Sylhet forest division. Khasia people usually live on the FD’s land that is mostly clothed in old secondary forest. Each family is allotted about 2.1 ha of forest land by the FD. The allotment is demarcated and granted on a renewal basis for 99 years, with the condition that they provide their labor in developing and managing forest plantations. The agreement for the land allotment is generally renewed every two years for the same area of land originally allotted to each household.

2-3. RATIONALE FOR SELECTING THE RESEARCH SITES Several types of PFM systems - forestry extension, social forestry and community forestry - have been practiced in Bangladesh since the 1970’s. The first ever-formal social forestry program, Betagi social forestry, started in 1979, which rehabilitated 83 landless families in government, owned khas land in Chittagong (Quddus et al., 1992). Based on the success, the program subsequently extended to other parts of the country. These forestry programs mainly involved the landless mainstream people of Bangladesh, Bengalis. Side by side, many development programs have been undertaken for the welfare of the ethnic communities. Along with different components, these programs incorporated plantation components also. Many of these programs, however, have failed to reach the targets, and even the farmers shifted to other suitable areas to seek their living.

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The most recent forestry programs that involved ethnic communities were the USP in the CHT and participatory forestry as a concept of forest villagers in Sylhet forest division. The USP involves Chakma, Marma, Tripura, and the Tanchangya ethnic communities, while the Khasia ethnic community participates in Sylhet forest division. The USP and Sylhet forest division form the sites of the proposed study (Figure 2.1). The reasons behind the selection of the study areas were that: 1] these projects were related to the livelihoods of the ethnic communities who are the most ignored fraction of our societies and whose livelihood is exclusively dependent on forest resources; 2] the USP was considered a major development program in the CHT and attempts were made to refine and develop suitable agroforestry farming practices for the development of the livelihoods of landless ethnic communities (Khan et al., 2003), but very little was known about the impact of the project on the livelihoods of participant ethnic communities; and 3] In Sylhet forest division, Khasia people have been involved with a forest based farming system. Their farming system is considered sustainable in terms of livelihood support and forest conservation (Nath et al., 2003), nevertheless the underlying conditions that make the system sustainable was not well documented.

Figure 2.1. Map of Bangladesh showing the study sites

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2-4. RESEARCH PROBLEMS Once the general area for research is chosen, it becomes imperative to clearly and sharply identify a specific problem within the general area (Sufian, 1998). Like other research strategies, case studies start with finding the research problem (Yin, 2003; Leedy and Ormrod, 2005). Reviewing what is already known about the general area is the most effective way to identify a specific research problem. Such a review helps to pinpoint the research gaps, from both theoretical and practical standpoints, that exist in the general area and these gaps, left by the previous researchers, are then translated into specific research problem (Sufian, 1998). There have been several studies targeting the effects of PFM on livelihoods and poverty of the participating farmers. Safa (2004) studied the asset creation and poverty reduction impact of PFM in sal (Shorea robusta) forest areas of Bangladesh. In another study, Safa (2006) examined social forestry programs of NGOs in terms of sustainability, resource utilization and impact on rural livelihood. Quddus et al. (1992) reported social and economic impacts of the Betagi-Pomora social forestry project in the Chittagong district of Bangladesh. They found that economic conditions of the settled families improved significantly and settlers have adopted soil conserving agroforestry practices. Drawing on extensive literature review, Zashimuddin (2004) reported that community forestry (CF) has generated sufficient resources and income to raise the rural poor above subsistence level and CF play a significant role in rural poverty alleviation in Bangladesh. ADB (2005, 2007) reported that project beneficiaries seem to have significantly increased their average annual savings, accumulated assets and saw social status rise since joining in the forestry projects; and tree cover has increased in project areas. However, these ADB reports have not provided data to understand the projects’ impact. Two research projects have investigated the performance (Khan and Khisa, 2000) and poverty reduction impact (Khan et al., 2003) of the USP. The former study mainly reported the physical achievements of the project, land use status in project areas and the state of farmers’ participation in project activities, including the development of agroforestry and rubber plantations. The later study found that farmers’ income levels have been increased along with social recognition and expansion of tree coverage and reduction of soil erosion. These studies in the USP were carried out by focus group discussions, ethnographic observations and unstructured interviews; they had insufficient data (for example on livelihood assets) to fully understand the impact on livelihoods. Although these earlier studies were good enough to furnish some ideas about the achievements of the project, they failed to document the processes, activities, and dimensions of changes that have occurred. On the other hand, in Sylhet forest division, the Khasia people were involved with participatory forestry management for a long time. Their farming system is different from the farming system practiced by other ethnic communities in the country. They have practiced a market oriented agroforestry system in forested (plantation) areas where the main product is betel leaf. However, no remarkable academic research has so far been conducted on their farming system and its contribution on their livelihoods and forest conservation. Alam and Mohiuddin (1995) studied the conservation of tree diversity through betel leaf cultivation in Sylhet. Nath et al. (2003) investigated the socio-economic conditions of Khasia people, farming system and forest conservation. Saha and Azam (2004, 2005) studied the farming

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practices and their financial analysis. An in-depth study is required to understand the livelihoods of the villagers and their role in sustainable forest management. Based on above limitations of the previous studies following three research problems were identified: i.

To what extent the aforesaid participatory forestry programs improve the livelihood of the landless ethnic people, ii. What are the linkages between livelihood and forest conservation, and iii. What are the comparative outcomes of the livelihood and forest conservation in two study sites?

Chapter 3

LIVELIHOOD ANALYSIS, RESEARCH FRAMEWORK AND OBJECTIVES ABSTRACT This chapter first briefly reviews livelihood literature. It has been found that sustainable livelihoods’ (SL) framework is being widely used as a tool to improve our understanding of livelihoods, particularly the livelihoods of the poor. It presents the main factors that effect people’s livelihoods, and typical relationships among them. However, the SL framework discusses very little about market, production technology and governance issues. In light of review, I formulate a research framework and then set four interrelated research objectives based on research problems identified in the first chapter and the research framework. At the end, I discuss the method of study in short.

3.1. LIVELIHOOD AND SUSTAINABLE LIVELIHOOD FRAMEWORK Livelihood is a multifaceted concept, being both what people do and what they accomplish by doing it, referring to outcomes as well as activities (Niehof, 2004: 322). In practice, people are involved in a complex mixture of decisions and activities focused on acquiring, utilizing and managing resources (material and social) and maintaining relationships (institutional and personal among others), and a combination of these activities in the context of uncertainty (vulnerability) and outcomes that are achieved are considered as livelihood (Long, 2004a: 14). It comprises the capabilities, assets and activities required for obtaining a means for living (Warner, 2003; Cramb et al., 2004). A livelihood is the means that a household uses to achieve sustainable well-being (Messer and Townsley, 2003). It is a set of flows of income, from hired employment, self-employment, remittances or from a seasonally and annually variable combination of all these which is sufficient to avoid poverty and increase the well-being of individuals and society as a whole (Ahmed and Lipton, 1997). It is multi-dimensional, not based only on income but also on access to infrastructure and services, resilience to environmental, economic and political shocks, meaningful participation in decision-making processes and inclusion in legal and judicial systems (Vermeulen et al., 2008: 4). At rural traditional rural livelihood systems, livelihoods are entirely rural in nature

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and hugely dependent on the exploitation and management of natural resources (Msangi, 2008). Livelihoods become sustainable when they can deal with vulnerability, and maintain or enhance capabilities and assets in the present and for the future without undermining the natural resource base (Long, 2004a: 14). Sustainability and vulnerability represent two extremes of a continuum indicating the quality of the livelihood system (Niehof, 2004: 325). Sustainability of livelihood is the ability to cope with and recover from stress and shock, while maintaining or enhancing capabilities and assets (Scoones, 1998). Households with vulnerable livelihood systems have neither enough assets, nor the capabilities to create or access them, and such households have problems in providing for their members’ basic needs, are unable to create surplus, cannot cope with a crisis, and are often chronically in debt (Niehof, 2004: 325). The concept of SL emphasizes livelihood assets, or capitals, as the basis for the sustainable improvement of people’s livelihoods and is seen as a more effective reflection of development than income, as it reflects both the ability to accumulate wealth and the capabilities (or assets) that a household can deploy to secure a living (Reddy et al., 2004). The SL approach to development and poverty reduction tries to consider issues of access to assets, policies, institutions and other factors that govern the well-being of society and promote development that is sustainable not just ecologically but also institutionally, socially and economically, to produce genuinely positive livelihood outcomes (Ashley and Hussein, 2000). It is a way of thinking about the objectives, scope and priorities for development (DFID, 1999). The SL framework (Fig. 2.1) is a tool to improve our understanding of livelihoods, particularly the livelihoods of the poor. It presents the main factors that effect people’s livelihoods, and typical relationships among them. Different components of the framework, such as vulnerability context, livelihood assets, structures and processes, livelihood strategies and livelihood outcomes are illustrated below.

Vulnerability Context A household’s access to adequate livelihood assets can be affected by many factors over which household members themselves may have very little control (Messer and Townsley, 2003). The vulnerability context frames all such factors, which include seasonal changes, trends of changes and shocks. Some of the factors are shown in Box 3.1. The context draws attention to the fact that this complex collection of influences is directly or indirectly responsible for many of the hardships faced by the poorest people in the world (DFID, 1999). This context will influence the ways in which households choose to use the various assets at their disposal (Messer and Townsley, 2003). For example, where the risks of drought or flooding are high, rural farmers even may choose to plant less productive or less valuable crops in favor of crops that are more prone to these types of risk (ibid.).

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Box 3.1. Vulnerability context of rural livelihoods Trends Population trend Resource trends Economic trends Trends in governance Technological trends

Shocks Human health shocks Natural disasters Economic shocks Conflict Crop/livestock health shocks

Seasonality Changes of price Changes of production Changes in health condition Changes of employment

Source: DFID (1999)

At the individual or group level, it is very difficult to alter vulnerability context. However, it can be achieved through supporting poor people to build up their livelihood assets (DFID, 1999).

Livelihood Assets/ Capitals The SL framework provides new ways to address rural poverty issues beyond the traditional methods of employment generation and target group programs and helps to examine livelihood issues in relation to five capitals (physical, financial, natural, human and social) identified in the framework (DFID, 1999; Messer and Townsley, 2003; Long, 2004a; Reddy et al., 2004). All these capitals are the elements of livelihoods that influence households directly or are potentially controlled by them (Messer and Townsley, 2003). Brief descriptions of all these capitals are given here.

Human Capital People’s health and ability to work, and the knowledge and skills they have acquired over generations of experience and observation, constitute the human capital, which facilitates the pursuit of different livelihood strategies and helps them achieve their livelihood objectives (DFID, 1999; Messer and Townsley, 2003). As well as being intrinsic value, human capital is required in order to make use, and creation, of any of four other types of capitals (DFID, 1999). Physical Capital Physical capital may include tools and equipments, as well as infrastructure such as roads, shelter, sufficient water supply and sanitation, clean affordable energy, health care facilities, access to information, etc. which influence people’s ability to earn an adequate livelihood (DFID, 1999; Messer and Townsley, 2003). A lack of particular types of infrastructure is considered a core dimension of poverty (DFID, 1999). For example, without a good road network, it becomes difficult to sell products to markets especially in remote areas, which discourages farmers from adopting productive technologies. In addition, farmers remain poor due to the practicing of low-level production technologies.

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Natural

Vulnerability context

Human Social

•

Physical • Trends •

Influence

Shocks

Seasonality

Physical

Financial Livelihood assets

Livelihood outcomes - More income - Increased well-being - Reduced vulnerability - Improved food security - More sustainable use of natural resource base

Transforming structures & process Structures - Levels of government - Private - Laws sector - Policies - Institutions - Incentives Processes

Livelihood Strategies - Natural resource based - Non-natural resource based - Migration

Figure 3.1. Sustainable livelihoods framework (adapted from DFID, 1999).

Natural Capital Natural capital refers to the natural resource stocks (soil, water, forests, land, etc.) from which resource flows and services (air quality, soil erosion control, storm protection, etc.) useful for livelihood are derived (Scoones, 1998; DFID, 1999). For people living in rural areas, natural capital is obviously of key importance for the production of food and income (Messer and Townsley, 2003). Within the SL framework, the relationship between natural capital and vulnerability context is very close; many of the shocks that devastate the livelihood of the poor are themselves natural processes that destroy natural capital (e.g. fires that destroy forests) and seasonality is largely due to changes in the value or productivity of natural capital over time (DFID, 1999). Natural capital has a pivotal role in the livelihoods of rural people: ‘predominantly the poor of the world depend directly on natural resources, through cultivation, herding, collecting or hunting for livelihoods’ (Reddy et al., 2004). Financial Capital Financial capital denotes financial resources such as savings, inflows of money, etc. that people use to achieve their livelihood objectives (DFID, 1999). It is probably the most versatile of the five categories of capitals, since it can be converted with varying degrees of ease into other types of capital (DFID, 1999). The financial capital available to rural households may come from the conversion of their production into cash in order to cover periods when production is less or to invest in other activities, and they may make use of

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formal and informal credit to supplement their financial resources (Messer and Townsley, 2003). Although financial capital tends to be quite versatile, it cannot alone solve all the problems of poverty; people may not be able to put their financial resources to good use because they lack knowledge, or they are constrained by an inappropriate policy environment (DFID, 1999).

Social Capital The term social capital has emerged as a framework for understanding and analyzing the relationships among different stakeholders involved in community development in the recent years. It has also been gaining as a concept for analyzing the socio-economic problems of developing countries (Quibria, 2003). The concept has come to the forefront as a crucial ingredient in achieving equitable and sustainable development (Abom, 2004: 342). It has its roots in a number of theories, including those of social support and social networks, as well as community participation and governance (Grant, 2001). However, there is no universally accepted definition of the term “social capital.” Despite its current popularity, the term has become over-generalized, covering too many different aspects, making it ambiguous and confusing, and a clearer definition and categorization of it is necessary (Durlauf, 2002; Abom, 2004, Lehtonen, 2004). Putnam et al. (1993) and Putnam (1995), for example, illustrated social capital as the features of social organizations that facilitate co-ordination and co-operation for mutual benefit of the members and society as a whole. These features mainly include networks, reciprocity, norms and trust (Coleman, 1990; Uphoff and Wijayaratna, 2000; Carroll, 2001; Grootaert and van Bastelaer, 2001; Putnam, 2001; Bowles and Gintis, 2002) that encourage collective actions to achieve sustainable livelihoods (Carney, 1998; Pretty and Ward, 2001; Woolcock, 2001). Collective action is well recognized as an important component of rural development and local-level natural resource management (McCarthy et al., 2004). Social capital is increasingly seen as a useful conceptual tool for understanding the role of relations and networks in social and economic development (Cote, 2001). It is embedded in norms and institutions, which include public and legal entities, and allow agents and institutions to be more effective in achieving common objectives. Norms and networks enable people to act collectively (Woolcock and Narayan, 2000). The capacity to leverage resources, ideas and information from formal institutions beyond the community is a key function of linking social capital (Woolcock, 2001). It can also be formed as bonding and bridging capital (Narayan, 1999). Bonding capital refers to social cohesion within the group structures and ties together people of similar demographic characteristics like family members, close friends, colleagues, etc. (Putnam, 2000; Narayan, 2002). Bridging capital creates links between different communities/groups, for example, the patronage relations of social elites and poor. This capital formation is very important in the analysis of community development initiatives, because these will effect whether a community can act as a cohesive unit (bonding capital), or whether it can access groups with more power or resources than itself (bridging capital). Social capital can also be structural and cognitive based on compositions of groups (Krishna and Shrader, 2000). Structural capital refers to the networks, linkages and practices within the communities which make people engage in mutually beneficial collective action by lowering transaction costs as well as accumulating social learning (Uphoff and Wijayaratna,

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2000). The structure and the role of key people in networks determine the access to more and better resources (Burt, 2000). It is built through horizontal organizations, for example, farmers associations, and is characterized by collective actions, transparent decision-making processes, responsive leaders and mutual responsibility (Krishna and Shrader, 2000). In contrast, cognitive social capital indicates to the values, beliefs, attitudes, social norms and behavior that exist within communities, such as social trust, and social norms, solidarity and reciprocity, and predispose people to cooperate (Krishna and Shrader, 2000; Uphoff and Wijayaratna, 2000).

Relationships Among Five Livelihoods Capital The five capitals are complementary to one another (Reddy et al., 2004). The capitals that are the building blocks of SL are closely interrelated. For example, the social networks (social capital) facilitate innovation, development of knowledge and the sharing of knowledge which makes up human capital. With better skills and knowledge, people can manage their resources (natural capital) very effectively to produce cash (financial capital) and other resources like tools, manure, etc. (physical capital) for household’s utilization. The improved human skills also facilitate the maintenance of shared infrastructure like roads, trails, etc. (physical capital) for benefits of society. The asset pentagon can provide a useful starting point for household livelihood analysis, as it encourages investigators to take into the account all the different kinds of assets and resources that are likely to play a role in household livelihood (Messer and Townsley, 2003). The shape of the pentagon can be used to show schematically the variation in people’s access to assets; the idea is that the center point of the pentagon, where the lines meet, represents zero access to assets while the outer perimeter represents maximum access to assets and based on this different shaped pentagons can be drawn (DFID, 1999).

Transforming Structures and Processes Transforming structures and processes within the livelihood framework are the institutions, policies and legislation that shaped livelihood (DFID, 1999). They influence the access to different capitals, livelihood strategies, decision-making bodies and sources of influence, the terms of exchange to different types of capitals, and returns to any given livelihood strategies (ibid.). Structures in the framework are the institutions and organizations that set and implement policy and legislation, deliver services, and perform all manner of other functions that affect livelihood (DFID, 1999). As institutions and organizations influence policy for positive livelihood outcomes, it is necessary to know what they are.

Institutions and Their Importance in Livelihoods Outcomes There is no universal meaning of institution, and it is usually subject to multiple interpretations by different actors (Scoones, 1998). It can be defined as relatively stable sets of rules (formal and informal) that prescribe and proscribe particular courses of action (Bartley et al., 2008: 163). Following Giddens (1979), Scoones (1998) defines institutions as regularized practices (or patterns of behavior) structured by the rules and norms of society,

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which have persistent and widespread use. Policy analysts define institutions as the rules, norms and values that shape our behavior (DFID, 2001). Institutions are systems of rules that apply to future behavior of the actors, prescribe their scope and mode of action, and impose incisive restrictions on what actors will be permitted to do (Offe, 2003). They are thought to shape human behavior in relation to resource use, and help to regularize irrational or unpredictable behavior of individuals (Cleaver, 2000). Institutions are the structures and practices, which influence who has access to and control over what resources, and arbitrate contested resource claims, and mediate the relationships between different social actors, and different components of local ecologies (Leach et al., 1999). They are viewed not as rules themselves, but as regularized patterns of behavior that emerge from underlying structures or sets of ‘rules’ in use; rules are constantly made and remade through people’s practices, and regularized practices, performed over time, and eventually constitute institutions (Leach et al., 1999). Institutions are all structures of power, often fluid and dynamic and change with changing ideas and balances of power (Watson, 2003). Thus, institutions encompass sets of enduring ideas, conventional knowledge, rules and practices, as well as organizations and decision-making groups; these can be considered as indigenous institutions (Watson, 2003). The study will choose the concept of indigenous institutions for investigating institutional roles on livelihood. The reason is that these indigenous institutions are now viewed, by development theorists and practitioners, as having qualities that make them valuable for achieving development goals (Watson, 2003: 288). Development projects are looking to strengthen these institutions where they exist, and to explore the possibility of replicating indigenous institutions in other situations in order to achieve development objectives (ibid.). Institutions may be of both formal and informal. Formal institutions may be thought of as rules that require exogenous enforcement by a third-party organization (Leach et al., 1999: 238).The rule of law is an example, usually upheld by the state through such organizational means as law courts, prisons, etc. Informal institutions, however, may be endogenously enforced; they are upheld by mutual agreement among the social actors involved, or by relations of power and authority between them (Leach et al., 1999: 238). Box 3.2 provides some examples of formal and informal institutions at international, national and local levels. Institutions influence the livelihood in many ways. Understanding institutional processes allows the identification of restrictions and opportunities, and mediates access to capitals for sustainable livelihood (Scoones, 1998). Institutions influence a person’s social capital, which determines her or his access to other assets, how much that person is able to gain from them, and also reduces risk and vulnerability (DFID, 2001). Institutions can minimize forms of heterogeneity that are likely to pose problems for the collective management of natural resources thus helps to achieve positive livelihood outcomes (Poteete and Ostrom, 2004). They may influence both the choices that households make about using their assets, and the types and amount of assets that they [households] are able to access (Messer and Townsley, 2003). Diverse institutions, both informal and formal, and often acting in combination, shape the ways in which differentiated actors access, use and derive well-being from the natural resources and services (Leach et al., 1999).

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Levels

Formal institutions

Informal institutions

International

International trade role that impose trade barriers Property rights, labor laws Movement restriction on agricultural produce

Political affinities which influence levels of co-operation Patron-client relationships Rules for share-cropping

National Local

Source: DFID (2001)

Organizations In contrast to institution, an organization is a legally constituted entity, which has an identifiable membership, some goals to achieve to benefit the members, a representative governing body and rules of decision-making (ISNAR, 1994). It is a formal structure with recognized and accepted roles, responsibilities and decision-making processes (North, 1990; Uphoff, 1992). These definitions and the concept of institutions seem over-lapping to some extent. Both have some rules for decision-making, which will facilitate access to and utilization of different capitals for livelihood. The terms are often used interchangeably, but distinction can be made as shown in Box 3.3. Structures are important because they make processes function. An absence of appropriate structures, especially in remote areas, can be a major constraint to development and as a result services go undelivered, markets do not function and people’s overall vulnerability and poverty increases in these areas (DFID, 1999). Box 3.3. Difference between institutions and organizations • •

•

Institutions generally establish what sort of behavior in “normal” in society is “normative”. Organizations establish a common purpose for the people that make them up and their roles in achieving that purpose – they are more “structured”. Organizations and institutions may overlap – a given organization may or may not be an institution, and a given institution may or may not be an organization. For example, marriage is an institution that is not an organization while a particular family is an organization (with roles) but not an institution (with longevity and legitimacy) (Uphoff, 1992). Both institutions and organizations often, but not always, express “collective goals” that are broadly accepted by all their members.

Source: Messer and Townsley (2003)

The processes, in the context of SL framework, refer to change in policies, institutions and organizations that determine the way in which structures and individuals operate and interact (DFID, 1999; 2001a). Policies, usually decided upon at different levels, will affect how households are able to take decisions or make use of the livelihood assets at their disposal (Messer and Townsley, 2003). The various ways in which policies are interpreted and implemented affect livelihood; for example, a new policy that aims to protect wildlife, may effect local people’s traditional rights to continue customary practices associated with

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access (Long, 2004a). Policy formulation process, however, is very important; groups of people, who are not consulted or are not represented during policy formulation, are more likely to be adversely affected by the newly formulated policies (Messer and Townsley, 2003). Policies are particularly important for people concerned with improving household livelihoods because policies can be changed (ibid.). Policy reforms and interventions interact in quite complex ways in effecting incentives for the sustainable management of natural resources, and well-chosen combinations of policy interventions (Kuyvenhoven, 2004) can enhance the efficiency and sustainability of management systems.

Livelihood Strategies and Outcomes Taking the livelihood assets at their disposal, the vulnerability context in which they operate, and the policies, institutions and processes around them, households tend to develop the most appropriate livelihood strategies (Messer and Townsley, 2003). In general terms, the livelihoods of people in the communal areas are primarily based on combining strategies and resources relating to livestock production, crop-based agriculture, natural resource utilization and the search for and exploitation of income opportunities (Long, 2004b). Despite the vulnerability and uncertainty, people have adapted and refined their strategies over time in order to cope with adversity by combining, in different ways, a complex network of strategies, resources and activities available that construct their livelihoods and ensures that they minimize risks and achieve a degree of household food and income security (Long, 2004b). Livelihood diversification is central to this (ibid.). Diversification is generally recognized as an important strategy for decreasing livelihood vulnerability (Niehof, 2004). Rural livelihood diversification is defined as the process by which rural households construct an increasingly diverse portfolio of activities and assets in order to survive and to improve their standard of living (Ellis, 2000). The growing extent and importance of rural livelihood diversification out of farming is increasingly recognized (Dorward, 2001). The opportunities to enhance livelihood security and for on and off-farm diversification are limited (Long, 2004b). It has been observed that many of the off-farm activities are dependent directly or indirectly on agriculture, and the poor often lack access to higher return from off-farm activities through the lack of financial, social and human capital (Dorward, 2001). Policies that ignore agricultural growth and that support higher return from off-farm enterprises without addressing the factors constraining the access of the poor to these opportunities may then end up helping the better off more than the poor (Dorward, 2001; Dorward et al., 2003). Rural livelihood diversification is multi-faceted and encompasses diversification of agricultural production, creation of off-farm employment opportunities in the agricultural sector, development of income generating activities in the non-farm sector such as processing of agricultural products, and other rural industries and services which play a crucial role in sustaining rural population, in servicing growing and modern agriculture, and in supplying local consumer goods and services (Kuyvenhoven, 2004). Household members combine their knowledge, skills and capabilities with different resources at their disposal to create activities that enable them to achieve the best possible livelihood for the household as a whole (Messer and Townsley, 2003). These livelihood strategies may lead to more or less satisfactory livelihood outcomes in terms of more income, increased well-being, more sustainable use of natural resource base, improved food security and reduced vulnerability. People from

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satisfactory livelihood outcomes, in turn, invest on livelihood assets to sustain their livelihood.

Critics on SL Framework The SL framework, devised at the DFID (Department for International Development) in the 1990’s, has been widely used for investigating rural livelihood. The framework discusses elaborately the vulnerability context, assets endowment, structures and processes, and livelihood strategies. However, very little attention has been paid to market, technology and governance issues. The SL approach says little explicitly about markets (Dorward, 2001). Fundamentally, demand for outputs (goods and services) supplied by the livelihoods of the poor is often largely ignored, despite the large number of development interventions that have encouraged production of goods that have flooded limited markets and been unsaleable at worthwhile prices (ibid.). The poor often themselves identify problems with markets as critical to their livelihoods and improved market access is considered as a critical driver of sustained and broad-based poverty-reducing development (Dorward et al., 2003). Markets influence livelihood strategies and outcomes by establishing the cost of acquiring assets or of substituting one asset for another and by creating employment opportunities (Carney, 2002). Actors, particularly with little power or financial and social capital face high costs in accessing information and property rights enforcement, and this in turn hinders access to markets, market development and hence economic and technological development (Dorward et al., 2003). Easy access to markets and market information increases producers’ independence from intermediaries (Castren, 2005). Economic decisions are critically effected by the structure and functioning of markets; how well markets function depends on many factors related to trust, information, contract enforcement, application of the rule of law, freedom of movement of goods and people and market structure, i.e. the number of traders operating in markets and their relative size (Carney, 2002). Fundamentally, poverty reduction interventions should aim to improve access by the poor to more productive and less vulnerable asset portfolios, to a greater range of economic opportunities and services and to rights, and with regard to market, interventions should aim to improve the poor’s access to secure markets at better prices (Dorward, 2001). Forest markets have a significant role in reducing poverty, and forestry policies that explicitly empower poorer rural producers to participate effectively in more open forest markets could reduce their vulnerability, while building their natural, social, human, financial and physical assets (Scherr et al., 2004). Market access influences the price that producers of poles, fuelwood and other woodlot products receive (Jagger and Marty Luckert, 2008: 141). Technology and governance, which play important role in economic and social development, are also largely ignored in the classical sustainable livelihoods framework.

3.2. RESEARCH FRAMEWORK When a researchable problem can be specifically identified, then this specificity of the problem would naturally lead to statements of research objectives, definitions of key variables and their measurements (Sufian, 1998). A research framework helps to identify and correlate

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the objectives to be assessed or measured. Such a framework of this study is shown in Figure 3.2. This framework can be set forth in terms of following referential concepts: rural livelihoods, participatory forestry, enabling environment, local conditions, formation of livelihood assets, and local forest use and management. All of these variables contribute to improve the livelihood of the ethnic people and conservation of forest resources. Rural population living in the forest areas is large, very poor and growing steadily (Scherr et al., 2004). It has been estimated that nearly 240 million of the world’s population live in forest areas and maintain their livelihood by depending, directly or indirectly, on forest resources (World Bank, 2003). About two-thirds of rural people in developing countries live in forested marginal upland areas (Scherr et al., 2004; Fisher and Hirsch, 2008). These people are diverse indigenous communities (Cairns and Garrity, 1999; Patriquin, et al., 2008) who practice different forms of farming systems (Levasseur and Olivier, 2000; Devendra and Thomas, 2002; Alhamidi et al., 2003; Belsky and Siebert, 2003; Emch, 2003; Seidenberg et al., 2003; Abizaid and Coomes, 2004; Clermont-Dauphin et al., 2005; Rasul, 2007; Fisher and Hirsch, 2008; Mertz et al., 2008,) that could no longer support their living in a sustainable way and livelihood of these forests-dependent people has become threaten. To support the livelihood of forest dependent people and to improve the forest conditions, the governments of developing countries introduced people-centered forest –based development interventions. Interventions can aim to strengthen different capital assets depending on the need of local communities, including food security, drinking water supply, savings and credit, and so on (Reddy et al., 2004). After a long experimentation by trial and error method, different forms of participatory forestry, as adaptive forest management1, are being practiced in many developing countries such as community forestry in Nepal ( Malla, 2000; Varughese and Ostrom, 2001; Maskey et al., 2003; Timsina, 2003; Adhikari et al., 2004), community forestry and joint forest management in India (Sundar, 2000; Agarwal, 2001; Prassad and Kant, 2003; Bandyopadhyay and Shyamsundar, 2004; Gupte, 2004), village forestry in Laos (Inoue, 2003b; Kitamura, 2003), community-based forest management in the Philippines (Pulhin and Pulhin, 2003), and community and participatory forestry in African countries (Potters et al., 2003; Gardner, 2003; Wily, 2003). Participatory forestry policies are formulated mainly in view of poverty reduction and environmental conservation. These policies have created an environment conducive to effective peoples’ participation in decision-making processes, at least to some extent, regarding forest management and benefits sharing. Through empowerment and capacity 1

In order to improve the management of natural resources under great uncertainty regarding future conditions, relationships among components, user response to management, management objectives, etc., we have to learn through experimentation to produce useful critical information about the resource being managed which helps to reduce uncertainty and provides a broader base of knowledge and experience that helps us to manage more effectively in the face of continued uncertainty and ever-changing conditions, and this process of learning by doing is regarded as adaptive management (Johnson, 1999). More specifically, adaptive management can be understood as a process of improving management outcomes by accommodating explicit learning plans into management actions (Nyberg, 1999; Ojha and Bhattarai, 2003). Adaptive management is the idea of treating management policies as experiments, learning from them, and using them as a basis for changes and adjustments (Duncan, 2001). It considers systems thinking, recognizes uncertainty as an opportunity to test and learn, systematically tests different options through experimental element with on-going management actions at the actual operational setting, supported by and working with different stakeholders, and recognize failure or success as a source of learning, explore alternative actions and make explicit forecasts about their outcomes (Nyberg, 1999, Salafsky et al., 2001; Ojha and Bhattarai, 2003; Olsson et al., 2004).

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building, PF strategies assist people to manage the forest as their own interests to enhance their livelihoods. Participatory forestry can provide the pathway both for livelihood support and for sustainable forest management (Warner, 2000, 2003). A livelihood comprises capabilities, assets and activities required for a means of living (DFID, 1999). The assets that are building blocks of livelihoods are not only natural (forest, land, water, etc.), physical (tools, livestock, machinery, etc.) and financial capitals (income savings, etc.), but also social (networks, connectedness, trust, etc.) and human capital (skills, education, etc.) (Warner, 2003). The decentralized policies provide some sort of rights both on forest products and on land that are the natural capital base of their livelihoods. Proper utilizations of natural capitals lead to outgoing financial capital and it creates a common fund. The fund that has been created through the trading of participatory forest products in rural markets has immense value to invest in social and economic development, and also in the sustainable management of forests (Decleire, 2003, Hamissou, 2003). Due to involvement in PF, managerial and silvicultural skills (i.e., human capitals) of the farmers enhanced, and were then utilized for better land use and production that ensures increased income and savings (Kaboyo, 2003). Local conditions: Natural resources, subsistence economy and political situations

Enabling environment: Policy, local institutions, local governance, market, land tenure and technology

Development intervention: Participatory forestry as an adaptive forest management strategy

Customary forestry practices: Local forest use and management

Formation of livelihood capitals/assets: social, human, natural, physical and financial

Livelihood of the rural people Figure 3.2. A research framework for investigating the effects of participatory forest management on rural livelihoods.

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Besides creating the natural capitals (e.g., land, forests), the main contribution of participatory forestry is to build social capital in the form of user groups which empower the farmers to participate in decision-making processes (Prassad and Kant, 2003; Sarrazin, 2003, Thoms, 2008). Social capital can be built by improving the confidence and capacity of communities to pursue other opportunities such as employment opportunities, income generation and food security (Sarrazin, 2003). It is considered a critical factor for the sustainability of the development interventions, and the failures of earlier community-based development programs rest with the factor that very little attention was given to understanding how social capital arises to deal with different issues, and how it is sustained (Meinzen-Dick et al., 2004). The generation of consensus (i.e., social capital) and the resolution of conflict within a community not only allow that community to manage forests, but also are often the catalyst for a whole range of other initiatives that effect their livelihoods (Gardner, 2003). People, equipped with better skills, having increased income, social recognition and strong collective thinking, invest their time and efforts for common socioeconomic development activities including construction of roads, schools and community centers, which are considered necessary physical capitals for growth of developed society. Collective actions, emphasizing some specific goals, enable the user groups to create other capitals such as human capital, physical capital and financial capitals to sustain their livelihood. The livelihood contributions of forests are often more stable when forests are managed collectively (Thoms, 2008: 1453). Even more broadly, PF can be considered as a positive contribution to the process of democratization, as it brings together government personnel, traditional authorities and community members in ways that were not previously common and that encourage the growth of respect for each other which helps to establish a basis for collaboration and cooperation on a broad range of livelihoods issues (Gardner, 2003). Even though there are many shortfalls of PF such as limited access to poor and disadvantaged groups, elite dominance in decision-making processes and land tenure conflicts, it is well documented that livelihoods of forest-dependent people have improved to a greater extent and deterioration of forest resources has been halted to a larger extent throughout. Participatory forestry, however, can only be a catalyst to improve the livelihood of rural people when there is a suitable ground of enabling environment. For local communities to be able to improve forest conditions through better management and protection, a conducive and enabling environment is required (Castren, 2005; Sjoholm and Luono, 2003). The enabling environment may include policy, institutions, local level governance, technology and market. Sustainable and pro-poor development of less favored areas (LFAs)2 requires a policy environment (Kuyvenhoven, 2004). Policies that support secure access to resources and services are indeed central to sustainable livelihoods (Warner, 2003). For participatory forestry to endure, a policy and legal framework is needed which provides secure access to resources and services, and transfers authority, decision-making and benefits to the local level (Mansur and Cuco, 2003). Policy reform and interventions, however, cannot alone mitigate the problem of resource management and livelihood outcomes unless there are appropriate institutions. The sustainable and pro-poor development 2

LFAs are characterized as marginal lands and include major share of world’s dry lands and highlands having limited agricultural potential and limited access to markets and infrastructure (Ruben and Pender, 2004).

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of marginal areas requires supporting institutions and governance arrangements, which sought participatory development with local stakeholders, including the poor (Kuyvenhoven, 2004). Participatory forestry requires favorable institutional arrangements that support a communitybased resource management approach at different levels (Kubsa and Tadesse, 2003). With appropriate rule enforcement, institutions can create a better natural resource base from which communities derive their better livelihood outcomes (Gibson et al., 2005). Successful participatory forestry also requires adopting the best possible forest technologies which are responsive to farmers’ cash and subsistence needs, best suited to their available resources (e.g., time, labor and capital) and adjustable to changes in weather or markets (Tamale et al., 1995). It is recommended widely to introduce appropriate agroforestry technologies for upland development (Leavasseur and Oliver, 2000; Fischer and Vasseur, 2002; Neupane et al., 2002) which can combine short-term and long-term benefits for the local communities, and meet the triple bottom line of economic, social and ecological needs in today’s world (Garrity, 2004). Effect of policy measure on the adoption of new, more sustainable technologies depends greatly on the functioning of local factor and product markets (Kuyvenhoven, 2004). Neither participatory forestry nor large-scale logging will contribute to poverty reduction until the producers have no access to forest markets. Forest markets can contribute to employment and cash income streams for the rural poor, and function as capital assets for user groups, enabling them to utilize underutilized resources and leverage other types of capital (Scherr et al., 2004). Another factor that influences the people’s interest to participate in development interventions effectively is the land tenure. Land is a fundamental livelihood asset, a key input in the rural economy, the primary means of generating a livelihood, and a major vehicle for investing and accumulating wealth and transferring it between generations (Bonfiglioli, 2004: 58). Incentives to invest in land or measures to protect and manage natural resources are directly proportional to the sense of land security (ibid.). Securing land tenure rights is often seen as a means of furthering sustainable natural resource management by increasing the incentive to invest in long-term soil improvement (Jakobsen, 2007: 318) The enabling environment should be compatible with the prevailing local conditions. In cases of forestry circumstances, these local conditions may include the state of natural resources, (mainly of forests,) the socio-economy of the local people and political statuses that are related with forest resource management. States of forests resources and the subsistence economy of the local people influence the policy as well as the choice of technology which favors the improvement of local livelihood and conservation and extension of forests in the region. However, for the proper implementation of the development interventions, along with other enabling environment, a strong political will of the local leaders is very important. These leaders, through their effective leadership, can motivate local people for effective participation in the programs and can also influence the higher bodies for successful execution of the programs. Even though greater efforts are taken by governments to decentralize the natural resource management systems for better and sustainable outcomes, it can be observed that local people still practice their customary forestry practices. Due to policy constraints, lack of market and marketing facilities, land tenure insecurity, and many other socio-political problems, farmers practice traditional management of natural resources even within the territory of development projects (Fischer and Vasseur, 2002; Ward et al., 2004). Traditional management knowledge may be holistic in outlook and adaptive by nature, gathered over generations by observers

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whose lives depended on this information and its use (Berkes et al., 2000). Traditional or local management can be considered as a cumulative body of knowledge, practice, and belief, evolving by adaptive processes and handed down through generations by cultural transmission, about the relationship of living beings with one another and with their environment (Berkes et al., 2000; Berkes and Folke, 2002). Integration of indigenous technologies with scientific inputs enhances farmer’s interests in using new forestry technology as the means to rehabilitation of degraded forests (Blay et al., 2008: 513). Local management of natural resources, governed by traditional rules and regulations, help local communities to maintain their livelihood and conserve their resource base. As in many other countries, minority ethnic communities dominate hilly areas of Bangladesh. Their socio-economy is natural resource based and maintains livelihood through a symbiotic relationship with forest resources. For centuries, they live in the hills, harmonizing with their surrounding resources, and they practice traditional farming systems, principally shifting cultivation, for subsistence. However, due to population pressure, government policies, infrastructure development and many other socio-political constraints, the subsistence farming system could not support the livelihood of the ethnic communities. They adopted some other sorts of income-generating activities such as extraction and selling of forest products, soil exhausting farming with cash crops (e.g. ginger, turmeric, aroids, etc.), daily wage labor, etc. to sustain their living. These activities, nevertheless, poorly effected the natural resources, which can be observed in the form of forest and land degradation, soil erosion, etc. In order to support their livelihoods, and to improve ecological conditions of the effected areas, several government sponsored PF projects were executed earlier ( ADB, 1978, 1979, 2001), but these could not achieve targeted goals mainly due to improper planning, lack of proper institutional supports, and above all land tenure insecurity (AITPN, 2000; Roy, 2002; Rasul and Thapa, 2004a). Even though productivity has reduced markedly, ethnic people continue shifting cultivation, even inside the development project, to ensure their survival (Khisa, 2002; Rasul and Thapa, 2003).

3.3. OBJECTIVES OF THE STUDY The research framework highlighted four main issues such as participatory forestry intervention, customary forestry practices, the enabling factors and the livelihoods of the participants. These issues naturally show the light for setting objectives for investigation and to find the answers of the research problems. Hence, considering the research problems, objectives of two studied participatory forestry programs and components of research framework, the following objectives were set for the study: a.

To clarify the present state of livelihoods of participants in two studied participatory forestry program sites; b. To ascertain the enabling factors that influence the success and failure of the programs in terms of livelihoods outcomes and forest conservation; c. To identify and explain the factors that influence the practice and sustainability of customary forestry practices- shifting cultivation- in the study areas; and

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These objectives and the research problems were interrelated (Figure 3.3). The first and second research problems that were related with livelihoods of the participants and its linkages with forest conservation are directly linked with objectives ‘a’ through ‘c’ because these objectives specify about livelihoods status, factors that influence the livelihoods as well as customary forestry practices that many participants still practice for their living. Objective ‘d’, which explores the comparative outcomes of livelihoods and forest conservation through a cross-case analysis, is firmly related with third research problem.

3.4. METHODS OF STUDY The case study is a research strategy that investigates a particular contemporary event, in depth, within its real-life context whose results relies on multiple sources of evidence, with data needed to coverage in a triangulating fashion (Yin, 2003; Leedy and Ormrod, 2005). Collection of evidence is a challenging task for case study. Researchers used different methods for field data collection. In the late 1980’s and the 1990’s, the approach of “learning with the people” had emerged (Chambers, 1997) which is known as participatory rural appraisal (PRA). In this approach, outsiders such as development specialists and academics are expected to function as facilitators or catalysts to assist the process of empowerment of the people and this can be applied simply as a tool to collect information and data for academic research (Inoue, 2003a). Participatory research approaches are currently being promoted internationally by academics, policy makers and research funding agencies for investigating agricultural sustainability that aims to foment positive change in the lives of participants (Bruges and Smith, 2008: 13). For collection of field data and information, I followed the PRA approach, and different tools of PRA and case study methods such as survey of official documents and archival records, semi-structured and structured interviews, key-informants interview, focus group discussion, vector scoring, flow diagrams, seasonal diagramming, personal observation, village walk and informal talk with villagers and officials, etc. have been deployed (Conway, 1986; Chambers, 1994; Mukherjee, 1995, 1998; Inoue, 2003a; Yin, 2003; Leedy and Ormrod, 2005 Both qualitative information and quantitative data were collected. Pre-tested questionnaires containing both structured questions and checklists for semi-structured interviews were used. Cross-checking and validation of data and information generated through participatory methods were done the following ways: • • •

Validation was pursued by approaching different local groups and individuals either separately or together; Different participatory methods used, in combination, was utilized to test and verify data, and Participant checking was also used to test data with the same set of people who generate original information.

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However, detail methods of study used for individual study site are elaborated in each chapter. Research Problem ‘i’

Research Problem ‘ii’

Research Problem ‘iii’

Objective ‘a’

Objectives ‘b’ & ‘c’

Objective ‘d’

Figure 3.3. Flow diagram showing the relationship between research problems and objectives of the book.

Chapter 4

AGROFORESTRY IN THE CHITTAGONG HILL TRACTS REGION ABSTRACT This chapter explores the effects of small-scale agroforestry on upland community development in the Chittagong Hill Tracts, Bangladesh. More specifically, the study clarifies the merits and demerits of different agroforestry systems as perceived by planters, their impacts on the rural economy and the environment, farmer’s attitudes towards the adoption of agroforestry and impacts of various government policies. Field data was collected by administering questions to a randomly selected group of 90 planters in the Upland Settlement Project (USP), as well as project staff. The results indicated that the agroforestry interventions have in fact increased planters’ income through employment and the selling of farm products, as well as by improving the ecological conditions of these areas through reduction of soil erosion, increasing tree coverage and maintaining soil fertility. The adoption of different agroforestry systems was governed mainly by the planters’ interest in following these techniques, their ability to cultivate the land in the prescribed manner, and the market demand for their products. The major obstacles that prevented increased agroforestry improvements included lack of confidence in new land use systems, inappropriate project design (e.g. top-down innovation approach) and policy issues regarding land tenure. Recommendations are being proposed to strengthen social capital in local organizations to enhance the livelihoods of the upland communities.

4.1. INTRODUCTION The ethnic people of the Chittagong Hill Tracts (CHT), Bangladesh have practiced a traditional farming system of shifting cultivation (jhum) - for decades. More than 90 percent of the total population depends on jhum for their livelihood. Jhum involves preparing the soil by clearing and burning the surface vegetation before planting mixed crops of rice, millet, sesame, maize, vegetable, cotton, etc. The mixed nature of cropping ensures a steady supply of food all year round. At the end of each cycle, the land is left to regenerate itself for six to seven years while the jhumias, who practice jhum, move from one location to another. For

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centuries, jhum was an effective way of farming. There was no serious deterioration of soil and the plots lay fallow for at least seven years (Haque, 2000). Regardless of opinions on the merits or demerits of shifting cultivation as a land-use practice, there is strong consensus that both a human and environmental tragedy is unfolding in the uplands of Southeast Asia. The preconditions that underpinned the sustainability of ‘traditional’ forms of shifting cultivation are now disappearing because of dramatically increasing population densities arising from both endogenous growth and in-migration by large numbers of lowlanders, lost access to large tracts of land that have been declared as protected areas and other competing land uses (Cairns and Garrity, 1999). In the face of increasing land-use pressures, farmers can no longer afford the luxury of long fallow periods that allow recovery of the secondary forest and rejuvenation of exhausted soil fertility. The resulting trends of shortening fallows, lengthening the cropping periods, and rapidly degrading environments are endemic throughout Southeast Asia’s mountain areas. Crop yields are declining, labor required to control weed growth is increasing, and household food security is threatened. As in other parts of the tropics, pressure in the CHT was increased when the central government declared large areas as being reserved forest areas and a jhum tax was imposed. The land was then put under further stress as people from the plains started pouring into the area. To cope with the pressure of increased population and the scarcity of suitable land the fallow period in the jhum cycle had to be reduced to a three to four-year cycle. This has caused huge ecological deterioration. The land could no longer regenerate itself within this limited fallow period. A century ago, the CHT were self sufficient in food but this is no longer the case. The one most important event that shook up the lives of the tribal people in recent years was the construction of the Kaptai Hydroelectric project in 1963. The project submerged 648 km2 of prime agricultural land, which constituted 40 percent of the total arable land in the CHT. Some 100,000 ethnic families, mostly Chakma sedentary rice farmers were up-rooted by the project (Haque, 2000). Due to cross-cultural contacts, the basic economic structure and functions of the jhumias have now changed. During recent times, new occupations have been adopted, such as monoculture of annual crops, homestead agriculture and agroforestry practices in the hill slopes, small trades and wage labor (Khisa, 1998). Single cropping of aroids, turmeric and ginger in hill slopes without proper soil and water conservation measures has also created further soil erosion problems in this region (Khisa, 2002). Land degradation along with the lack of appropriate farming technologies, weak community organizations, inadequate credit facilities and extension services, natural calamities, small land -holdings and land tenure insecurity are leading to a sharp decline in the productivity of uplands in the CHT and ultimately the farming system is becoming fragile (Khisa and Farid, 1996). More than 80 percent of the population of this region now depends on stagnant and/or declining farming practices. The decline of productivity of these existing farming practices is now a major concern. Because some people have recognized the need for modifying the traditional farming practices and the value of conserving soil resources for economic growth and poverty reduction, some alternative farming technologies (e.g., sloping agricultural land technology, fruit gardening, rubber cultivation, etc.) have been introduced in the CHT (Khan et al,. 2002a). However, these projects could not achieve their desired goals and objectives for many reasons. Considering the lessons learned from these projects, the government recently adopted an integrated program named the Upland Settlement Project (USP) in the Chittagong

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Hill Tracts. The USP is considered a major development program in CHT because it focused on the rehabilitation of landless and marginal jhumias through improved agroforestry practices (Khan et al. 2003). This paper highlights the land use changes on these project sites through the implementation of project activities. Specifically, this research paper draws attention to the response of the farmers (known as planters in the project village) toward the adoption of new land uses i.e., agroforestry systems. The chapter begins with a brief overview of agroforestry concept, adoption and sustainability issues of agroforestry, context of agroforestry for upland development and then elaborates the methods used in data collection. Study findings in terms of benefits and drawbacks of different agroforestry systems, income from agroforestry products, ecological attributes of the agroforestry and relevant policy issues are elaborated in the results section. In the discussion section, planters’ adoption of agroforestry systems and the significance of social capital are examined. Concluding comments follow.

4.2. AGROFORESTRY: A GENERAL OVERVIEW Literally, agroforestry means a land use system where both agricultural crops and forest trees can grow in combination. It is an age-old land usage system that farmers have practiced from generation to generation. It is a collective name for low-input land use systems involving trees combined with agricultural crops or animals, or both, on the same unit of land management which ensures an almost steady supply of multiple outputs while protecting the resource base (van Gelder and O’Keefe, 1995; Hildreth, 2008). Though it is a longstanding traditional form of land use, efforts to define it in a scientific manner began in the mid 1970’s (MacDicken and Vergara, 1990). Bene et al. (1977) explained agroforestry as a sustainable land management system that combines agricultural crops and trees and/or animals simultaneously or sequentially and applies management practices that are compatible with socio-culture of the local populations. Nair (1984), based on his extensive field experience, illustrated the term as a land use, which involves deliberate retention, introduction, or mixture of trees or other perennials in crop/animal production units to benefits the overall ecological and economic interactions. It focuses on the role of trees on farms and in agricultural landscapes to meet the triple bottom line of economic, social and ecological needs in today’s world (Garrity, 2004). Agroforestry as a sustainable agricultural system is being widely promoted all over the world, especially in developing countries. Some agroforestry technologies provide wood for timber, poles for construction and fuelwood; hence, they are an integral part of the household subsistence needs (Thangata and Alavalapati, 2003). Research and development projects have demonstrated that agroforestry increases household incomes, generates environmental benefits, and is particularly well suited to poor and female farmers (Franzel et al., 2001, 2004). Agroforestry enhanced nutrient uptake by tree and crop roots from varying soil depths, can improve soil fertility, increases crop yield and is considered as a sustainable agricultural production and land management system in the tropics (Young, 1997; Nair et al., 1999; Nair and Graetz, 2004). At the same time, it can make a significant contribution to conserving biodiversity in a wide range of settings such as in complex agroforests, swidden succession, etc. (McNeely, 2004). In these regions, particularly in upland areas where population

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increases rapidly and in a steady way, and where land became exhausted due to increasing population pressure, deforestation and intensification of traditional cultivation, agroforestry is considered as a candidate for alternative land uses that might bring social, economic and ecological improvement of the upland societies. Development and diffusion of appropriate farming technologies for upland development is a great challenge, because uplands are characterized be fragile environments, farmers who are poor with little capital for investment, remote location of village from markets and very poor communication networks. The process of developing and disseminating agroforestry as a viable alternative for farmers under various ecological and socio-economic conditions has become challenging constraint to promote agroforestry (Neupane et al., 2002). Moreover, following Raintree (1983), they explained that any viable agroforestry technology would not have impacts on rural livelihoods and on environment unless a significant proportion of farmers adopt it.

4.2.1. Adoption and Scaling up of Agroforestry Based on the principles of diffusion of innovation (Rogers, 1983), agroforestry adoption can be considered as a rational process where farmers first become aware about a new agroforestry technology, then grow attitudes (positive or negative) in their minds towards agroforestry and finally decide whether to adopt or reject the technology. In comparison to agriculture, adoption of agroforestry is more complex because it requires careful mixture of both annual and perennial crops as well as other components combined with soil and water conservation measures (Rafiq et al., 2000). The multi-component and multi-product nature of agroforestry may limit adoption due to complex management requirements and the long period of testing and modification that is required compared to short-term agricultural technologies (Mercer, 2004). Agroforestry adoption is a complicated process that may be influenced by a number of factors such as socio-economic characteristics of farmers, access to, and level of resources, provision of extension, infrastructure and market, and other institutional factors (Neupane et al., 2002). Male-headed households with more schooling experience planted more trees and adopt agroforestry more easily than female-headed households and those have lower level of education, (Bannister and Nair, 2003; Gockowski and Ndoumbe, 2004). Neupane et al. (2002) however, have observed that female education has a positive impact on adoption of agroforestry because women, in most cases, stay at home and look after homesteads while educated men are engaged in jobs away from their house. Institutional supports like secure land tenure, productive resource base, access to markets and availability of credit and extension supports motivated some of shifting cultivators in Bangladesh to practice environmentally and economically suitable land uses such as agroforestry and fruit gardening (Rasul et al., 2004). The level of technology adoption also varies based on ethnicity, extension input and household food self-sufficiency (Floyd et al., 2003). Enhanced extension input and contact with farmers has direct positive effects on agroforestry adoption (Doss and Morris, 2001; Floyd et al., 2003; Thangata and Alavalapati, 2003) while food sufficiency is inversely related with technology adoption (Floyd et al., 2003). Household circumstances such as age, labor, education, etc. and external forces such as markets, policies and weather appears to be one of the risk-limiting advantages of some agroforestry systems and may be an

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important factor in differential adoption rates (Thangata and Alavalapati, 2003; Mercer, 2004). Adoption rate, however, of any new technology, increases as the advancement of technology steps forward. A few households adopt initially, then a few more and so on, but seldom if ever do all households in a community or region adopts any technology, even over long periods of time (Mercer, 2004). Preferences, resources, market incentives, biophysical factors, and uncertainty are the five factor clusters influencing the adoption of technologies such as agroforestry (Pattanayak et al. 2003). Diversification of crops and economic turnover is another key issue in the adoption of new technology. In Sri Lanka, for example, farmers adopted intercropping in rubber plantation when many varieties of intercrops were introduced and when they perceived the system were financially profitable (Rajasekharan and Veeraputhran, 2002). Diversification is necessary for stability of revenue streams, equity of opportunities within households and communities, and to maintain ecological processes (Russell and Franzel, 2004). Acceptance and adoption of agroforestry interventions, however, depends largely on whether farmers participate and whether their knowledge is incorporated during its development stage. Thangata and Alavalapati (2003) reported that besides the socioeconomic situations of the farmers, biophysical performance of the technology and supportive mechanisms such as free seeds or seedlings, the adoption of agroforestry depends on farmers’ participation. On-farm demonstration, with active participation of local farmers, of technology development has a positive effect on the adaptability of new land uses. Winterbottom and Hazelwood (1987) also mentioned that farmers’ acceptability of agroforestry happened when their indigenous knowledge is incorporated and recognized, rather than when completely outside practices are replicated. Increased agroforestry adoption also depends on supportive policy environment. Fischer and Vasseur (2002), for example, reported that complicated tree harvesting and permit policies discouraged farmers from adopting agroforestry systems in Panama. Beside adoption, the scaling up of appropriate agroforestry technologies is also a great challenge, because upland is composed of diverse ethnic communities with little access to education and they have strong social cohesiveness. Diffusion of information through farmers’ interaction with extension agencies can positively influence the adoption and dissemination of new land use technologies (Smit and Smithers, 1992; Besley and Case, 1993). Community-based organizations are increasingly considered a sustainable way to scale up the benefits of agricultural research and development from a few farmers in isolated pilot project areas to spread more widely across geographical and socio-economic gradients, and to do so quickly (Noordin et al., 2001). The benefits of community-based approaches to scale up agroforestry and other biological options to improve soil fertility among resource-poor smallholders are that the link between farmers, government extension, and other service providers is strengthened, information flow and awareness of the options available is rapid among farmers, and farmers’ participation and innovation is enhanced (Noordin et al., 2001). Landcare, a movement of farmer-led organizations in the Philippines, enabled communities to share knowledge and experience about sustainable and profitable agriculture on sloping upland while conserving the natural resources, and enhanced the adoption and scaling up of complex agroforestry systems (Mercado et al., 2001). The farmer-led on-farm testing and dissemination approach in Nagaland, India showed that traditional shifting cultivators adopted and disseminated agroforestry rapidly, and the

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high rate of scaling up was believed to be due to an effective property rights system, access to a large-to-growing timber market, a continual process of internal monitoring and evaluation, provision of low-cost seeds and seedlings, and a participatory project strategy with interventions based on flexibility and community empowerment (Faminow et al., 2001). Franzel et al. (2004) observed that adoption and scaling up of agroforestry technology is positively correlated with farmer-researchers’ interactions and local institutional capacity building. Though social, economic, ecological and institutional factors govern the acceptability of agroforestry by farmers, their [farmers] long-term interest on the investment for agroforestry virtually depends largely on the sustainability of agroforestry systems and the question - how can the sustainability be maintained?

4.2.2. Sustainability Issues in Agroforestry Sustainability is one of the most widely debated topics in all land-use related discussion (Nair, 1993). The sustainability of hill and mountain farming systems has become an issue for serious global concern as increased population intensifies the pressures on land and forest resources to meet their daily needs (Friedrich, 1994). For successful adoption and scaling up of agroforestry that improve the long-term well-being of farmers, emphasis must be given to the goal of sustainability (MacDicken, 1990). The sustainability attributes of agroforestry are based mainly on soil productivity and other biophysical advantages such as erosion control, addition of organic matter, improvement of physical properties, N2-fixation, improved nutrient cycling and reclamation of degraded lands (Nair, 1993). At present there is no quantitative measure of sustainability and until such criteria and indices for assessment are fully developed and widely accepted, we will have to contend with qualitative statements about the sustainability of agroforestry as is the case with other land-use systems (Nair, 1993). Analysts of sustainable agriculture argue that sustainable agricultural production by resource-poor farmers today and by their children tomorrow, can be achieved only if issues of land tenure and distribution, birth control, social security, economic development, and natural resource exploitation are addressed (Nair, 1993). In most developing countries, sustainable agriculture is only possible if population pressure on natural resources is reduced. Unless there is commitment to reducing population growth, at both government and community level, then any strategies implemented to alleviate poverty and increase production will only be short-term and unsustainable, leading ultimately to further degradation of resources by pressure of agriculture and increasing livestock numbers (FAO, 1993). Sustainable agricultural practices should not have a negative impact on the environment, should rely predominantly on nutrient cycling and green manure for the maintenance of soil fertility, and should promote system diversity for pest and disease control (Nair, 1993). Scholars used several qualitative indicators of sustainability in agricultural and farming practices. Brunig et al. (1975), for instance, mentioned several general management requirements for sustainable agricultural production: 1] maintenance of vegetative cover to reduce soil erosion; 2] management of nutrient cycle so that nutrient losses are balanced with nutrients additions; and 3] maintenance of biotic diversity in species composition, age distribution, and so on to hold the pest and disease attack below economic threshold level. At

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the farming system level, sustainability could be indicated by: [1] if soil fertility had been maintained or had increased; [2] if, for major crops, yields had remained stable or had increased and; [3] if farm populations had not over-proportionally increased (Friedrich, 1994). Nath et al (2002) mentioned that maintaining a normal set of age-classes is important for sustainable agroforestry production. Ethnic people of northeastern Bangladesh practice a sustainable agroforestry system through the maintenance of different age-gradations in their agroforests, balancing nutrients by using green manure, and regulating the population living on the government forest land (Nath et al., 2003). In agroforestry, there is ample scope for combining long-term sustainability benefits with short- and medium-term productivity gains in appropriately designed systems such as contour hedgerows of multipurpose trees that provide erosion control along with yields of valued products (Raintree, 1990). Even though, the lack of definite quantitative parameters to express sustainability is no indication of whether or not a system is sustainable; indeed, the value of agroforestry in terms of sustainability has almost been universally accepted (Nair, 1993).

4.3. CONTEXT OF AGROFORESTRY FOR UPLAND DEVELOPMENT Much of the land in Southeast Asian countries is dominated by mountainous topography, and populated by diverse cultural minority communities. Expansive forests and sparse populations allowed these communities to practice variations of shifting cultivation, which enabled them to coexist in relative harmony with their environment (Cairns and Garrity, 1999). This cultivation system occupies a distinct place in the indigenous economy and constitutes a vital part of the livelihood and socio-economic setup of the majority of the highland population. Shifting cultivation could be said to have evolved as a response to special physiographic characteristics of the land, and the economy and socio-cultural traditions of the cultivators practicing it (Gupta, 2000). In Belize, the milpa type of slash-andburn agricultural system evolved in response to local conditions, which is characterized by mountainous topography dominated by Mayan ethnic people (Emch, 2003). Two major ecological reasons are considered for the use of shifting cultivation- poor fertility of fragile soils under tropical conditions, with a tendency to decline further without modern soil conservation and irrigation measures, and the low capacity of soil to retain plant nutrients (Gupta, 2000). Traditional shifting cultivation remains sustainable as long as there is a balance, within a given area, between the population growth and the availability of land and there is a wide fallow period (Jakobsen et al., 2007; Abizaid and Coomes, 2004; Palm et al., 1996). If the fallow period is shortened under population pressures and there becomes shortage of suitable land, productivity of the system declines following the decrease in soil fertility and land degradation. In the hill tracts (particularly in CHT) of Bangladesh, a rapid rise in population, endemic and in-migration of plains people, the construction of development infrastructures (e.g., hydroelectric project), and government policies on expansion of reserve and protected forests has made the jhum vulnerable. An alternative farming system is required in the region in order to create sustainable land-use systems, improve farmer’s living standards, reduce deforestation and protect the watershed.

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Agroforestry with the intentional integration of tree growing into the farming system is a potential alternative (Kusters et al., 2008; Garrity, 1999a; Levasseur and Olivier, 2000), and efforts to promote the adoption of agroforestry to reduce shifting cultivation have been increasing (Fischer and Vasseur, 2002). It is a viable tool for upland management. Agroforestry frees up time, allowing villagers to take non-farm jobs which leads to an increase in income (Hildreth, 2008). Higher returns per unit of agroforestry may help to maintain the agroforests (Kusters et al., 2008). It can increase and sustain crop productivity in the uplands and improve environmental conservation. As a land use system, agroforestry has been increasingly regarded as an effective and low-cost method for minimizing the processes of degradation associated with land cultivation and for the retention of the ecosystems (Vergara and Nicomedes, 1987). Moreover, diversification of crops is expected to create opportunities for achieving a steady and sometimes higher rural income through more efficient use of resources and the exploitation of comparative advantages. Farmer- evolved agroforestry often resembles natural secondary forest systems in structure and ecology (Garrity, 1999b). Agroforestry systems can combine short-term and long-term benefits for the farm households with the aim of watershed protection and sustainability in the use of resources. Smallholder agroforestry may be a part of the strategy to reduce poverty and protect watersheds in the CHT.

4.4. MATERIALS AND METHODS Selection of Sample Villages and Households For this study, initially, the names of all project villages and planters in both districts (Khagrachari and Bandarban) were collected from the office records of the CHTDB located in Khagrachari. Fifteen (15) project villages, eight (8) from Khagrachari and seven (7) from the Bandarban district were selected at random. Ninety planters, six from each project village, were then selected from above for the final interview and field data collection.

Data Collection Both qualitative and quantitative methods were used for the collection of information and data. Tools of PRA and case study methods such as key-informant interview, household interview, group discussion, personal observation and farm visits were used. Two planters were interviewed as a key-informant in each village. The interview dealt with project history, its impact, their opinions about agroforestry systems, village committee, etc. A semistructured questionnaire containing checklists was used to facilitate the interview. For the household interview, the head of each sampled household was interviewed. Although the head of the family was specifically targeted for the purpose of the interview, other adult family members also participated in the discussion during the interview. An openended questionnaire was used for each household. The questions were about the uses of granted land for different agroforestry systems, their advantages and disadvantages, input and output of different agroforestry systems, marketing of products, etc.

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In each village, a group discussion with the planters (3-4 planters attended) was conducted using a semi-structured questionnaire, which focused on farming systems, their positive and negatives aspects, problems related to farming and products marketing, future of the agroforestry, etc. Officials of the CHTDB who directed the project operation were also asked to share their views about agroforestry systems implemented in the project sites, and their perception about the adoption of agroforestry by the project planters.

4.5. RESULTS Agroforestry Systems The project authority (CHTDB) then initiated a number of agroforestry systems, including homestead agroforestry, contour hedgerow inter-cropping agroforestry technology (CHIAT) and rubber based intercropping systems. CHIAT1 is a modified form of SALT2 (sloping agricultural land technology). The participant planters were encouraged and supposed to follow these systems to develop agroforestry on their respective lands. However, even though all participants outwardly accepted the concepts of homestead and rubber-based agroforestry, they nonetheless stayed away from CHIAT, because of the difficulty in carving out the contours and hedges. In its stead, 86 percent of the planters continued to practice their traditional form of jhum, and 14 percent continued with plough-land agriculture on CHIAT areas as was practiced in valleys where irrigation was possible. Among these agroforestry systems, planters were interested in homestead agroforestry. In homesteading, they mostly planted horticultural species and across all the sampled households 21 were recorded. The most commonly planted species were Artocarpus heterophyllus, Citrus reticulate, Litchi chinensis, Ananas sativa, Musa paradiasiaca, Psidium guajava and Mangifera indica. Besides fruit trees, the planters also planted other trees that have both fuelwood and timber value. The tree species most often planted were Gmelina arborea, Tectona grandis, Albizia spp., Swietenia macrophylla and Acacia spp. Rubber-based agroforestry was equally well accepted by planters. Within the rubber plantation, planters planted banana and pineapple as intercrops. In jhum, planters cultivate mainly cereal crops, mostly for household consumption. Surplus production was sold in the markets. The planters followed mix cropping in jhum across all of the sampled farms; 15 species were recorded. In contrast, plough land was utilized for rain feed rice cultivation and winter crops (vegetables, pulses, etc.).

1

CHIAT follows the principles of SALT in making hedgerows and bands (alleys), but the major modification was in the composition of species in hedges. Along with exotics, native fruit and timber trees were introduced in CHIAT. 2 Originated in early 70’s in the Philippines, the SALT helps to develop the uplands by increased crop productivity through soil conservation and increased soil fertility. In SALT, crops are grown in 4- 5 m bands between hedgerows. Hedgerows, in a double row planting, are formed by planting nitrogen fixing trees and shrubs abundantly. When hedgerow species become 1.5- 2 m tall, they are pruned at a height of 40 cm and used as mulches (Tacio, 1991).

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Benefits and Drawbacks The agroforestry systems that planters adopted in the study areas had both advantages and drawbacks (Table 4.1). For example, homestead agroforestry, though it was new to the jhumias, provided them the most benefits in comparison to other agroforestry systems. Planters mentioned nine benefits from homestead agroforestry, including sustainable productivity, multiple productions, market demand of the products and long run income, along with strong policy and institutional support. Besides these benefits, planters faced several problems which include inadequacy of planting materials, shortage of land, land tenure insecurity, marketing of products, and above all, that it was a new land use with difficult- to- follow cropping patterns required to avoid shading effects on the undergrowth. Table 4.1. Relative benefits and drawbacks of different agroforestry systems as perceived by farmers Agroforestry systems Homestead agroforestry

Rubber-based agroforestry Jhum

Plough land cultivation

Advantages

Disadvantages

- Sustainable production system - Multiple cropping system - Environmentally friendly - More long run benefit - Maximum utilization of site possible - Market demand of the products - Supportive government policy - Institutional support - Conservation of biodiversity - Labor intensive - Employment opportunity - Institutional and policy support - Multiple production system - Pest control - Culturally adaptable - Simple management - Low cost technology - Indigenous practice - Immediate benefit - Possibility of refinement - Labor intensive - Productivity high - Government support - Land tenure

- Lack of planting materials. - Small plot of land - Insecurity of land ownership - Marketing of the products - New technology

- Less number of crops - Natural calamites - Insecure land tenure - Soil erosion - Low production - Biodiversity loss - Weeds - Land tenure

- Wild animals - High input - Weeds

Source: Field survey in October- November 2002

Rubber-based agroforestry was beneficial in terms of employment opportunities and wage income sources. Members from almost all planters were involved with rubber cultivation either as daily labor or as permanent positions at the rubber processing units. Planters were allowed to raise intercrops, mainly of banana and pineapple in rubber

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plantations. Planters were also eligible to retain a share from rubber production. National level policy for upland development through rubber farming and institutional support in terms of resource mobilization and skills development were other incentives for a rubber-based agroforestry system. However, planters experienced some problems with this system, such as mono cropping (in the first phase of project), trees damaged by natural calamities (e.g., seasonal storms, cyclones, etc.), and tree stems that are soft in nature, and insecure land ownership. Jhum was the principal farming system in the hills. Albeit the jhumias had settled down under the USP with the hope that they would practice improved agroforestry system (e.g., CHIAT), still they were practicing jhum on land allotted by USP authority. Planters argued that CHIAT was complicated, because it required finding contour points, preparing hedges with exotic species, etc. The hedges occupied too much of the productive land and making contour hedges was very labor-intensive. On other hand, jhum was a simple, very low cost agroforestry system, which was culturally acceptable, a multiple production system that provided immediate benefits to the planters. Mix cropping naturally prevented the incidence of pests and has possibilities for improvement. Nevertheless, jhum was easy and cost effective, though planters faced some quandaries with it. The main quandary was soil erosion, which caused a loss of soil nutrients and a decline in productivity. From many years, government had tried to settle jhumias into a permanent farming practices, such as plough land agriculture. However, due to shortage of available land suitable for this type of farming, the government did not succeed. As in other forms of agroforestry systems, the plough land agriculture had both positive and negative characteristics for the planters. The main benefits were high productivity, favorable government incentives and the generation of employment. However, this type of agriculture required higher investments in terms of chemical fertilizers, pesticides, and weeding. Land tenure was also uncertain, as was crop loss because of wild animals.

Products, Markets and Income A number of products were produced in the agroforestry and jhum plots besides rubber plots and plough land agriculture (Table 4.2). Products from jhum and plough land agriculture were seasonal; but both homestead and rubber-based agroforestry provided the most regular (year-round) production. Jhum and plough land agriculture produced mainly agricultural items such as rice, ginger, turmeric, vegetables, etc. On the contrary, homestead and rubber planting supplied horticultural products such as pineapple, banana, mango, jackfruits, etc. During field data collection, planters were asked about markets and the marketing of their products. All sampled households mentioned that, after filling the needs of their own family consumption, they sell their surplus products in nearby markets, held twice a week, about 2-3 km from the villages. When they have a small quantity of products to sell, planters carry them as shoulder loads; in the case of larger amounts, however, they either hire local vehicles (where the road network is good) or employ labor to carry the load. In the marketing of products, planters face problems such as distance to market locations, poor road net works and the frequency of market days. In the CHT region, local markets are held twice a week, but on the same day. For this reason, planters would not have a choice to sell their products in different markets in order to

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shop for higher market values. Sometimes, they therefore sell their products very cheaply. Otherwise these products might become damaged (in case of perishable products) or involve additional costs to take them to home. Planters sell products directly to the consumers, mostly the local residents. During bulk production periods, however, they sell to retailers who buy goods from many producers and then sell all these products to the wholesale shops. The wholesalers then supply these goods to different national markets. Sometimes, intermediaries position themselves between the producers and consumers and/or retailers. These intermediaries purchase products from the producers and sell to the final consumers or to the retailers. Table 4.2. Marketable products and income from different agroforestry systems (AF) Variables

Homestead AF

Marketable products

Mainly horticultural products such as pineapple, orange, jackfruit, mango, etc., and ginger, turmeric and other agricultural products

Market value (Tk.)* Total costs (Tk.)** Net income (Tk.)

10000 – 15000

Rubberbased AF Banana and pineapple

Jhum

Plough land

Rice, til, beans, ginger, chili, pumpkin, turmeric, cucumber, cotton, pulses, yam, jinga, corn, maize, etc.

Rice and winter vegetables

1000 – 2000

2000 – 3000

4000 – 6000

1500 – 2000

Negligible

800 – 1200

2000 – 2500

8500 – 13000

1000 – 2000

1200 – 1800

2000 – 3500

Note: * Market value was derived as per planters’ responses while we asked them about the market ** Total costs include the cost of fertilizers, labor and planting materials. The figures were derived as per planters’ response during field survey in October-November, 2002.

Planters usually sell their products on a basket load basis, not by weight. As such, they do not keep records of the quantity produced. However, they could recall how much was sold in the markets. As per their opinions, the market value of products from homestead agroforestry was the highest in comparison to products from other agroforestry systems (Table 4.2). Planters get year-round production from homestead agroforestry. Besides providing staple foods, mainly rice, jhum and plough land agriculture also provided a considerable portion of each household’s income. Planters practicing plough land agriculture, however, had comparatively higher income than those practicing jhum, because of higher productivity. Though income from rubber planting was comparatively lower, it created employment opportunities for the project planters. Members from almost all households in fact had been employed at different levels of the rubber industries. On an average, each planter had an annual income of Tk. 16,500 (1US$ = Tk. 58.90 in 2002) from the sale of different products produced and sold from different agroforestry systems. However, income from the share of rubber production is not included in this figure. This income can be compared with their

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earlier income. Before participation into the USP, their approximate mean annual income was Tk. 6000 (Khan et al., 2003). Planters also mentioned that those who have good relations with project authorities and who have a strong link with village leader have the opportunities to obtain more jobs than others do. This created an unequal job opportunity in the project areas. Nonetheless, besides employment, planters also received a 60 percent share from the sale of final rubber products. Hence, planters believed that the intervention of the USP had generally improved their socioeconomic status through the introduction of market-oriented agroforestry and creating employment opportunities in the rubber-based agroforestry.

Ecological Attributes of the USP Besides improving the livelihood of the planters, another goal of the USP was to improve the ecological conditions of the degraded upland. The ecological impact on these lands was evaluated according to the opinion of the planters and staff as well as through observations by the interviewers during field visits. Planters mentioned that due to the intervention of homestead and rubber-based agroforestry, soil erosion had been reduced largely. Soil fertility could be maintained and in some instances improved through the addition of plants organic matter and by planting indigenous nitrogen-fixing plant species such as Albizia spp. Regarding adverse impacts of jhum, planters now realized that it caused soil degradation, because fallow periods were too short. They now felt interested in introducing agroforestry onto jhum land, seeing the success of homestead and rubber-based agroforestry. Planters planted diversified annual and perennial crops on homesteads, which helped to conserve plant diversity. Manual weeding in the rubber plantation also helped to keep the areas free from the side effects of herbicide applications. Project staff also added that the USP had improved the ecological conditions of the upland through reduction of soil erosion, and the planting of diverse species, but found that they could not keep planters away from practicing jhum. Jhum is still an issue in land deterioration in the CHT. Khan et al. (2003) observed that soil conserving agroforestry practices, a hedgerow barrier system and mixed cropping of rubber-banana in the USP contributed to a more efficient use of land that helped to reduce soil erosion. The field crew observed that the project villages were greener than the surrounding areas. A tract of rubber plantation mixed in with homestead forests made the villages aesthetically more pleasant. The project built cross dams at suitable sites in order to store water for household uses. The planters’ dependency on adjacent forests for fuel wood has been reduced largely and these areas have once again become the habitat of many species of birds.

Policy Issues The main objective of the USP was to rehabilitate the hitherto jhumias through improved agroforestry systems. The prescribed agroforestry systems were CHIAT, homestead and rubber-based agroforestry. As mentioned, the first type was a modified form of SALT, which had been tested, demonstrated and evaluated in terms of suitability and productivity in the CHT since 1993. On-farm demonstrations of the CHIAT were found promising for the upland

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of CHT. To replicate the prototype, the USP authority trained many planters in the project villages in methods of locating contour lines, in the establishment and maintenance of hedgerows, the propagation of hedgerow species, etc. The end-results of the training were discouraging, however, because planters did not apply their knowledge on their allotted lands. Planters were then asked why they had attended the training but had not put into practice the CHIAT. They mentioned that they enjoyed the financial incentives, the free accommodation and food during training, and that it was an opportunity to meet friends and visit town areas. (Demonstration plots were located far away from villages). Nonetheless, they learned, many new things, but it was very difficult to memorize all items. In response to the applicability of the teachings, planters mentioned that it was difficult to find and locate contour lines, and that the establishment and maintenance of contour hedgerows was time consuming and very laborious. The species (e.g., Flemingia congesta, Desmodium rensonii, etc.) used in hedgerow were not economical and were not native to them, imported as they were from the Philippines. Planters responded that with intensive management in the demonstration sites, CHIAT appeared attractive, but that they were not confident they would to get the same performance on their own farms. They mentioned that they could not experiment with CHIAT because their own need for food was produced on very small plots of land and that the unproductive hedgerows (no real monetary outcome) covered too much of their productive land, which could be better utilized in jhum. Planters pointed out that the USP authority had wanted them to introduce CHIAT, but that they had not been involved with CHIAT before implementing the project. They were not familiar with contouring, as well as the construction and management of the hedgerows. Another important issue for non-adoption of the CHIAT was land tenure. Though the project authority had provided them with inheritable land rights, planters still did not receive any formal land title from the government settlement office. As per local country rules only a formal land title can assure them permanent land rights. Planters felt that they were only living temporarily on USP allotted land, and that the government could take the land back at any time. Planters justifiably asked why they should set up permanent structures when their holdings were only temporary. Lojka et al. (2008) observe that secure land tenure is required if smallholders are to adopt new farming technology. Similar observations related to the policy issues that effect the farmer’s adoption of production technologies were also reported in earlier studies in the CHT (Khan et al., 2002b; 2003). They concluded that complicacy in operational project plan and inappropriate policy issues have discouraged the planters from practicing settled farming systems in the CHT region.

4.6. DISCUSSION The ethnic communities of the CHT are directly and indirectly dependent upon the natural resources of the region for their livelihoods. The traditional land use system, which has supported the livelihoods of these upland people for many generations was and still is the jhum. A majority of these indigenous people still practice it. Though it was once a sustainable farming system, nowadays jhum can no longer support them. Population pressures, shortage of land caused by forest reservations, development of infrastructures, socio-political

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situations, etc. have compelled the jhumias to reduce their fallow period from seven to two or three years, as compared to the longer period required by the soil to rejuvenate itself. This is making jhum unsustainable and is causing environmental deterioration. In order to reduce dependency on jhum and to develop the upland in a sustainable manner, a number of farming practices have been tried with varying degrees of success and failure. The recent initiative of the USP is one such development program, which proposes to improve the livelihoods of these upland communities. It is considered a major development in the CHT and attempts to refine and develop suitable agroforestry systems for landless ethnic communities (Khan et al., 2003). However, adoption of agroforestry systems differs considerably among the planters. In the following sections, we have discussed, in a descriptive way, why planters have accepted different agroforestry systems in different ways, and what should be done to encourage planters to adopt these agroforestry systems fully.

Adaptability of Agroforestry Systems The project authority tried to introduce a number of agroforestry practices in the project villages. Among these practices, the planters showed the most interest in homestead and rubber-based agroforestry systems. With regards to homestead agroforestry, planters experimented with a variety of plant species including agricultural crops, horticulture and timber. Their choice of species was determined by their household needs and market opportunities. For example, turmeric, ginger, etc., which are important ingredients for curry preparation can grow under partial shade in home gardens. These products also have good market demand. Fruit trees, however, dominated the choice of homestead initiatives. Planters reported that their fruit and vegetables provided the dietary requirements of their own families and that there was a good market for these products in the region as well. During the survey, it was noted that a large number of buyers from plain land districts visited the markets of CHT to purchase agricultural and horticultural products. It should also be mentioned, therefore, that produce from the CHT provide food for a large portion of the population in the surrounding plains year round. Besides fruit trees and vegetables, planters also planted several species of timber, depending upon their market value. The more common kinds were Tectona grandis and Gmelina arborea, the topmost commercial timber species of Bangladesh. These choices of development in homestead agroforestry are consistent with the findings of many other scholars like Levassuer and Olivier (2000), as well as Fischer and Vasseur (2002), who reported that home gardens created an opportunity to plant fruit trees as well as timber species to fill household needs and provide a surplus for sale in markets of the region. Planting trees on land that is marginal for other crops is considered environmentally beneficial and encourage mixed cropping and multi-purpose land management (Vermeulen et al., 2008: 10). This experience of homestead agroforestry system provides us certain policy evaluations specific to CHT. Firstly, PF programs in Bangladesh and in the CHT during the last few decades were mainly focused on monoculture of a few species. These programs often failed to address the needs of poor people while benefiting the more powerful and more vocal ones in the community. Secondly, because of bureaucratic red tape, planters were not able to harvest their products at the proper time. The situation then became worse when terrorists

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vandalized the trees. As a result, many planters were discouraged from adopting these programs. Rubber-based agroforestry, on the other hand, was well accepted by planters. They mentioned that this farming system allowed them to grow intercrops between the rows of rubber trees. These crops provided a source of household income and food for family members. Rubber cultivation is a labor-intensive activity, which created extra employment opportunities for the planters. Besides employment and cash crops, planters also received 60 percent of the returns from the sale of rubber products. These earnings were estimated at more than Tk. 34,500 per year per family (Khisa, 1995). However, a recent visit (in 2007) and discussion with planters revealed that they received only Tk. 4662/yr after incurring rubber processing and maintenance costs. The lower share of revenue was due to, as planters commented and I observed, lower density of productive rubber trees in rubber plantations. Nevertheless, planters as well as officials of different development agencies in the CHT feel that rubber plantations among small land-holders is a practical approach for this region because the CHT have a vast area of suitable land for rubber. It has been estimated that about 2,400,000 ha of medium sloping unproductive uplands are available for cash crops like rubber, coffee and other agroforestry crops (Forestal and Engineering International Limited, 1966), but only 12,000 ha of this land is being used (Khisa and Hossain, 2002). On the other hand, market research indicates that the estimated demand for natural rubber is about 2,500 tons per year with an annual increase of 10 percent (Nandy, 1990). In spite of this increasing demand, the country still hardly produces seven percent of this requirement and imports the rest (Nandy, 1990). Though planters accepted homestead and rubber-based agroforestry systems enthusiastically, they did not welcome CHIAT. Project staff pointed out that some planters did adopt CHIAT (not sampled in this study) but that the majority still practiced jhum. Project authorities conducted many training and on-site demonstration programs, trying to orient the planters about CHIAT, but the adoption rate was very low. Garrity (1999a) observed that, although there are many reports of increased crop yield from this type of farming system in Asian countries, adoption of these systems by the local farmers is very low because they reduce the yield of annuals under the shade of the perennials and the requirements of extra labor for pruning and maintenance of hedgerows is too high. Planters in the study areas also claimed that they were not familiar with CHIAT and that they were reluctant to place their faith in this agroforestry system because of many failures in earlier projects. They felt that the CHIAT was very complicated and laborious-intensive, needing contour line identification, hedgerow preparation and maintenance, etc. They also worried that there might be insecurity in their food supply (mainly rice) during the early stage of CHIAT. The main incentive to retain jhum is to produce food for subsistence. A transformation of jhum areas into agroforestry and horticultural types of plantations may in many cases leave only small plots available for food grains, and they too may only last for the first few years until the trees overshadow other plants. Although the added income from the transformation would enable most households to purchase food, their own food security may still be an issue (Knudsen and Khan, 2002). Unless smallholders are capable of accepting the lower profitability in the first years, or there is some government assistance, or some kind of incentives, they are less likely to adopt the new system (Lojka et al., 2008: 38). Nonetheless, planters argued that if provisions could be made for natural strips instead of hedgerows, or if they could develop commercial plants on hedgerows, the CHIAT would be an attractive land use system.

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In support of the above response, Fujisaka et al. (1994) and Garrity (1993) observed that the farmers’ ideas of farming systems based on natural vegetative strips (NVS) instead of on tree hedgerows could be sustainable with many desirable qualities. These qualities would include locally available input, require less maintenance, offer little competition to the adjacent associated annual crops, be very efficient in minimizing soil loss and would not show a tendency to cause greater weed problems for associated crops. In NVS, native grasses are used to prepare the strips. A major key advantage of these natural strips is simplicity in installation. Once contour lines are laid out, there is no further need for materials or labor. The vegetative strips do not need to conform as closely to the contour; they act as filter strips rather than boundaries (Garrity, 1999a). Contour strips were also found to result in a gradually increasing yield, due to reduced degradation in the soil resource base. However, the important things that might be considered, during intervention of any technology, are the motivation and rigorous training, effective participation of farmers and inclusion of their knowledge and opinions in technology development. Development, dissemination and adoption of new production technologies in marginal areas, nonetheless, depend much on social capital (Isham, 2000; Wu and Pretty, 2004).

Significance of Social Capital Drawing on the idea of Krishna and Shrader (2000), Carroll (2001), and Pretty and Ward (2001) we defined, here, the social capital as the structure of social organizations that encourages collective actions through networks and connectedness to achieve the sustainable livelihoods. Recently in Asia, much attention has been given to the role of local organizations in forest management and the management of other common natural resources by believing that if farmers can organize themselves into local organizations, the development and diffusion of information can take place more rapidly (Isham, 2000). Local organizations in the form of village committees do exist in each project village of the study areas, which conducted the day-to-day affairs of planters. The activities of village committees were limited to social conflict resolution and meetings with local development agencies. Sometimes a few influential people who had strong connections with local elites dominated the committee and made decisions based upon their own interests. However, these village committees could still play a key role in solving many problems of the planters. For example, improvements in CHIAT and its diffusion could be made by strengthening the committee’s motivation through farm-level demonstrations and training of committee members who will ultimately act as promoters. Promoters are farmers who have been trained by project staff to teach and provide guidance to other farmers (Chew, 1989 cited in Fischer and Vasseur, 2002). Planters in the study areas often faced problems with the marketing of products and formal land title. Regarding market days, the local administration could take the initiative to arrange for different market days. However, when there is a need to sell products in distant markets, the committee could engage in cooperative marketing as was done in Uttar Pradesh of India where the villagers were organized into associations to process and market animal hides (Carroll, 1996). Land tenure issues were a discouraging point in the adoption of new agroforestry systems. Though agreements with project authorities ensured permanent heritable land rights, planters were not given a formal land title from the government land

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settlement office. This issue prevented them from investing in expensive and laborious farming systems. There is no easy solution to this problem. The central government, local administrative agencies and CHTDB could jointly take action to reach a reasonable solution of land tenure. Nevertheless, the village committee could also play an important role in this regard by maintaining strong horizontal and vertical links between local organizations, government and other organizations of the area. Regular contacts and repeated lobbying may help to achieve the desired objectives. Therefore, it is apparent that social organizations can play a significant role in the improvement of appropriate agroforestry systems, and in resolving various policy issues such as land tenure. The success of an organization, however, critically depends upon its formation and acceptability by the community. The organization should be representative, transparent in decision-making processes and responsive to the needs of the community welfare.

4.7. CONCLUSION The study suggests that this upland settlement project did contribute very worthily to the socio-economics of the participant planters and at the same time increased the tree cover in the project areas. Though it contributed to some extent in reducing dependency on jhum, greater adoption of agroforestry systems would depend largely on the mobilization of local resources, specifically strengthening local organizations and supporting policy changes. More investment should be made to form community accepted social organizations, which will be adequately trained to deal with community development activities. Action could be taken to modify the CHIAT model allowing it to adopt natural vegetative strips. The planters’ preferences should be given priority in selecting hedgerow species. Policies on land tenure should be clarified among the planters by making interim agreements with government land settlement departments assuring them that formal land titles will be offered in future. In order to follow up with feasible recommendations on these issues, research on the effect of the project upon the livelihood of the people and their social capital should be carried out as the next step.

Chapter 5

PARTICIPATORY FORESTRY PROGRAM IN THE CHITTAGONG HILL TRACTS REGION ABSTRACT The Upland Settlement Project (USP) is a recent intervention that aimed to settle landless shifting cultivators through a participatory forestry program and other social development activities. By taking two contrasting sample villages (one relatively successful and the other relatively unsuccessful) as case study sites, this chapter investigated the present conditions of the USP in terms of progress towards achieving targeted objectives and its impacts on planter’s livelihoods. Both qualitative and quantitative approaches were used. Findings indicate that although customary forestry practices could not support planters’ livelihoods all year, joining the USP had improved their livelihoods by building several livelihood capitals including human, physical, natural, financial and social capital. Many planters have given up customary forestry practices completely and diversified their livelihood strategies to make a living. Due to budget allocation disparities, differences in raising awareness about project benefits, and inconsistencies in monitoring motivation, project outcomes varied depending on the divergence of livelihoods capital between the villages. Several local-level governance and policy issues were identified that underlay inadequate settlement project achievements. Suggestions are made for effective participation by planters that would heighten the sense of ownership, enhance collective management, and ensure long-term program sustainability.

5.1. INTRODUCTION Since the 1980’s, many state-sponsored as well as donor-funded development projects have been implemented, in almost all developing countries, for the welfare of rural people and the sustainable management of natural resources. Even though political and financial supports for developments do exist, and the best policies are being advocated, such development interventions have a high incidence of failure (Agunga 1992: 3). The failure of these programs in their primary purpose of conserving forest resources steered to involve local community in management, and to acknowledge their needs in order to prevent further forest degradation and deforestation (Arnold, 2001; Castren, 2005: 90; Kubsa and Tadesse,

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2003). It is argued that in an environment of poverty, natural resources will be exploited to an extinction level if the resources are not managed with surrounding communities and to their benefits (de Beer and Marais, 2005:56). Conservation agencies recognize that broad-based public support is needed for effective conservation (Vermeulen and Douglas, 2007: 438). Development practitioners have long been aware that even if projects have the same level of overall assistance, their results vary considerably from one location to another (Krishna 2004: 292). A number of different reasons, such as leadership quality and program staff effectiveness, can be suggested to explain these observed differences (Garande and Dagg, 2005:420; Pollnac and Pomeroy, 2005:234; Pomeroy et al., 2005:361), and social capital is one other possible explanation that must be considered (Krishna, 2004:292). Social capital is considered to be a pre-requisite for the sustainable management and development of natural resources (Pretty, 2003a:1). Many donor-funded projects have sought to improve their effectiveness and efficiency by sponsoring the formation of social capital in the form of groups to meet their immediate project objectives (Carney, 1996). Groups or organizations provide the entry point for efforts to work with community members (Schneider, 2004). Group formation and collective action have been the focus of much recent attention amongst donors and policy makers (Upton, 2008: 175). For sustainability, rural development projects can be specifically designed to seek the emergence of organizations and enhance their effectiveness (de Janvry, 2003). Farmers’ organizations could engage community members in a common income-generating activity to meet individual as well as social needs and develop procedures to ensure the accountability of their leaders (Bingen and Munyankusi, 2002). It is argued that external factors and intervention might be ineffective in marginal areas unless farmer communication and cooperation relationships are given more attention (Wu et al., 2002: 60). Collaboration amongst groups of resource users contributes further strengthening of social capital, thus initiating a virtuous circle of cooperation, improved livelihoods and enhanced resource management (Upton, 2008: 175). Social capital and the capacity of village leaders have a multiplicative impact in influencing development performance (Krishna, 2004:300). In rural areas, overall development success or failure is often an outcome of what happens in agriculture that contributes significantly to livelihoods by raising income and employment (Addison, 2005). Sustained livelihoods for the poor ensure environmental sustainability, which would judiciously combine their use of natural resources with alternative opportunities for employment and income (Osmani, 2005). However, outcomes of agricultural projects are unsustainable when there has been no attention to institutional development and local participation (Pretty, 2003a: 6). Sustained community participation in development interventions helps in maintaining the resources and the flow of accrued benefits over time (Sinha and Suar, 2005:126). The success or failure of projects in any particular community would be in the hands of the people of that community and, for the projects to be sustainable, all community members must be involved, or at least considered, in the decisionmaking process, and all must be able to share in the benefits (Ikerd, 2001). Investment is needed in participatory processes to bring people together to deliberate on common problems, and to form new groups or associations capable of developing practices of common benefit (Pretty, 2003a: 21). Natural resource management issues are essentially governance issues, because they address issues of collective responsibilities, distribution and conflict management, which all imply power relationships (DFID, 2001). Within the area of natural resource management,

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governance is essentially a devolutionary process which deals with the transfer of government powers, functions and skills in the area of natural resource management to local authorities such as local groups, organizations that are part of civil society and local populations (Ostrom, 1990; Plumptre and Graham, 1999; Dabire, 2003; Graham et al., 2003a; Andersson, 2004). Good governance lays at the heart of sound environmental management, in particular the public management of natural resources. An important challenge for governance is in ensuring that a supportive environment for sustainable livelihoods is developed at all levels at which decision-making takes place. As a means to enhancing well-being, the focus would be on how governance influences the creation of opportunities where poor people can exploit natural resources for sustainable livelihoods. Improved security and greater participation of the poor are in themselves desirable outcomes of good governance. In this chapter, I focus on a government financed participatory forestry program - Upland Settlement Project (USP) of Chittagong Hill Tracts (CHT), Bangladesh that intended to rehabilitate forest degradation in the region and uplift the living of landless ethnic people. Taking two sample project villages as case studies, this research looks at: 1] the present conditions of the USP- and to what extent it achieves targeted objectives; 2] issues of local governance that influence success or failure of the USP, and 3] livelihood situations of the project participants (planters). Both qualitative and quantitative methods were used for analyzing livelihoods situation. The chapter begins with a brief description of the importance of social capital for natural resources management and livelihoods enhancement, local level governance for natural resource and forest management and then elaborates on the methods used in data collection. The impact of the project on reduction of land degradation and on planters’ livelihoods, livelihoods strategies of the planters and governance issue that affected project’s achievements is then examined. Next, observations are made about the problems of the planters. Concluding comments follow.

5.2. SOCIAL CAPITAL FOR NATURAL RESOURCES MANAGEMENT AND RURAL LIVELIHOODS ENHANCEMENT People, for a long time, utilized their surrounding natural resources to fulfill the needs of livelihoods based on some rules, norms and sanctions of either family or society, which, in most cases, ensure the sustainability of production systems. They engaged in collective actions for the conservation and exploitation of resources. Although constructive resource management rules and norms have been embedded in many cultures and societies, it is very rare to recognize these collective actions in recent agricultural and rural development (Pretty and Ward, 2001). Moreover, policy and practice encourages changing individual behavior rather than the behavior of groups or communities. This trend resulted in the loss of local institutions which provoked natural resource degradation (Pretty and Ward, 2001). Drawing on a number of studies (e.g. Ostrom, 1990; Leach and Mearns, 1996; Cernea, 1991; Uphoff et al., 1998; Krishna, 2002) Pretty (2003a) and, Pretty and Ward (2001) synthesized that government takes the responsibility in managing natural resources at the time of fading of local institutions. The reason, as the state authority perceived, was that local

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people could not manage natural resources effectively (Arnold, 2001). However, scholars believed and documented that project activities will be sustainable when people are well organized and their knowledge is recognized and integrated into planning and implementation. The knowledge and values of local communities are now being acknowledged as valuable for resource conservation (Pretty and Smith, 2004). It is now strongly needed to develop suitable social organizations, a form of social capital, for natural resource management and protection at local level (Pretty, 2003a). Social organizations through their appropriate approaches such as landcare approach in Australia and in the Philippines which follow information sessions, training, cross-farm visits, farmer-to-farmer information exchange, etc. help to adopt technology for better conservation and production (Cramb and Culasero, 2003; Cramb, 2004). Organizational capacity leads to better land use and natural resource management, and leads to higher overall incomes (McCarthy et al., 2004). However, for long-term improvement of natural resources, along with social capital, human capital (skills, knowledge embodied in individuals) is also a prerequisite (Pretty and Ward, 2001). It is possible to improve protected areas in the shortterm through controlled regulations and direct incentives to the local community, but farmers commonly reverted to old practices when the incentives or regulations are no longer enforced (Pretty et al., 2000; Dobbs and Pretty, 2001; Pretty, 2003b). This is because these types of incentives do not help people to change their attitudes. The social and human capital necessary for effective and sustainable natural resource management require externally driven endowments (Pretty and Ward, 2001) as farmers are lacking in resources or assets. External agencies help to increase knowledge and skills, leadership capacity, and create conditions for the emergence of locally acceptable organizations with appropriate rules and norms fitted for the management of resources. However, most importantly, both farmers and external agencies should be aware that the benefits derived from the collective actions must exceed the costs involved in facilitating social and human capital formation (Grootaert, 1998). In recent years, there has been a remarkable change of state policy across the world regarding forest and other resource management through collective approaches. This leads to the formation of social capital at community level for the management of natural resources. Collective forest management systems, for instance, include social forestry in Bangladesh, joint forest management in India, community forestry in Nepal, community-based forest management in the Philippines, etc. Even though collective approaches of forest management have created favorable environments for resource conservation and better utilization, the approaches have also produced many conflicts among the stakeholders which need resolution to ensure the sustainability of resource management. Natural resource management is in many ways a form of conflict management (Castro and Nielsen, 2003). The conflicts may be internal (within the communities) or external (communities with outsiders) (Pankhurst, 2003) and the ability to manage and resolve conflicts in a peaceful, participatory and equitable manner allows for more secure access to, and better management of natural resources (Castro and Nielsen, 2003). For a permanent resolution of conflicts and sustainability of the resource production systems social capital could play a significant role. It is well-argued, for example, by the scholars (see Hafner et al., 2003; Kazoora, 2003; Pankhurst, 2003; Prins et al., 2003; Suporahardjo and Wodicka, 2003) that a proactive engagement of stakeholders by coalition and capacity building, mediation by elders and social leaders, sanctions, trusts, collaborative

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planning, vertical relations with upper institutions/ authorities are pre-requisites for a peaceful negotiation over conflicts on natural resources. They also emphasized the shifting of state views on community involvement through informal institutions to give natural resource management conflict resolution better chances of being successful. At the same time, it should be kept in mind that conflict management is not just a matter of resolving a given conflict, but also of creating new and fruitful social and institutional relationships (Prins et al., 2003), which will ensure the sustainable production of the resources. Moreover, to make progress in resolving a conflict, it is necessary to reflect regularly upon the intermediate products of the process and to feed the outcome of this reflection into the planning of new activities and mechanisms of conflict resolution. This will increase the effectiveness of the actions and methods, and build a strong and lasting social coalition to support the outcome of the conflict (Prins et al., 2003). The ideas of social capital and governance of the common, combined with the recent success of local groups, offer routes for constructive and sustainable outcomes for natural resources in many of the world’s ecosystems (Pretty, 2003b). Community arrangements in common resources management regulate the ways in which products are to be shared among members. Through these practices, mutual respect, reciprocity and collectiveness are affirmed, leading to cohesive community clusters and sustainability of common resources (Conway et al., 2000). Therefore, the collective management of forest resources creates an environment for better management and conservation of resources in addition to alleviating the poverty level of participating farmers. Besides forest management, there are instances of collaborative management in other natural resources such as irrigation and water management, wildlife management, watershed conservation, etc. A well-documented example of the role social capital in the form of farmer organization for irrigation management is the work of Uphoff and Wijayaratna (2000). They mentioned that efficiency of water use doubled within two years through the introduction of social infrastructure in a set of heterogeneous and conflictive communities. The social structure created for decision-making, resource mobilization and management, communication, and conflict resolution were farmer organizations, beginning with small, informal groups at field level. They concluded that with appropriate external support, social capital could become a factor of societal production that helps people meet their basic needs and aspirations better, with whatever other resources available. Livelihoods of farmers in marginal remote areas is generally affected by such factors like finance, communication, market information, technology, etc. that incapacitate farmers from generating income and reducing the poverty level. There is growing evidence that social capital can have an impact on development outcomes-growth, equity and poverty alleviation (Grootaert, 1998). Social capital, in the form of information sharing, is of key importance for poverty alleviation. Information sharing, coordination of activities and collective decisionmaking create the environment for economic benefits (Lehtonen, 2004). Group-based lending schemes, where members have better information on each other than banks, are good examples of information sharing. These groups permit the poor to credit access without any collateral. Donor agencies concerned with poverty alleviation can enhance the effectiveness of their strategies by stimulating the formation of social capital as part of these strategies (Grootaert, 1998).

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A farmer’s networks, a variable of social capital, helps people to access resources such as time, money or knowledge necessary for practicing different livelihood-earning activities and avoiding a poverty trap through economic growth (Mazzucato et al., 2001; Peng, 2004). Scholars reported that local associations and networks have a positive impact on local development and the well-being of households. In India, for instance, it has been shown that social capital enhanced the ability of the poor to allocate resources efficiently and increased their resilience to hazards (Townsend, 1994). Farmers in Sahel make monetary investments more frequently in social networks, rather than direct investment in agriculture and land enhancing measures that give them flexible access to resources necessary for agriculture, and soil and water conservation (Mazzucato et al., 2001). Narayan and Pritchett (1997) reported that village-level social capital makes a significant contribution to the household welfare in rural Tanzania. Social capital lowers the costs of working together, facilitates cooperation and increases people’s confidence in investing in collective activities knowing that others will also do so (Pretty and Smith, 2004). Networks of trust and mutual accountability linking individuals in communities facilitate access to credit which in turns assist in the accumulation of financial capital (Bebbington, 1999). Strong networks among social organizations, other civil societies and government actors prevents other actors from expropriating natural resources (Bebbington, 1996) and through these networks local people, collectively, can influence state policy in ways advantageous to their livelihoods (Fox, 1996; Grootaert, 1998). Strong network between public institutions and organized communities is a powerful tool for development (Evans, 1996). Traditionally, economists have identified natural, physical and human capital as key determinants of economic growth, but other non-economic outcomes of the social interactions are also necessary, those which improve long-run economic efficiency and increase economic output (Cote, 2001). Social interaction is economically beneficial because it generates externalities which reduce problems of opportunism by exchanging behavior of others, problem of market failure by information sharing on technology and markets and facilitates collective actions (Grootaert and van Bastelaer, 2001). Information flow and sharing with better-connected traders helps to find clients, markets, price information and also helps farmers enjoy larger sales, increased benefits and expansion of business (Fafchamps and Minten, 1999; Tiepoh and Reimer, 2004). Information flow through networks diminishes social distance and creates trust among investors (Glaeser et al., 2002), which reduces the costs of securing and providing credit. Trust and reciprocal engagement can reduce transaction costs and enhance flow of information and knowledge with spin-off benefits: stimulated savings, risk-taking and investment (Carroll, 2001; Cote, 2001). By improving the efficiency of economic relations, social capital can help increase people’s income and rates of saving (DFID, 1999). Due to fragile environmental and socio-political situations, the prevailing farming practices in mountainous areas, in most cases, are unable to feed the increasing population. There is a need for development and innovation of production technologies that suit local environments and traditions. In marginal areas where the inflow of external capital such as finance, technology and professional services are extremely limited, farmer’s communication network is essential for technology development and transfer (Wu et al., 2002). Technology adoption by farmers in marginal areas depends largely on social connectedness. For instance, in marginal rural China farmers are likely to adopt new technologies based on their close and

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personal scrutiny and encouragement of close relatives (Wu and Pretty, 2004). Moreover, besides the relatives, neighborhood mutual-aid and co-operation are also important for technology learning and adoption. Paudel and Thapa (2004) found that social factors, most importantly collective actions, encourage adoption of land use technologies. In conclusion, social capital variables such as networks, connectedness, associations, etc. play a significant role in improving rural livelihoods through permitting access to finance, markets and technology adoption. Social capital, however, has limited value if not combined with other types of capital. One important attribute of social capital is that it can make the other types of capital and their productive combination more efficient (Grootaert, 1998). Social ties, horizontal and vertical social capitals, are now viewed as important assets that have potential for building other forms of capital such as natural, physical, financial and human capitals (Meinzen-Dick et al., 2004).

5.3. GOVERNANCE AND SUSTAINABLE MANAGEMENT OF NATURAL RESOURCES Governance is an arrangement which distributes power and authority among different stakeholders, and enables both societies and relevant legitimate institutions, mainly those parts of government structures, to interact with each other in a responsive and accountable way for the interests of the society and to ensure fairness in decision-making, benefit distribution, and a voice for each and every stakeholder. It involves power, relationships among actors, and a rendering of accounts that implies the existence of local representatives who are both legitimate and legally responsible, and also capable of making decisions (Dabire, 2003). The idea of governance helps communities take action in collaboration with government authorities for the interests of citizens. Policy makers in both developed and developing countries have adopted decentralization1 reforms as a strategy to improve public sector performance (Andersson, 2004; Shackleton et al., 2002; Chatterji, 2001) and to achieve developmental goals, provide public services and undertake environmental conservation (Agrawal and Ostrom, 2001; Ribot, 2004). Decentralization can improve fairness in decision-making either through the delegation of administration or devolution of governance from central government to local communities (Ferguson and Chandrasekharan, 2004). Fairness in relation to rural communities is considered as a principal requirement for poverty alleviation and/or sustainable forest management (ibid.).

1

Decentralization is the relocation of administrative functions from higher to lower level organizations in the government hierarchy closer to those who are most affected by the exercise of power (Agrawal and Ribot, 1999; Fisher, 1999, 2000; Agrawal and Ostrom, 2001; Larson, 2004; Bartley et al., 2008). It is considered as a tool that promotes development and increase efficiency, equity and democracy by bringing decision-making closer to local people (Ferguson and Chandrasekharan, 2004; Larson, 2004; Ribot, 2004). Decentralization can takes place in different forms: deconcentration, delegation and devolution (Klugman, 1994 cited in Ferguson and Chandrasekharan, 2004). Deconcentration means the transfer of administrative responsibility for some specified functions to lower levels within the central government bureaucracy. Delegation involves the transfer of managerial responsibility for specified functions to other public organizations outside normal central government control. Devolution is the transfer of governance responsibility for specified functions to local levels that are largely outside the direct control of the central government.

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Natural resource management policies are presently undergoing change and are being oriented towards the creation of a legal basis for sustainable management (Dabire, 2003). Governments are increasingly devolving governance of natural resources from central administrations to sub-national levels (Bartley et al., 2008: 160). Decentralization and devolution hold promise for improving forest management and moving towards sustainability (Anderson, 2000). Decentralization allows participation of stakeholders in co-management of forest resources, and devolution of forest management responsibilities to local communities facilitates the decision-making processes collectively in a fair, transparent and prompt way, although many forest users committees lack such governance issues. Local communities are pluralistic in nature and their traditional norms, rules and regulations check the overexploitation of the natural resource base to maintain the sustainability of forest production. Decentralization led to an increase in efficiency of resource management by implementing policies and programs that reflect people’s real needs and preferences, and enhances accountability and monitoring of decision-makers (Jutting et al., 2004). The decentralization processes and their accompanying legislative framework will undoubtedly have an important impact as well as profound implications with regard to natural resource management (Chatterji, 2001).

5.3.1. Governance and Local Forest Management: Some Key Issues Even though some degree of decentralization in forest management has taken place, forests of many countries still have been managed under conventional approaches. In the name of decentralizations, a limited array of forest management powers are being transferred to local authorities such as local government, user groups, etc. (Andersson, 2004; Ribot, 2004). Policy makers still give little emphasis in defining the roles and responsibilities of different actors involved and understanding the effects of wider political and international forces (RECOFTC, 2002) which cause further forest degradation and create increased conflicts among stakeholders. The key challenge of forest management, nowadays, is how decisions are made and how stakeholders beyond the forest sector influence forest policies and practices (ibid.). There is no easy solution to meet the challenge. However, it is argued that the “forest governance” approach can be a starting point to tackle the future challenge by providing a framework to craft the structures, mechanisms, and cross linkages among different actors involved and/or effected by forest management (Hobley and Shield, 2000; Brown et al., 2002a; Mayers and Vermeulen, 2002; RCOFTC, 2002). A forest governance approach seeks administrative re-structures of local forest governance and a role for civil society, forest users and other government agencies in determining the direction and nature of how forests are used (RECOFTC, 2002). Good forest governance achieves this by clarifying the relationships, rights, responsibilities and incentives among these key actors (ibid.). Local governments are increasingly important actors in forest management (Larson, 2004) and they are being asked to take over governance responsibilities related to the management of natural resources (Andersson, 2004). Local government can localize national policies, adapting the specific details to local management practices, environmental conditions and social relations, and plays a role in conflict management, development of forest-based industries, providing technical financial, and market information

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services (Dachang and Edmunds, 2003). Localization can be a powerful influence on the lives of forest users and the starting point for more control of collaborative forest management (ibid.). Collaborative forest management, which involves local government agencies and local communities, are of crucial importance in enhancing local forest governance and the sustainable management of forest resources (Mayers and Vermeulen, 2002). Forests are the sources of tributes of all kinds that make it a highly conflictive arena when it comes to discussion regarding the distribution of powers over resources, as well as a domain that is particularly vulnerable to corruption (Larson, 2004). Good forest governance ensures power balances among actors, builds capacities of stakeholders at all levels, improves cross-sectoral linkages, and creates more transparent, accountable and inclusive decisionmaking processes by setting norms and good codes of practices that reinforce the livelihoods assets of rural communities who use and manage forest resources (Shepherd and Gill, 1999; Mayers and Vermeulen, 2002; RECOFTC, 2002). Forest policies and management strategies of a country are influenced by local, regional and national level socio-political environment. Due to increasing global environmental consciousness, these forest policies and management strategies are also influenced by global environmental agreements. Hence, forest governance occurs at all levels: locally, regionally, nationally and globally. Actors at different levels of governance need to build institutions for communication and cooperation through which they can combine their resources and efforts effectively with one another (Andersson, 2004), because lack of coordination among different levels of governance is one of the utmost deficiencies in most decentralization efforts (Smoke, 2003). Within forest agencies, better mechanisms are needed to coordinate with each other and to meet the demands of new clients, forest agencies will also require fundamental changes in their structure, planning and management systems (RECOFTC, 2002). However, livelihoods of forest-depended rural communities rely mostly on local governance, because most of the forestry operations are held at the local level. Effectiveness of local governance depends on the degree to which local government authorities involve forest user groups in decisionmaking processes and to what extent they are downwardly accountable to the user groups (Blair, 2000; Agrawal and Ostrom, 2001; Larson, 2004; Ribot, 2004). During the 1980’s and onwards most of the developing countries experienced, at least, a somewhat decentralized management of their forests with varying degrees of success and failure. Decentralized policies provided direct benefits to at least some local forest users in the form of improved access to forest product income, access to subsistence products, support for alternative livelihoods, and/or access to outside financial support (Edmunds and Wollenberg, 2003). Even though with some benefits, the forests and forest users of these countries still face many governance related problems (Table 5.1) which require further refinement for the sustainable resource management and to support the livelihoods of rural communities. Forest users, particularly the poorest forest users, have very little say over the decision-making process and local elites and influential outsiders made sure that their needs are served first and forest departments have maintained control over decisions related to forest management (ibid.). In China, though local users have been able to make important management decisions, capture significant benefits and create forests according to their own preferences, the state still controls timber production through taxes and regulations (Dachang and Edmunds, 2003; Edmunds et al., 2003b). In India and Nepal, decisions are now made under the influence of

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foresters and their allies, (Malla, 2000; Edmunds et al., 2003b; Sarin et al., 2003) and this has meant a loss of livelihoods and increased threats of fines, imprisonment and violence (Edmunds et al., 2003b). Implementation of devolution policies in Nepal, in worst cases, has inflicted added costs to the poor, such as reduced access to forest products and forced allocation of household resources for communal forest management with insecurity over the benefits (Pokharel, 2002; Brown and Durst, 2003). In Bangladesh’s case, farmers’ participation is primarily limited to working in plantation activities and they have very limited access to project design and decision-making processes (Khan et al., 2003). Table 5.1. Some key issues of forest governance in decentralized forest management in some Asian countries Governance issues Participation

Accountability and Transparency

Equity

Explanation

Country

References

Rural poor, especially women and lower casts, have very limited participation in forest management decisions such as species & site selection, benefits sharing, budget formulation, etc. Decision-makers are often social elites.

China, Bangladesh, India, Nepal, Philippines

Local governments are not accountable to villagers in allocation of land for plantations, use of funds, regulation of harvest, etc. Information on market and policy changes is not fairly distributed among the beneficiaries. Equity is absent in gender issues and committee formation. Women and men from lower casts are mostly excluded from village-level committees. Inequalities also prevail on information access and distribution of benefits. Better-off villagers who have good relation with forest officials suck most of the benefits.

China, India, Philippines

Malla, 2000; Brown et al., 2002b; Baumann and Farrington, 2003; Contreras, 2003; Khan et al., 2003; Sarin et al., 2003; Edmunds et al., 2003a; Ferguson and Chandrasekharan, 2004; Larson, 2004; Salam and Noguchi, 2005. Dachang and Edmunds, 2003; Edmunds et al., 2003a; Sarin et al. 2003; Larson, 2004.

China, Bangladesh, India, Nepal, Philippines

Malla, 2000; Baumann and Farrington, 2003; Dachang and Edmunds, 2003; Contreras, 2003; Khan et al., 2003; Sarin et al., 2003

On paper, devolution policies often grant local forest users significant rights to access subsistence products and power to make decisions (Edmunds and Wollenberg, 2003), but to translate these policies into reality and to support the livelihoods of the poorest, a good governance should be practiced at every-level of the decision-making process. Voices of all

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actors, irrespective of gender, castes, and wealth should be heard, honored and discussed in decision-making processes to reach a consensus. This will enhance effective peoples’ participation and increase interrelationship among actors, which will ultimately influence the formation of social capital. It is argued that governance intervention should encourage the formation of social capital, i.e., the stock of trust and information exchange at the base of civil society (ADB, 1999). Fisher (1999) believes that a major pre-requisite for meaningful decentralization and devolution is to build trust in local management. Although there are problems with local forest governance, there is room for optimism. Scholars still believe in the potential of devolution policies to bring about better forest management, with more democratic decision-making and improved support for local livelihoods (Edmunds et al., 2003b). To create a level playing field for the forest-dependent poor many of the current complex legal, policy and institutional changes may be required (Brown et al., 2002a; Edmunds et al., 2003b). Drawing on Mayers and Bass (1999), Edmunds and others (ibid.) pointed out that simple policies, understandable to all actors, that allow for maximum flexibility in implementation could better accommodate a wide variety of local conditions. Flexibility, here, indicates changes in management priorities, institutional arrangement, division of roles and responsibilities that meet the needs of local livelihoods with changes of local conditions. In Honduras, for example, revision of forest policy and law in consultation with different stakeholders created an opportunity for local people to participate in forest management activities which in turn helped to reduce rural poverty (Lazo, 2001). Pioneering efforts should be made to secure greater transparency and accountability in public administration of forests. In Cameroon, public accountability has been enhanced by publication on the national press of the annual municipal and local forest tax receipts (Brown et al., 2002b), and this has given rural dwellers access, for the first time, to information on incomes of their local councils. However, experience from a number of countries suggests that the forest sector is capable of supporting a broader set of pro-poor growth strategies, with more certain outcomes for social development (Brown et al., 2002a). Rural fuel wood markets in Sahelian, West Africa are intended to benefit poor producers by bringing markets to them, to trap value at the source, rather than expecting them to take or sell fuel wood into town (ibid.). In conclusion, decentralization policies on forest management achieve many positive outcomes like poverty reduction of local forest users, increasing forest cover and capacity development of forest users. To translate devolution policies in reality to the fullest extent, certain local forest governance issues such as effective participation, transparency and accountability, decision-making power, and equity, for example, need to be addressed and greater spaces need to be created for locals to accommodate their voices, interests and knowledge in local forest management.

5.4. METHODOLOGY Development practitioners have long been aware that even if projects have the same level of overall assistance, results vary considerably from one location to another (Krishna, 2004). Recent studies (for example, Nath et al., 2005a) mention that the USP has both successes and

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failures in achieving project objectives. Some project villages seemed relatively successful in achieving objectives while others failed. Based on the opinions of the project manager and other staff members, discussions with some planters, and reviews of the project’s objectives, I defined relatively successful and relatively unsuccessful project villages as follows: • •

Relatively successful: those villages where the project’s objectives are adequately achieved, and Relatively unsuccessful: those villages with inadequate progress in achieving the project’s objectives

Selection of study villages Due to remote location, lack of accommodation, poor communication services and civil unrest, the project manager advised against conducting a study in Khagrachari district. Therefore, the study was conducted in the second phase of the USP (project period July 1993 – June 2007) in the Bandarban District. It was assumed that • • •

planters would not be able to recall the project history and activities of the project’s first phase that ended in 1993, the project authority applied its first phase experience, 2 and as the second phase is still in progress, planters would be able to provide recent and reliable information.3

To select sample villages, I began by asking the project manager to categorize all 10 project villages into relatively successful and relatively unsuccessful villages based on their attainment of project objectives to date. Based on his experience and discussion with other colleagues, the manager gave me a list categorizing the villages, which I informally discussed with some field-level staff members. I visited some villages and discussed this categorization with some planters. I found similarities in the opinions of the project manager and some staff members, but observations and discussions with planters and one project staff member uncovered differences. For confirmation, I made quick visits to all 10 villages and talked with more planters. Ultimately, I found that my observations jibed with the opinions of the project staff. Where the manager and staff members had divided villages into seven relatively successful and three relatively unsuccessful villages, my findings were that four villages were relatively successful and six villages were relatively unsuccessful. The possible reason for this discrepancy was that the manager would like to affirm that he successfully implemented the USP, even though the field reality was different. From among the four relatively successful (hereafter “successful”) and six relatively unsuccessful (hereafter “unsuccessful”) villages, I selected one project village from each category for in-depth study. The successful village and the unsuccessful village were both within my and manager’s categorizations. A brief description of the study villages is given in Table 5.2.

2

For example, the project authority introduced intercrops in an early stage of the rubber plantation in the USP’s second phase. 3 This approach is consistent with recommendations given by Prokopy (2005).

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Table 5.2. Typology and features of two study villages of the USP, Bandarban, Bangladesh Feature Topography Land categories: First class Second class Third class Vehicle accessibility Distance to main road Distance to market Distance to district headquarter Distance to nearest medical facilities Electricity Source of lighting Fuel source Drinking water source Major source Minor supply Distance to government schools Total households Sampled households Male respondents (%) Mean age (years) Literacy (%) Primary Secondary

Successful village Hilly with moderate slope

Unsuccessful village Hilly, moderate to steep slope

Limited Limited Fairly available Fairly available Available Available Pitched approach road link to main road 600 m 2.5 km 9 km 8-9 km 22 km 9 km 9 km

8 km

Not available Kerosene Wood

Available to some planters Mostly kerosene Wood

Streams and seepage water Ring and tube well 3-9 km

Communal water supply Streams, ring and tube well 1-9 km

48 24 87 41

38 19 95 47

29 13

26 11

Source: Field survey, May-Sept. 2005 First class land: Plain land used for irrigated rice cultivation. Second class: Somewhat elevated land used for rain feed rice cultivation. Third class: Upland suitable for forestry practices.

Livelihoods Analysis The concept of sustainable livelihood (SL) is widely discussed by scholars (e.g., Carney, 1998; Scoones, 1998; Ellis, 2000; DFID, 2001; Cramb et al., 2004; Reddy et al., 2004; Soini, 2005) in analyzing poverty issues, livelihood strategies and diversification, and the impact of development intervention on the livelihoods of the rural poor. It is increasingly being accepted as providing both a basis for understanding the nature of poverty and for identifying the types of strategies that can reduce poverty in an effective and sustainable manner (Reddy

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et al., 2004). Further understanding of people’s livelihoods in specific rural area contexts can be facilitated using a SL approach (Long, 2004a). This approach helps to understand the complexity and substance of poor people’s lives, the constraints that they face, and the strategies that they adopt to diversify their livelihoods (Carney, 2002). I follow the SL framework approach formulated at the Department of International Development (DFID) (DFID, 2001) to study the livelihoods of the planters of the USP. The framework is useful in explaining the interrelationships among different livelihoods capital, and utilization of that capital in diversifying livelihoods strategies to attain desired outcomes (e.g., increased income, stable natural resource base, etc.) under the available enabling environment (e.g., policies, institutions, etc.). It provides a more rounded picture of the complexities of living and surviving in poor communities than an understanding based on measures of income, consumption, and employment (Brocklesby and Fisher, 2003:187).

Variables for Measuring Social Capital Though social capital is considered as a development tool in the policy level, obtaining a single measure of social capital is not always possible for some reason (Woolcock and Narayan, 2000). These reasons include the multidimensional definition of social capital, nature, and forms that change over time. Social capital is a general concept and it cannot be captured with just one variable. Many different measures can be and have been posited as indicators of social capital (Paxton, 1999). There is no consensus on the appropriate measurement of social capital (Kramer, 2007). Selection of proxy variables is inspired by the specific manifestations of social capital. I considered social connections, groups and networks, level of trust, social cohesion and inclusion and collective activities as proxies for measuring the state of social capital. These variables are interconnected and are evidenced in the following narrations. Social connectedness in different networks and groups and their nature of relations is a crucial facet of social capital (Pretty and Ward, 2001; Woolcock, 1998). Connectedness in society has great effects on the rural livelihoods and can be improved by the growing frequency of communication and mutual support between households or created by forming groups or cooperatives (DFID, 1999; Putnam, 2001; Wu and Pretty, 2004), which enhance the stock of social capital. Human networks and connectedness increase people’s trust and ability to work together and expand their access to wider institutions such as political and civic bodies (Inoue, 2003a) which help to achieve political and civil advantages for the welfare of the societies. Trust facilitates greater cooperation for services benefiting a group, society or association (Fafchamps and Minten, 1999). Moreover, if a society is predominated by distrust, cooperative development is implausible (Baland and Platteau, 1998). It creates social obligations, builds reciprocal relationships and exchanges among neighbors. Reciprocity increases trust which can be useful in acquiring optimistic environmental consequences (Coleman, 1990; Platteau, 1997). Social capital is self-reinforcing when reciprocity increases connectedness between people which leads to built trust, confidence and the capacity to innovate technologies (Pretty and Ward, 2001). Social connections and reciprocal trusts

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encourage people to act jointly for the development of the society and improvement of the natural environment.

Variables for Measuring Local Governance International development assistance is increasingly concerned with the questions of governance (Doornbos, 2001; Mamoon, 2001; Brown et al., 2002a, Hout, 2002; Hiremath and Raju, 2004; Van Kersbergen and Van Waarden, 2004), i.e. with the rules under which power is exercised in the management of a country’s resources, and the relationships between the state and its citizens, civil society and the private sector. In such, it is essential to know the principles of governance under which it works. Different organizations have varied characteristics of governance in order to serve their responsibility. Defining the principles of governance, sometimes, is difficult and controversial (Graham et al., 2003a). Development organizations such as the United Nation Development Program (UNDP), Asian Development Bank (ADB), World Bank (WB), International Monetary Fund (IMF), etc. have their own governance agenda for sustainable human development. Reviewing their principles (UNDP, 1997; ADB, 1999; Woods, 2000), following governance issues including equity, accountability, transparency, information flow, responsiveness, and participation were selected for this study. It was assumed that these governance issues would have influence on the success or failure of the project.

Data and Methods I conducted the study in a number of steps. The first step consisted of key informant interviews and a walk through each village. I interviewed eight elderly planters4, four from each village, and three project staff members. Separate checklists (Appendix 1) were used for planters and project staff members to facilitate the discussion. Planters told about their past livelihood strategies, current livelihood situations and customary forestry practices, local organization, participation in project activities, project benefits, forest conditions, and other matters. Project staff members told about site and planter selection, choice of production technologies, project outcomes, status and productivity of rubber plantations, benefit sharing, land tenure, future plans, and more. During village walks I explored the forest conditions of project villages, the general typology of the villages, and other characteristics. In the second step, quantitative data was collected by survey using a checklist and semistructured questionnaire. The questionnaire (Appendix 1) was tested by a preliminary survey before the main survey and six questions were modified. The questions were designed to collect data on five forms of capital (human, physical, natural, financial and social capital) of respondents based on the sustainable livelihood (SL) framework as well as on some variables of governance. Twenty-four households out of 48 from the successful village, and 19 out of 38 from the unsuccessful village were selected randomly and were interviewed over several 4

These informants including respective village leaders were chosen from four parts of the village and it was assumed that they would provide reliable information because they knew all planters.

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weeks during May to September 2005. Fortunately, no sampled household refused interviews. All selected planters cooperated in the survey. Some planters were revisited on the day following the interview to clarify confusing data. Project staff and village boys always assisted the survey work with transport and provided direction to the sampled planters’ house but they were not present during interview sessions. Depending on availability, both men and women household members were interviewed. One questionnaire was used for each household. Weekly expenditure was sought on food, education, health care, crop production, livestock rearing and social events (religious festivals). In addition, respondents were asked how much they earned in the previous year (2004) from all sources. Even though income and expenditure estimates were inexact, these provided a general picture of the savings. Direct estimation of the household savings proved difficult because planters were reluctant to provide the information. Costs of cropping activities were derived from respondent’s recollection of annual expenditure on planting materials, fertilizer and labor. The monetary values of physical capital (including television sets, cassette players and water pumps) were their estimates of resale values. Likert scales (for example, 1= agree strongly through to 5=disagree strongly) were used for measuring variables of trust and solidarity under social capital. For the assessment of participation, the following five scales (for example, 1= disagree strongly through to 5= agree strongly) were used. In the third step, qualitative information was collected through two group discussions with planters in two selected villages, open-ended conversations with planters of various ages, and personal observation. In the two group discussions, six and eight planters were present and highlighted issues including species composition in homestead agroforestry, merits and demerits of alternative production technologies, socio-economic status before and after joining the project, livelihood diversification strategies, and collective activities. Following Mukherjee (1998), vector scoring5 and seasonal diagramming6 were used to analyze the problems of planters including seasonal problems, their impacts and possible solutions. Information was written during interviews and discussions, cross-checked by reading these in front of respondents and then elaborated upon at night at the guest house where I stayed during field data collection. Semi-structured questionnaires (Appendix 1), with questions for group discussion only, were used to facilitate the group interview and discussions. I talked with planters about their social issues such as social relations, conflicts, leader’s activities, their education and their daily activities. In the fourth step, homestead agroforestry areas of respondents were visited, the species composition identified and the number of trees (including saplings) enumerated. I summarized all quantitative data into averages and percentages, determined standard deviation, and conducted a one-way analysis of variance to explore statistically significant differences among means of different variables between the two villages. To explore differences among planters of each village, I also conducted the one-sample KolmogorovSmirnov test. Indices of meetings and trust were assessed based on the averages of five scales

5 6

Vector scoring is a visual method and involves scoring of items for assessing their relative importance so as to priorities problems. The method helps in decision-support by prioritizing concerned items. In seasonal diagramming, villagers can show by diagrams and charts seasonal variations in different aspects of rural livelihood including availability of food and employments. The chart thus formed could be linked directly to policy measures in terms of problems identified during the exercise.

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used. SPSS (Statistical Package for the Social Sciences) version 12 was used for all statistical analyses.

5.5. FINDINGS AND INTERPRETATIONS In this section, first I analyze progress of the project towards achieving its objectives, related governance issues, and planters’ livelihoods.

Achievement of the Project The USP in Bandarban district has been implementing its activities since fiscal year (FY) 1993–1994. Here, I portray its achievements and success or failure during the 12-year project period (until FY 2005–2006) based on the project’s main objectives. However, I do not discuss infrastructure development in the project villages.

Objective 1: Settlement of Landless Ethnic Jhumias I identified three types of planters: • • •

Resident planters: those presently living within the project village (48 and 15 planters in successful and unsuccessful villages, respectively) Absent planters: those who left the project village, but are still officially recognized as planters and living in nearby villages (23 planters in unsuccessful village), and Missing planters: those who left the project village permanently and whose whereabouts are unknown to the authorities (2 and 12 planters in successful and unsuccessful villages, respectively)

Planters claimed that due to lack of employment, cultural problem and child schooling most of them left the project villages after 3-4 years of the project. The successful village is located near the plain areas where planters obtain agricultural jobs round the year in addition to the wage labor they earn in timber-supply to paper-mill jobs and the project activities. In unsuccessful village, there are very limited jobs for the settlers (resident planters) except the original inhabitants (absent planters). The majority of the planters of this village are Marma (absent planters) and they have contrasting social culture with Chakma and Tonchangya groups (resident planters). For example, Marma people used to live closely in one hamlet; do not allow the bringing in of a dead body if s(he) died outside the hamlet; feed mothers (till three months) only vegetables after child birth, and so on. In this village, topography demands that houses are built sparsely. Even though there were no distinct conflicts, to avoid the possible future conflicts absent planters left the project village. Though two Chakma left, six of them, along with three Tonchangya planters, still have been living amiably with thirty-nine Marma in successful village. It was reported that due to regular motivation by the project staff and close contact with plain people, their culture has been changed and they can live harmoniously altogether.

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This indicates that even though 50 planters were supposed to be living permanently in every project village, many of them had escaped. Thus the USP could not attain its first objective of settling nomadic ethnic people in permanent villages.

Objective 2: Development of Degraded Unused Upland Through Homestead Agroforestry and Rubber Plantations Planters developed homestead agroforestry on their allotted homestead land. The project authority supplied all planting materials and fertilizer initially. Subsequently, planters invested their own resources for its development. Although some planters of successful village were provided training on planting techniques, others did not get any training. There was no policy about species composition and planting design. From the bulk of saplings, planters were asked to choose the species. As a result, planters said that most of the planted saplings died one year after planting. However, as time passed they planted more seedlings and present conditions of agroforestry seem quite good (Plate 5.1). I identified 43 and 26 different plant species in homesteads of successful and unsuccessful sampled planters, respectively, and the mean number of trees per ha were 979 and 711, respectively. Some planters of successful village believe that due to training, growth of their trees is good and survival rate is better. I also observed many young saplings planted in the last two or three years. It means that planters are aware of the importance of homestead agroforestry that not only provide them produce for household consumption but also cash. They have started to sell fruits and trees over the last two or three years.

Plate 5.1. A portion of a homestead agroforestry in the successful USP village. Planters grow variety of plants including vegetables.

Group discussion explored interesting findings about species choice. Planters of successful village ranked kanthal (Artocarpus heterophyllus) as first followed by aam (Mangifera indica), segun (Tectona grandis), gamar (Gmelina arborea) and koroi (Albizia

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spp.). These are tree species that provide short- (e.g. fruit for sale and own consumption, timber of gamar, etc.) and long-term benefits (e.g. timber). On the other hand, planters of unsuccessful village ranked papaya (Carica papaya) as first followed by banana (Musa spp.), kanthal, aam and lebu (Citrus spp.). They claim that these horticultural species provided them economic gain far quicker than tree species. Moreover, these products have good market demand. Observation reveals that species composition of successful village is influenced by nearby plain land home gardens whereas in unsuccessful village by market demand. Between 1995 and 1999, the project authority raised 81 ha of rubber plantation in one block adjacent to every project village that was intercropped during the first three years with bananas, papayas, and pineapples. The project manager reported that within the 81-ha rubber plantation, every household had a share of 1.6 ha of their total (2.1 ha) land grants. However, I did not notice any demarcations between individual land parcels. The project authority supplied all planting materials, fertilizers, and other necessities; planters only provided wage labor and protected the rubber plantations from cattle. Observations and discussions with project staff and planters revealed that the plantation in the successful village was more than 90 percent tree-stocked (Plate 5.2) and trees were growing satisfactorily7. Latex collection began in 20058. On the contrary, my observation, opinions of planters and project staff reveal that now around 30-40 percent of rubber trees are in very poor conditions (Plate 5.3) in the unsuccessful village’s rubber plantation. After three to four years of planting, a large portion of the rubber plantation of this village was burnt by an accidental fire.

Plate 5.2. A portion of rubber plantation in successful USP village

7

Recent (2007) field visit in Khagrachari district also revealed that rubber plantation in one project village comprised of more than 90 percent tree stock. In other villages, average number of rubber trees was 50-60 percent, but all trees were not growing satisfactorily. 8 From May–August 2005, rubber production was 4 t of RSS (ribbed smoked sheets) from 81 ha of rubber garden. The market value was about Tk. 360,000 (1 US$= 65 Tk. in 2005). The project manager claimed that this production was satisfactory, even though it was experimental using a hand-driven machine for preparing rubber sheets from latex. Future production is expected to be greater (Chakma, S. (2005). Manager in-charge (Bandarban). Personal comm).

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Plate 5.3. Rubber plantation in unsuccessful USP village. The picture shows low density of rubber trees in the plantation.

Moreover, wild rats damaged roots, and ultimately young plants died. Due to lack of regular project money disbursements, the project authority could not re-plant the damaged plantation. Even though initially project staff members visited the village frequently, plantation conditions deteriorated to a large extent due to lack of regular monitoring and maintenance. Planters (32 percent of sampled planters of the unsuccessful village) practice jhum inside their rubber plantation (Plate 5.4).

Plate 5.4. Picture shows jhum plots (cleared left side and rice field in right side) inside the rubber plantation in unsuccessful USP village.

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Plate 5.5. A portion of 11-years old dense rubber plantation with small diameter trees at unsuccessful USP village.

The project manager reported that rubber tapping would start in 2006, but the present condition of the rubber trees (Plate 5.5) fuels doubts about latex production and hence about increased income and employment for planters through rubber production9. This suggests that the authority could not adequately achieve its second objective, through which it hoped to improve the long-term socioeconomic circumstances of the planters. I was able to explore different opinions about the contrasting rubber plantations’ conditions in two villages. Some project staff members said that thanks to interaction with plain people, the successful village’s planters become social, developed trust in the project staff, and cooperated effectively in project activities. However, another staff member said: “This successful village is like the drawing room of a rich family with very good decorations. All possible efforts such as regular monitoring and maintenance, budget allocation, and motivation were devoted to developing this village to demonstrate the success of the USP to higher officials. Being located near the main road, the authority always invites senior officials and visitors to visit this village.” He opined that the drawing room does not show the real situation of the family, meaning conditions in this village did not represent the overall situation of all USP villages. Similar situation has also been observed in Khagrachari district.

9

Official records of the USP first phase indicate that only 38 percent planters had been employed as tappers in rubber plantations. The reason was due to the lower number (34 percent) of latex producing rubber trees (Chakma, U. (2007). Assistant Manager (Khagrachari). Personal comm.)

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With the staff’s inspiration and motivation, planters of the successful village pointed out that they knew the benefits of rubber from their relatives who joined the USP’s first phase. Moreover, there are a few private rubber plantations near their village where some men of this village have been employed on a permanent and daily basis. It indicates that planters of the successful village are well aware of the perceived economic benefits of the rubber and hence collaborate with the project authority for the development and protection of the rubber plantation, albeit they were paid for their labor. Conversely, planters of the unsuccessful village said that they are not interested in the rubber plantation because they realize no benefit from it despite wage labor in the past, and they feel that the project authority would take all the benefits when latex collection starts. This shows that the authority could not motivate planters about the importance of the rubber plantation and could not create a sense of ownership among them. Liu (2005) mentions that new resource management ideas will not succeed or sustain unless communities take ownership of the concepts and value the end results.

Objective 3: Local Participation in Project Implementation Activities Even though the USP intended to build the capacity of planters through participation in project activities, planter involvement was in the form of wage labor in plantation activities only. The manager makes all decisions related to project activities in the villages. There is a three-member executive committee and a field superintendent serving as coordinator, and a field assistant and project village leader who draw up work plans and implement all activities at the village level in accordance with the manager’s decisions. Other than the leader, no other planters are consulted in making work plans. The leader decides the number of workers to be engaged.

Selected Issues of Governance In Bangladesh, usually the FD is the prime organization that implements the majority of the forestry projects in the country. The project implementing agency, the CHTDB, has two branch offices in the Bandarban and Khagrachari hill districts, with the head office in Rangamati. Even though some authority for decision-making has been devolved, the regional manager of the USP must get approval for major decisions from the central project manager based in Khagrachari. Although the USP was able to achieve its stated objectives differentially in the two studied villages with its present decentralized style of management, I observed some local governance issues that demand consideration for a better program outcome. In analyzing governance issues, I first shed light on the planters’ organization and planter participation in project functions, and then discuss other project-related governance issues that I observed during this study.

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Planter’s Organizations and Participation in Project Functions In both villages, there are two social organizations10 in addition to the project village committee. These organizations maintain linkages with other agencies, mostly with NGOs (non-government organizations) and conduct social development projects such as Kheyang (Buddhist temple) development and road maintenance in the village. To facilitate social development projects, planters call meetings at their villages where I found some differences in meeting indices (Figure 5.1) within and between the villages. For example, indices for local meeting satisfaction (Kolmogorov-Smirnov Z: 1.076; Asymp. Sig. 0.002) and deliberative quality (Kolmogorov-Smirnov Z: 1.712; Asymp. Sig. 0.006) were significantly different among planters of the successful village. The differences were, as planters said, due to domination by vocal rich planters who made decisions that benefited themselves. In the unsuccessful village, absent planters, who are now organized, spoke much and made decisions in support of themselves, resulting in significant differences for meeting satisfaction (Kolmogorov-Smirnov Z: 1.503; Asymp. Sig. 0.022) and deliberative quality (KolmogorovSmirnov Z: 1.561; Asymp. Sig. 0.015). Even though local meetings are held at convenient times, I found significant differences (P<0.000) in the frequency of meetings between two villages. On average, the frequency was 1.5 and 11.5 times a year in the successful and unsuccessful villages, respectively. I also found a significant difference (KolmogorovSmirnov Z 1.484, Asymp. Sig. 0.024) among planters in the unsuccessful village regarding the frequency of meeting attendance. Resident planters attended, once or twice a year, local meetings that mostly discuss religious festivals. Absent planters, who are involved with several NGOs, arrange meetings frequently, even two or three times a month in some cases.

10 In successful village, there is a social organization with 7-member executive committee. All planters as well as nearby villagers are also members of this committee that maintain liaison with different organizations such as NGOs and conduct social development works such as Kheyang development, maintenance of road, etc. Members of the committee are selected by selection considering their character, education, sincerity, etc. The committee organizes 4-5 times meetings at village, and call emergency meeting whenever needed. In unsuccessful project there is a village development committee formed in 2001-2002 with planters of different USP villages that live in the village of absent planters. However, resident planters of this project village are not involved with this committee. Previously there was a Kheyang- based social organization that was related mostly with religious festivals. Old people of the village were involved. The present organization (popularly known as committee) consists of members mostly of adult groups (20-40 years old), has 13-members functional committee and all villagers are general member. One woman is vice-president and two other women also member of the functional committee. All villagers in an annual general meeting select the members of functional committee by judging their quality based on education, character, responsiveness, sincerity, etc. The committee call monthly meeting on every 29th, and inform the villagers about the agendas before meeting. The president (who is also leader of the unsuccessful project village) presided the meeting. On any agenda, all villagers have equal access for discussion, and then reach decision after consensus among them. However, if any cases, by anyway, fair decisions are not taken, then villagers request the committee to call meeting again, apart from monthly usual one, to discuss the matter and then take decisions after discussion and consensus building. General agenda in meetings include social development works in collaboration with NGOs, maintenance of village infrastructures such as road, Kheyang, water supply channel, etc., child education and so on.

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4 3.5

Indices

3 2.5

Successful village

2

Usuccessful village

1.5 1 0.5

Past local meetings

Project meetings

Satisfaction Comfort Deliberation

Satisfaction Comfort Deliberation

Satisfaction Comfort Deliberation

0

Present local meetings

Meetings Figure 5.1. Indices of meetings in the past, during early project period and current local meetings.

Although most planters attended local meetings, few people play roles in making decisions. Leaders and some elite planters usually take part in making decisions. While planters do not have a say on meeting decisions, they have differing views on the responsiveness and activities of leaders. For instance, all planters in the successful village said that their leader is very responsive and that they are satisfied with his activities. On the contrary, 42 percent of planters (all resident planters) of the unsuccessful village mentioned their dissatisfaction with the leader’s activities and responsibilities. They told us: “The leader does not come to our village. He does not involve us in any social development work except religious festivals. When work starts in the rubber plantation, he employs more labor from his own village. He employs rubber plantation guards from his village even though we live very near to the plantation. He does not inform us about committee funds. We don’t know how much money is left in the bank account or what he is doing with this money.” Gray et al. (2005) report that leadership is an important element in community organization that assists in developing community capacity. A good leader, with honesty and fairness, can enhance the level of social capital among villagers, thereby helping people procure rights and improve livelihoods (Dolom and Serrano, 2005). The main task of the nine-member project village committees, which were formed by the USP authority in every project village, is to motivate planters to protect the rubber plantation once grown and to be involved in day-to-day project functions (USP meeting minutes in

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Bengali dated 17 February 1998). I observed that the committee virtually does not have any village-level activities. The committee is not actively involved with the project authority and project planning processes. Some members of the committee sometimes attended project meetings just to listen. Schouten and Moriarty (2003 cited in Prokopy, 2005) mention that for participation to lead to the expected sustainable outcomes, people need to be involved at higher levels of decision-making. Genuine participation of stakeholders afforded positive project outcomes (Bruges and Smith, 2008: 21). To succeed in dealing with farmers’ vulnerability and environmental degradation, it is not only necessary to build active farmers’ organizations (Dendi et al., 2005; Hong, 2005), but also to delegate power to make decisions at the local level. The delegation of power helps local people make timely decisions for the good of society. More importantly, devolution of power through participatory decisionmaking is an important process of governance (Murali et al., 2006). Not only project village committee members, but also planters visited the project office headquarters and participated in project meetings. All planters visited the project head office frequently, four to five times every month in early stage of project. The purposes of their visit were to sign papers for land tenure, collect their salary, and to get information on job opportunities at respective project villages. During three to four years of the project period, 17 percent and 53 percent of planters of successful and unsuccessful villages attended project meetings 5.33 and 6.63 times, respectively, held at temporary offices near the project villages. They just listened and could not provide any input at the meetings. These were just to motivate the planters to live harmoniously together and plant trees at their homesteads. However, they need to be engaged in all project decision-making processes because full community participation and management are increasingly recognized as important for the long-term sustainability of investment (Hettige, 2006). Pini and McKenzie (2006) also report that sustainability of natural resource management is dependent upon community engagement at the local level. Comparing project meeting indices with past local meeting indices (Figure 4.1) shows a remarkable increase in the indices. It means that thanks to joining the project, planters became aware of their social organization and the importance of local meetings where they make decisions on social development issues.

Equity I observed a lack of equity in the selection of planters, the distribution of settlement money, offers of training, and current employment opportunities. According to project proposals, only landless ethnic jhumias were supposed to be selected as planters by a specialized selection committee which had been formed by executives from the project authority, a sub-district officer, a settlement officer, a local government council chairman, a headman (leader of mouza), and a village leader. It has been, however, found that some better-off planters who possessed first-class agricultural land were also selected in both successful and unsuccessful villages. One project staff member told that: “The selection of planters was done hurriedly and hence real landless people could not be chosen. Many people were selected in such a manner that they really did not know

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The consequences of such selections are that when there were full-stream project activities, relatively better-off planters took the benefits, and then many of them (e.g., in the unsuccessful village) left the village while still holding project land. If proper selection had taken place, some real landless jhumias could have gotten land and project benefits. At the time the planters joined, the project authority gave them some project money as a settlement. All planters were supposed to get the same amount of money, but we found disparities. On average, planters of successful and unsuccessful villages obtained Tk. 917 and Tk. 594, respectively, which was significantly different (P<0.011). There were even some planters who got no money. I also found that influential planters (e.g., leaders, wealthy and vocal planters) got more money than poor planters. Even though there was no significant difference among planters of the successful village in the amount of project money received, the difference was highly significant among planters of the unsuccessful village (Kolmogorov-Smirnov Z: 1.91, Asymp. Sig. 0.001). The reason was that many planters of this village did not get settlement money. In accordance with the project plan, the project authority was supposed to provide training to all planters on seedling planting techniques. Though some planters (45 percent) of the successful village got two days of training, all planters of the unsuccessful village said that they had not yet participated in any training program. Apart from this, the project authority trained 16 planters (both male and female) of the successful village in tapping for 15 days. Planters were paid during training sessions. Project staff members said that due to the time limit they could not organize training programs for all planters. However, they affirmed that when tapping starts, the project will provide training in tapping techniques to planters in all project villages. There was also inequality in project employment opportunities. During this study, I found that 21 and 83 percent of sampled planters in the unsuccessful and successful villages, respectively, have current employment in project activities. The higher percentage of employment for the successful village was due to the start of rubber production in that village. Equity affects people’s genuine participation in project activities. Kessler (2007) reports that equity plays a major role in developing people’s self-confidence and capacity for collaborative thinking and working.

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Accountability and Transparency For functional institutions in natural resource management and conservation, a clear channel of accountability is necessary (Vermeulen and Douglas, 2007: 437). Transparency, being open about motives, objectives and actions, encourages trust by feeding understanding (Wagner and Fernandez-Gimenez, 2008: 340). Discussion with project staff members and planters explored the lack of accountability in handling project money. They commented: “In most of the villages (both successful and unsuccessful), if the budget for a job was Tk. 1000, the manager allocated 60 percent of that money to field staff. Field staff members then gave 40 percent of that 60 percent to the village leader to perform all activities by employing planters. The leader, on the other hand, did not spend more than 20-30 percent of the allocated money.” When I had a talk (in 2007) with a group of planters in Khagrachari district, they also asserted that much of the project money had been mishandled by project staff members and village leaders. Even though the situation was not the same in all villages, the above quotation implies that much of the project money had been mishandled, and that the project could not benefit the targeted poor planters to the fullest extent. The leader of the unsuccessful village said that after completion of project jobs in the village, all remaining money should be deposited into the village common fund, but planters feel that it happens in very rare cases. The group discussion in 2007 also explored that planters were not receiving expected revenue share from final rubber products sale. There was no transparency in production and sale of products; planters were not involved in keeping records of production and sale. Vermeulen and Mayers (2008) also reported that the setting of benefit sharing rations for the final price received for final products after the costs incurred is not necessarily more transparent or equitable.

Information Flow There were gaps in the information flow. I found that even planters were not aware of the inception of the USP. This was evident from a comment by the leader of the successful village: “I was working on my agricultural land and some neighbors informed me that the unnyan board (CHTDB) was clearing our land. I went there and asked the officers to stop clearing our land... After a few days, officers again started cutting our forests and jungles. When I told them to stop, they informed me that the government had acquired the land, that the USP would be implemented there, and that ‘you [the leader] will be selected as a planter and will get compensation for the land.” This shows that even the leader of the project village was not consulted before implementing the USP. Planters told that they did not know about future project functions at their villages unless they were asked to be involved in plantation activities. They (100%) do not even know the actual objectives (as stated in the project proposal) nor do they know who

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will manage the rubber plantation and rubber factory after the project funding period ends. Project staff said that there would be a central management committee (CMU) consisting of 11 members – including the village leader – to manage the rubber plantation and its production and sales, and distribute benefits to the planters for 40 years after which the plantation will no longer be productive. Planters reported that they heard about the management unit, but the project staff did not tell them anything and the project authority needs to disseminate this information to planters. The planters’ experience of receiving unequal settlement money leaves them suspicious that there will be an inequitable revenue distribution from the sale of rubber. There is also no policy on the future of the rubber plantation after 40 years.

Responsiveness I found a lack of responsiveness in the project staff. In order to fulfill short-term objectives, planters who were jhumias and not skilled in horticulture were supposed to be encouraged to develop horticulture on their homesteads. However, they opined that project staff members visited only the rubber plantation frequently, but very seldom came to observe their homesteads’ agroforestry and they were not consulted in the choice of agroforestry species. Consultations and collaboration with end users in the selection of agroforestry species encourage undertaking better land management (Blay et al., 2008: 514). The project authority acquired government khas land for the project. However, there was some private land11 within the project territory for which the authority was supposed to pay. Eleven years into the project, planters had received no compensation and they cautioned that it might create serious conflict with the project authority if no reasonable solution was reached soon. Therefore, these governance issues disclose that due to the lack of practice of good governance, the project was not able to attain its objectives adequately and planters could not benefit from the project as they had expected.

Livelihood Situation of the Planters Livelihoods Strategies Before Joining the Project The key-informants and planters attending group discussions commented that before joining the USP, most of them had no personal agricultural land and practiced jhum on government khas land. Some of them previously lived far from the project village and others lived in nearby villages. Most of them were daily laborers in nearby agricultural land, and extracted and sold forest products including timber, fuelwood and non-timber forest products and seasonal migration to other areas for agricultural work. Some practiced rice cultivation on leased land. Due to over-jhumming on the same plots of upland, they could not produce

11

For example, in the successful village the project authority acquired 16 ha of private land owned by four planters (including the leader) of which eight ha of this land were allocated as project land. The project authority still (May 2005) had not paid compensation for this land, and planters had filed suit against the project authority.

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enough food for a whole year. Some elderly planters told about the misery of their past livelihood situations: “From declined jhum yield we preserved some products such as paddy, maize, and sesame for sowing in next planting season. After two or three months when we had consumed all stored jhum products and there were almost no off-farm jobs, we had no alternative but to use some preserved seeds for consumption… and eventually we consumed them all. Hence, for planting the next season we had to get high-interest loans from money lenders.” This shows that jhum could not support livelihoods, so for survival they adopted several alternative livelihood strategies. These findings are consistent with the observations of Nath et al. (2005b). They found that with the current level of yield from jhum in the CHT, jhumias could feed themselves for only two to six months, and have adopted some alternative livelihoods means such as wage labor, agroforestry practices, and livestock husbandry in order to make a living. Because all people were poor and lived in sparsely populated areas, they had very little social interaction. Moreover, due to remote locations and the lack of good communication networks, they are all cut off from government and NGO social development services.

Current Livelihoods Situation Here I describe the comparative livelihoods features of planters of two villages after joining the USP. I examined the five different capitals in light of the SL framework. Human Capital For analyzing human capital, I assessed household size, literacy, current school enrollment, and cash-contributing household members (Table 5.3). The project had an impact on creation of human capital (education and skill) through training. The project established informal village primary schools and encouraged planters to enroll their children. Although household heads (respondents) of the USP are mostly illiterate, they have become aware of child education due to joining the project and also because of contact with several NGOs and some of their children have secondary, higher secondary and even tertiary education (Table 5.3). They also mentioned that if their children obtained at least secondary education (10 years of schooling), they would be able to obtain jobs which may help them to improve their livelihood12. Literacy in the successful village was overall better than that in the unsuccessful village. Being literate, planters of the successful village sent their children to schools, which was evident from current school enrollment. Government-sponsored fellowships (food for education), BRAC,13 and World Vision14 assistance motivate absent planters to educate their

12

Ngugi and Nyariki (2005) mentioned the significance of education for improving livelihood, and stated that poverty is closely associated with low levels of education and lack of skills. Investments in local human capital (e.g., education and training) can be a useful route to development for rural communities (Vermeulen et al., 2008: 9). 13 BRAC (Bangladesh Rural Advancement Committee) is a national NGO that operates primary education and credit programs in the successful village.

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daughters. However, most of the boys, specifically in the unsuccessful village, quit just after primary school and became involved in income-generating activities such as agriculture or small village tea stalls.

Physical Capital I considered house condition, household appliances such as televisions, water pumps, and agricultural implements, and livestock (Table 5.3) and then estimated the equivalent monetary value of household appliances. Some houses in the successful village are brick-walled with tin or sun grass roofs, while others are mostly mud-walled and thatched with sun grass. All houses of successful villagers are of bamboo-matted walls and sun grass or tin roofs. Even though there was a remarkable difference in the equivalent monetary value of household appliances, it was not statistically significant. However, among planters of each village we found significant differences (Kolmogorov-Smirnov Z: 1.468, Asymp. Sig. 0.027 for the successful and Kolmogorov-Smirnov Z: 1.550, Asymp. Sig. 0.016 for the unsuccessful village, respectively), which were due to ownership of expensive appliances such as televisions, cassette players, and rice mills by some better-off planters. The road, constructed by the project, played an important role in improving the village economy, which was evident from the voices of the planters. They said “age pach (5) ari dhan Bangalhali bazare nite Tk. 100 [1US$=Tk. 65 in 2005] lagto, r ekhon lage matra Tk. 10.” That is, before the project, they needed Tk. 100 to carry five ari (around 40 kg) of rice to the Bangalhalia bazaar for sale, and now it takes only Tk. 10. One planter who runs a small grocery and teashop in the successful village said that now it’s very easy to bring goods from the nearby market to the project village because a small motor truck reaches the village. The project authority also had constructed two earthen cross dams (gudha) in two villages for holding water all year, and all planters of both villages were provided with concrete rings and tops for use in safe latrines. Planters of the successful village have more livestock than the unsuccessful village does. They said that due to regular contact with plain-land people, they gained knowledge of livestock husbandry at homesteads with stall-feeding. In addition to household consumption, they earned a handsome amount of money by selling livestock such as cows, especially during Muslim festivals. The cattle also act as an economic safety net in times of crisis (Jakobsen et al., 2007). Some planters owned cows, while others had access to them by different institutional arrangements. For example, one planter of the unsuccessful village cared for two cows of a village trader, for which he received Tk. 50 per month and could use the manure for fertilizer. Moreover, in an emergency, he could also get a loan from the trader. Some absent planters of this village got cows from GROUS15.

14

A national NGO, carrying out activities such as education, livestock rearing, plantation, infrastructure development, and sanitation since 2000 in the absent planters’ village. 15 Gram Onnyaun Sanghta (GROUS): A local NGO popularly known as UNDP (United Nation Development Program) in the village of absent planters because UNDP provide the fund. With a budget of Tk. 400,000, it started operation in middle of 2005. The activities include rearing of cow, and supply of power tiller and water pump for agriculture. Recently they purchased 20 cows with Tk. 194,000 and distributed to 20 relatively poor families. Implementation committee of absent planters’ social organization does the distribution.

Participatory Forestry Program in the Chittagong Hill Tracts Region Table 5.3. Different livelihoods capital at the household level of the studied USP villages, Bandarban, Bangladesh Capital Human capital Mean household size (no.) a Members 11-59 years (no.) Literacy (%) Total Primary Secondary College Graduation Male/female literacy (%) Current school enrollment (No.) Primary (Male/female) Secondary (Male/female) Mean members contributing cash income (no.) a Physical capital Brick-walled house (% of households) Mud-walled house (% of households) Bamboo matt-walled house (% of households) Televisions (% of households) Cassette players (% of households) Mean equivalent money (Tk.) a Livestock (no.) b Cows Goats Chickens Pigs Fish farms (no.) Natural capital Mean landholding (ha) a Own agri. Land (ha) Leased agri. Land (ha) Jhum plots on khas land (ha) Jhum plots on project’s rubber garden (ha) Own hilly land Project land (ha) Financial capital Households having loans (no.) No. of loans (mean)

Successful

Villages Unsuccessful

4.96(±1.78) 82

5.68(±2.14) 74

45 24 8 5 0.84 54/36

28 18 10 25/30

14/21 28/9 2.1(±0.83)

9/9 3/8 2.68(±1.06)

12 70 18

100

17 8 3467(±6206)

10 5 1824(±2724)

4.38(54) 3.75(33) 12.79(92) 2(4) 2(4)

2.20(26) 2(37) 7.25(84) 1.25(42) -

2.65(±1.23) 0.82(20) 0.42(25) -

2.77(±0.54) 1.58(10) 0.49(32) 0.54(37) 0.57(26)

2.28(12) 2.1

2.1

10 1.64

4 1

Sig. level

0.043

0.290

0.701

89

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Tapan Kumar Nath Table 5.3. (Continued)

Capital Sources and mean amount (Tk.) Krishi bank BRDB BRAC IDF Food security (% of household) c Surplus Sufficient Shortage

Successful

Villages Unsuccessful

12000 4900 2500 3000

6750

8 21 71

16 26 58

Sig. level

Source: Field survey, May-Sept. 2005 a Figures in parentheses indicate standard deviations. b Figures in parentheses (other than above note) indicate the percentage of households. c Food security indicates planter’s ability to satisfy food demand with their farm products.

Natural Capital There was no significant difference in mean landholdings of the two villages in measuring natural capital (Table 5.3). However, landholdings among planters of the successful village varied significantly (Kolmogorov-Smirnov Z: 1.675, Asymp. Sig. 0.007), because 32% of the planters of that village possessed personal land in addition to project land. Sixty-eight percent of the unsuccessful village planters practice jhum either on khas land or on project land, which implies that the USP could not stop jhum in some villages. This finding contradicts the observation of Khan and Khisa (2000), who write that ‘the project [USP] attempts to rehabilitate and develop some improvised indigenous ethnic people who have hitherto been engaged in shifting cultivation.’ However, it supports the findings of our earlier study (Nath et al., 2005a), in which records from 15 USP villages indicate that planters still practice jhum on both khas and project land. Financial Capital I measured financial capital through credit and sources, and food security. Planters have access to credit facilities in both the government and non-government sectors which was not possible before joining the project because there were no NGOs in their areas. Because planters now live in a village and road communication is easy, several NGOs have established activities in the project villages. Planters of the successful village have access to several agencies for credit, unlike planters of the unsuccessful village. Planters who have their own land (excluding project land) with legal title certificates can obtain loans from formal banks including Krishi Bank, for which the interest rate is lower than that of non-government banks including Bangladesh Rural Development Board (BRDB), BRAC, and Integrated Development Foundation (IDF, a local NGO). Better-off planters take out loans for expanding their business (for example, establishing a fish farm) while poor planters borrow for purchasing breeding stock. Seventy-one and 58% (64% resident and 36 % absent planters) of the planters of the successful and unsuccessful villages, respectively, said they experienced food shortages. Food security status indicates that jhum (which the planters of the

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unsuccessful village practiced) could not produce enough food to feed them all year. However, one family with 11 members could practice jhum on large areas and produce a sufficient amount of rice and other products.

Social Capital In every USP villages, the project authority in collaboration with planters formed a ninemember project village committee at the beginning of the project as an initiative to build social capital among villagers and project authority. It was observed that the formation of the village committee could not build a good relationship between villagers and project staff members, and hence failed to create a culture of working together for the success of the project (Nath and Inoue, 2008). Building social capital is a process that depends on the quality of communication and interaction. Repeated interactions by committed individuals who engage in transparent, predictable and respectful communication will likely build social capital among group participants (Wagner and Fernandez-Gimenez, 2008: 341). Mary J De Silva et al., (2007:28) also mentioned that due to lack of teamwork, the development status of some villages became worse. However, due to the development of infrastructure (e.g., road networks) by the project, several NGOs had come forward to initiate their social development works in project villages. As per their strategy, the NGOs first motivated the villagers to form village organizations, the entry point for the formation of social capital. Upton (2008: 187) mentioned that third parties act as catalysts in social capital formation. In Bangladesh, rural development by NGOs has had better success in social capital formation through horizontal alliances among the less privileged groups and women (Mondal, 2000:461). In measuring social capital, I considered groups and networks, trust and solidarity, social cohesion and inclusion, information and communication, and empowerment. The differences among some of these variables between two villages are most striking. For groups and networks, I used six variables (Table 5.4). I found highly significant differences between planters of successful and unsuccessful villages when considering household communication networks (HCN)16 and the number of people willing to help by giving money in emergency. HCN is almost two times higher in successful village (7.83) than unsuccessful village (4.08). It means that planters of successful village have more connection with their relatives, neighbors, friends or kin which makes it easier for them to get help in emergencies. For example, one planter of successful village who is also a small village trader said: “When I established a rice grinder machine in this village that cost around Tk. 30,000, I requested the whole seller, from where I purchase goods for my business, that I would buy goods for two months on credit. As we have close business relationship, the whole seller agreed and finally I could install the rice grinder machine to expand my business.” Another planter who works as a manager in a private rubber garden owned by a member of the national parliament said:

16

Number of households either relatives, neighbors or kin with whom a family could share problems, request for help and seek some loan in emergency

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Tapan Kumar Nath “I had a major surgical operation that costs around Tk. 20,000 which was beyond my capacity to pay to the hospital. My employer, who knew me very well, bear all my medical expenses and allowed me to take rest for three months. After that I resumed my job.”

Their connectedness helped to expand their networks to local government councils. One absent planter of unsuccessful village is a member of a local union council who could influence the council chairman for necessary support for his village. They have close contact with political leaders, too. For example, they are the supporters of a former hill tracts council chairman who was also a member of the national parliament. With this relationship, the chairman provided funds to construct a brick-soling road connected to a paved secondary road. Therefore, it is clear that collective effort of the villagers help to elect the local union council member and their vertical relationships with politicians facilitates the development of a common infrastructure in the village. Planter’s involvement in organizations also varied significantly between the two villages. All planters of these villages are members of their respective project village committees. Apart from this committee, some planters of successful village are engaged with Krishi bank, BRDB, BRAC and IDF. On the other hand, most of the absent planters of the unsuccessful village are members of the four organizations (IDF, GROUS, World Vision and Green Hill17). Resident planters of the unsuccessful village have very little connection with absent planters or with different organizations. Hence, they depend on local traders for any help such as for a loan. For example, one resident planter took loan of Tk. 1100 from a timber trader last year (2004) provided that they (husband and wife) will supply labor in collecting wood. Up until 30 August 2005 they paid Tk. 800 for labor and they have to supply labor for another Tk. 300. These planters are poor and can’t help each other. Moreover, they lack feelings of connectedness and trust which can be evident when I consider trust and solidarity, and social cohesion and inclusion. I found distinct variations of several variables of trust and solidarity between two villages. Some of these variations are highly significant (Table 5.4). For instances, trust in people living in the villages, willingness of people to help in needy times, trust in people of other ethnic groups, trust in the village leader and his responsiveness are significantly different between successful and unsuccessful villages. My observation disclosed that resident planters of unsuccessful village have come there from different places of the CHT and they have no family relationships, and hence they have very little faith in others, even in 17

For the supply of safe water (for drinking, cooking and bathe), Green Hill- a local NGO set up necessary physical structures in absent planters village. Before implementation of the project, all villagers (47 families) contribute Tk. 10 per month for two years from year 2001 and deposited in a joint bank account. The engineer of the NGO selected suitable site from which water could be harvested round the year. It is located in forested upper slope, about four km from the village. The NGO constructed necessary infrastructure with the help of villagers; villagers supplied free labor. They completed the work at the end of year 2003, and the NGO handed over it to the village committee in early 2004. It cost around Tk. 300,000 of which villagers contributed Tk. 11,280 only. The NGO provide training to some selected villagers about the maintenance of water tank, supply pipe, cleaning of tanks, and gave all necessary instruments. At present, there are four water points from where villagers could collect water (Plate 4.6). The villagers are pleased with Green Hill’s project. They said that earlier, especially in dry season, at least 3-4 people die due to water born diseases such as diarrhea, jaundice, etc. and now they become free from water related diseases. Moreover, women become more happy as they do not need to go far (at least 1 km down) to collect water from streams.

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people of the same ethnic group. Like most planters of successful villages, on the other hand, absent planters have been living in the area since their childhood, they know each other, have family relations, and are organized amongst themselves. As a result, the level of trust among themselves is higher than the resident planters. Further, due to increased access to social services from several organizations, active participation of villagers in social development works and people’s willingness to help each other, the level of trust among absent planters is going to rise, whereas this level is getting worse among resident planters. Having faith in fellow people, absent planters live very close together in the society. In contrast, most of the resident planters feel themselves neither close nor distant. Some of them told that ‘ekhane jar jar tar tar. Keo karo sathe jugajug kore na. Keor sathe karu samporka nai’- meaning ‘we all think of ourselves, nobody communicates with others and there is no relation among us.’ Even though they are from other areas, Chakma and Tonchangya planters of successful villages have strong faith in majority Marma planters. One woman, for instance, said “amader sathe Marma der khuboi valo shamporku. Jokhon amar hothat kichu projon hoi ami Thoisamong Marma [a village trader] theke pai”- meaning they [Chakma] have friendly relationship with Marma planters and get help from them in urgent situations. Besides the social capital of individuals, collective social capital in the form of collective actions was observed. All planters perform some social development functions such as road maintenance, kheyang development, maintenance of water sources, and farming. On average, planters now contribute 6-7 days a year to common village works. During the first three years of the rubber plantation, all planters cultivated intercrops collectively and the sales revenue of these crops was deposited in a committee common fund. With the financial help of an NGO (GROUS), planters of the successful village cultivated 2 ha of land with ginger in 2005. With a budget of Tk. 400,000, villagers raised two ha of ginger on moderately sloped land. Planters said that ginger cultivation was profitable- for one hectare, it cost around Tk. 130, 000 and they can earn at least Tk. 150, 000 per hectare after deducting all costs within six month rotation. Table 5.4. Some selected variables of social capital of the USP-village, Bandarban, Bangladesh Variable Groups and Networks No. of organization involves No. of members involved Household communication network No. of people willing to help by giving money in emergency No. of people currently able to provide this money No. of people helped to solved personal problems last year Trust and Solidarity Opinion on the statements a Most people living in village can be trusted One has to be alert or someone is likely to take advantage of you

Successful

Villages Unsuccessful

Sig. level

1.69 1.41 7.83 4.81

2.89 1.79 4.08 2.39

0.023 0.210 0.001 0.006

2.60 2.04(50)

1.78 1.33(32)

0.082 0.115

2.00 4.00

2.42 4.11

0.000 0.367

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Tapan Kumar Nath Table 5.4. Some selected variables of social capital of the USP-village, Bandarban, Bangladesh

Variable Most people are willing to help if needed People generally do not trust each other in lending or borrowing money Trust on following people b People of same ethnic group People from other ethnic group Village leader Leader responsiveness Project staffs Project staffs responsiveness Village group members Level of trust in last five years c Going to be better Getting worse Stayed at the same Social Cohesion and Inclusion c Feeling of togetherness or closeness Somewhat distant Neither distant nor close Somewhat close Very close Social stratification Neither great nor small extent Small extent Times traveled to relatives last year

Successful 2.42 3.92

Villages Unsuccessful 3.00 3.84

4.04 3.75 4.33 4.29 4.00 3.95 3.54

3.72 3.00 3.47 3.47 4.00 4.00 3.52

0.058 0.000 0.001 0.001

8 37 10

53

92

96 4

16 26 32 26

42 58 2.48

58 42 5.48

Sig. level 0.004 0.632

0.616 0.934

0.000

Source: Field survey, May-Sept. 2005 a Values were derived using five scales [1= agree strongly, 2= agree somewhat, 3= neither agree nor disagree, 4= disagree somewhat, 5= disagree strongly]. b Figures were derived using five different scales [1= to a very small extent, 2= to a small scale, 3= neither small nor great extent, 4= to a great extent, 5= to a very great extent]. c Figures indicate percentages of household. Figures in parenthesis indicate percentages of households.

However, I observed that it might cause huge soil erosion as land is completely clearedoff and top soil is disturbed during planting and harvesting. I also observed large-scale ginger cultivation (see plate 5.7.) just beside the successful project village that might accelerate land degradation in the region. Absent planters of unsuccessful village take part in maintaining and protecting water supply infrastructures. Their committee employs four volunteers for two months. After two months another four volunteers are employed. This way they maintain the safe water supply in the village. On the other hand, planters of successful village collectively repair the earth dam (gudha, 91 m long and 30 m wide) that holds water round the year. Planters near the gudha use water for bath, washing cloths and irrigation, and hence cannot use it for drinking purposes. They tried fish cultivation once, but due to lack of technical knowledge, they could

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not succeed, and then leased the gudha to an outsider for five years for Tk. 20, 000. For drinking water, they collectively dig pits [kua, small (1.8-2.4 m circumference and 0.91-1.2 m depth) wells in seepage areas] in streams or at the base of hills from where they could collect seepage water, especially during dry seasons (see Plate 5.8).

Plate 4.6. A Marma child taking a bath at a common water supply point in the absent planters’ village.

Therefore, planters of both villages (except resident planters in unsuccessful village) through their organizations create linkages with many other formal organizations in order to achieve social services. I asked why many NGOs are operating in their villages and why not in resident planter’s village. They said if all families in a village live in a cluster and if there is a strong committee, and if communication is easy, then NGOs show interest to operate in their activities. However, communication is good, but they live sparsely and they have no committee, and hence no NGOs are operating in resident planter’s village.

Plate 5.7. Cleared hill tops planted with ginger besides successful USP village.

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Tapan Kumar Nath

Plate 5.8. A kua at the base of a hillock adjacent to agricultural land. Planters of successful village collect drinking water from this kua during dry season.

Therefore, current livelihoods situation indicate that after joining the USP and living in a permanent project village, planters were able to build several livelihoods capital, and augment their collective activities. They have expanded their networks to win social services from the government and NGOs. These livelihood capitals, however, do not show clearly to what extent these capitals supported the planters’ livelihoods. This is better understood when examining their livelihood strategies and their income and expenditures.

Livelihoods Strategies and Diversification, Income and Expenditures Currently due to scanty employment opportunities in project activities, planters must find several ways to make a living. In most cases, they combine at least two means of sustaining their livelihoods (Table 5.5). In both villages, agriculture and wage labor seem to be the principal livelihoods means. However, only a few of them have their own agricultural land, and most of them lease land. Wage labor, in both villages, includes laboring in agriculture, work in project rubber plantations, supplying timber to paper mills, and timber trafficking. Planters of the successful village were able to get agricultural work almost all year because of their location nearby to plain land. For example, one planter worked for a whole year in the house of a property owner of plain land, earning Tk. 2000 per month with food. In the unsuccessful village, due to limited agricultural land, it is difficult to find work all year, which compelled planters to practice jhum and to engage in the extraction and sale of nontimber forest products (NTFPs). These people, for the most part absent planters, collect NTFPs from nearby degraded natural forests. Jakobsen et al. (2007) reported from Vietnam that selling of NTFPs has contributed to filling the gap created by restrictions on shifting cultivation.

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Table 5.5. Combination of different livelihoods means to sustain living of planters in the studied USP villages, Bandarban, Bangladesh

Successful village Agriculture, service, business Agri., business, wage labor Agri., jhum, wage labor Agri, service Agri., crafting Agri., wage labor Agri. only Service only Wage labor, crafting Wage labor, service Wage labor

Earning strategies of the planters of the Unsuccessful village (8) Agri., jhum, service, carpentry (4) Agri., jhum, wage labor (4) Agri., jhum, guard, NTFPs (8) Agri., business (4) Agri., jhum, NTFPs (8) Agri., service (4) Agri., wage labor, NTFPs (4) Jhum, wage labor, NTFPs (4) Wage labor, NTFPs (4) (47)

(5) (5) (5) (16) (11) (5) (5) (37) (11)

Note: Figures in parenthesis indicate percentages of households. Source: Field survey, May-Sept. 2005

Most NTFP collectors are women. After completing household chores, women go, early in the morning, to collect NTFPs such as bamboo shoots and wild vegetables, return home at noon, have lunch, and then sell the products at the nearby market. They did these three days a week, and earned about Tk. 80 a day. However, they could not extract NTFPs as usual while working in the jhum or during the rainy season. They reported that due to uncontrolled extraction, nowadays it’s very hard to find NTFPs and they have to walk long distances (3 to 4 km) to collect a shoulder-load of NTFPs. They also feel that without regulations, NTFPs will lose regenerative capacity and their future would be bleak. Note, however, that the area around the successful village is planted with rubber (private) and pulpwood, or degraded forest land is mostly used for ginger cultivation, and hence no valuable NTFPs are found there. Women who have infants and cannot collect NTFPs make traditional wine (from rice) at home. Many other families also make wine for their own consumption. It takes three or four days to make one liter of grade-1 wine with an input cost of Tk. 60 and a sale price of Tk. 200. Local and urban people are the main consumers. During religious festivals, they make more wine to sell and earn a handsome income. Some household members of both villages also perform services in several sectors. For instance, some household members of the successful village perform services in the public health sector, for schools, police, and the garment industry, and on private rubber plantations. On the other hand, some girls and boys of absent planters of the unsuccessful village work as part-time employees of NGOs. Some relatively well-off planters of both villages run small businesses such as grocery and tea stalls and rice milling in their villages. Relatively better-off planters in both villages who have substantial agricultural land trade surplus rice in markets. Some who are educated and perform services have better non-farm income (Table 5.6). Wage labor is the important source of income for poor planters. NTFPs provide considerable income to more than 55% of planters of the unsuccessful village. Interesting findings are that more than 75% of successful village planters get considerable returns from their homestead agroforestry. They benefit from rubber plantations, too. Some of them (17%) work all year as guards and rubber factory technicians. During the study, it has

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been found that another 58% of planters, mostly from poor groups, worked as rubber tree tappers. They earned Tk. 40 daily for working four to five hours early in the morning. Project staff members said this salary would more than double when full-stream rubber production starts. Their salary would be provided on production of dry rubber content (DRC). Every tapper could collect at least 6 kg of DRC, and the collection costs (i.e., tappers’ salaries) are Tk. 90 daily. The project staff estimated that each tapper may work for 167 days a year along with other plantation maintenance work and that planters share benefits from the final rubber sale. This indicates that the successful village’s rubber plantation is in a good position to offer good incomes to planters. On the other hand, only one planter from the unsuccessful village has been employed as guard. I found significant differences in mean annual agroforestry income (P<0.05) and mean annual family income (P<0.01) between the two villages (Table 5.6). Agroforestry income was almost three times higher in the successful village than in the unsuccessful village, which indicates that agroforestry conditions in the successful village are more productive than those of the unsuccessful village. Planters of both villages devote more than 80% of their expenditures to food. They collect more than 70% of their food items such as vegetables, wild animals, small fish, and crabs from forests. They purchase rice, fish, oil, spices, nappi (a mixture of several fermented small dry fish) and other items from markets. Nappi is a very popular food item among ethnic people. They put small amounts of nappi in almost all types of curries. It puts the flavor of fish in curry. Small amounts of their income were spent on agriculture, education, and health. Even though Table 5.6 shows that planters of the successful village could save a substantial amount of money for covering other expenses, I observed that poor planters were able to save very negligible amounts. Relatively well-off planters of the unsuccessful village, who had surplus rice for sale and who have businesses, had sizable amounts of savings that they invested in purchasing land, building good houses, or expanding their businesses.

Problems Reported by the Planters Even though absent planters of the unsuccessful village now have better water supply facilities, the non-availability of safe drinking water especially in dry seasons was ranked as the principal problem. During the summer and winter seasons very little water is available; the ring wells that the authority installed are either damaged or have water for six months only. When they are dry, polluted water is collected from streams or from kua 1 to 2 km from their houses. As people bathe and wash cloths, planters cannot drink from the gudha. They suffer from water-borne diseases every year. During the study, we noticed that one rich planter who had a small tea and grocery shop had installed a tube-well.

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Table 5.6. Mean annual income (Tk.), income sources, and mean annual expenditures (Tk.) of planters of the studied USP villages, Bandarban, Bangladesh Variable Successful Income sources Rice 1840 Wood 2015 Fruit 1139 Chickens 1037 Cows 2189 Goats 334 Carpentry Wage labor 13325 NTFPs selling Business 4871 Service 17771 Jhum Vegetable farming Income from land rent Hill gardens 4080 Project employee As guard and factory 2448 As latex tapper 8352 6714 Mean annual income from agroforestry 59401 Mean annual income Expenditures Food 25050 Education 928 Agriculture 2892 Health 1007 Livestock 340 Social work 296 30513 Mean annual expenditures Note: Figures in parentheses indicate percentages of households. Source: Field survey, May-Sept. 2005

Villages Unsuccessful

Sig. level

5036 989 353 185 30 425 1200 9628 8378 4313 1792 392 175 650 720 1982 34266

0.054 0.019

23936 2611 5657 280 249 32733

0.294

Successful village planters ranked child education as the second most serious problem, followed by lack of medical treatment and poor public hygiene (lavatories). On the other hand, unsuccessful village planters mentioned the lack of jobs as the second most important problem followed by food production and livestock husbandry. Lack of jobs and difficult transport conditions in the rainy season are severe problems in both villages. Even after 10 years of the project, planters still do not have permanent, legal land certificates (Kabul). This situation creates misunderstanding between planters and the project authority. Although a temporary policy prohibiting land distribution delays the issue of land certificates, the project authority needs to take steps immediately to resolve this impasse. I suggest individual tenure for homesteads and collective tenure for rubber plantations. Collective tenure would enhance the management of rubber plantation collectively. The

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project also acquired some private land from some planters but has yet to compensate them, so the project authority needs to resolve this issue quickly. Finally, I asked planters if they are happy being beneficiaries of the USP. All planters replied that they feel moderately happy to be USP members. Their arguments are that they got land, houses, and employment, and can send their children to school. They believe that after a few years they will have share in rubber revenues. The training provided by project staff to planters of the successful village has increased their skills in tapping and planting seedlings, and this helps them get employment in nearby private rubber gardens. All planters in both villages asserted that the USP has had a big impact on their livelihoods.

5.6. CONCLUSION Since early 1960’s, several development projects have been implemented in the CHT with a view of rehabilitation and socio-economic development of landless ethnic people through the introduction of several farming systems in degraded hilly land having an intermingled result of success and failure (Khan and Khisa, 2000; Nath et al., 2005a). The USP is a more recent intervention, this study identified both success, and failure stories of this project. Regular and frequent monitoring by project staff members, continuous motivation, planters’ awareness about project benefits and availability of off-project jobs have created the environment for adequate achievement of proposed project objectives in successful village. On the other hand, the inability of the project manager and staff to identify planters’ needs, to understand their cultural problems, to provide appropriate training for agroforestry development, and to raise awareness of perceived benefits from rubber created the conditions for project failure. Observation suggests that as most of the project staff members are agriculturists by training, they could not understand planters’ behavior and needs. There were no communication experts on the project team. Agunga (1992:4) mentions that project implementation teams rarely include communication experts capable of assisting project managers in addressing communication shortcomings, such as mobilization, organization and training of local people for participatory decision-making, design and conduct of the development campaign, or the facilitation of coordination and linkages among participating institutions. It is imperative that socio-cultural analysis be carried out before a project is introduced into an area through case histories, interviews and observations to gain a better understanding of the socio-cultural setting of the community and as a result help to determine the feasibility of carrying out the project within that particular setting (Garande and Dagg, 2005:429). Understanding the psychology of people is important if one is to succeed in winning their cooperation in a project (Blay et al., 2004:29). Even though conservation professionals are now expected to incorporate community participation into their projects they are often biologists who may not be well versed in relevant methods and approaches (Vermeulen and Douglas, 2007: 437). The period between rubber establishment and production is the critical time for planters. The project authority could provide other off-farm employment opportunities through establishment of small-scale cottage industries [such as textile, bamboo-cane based enterprises] or through vegetable [such as papaya, banana, etc.] production in homestead agroforestry in this period. One-woman respondent of successful village said, ‘give me raw

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materials for making cloth that help to improve our economy.’ Another man of that village who makes bamboo-cane based products (Plate 5.9) earns Tk. 22,500 in a year. Ethnic people are skilled in their traditional textile, making handicrafts and household appliances. These products have buoyant markets both in the local as well as in the regional level. It is saying that smallholders may be unable or unwilling to do anything other than try to improve their immediate financial circumstances (Lamb et al., 2005:1632). Combining resource management with alternative livelihood activities that raise income, improving living standards and providing new occupations to participants that reduce pressure on resources is important for the sustainability of the project (Pollnac and Pomeroy, 2005:249; Pomeroy et al., 2005:376; Jansen et al., 2006:93).

Plate 5.9: A planter of successful USP village making bamboo and cane based products at his home yard.

Improper selection of planters, lack of responsiveness, accountability and transparency in handling project money and decision-making processes, and lack of participation of planters in project activities equally contributed to the failure in achieving objectives. The low-level of participation of local communities does not achieve much in terms of people-centered benefits, and for effective governance at local level, participation should be inclusive and communicative to enhance transparency throughout the project lifetime (Garande and Dagg, 2005:420). Effective participation that creates the feelings of ownership with respect to the project has strong influence on project sustainability (Pollnac and Pomeroy, 2005:248-9; Pomeroy et al., 2005:375). I also observed that managerial inability to organize planters in a common platform and failure in leadership development and capacity building of planters, creation of the sense of ownership among planters largely thwarts to attain project goals. Lambin (2005:177-180) mentions that three sets of factors- information, motivation and capacity- are equally essential for the sustainable management of natural resources. Effective leadership can augment collective action by inspiring people, enforcing institutional norms, resolving conflicts, networking with development partners and assuring expected benefits to

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people (Sinha and Suar, 2005:127). The likelihood of the success of a project can be increased by ensuring adequate community participation and sufficient capacity building, as well as by careful selection of community organizers (Crawford et al., 2006:59). Community organizers are one of the most important factors influencing the success of project (ibid. p. 60). These findings also suggest that planters of successful village and absent planters of unsuccessful village through their social cohesion and collective efforts could improve their livelihoods. Their strong social ties and trust created the environment to work collectively. Social capital is a resource that needs to be marshaled carefully by agents who can bring it to bear effectively and reliably upon incentives available in the external environment of state and market and where such agents are present, social capital helps to produce beneficial development outcomes (Krishna, 2004:300). Their social development committees, backed by strong and acceptable leader, have been able to create the vertical relationship with other formal organizations such as NGOs, local union council that enable them to capture several social services. Formal organizations such as union council, NGOs, political parties and local leaders are particularly important in poor people’s lives in the rural areas (Khan and Seeley, 2005:77). NGOs in Bangladesh provide social and economic support like non-formal education, women’s employment, environmental protection and child health care, etc. (ibid.:78). By establishing and using good relationships with different stakeholders, the poor can enjoy social safety and security that helps them to reduce various forms of tensions confronting their livelihoods (Purvez, 2005, p. 104). Taking into account of all above discussions, I recommend the following measures for policy implications in formulating future development projects: 1. In project team, apart from technical staff members, a communication expert needs to be involved who could help in organizing beneficiaries considering their beliefs, culture and needs. 2. A consultation workshop needs to be made at every project village involving different stakeholders such as project authority, local government body, NGOs, local organization, local people, and others before the project begins. The workshop needs to discuss all issues such as project objectives, anticipated milestones, etc. that the project covers. This will increase confidence among stakeholders and reduce misunderstandings. 3. All arrangements such as benefit sharing including roles and responsibilities of different stakeholders in project need to be clarified, defined, written and signed. 4. Without collective action, nowadays, it is impossible to achieve the objectives of participatory development projects. Collective action, at village level, raises awareness of development or reinforcement of conservation norms, maintains links to government and non-government agencies (Cramb et al., 2006:23-24). Therefore, measures, such as the creation of awareness about the benefits of collective action, need to be taken for the creation of locally accepted organization that will oversee collective activity. My observation reveals that if such a strong organization was there, the condition of rubber plantation in the unsuccessful village would be much improved. 5. For capacity building, planters need to be provided necessary training in technology development. 6. NGOs play an important role not only in social capital formation but also in income generating and social development functions. Therefore, NGOs, preferably local,

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need to be involved in project. All stakeholders including local people need to be effectively involved in planning and implementation of the project. 7. In order for avoiding misuse of project resources, provisions need to be made in maintaining accountability, transparency and equity. Provisions also are made for enforcement of roles and regulations, and sanctions, if necessary. A set of clear, agreed and enforceable rules are necessary for functional institutions in natural resource management (Vermeulen and Douglas, 2007: 437). 8. Issues of land tenure need to be solved as quickly as possible to ensure effective participation of local people. In USP, collective tenure could be provided for rubber plantations, which would ensure collective action for smooth management and development of rubber plantations. 9. Project period needs to be wide enough (say 10 years) for smooth and effective implementation of all project activities that would ensure proper selection of beneficiaries and other stakeholders. These are not difficult tasks, but need commitment and enthusiasm, and strong integrated efforts and political support for the development of uplands and their indigenous peoples.

Chapter 6

SHIFTING CULTIVATION IN THE CHITTAGONG HILL TRACTS REGION ABSTRACT Despite the trend of dwindling productivity, ethnic people of the Chittagong Hill Tracts (CHT) still practice shifting cultivation as a dominant hill farming system to support their livelihoods. Drawing on an empirical study in Khagrachari district of the CHT, this chapter examined how far the production from present shifting cultivation supports the ethnic people’s livelihoods and what alternative livelihoods strategies they have adopted for subsistence by using data on input/output and income/expenditures, and analyzing current government policies. The findings showed that productivity declined markedly, yields were almost equal to input values, and farmers experienced food shortages for at least two to six months in a year. To make a living, farmers have adopted new occupations such as wage labor, animal husbandry, cultivation of annual monocrops, and extraction and selling of forest products. Policy analysis indicates that previous policies were unable to reduce shifting cultivation intensity or improve ethnic people’s livelihoods or the region’s forest resources. Reorientation of government policies, easy access to institutional support, and the active participation of local people in development projects are of the utmost importance in order to find alternative land uses for sustainable hill farming, to improve the farmer’s living standards, and to conserve forests and protect watersheds.

6.1. INTRODUCTION A larger portion of the mountainous land in Southeast Asian countries is populated by a variety of minority indigenous communities who practice several forms of shifting cultivation that in the past enabled them to coexist in relative harmony with the surroundings (Cairns and Garrity, 1999; Fisher and Hirsch, 2008). However, the most critical factor that governs the sustainability of shifting cultivation is the length of the fallow period (Abizaid and Coomes, 2004). Mertz et al. (2008) observed that production factors (e.g., fertilizer) other than fallow length are more important determinants of yields in shifting cultivation. Evidence indicates that socioeconomic constraints and increasing demographic pressure have led farmers to switch from traditional low-input cropping systems towards a shorter fallow period

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(Clermont-Dauphin et al., 2005), which reduces crop yield. This low-level production system has created many problems in upland communities, the most visible ones being acute poverty and malnutrition, and the deforestation and further encroachment on primary forests. Shifting cultivation, once a subsistence farming system of mountainous people, has become unsustainable both environmentally and economically, and many Asian countries are replacing the system with permanent agriculture (Rasul and Thapa, 2003; Jakobsen et al., 2007). However, it is still being widely practiced in hilly areas of Bangladesh (Khisa, 2002; Rasul and Thapa, 2003), and considered as the major source of livelihoods for ethnic people. It has been estimated that about 26,000 households practice shifting cultivation (jhum) every year, and nearly 143,000 people depend on jhum for subsistence (Shoaib, 2000). Despite declining productivity, farmers practice jhum because they feel it is the basis of hill people’s cultural identity (Ahmed, 2002). Research on jhum in the Chittagong Hill Tracts (CHT) is as old as interest in the study of ethnic culture, and dates back to British rule of the Indian subcontinent. Much of the early work on jhum goes back to the 19th century (e.g., Lewin, 1869; Hunter 1876) and was in the form of notes, memoranda, memories, and reports. These were mainly based on their observations, tours, and the knowledge gained from experienced and conversant persons of the region. A few anthropologists (e.g., Bessaignet, 1958; Sopher, 1963) wrote about cultures, norms, practices, and modes of livelihoods, and the social structures of shifting cultivators (jhumias). Recent studies, however, have focused on the impacts of jhum on forests, soil, and the environment. Researchers report that jhum is an important factor of deforestation in the CHT that accelerate soil erosion (Shoaib et al., 1998; Borggaard et al., 2003; Gafur et al., 2003). One of the causes of tropical rain forests’ deforestation is traditional small-scale shifting cultivation (Lojka et al., 2008: 27). Deforestation and soil erosion effect soil quality (Shoaib et al., 1998) and cause land degradation, which along with shortened fallow periods and increased population pressure has depressed crop yields and threatened the livelihoods of ethnic people (Rasul et al., 2004). Reports by development agencies (e.g., CARE, 2000; DANIDA, 2000) claim that jhumias experience food shortages varying from three to six months a year. These studies identified the problems of jhum that have negative effects on forests and on the environment. Some researchers around the world, however, argue that shifting cultivation is not exclusively responsible for deforestation, soil erosion, or fertility and biodiversity loss. Seidenberg et al. (2003), for instance, claim that if deforestation means the permanent removal of forest, then shifting cultivation, which maintains large areas of secondary forests, should not be referred to as a major cause of deforestation. The system certainly alters forest composition, but not as radically as agricultural land development, which leads to conversion of forest to permanent fields (ibid.). Deforestation was largely due to the development process which includes road development, agricultural diversification and expansion into dry-foot upland crops, as well as both the legal and illegal logging of forests (Fisher and Hirsch, 2008: 78). Gafur et al. (2003) have mentioned that upland soil loss and sediment yields are high in the cultivation period, but soil loss returns to near normal levels already in the first year of fallow after one year of cultivation because secondary vegetation cover is established quickly. A good burn of the debris during land preparation for shifting cultivation delivers adequate amount of nutrients for crop growth (Mertz, 2002), and limits the growth of bad weeds (Mertz, 2002; de Anneke, 2004) that are of serious concern for the sustainability of

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cultivation. Farmers disturb the soil as little as possible because tillage triggers the germination of weed seeds (de Anneke, 2004). Besides a number of food crops, indigenous farmers maintain saplings of useful species in their agricultural field in anticipation of their role in forestry scenarios (Toledo et al., 2003), thus maintaining the diversity in both food crops and forest composition. The above discussion portrays the contest on positive and harmful features of shifting cultivation in the CHT as well as in the tropics. There is very little information on the CHT, specifically on current jhum production and how people cope in order to maintain their livelihoods in the face of productivity declines. Moreover, views of farmers about their farming practices and what they consider necessary for improvement of their livelihoods means are also important. This type of information is important for politicians and policy makers in formulating future policies relevant to livelihoods of the ethnic people, and also for sustainable upland development. This chapter performs an input-output analysis of jhum under the present production system, farmers’ income and expenditure, their perceptions about the past and prevailing jhum and their opinions on improving jhum for better livelihoods outcomes. It also analyzes the current government policies relevant to jhum. The chapter begins with a brief description of indigenous management of natural resources and local forest use and management. Then it elaborates on the methods used for the study. The results section includes input-output and income-expenditure situation and a comparison of past and present jhum. Results are discussed and some recommendations including collective management of jhum, and promotion of suitable agroforestry systems are made in discussion section. Conclusion is followed.

6.2. INDIGENOUS MANAGEMENT OF NATURAL RESOURCES People living in forested mountainous localities are generally known as indigenous people who are usually dissimilar with the mainstream population of the other parts of the country in respect to appearance, culture and languages. Indigenous groups are dependent on the natural world because they derive their main needs such as shelter, food, and spiritual well-being directly from plant and animal resources (Cristancho and Vining, 2004). They have long carried out cultivation, mainly of annual crops, in the forest land; in return, they plant and take care of the trees in the forest land (Gunawan et al., 2004). This idea of reciprocity, the mutual dependence and commitment between humans and nature, has been traditionally seen as one of the most central rules of conduct that guide indigenous peoples’ interactions with the environment (Cristancho and Vining, 2004). Through symbiotic relations, they maintain their livelihoods and at the same time conserve natural resources in a sustainable way. This conception of human exchanging goods with the natural world to keep equilibrium seems to be shared by many indigenous group but we lack the knowledge as to how indigenous people cognitively represent the processes that lie behind reciprocity (Cristancho and Vining, 2004) for natural resource management. Within and among local/indigenous forest dependent communities, there exists a wealth of information and knowledge about forest management, knowledge systems on rational land use and environmental protection that can be shared (Both Ends, 2000) and incorporated for

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better outcomes of forest management. Communities with long experience in a particular area have developed traditional techniques and strategies of resource use to suit the prevailing conditions; the very fact that their production systems have survived is a testimony to their ecological success (van Gelder and O’Keefe, 1995). The word traditional refers to historical and cultural continuity, but at the same time recognizing that societies are in a dynamic process of change, constantly redefining what is considered traditional (Berkes and Folke, 2002). The farmers use their own accumulated traditional knowledge and experience for rational management as far as humanly possible (Alhamidi et al., 2003). Traditional resource management is carried out using rules that are locally crafted and socially enforced by the users themselves (Berkes et al., 2000). Customary practice allows for local flexibility of rules, and experience provides the context (Berkes and Folke, 2002). Temporal restriction of harvest, through strong social institutional rules and regulations, helps to keep the balance of a natural resource base for sustainable production (Berkes et al., 2000). Respected people and indigenous institutions play vital roles in executing rules. In traditional societies, elders and other wise persons act as keepers of ecological knowledge, help transmit knowledge by direct teaching and through rituals and oral history, and provide the wisdom to interpret novel observations and are able to reinterpret current events in the light of ancient myths to help guide their society (Berkes and Folke, 2002). Rituals help people remember the rules and appropriately interpret signals from ecosystem change (Berkes et al., 2000). The practice of traditional knowledge is dependent on social mechanisms, which may be thought as a hierarchy that proceeds from local ecological knowledge to social institutions, to mechanisms for cultural internalization, and to world views, and learning through cultural internalization helps knowledge to be encoded and remembered by the social group (Berkes et al., 2000). The reciprocal system of justice, which emerged through strong norms and a sense of morality that are thought about from an early age, transmitted from one generation to another through the socialization process, and that are enforced through sanctions, ensures the sustainability of rural livelihoods and natural resource management in indigenous communities (Cristancho and Vining, 2004). Natural justice guarantees health and well-being for the individual and an ecologically sustainable future for the region they inhabit (ibid.). Local natural resource management is selective and in varying degrees manipulates the forest environment to suit their immediate and long-term needs, and evolve practices that conserve some level of biodiversity and self-reliance (Both Ends, 2000). Mixed cropping of annual crops along with perennials provides farmers products around the year and better utilizes the soil resources. Close contact with the farms and regular monitoring help farmers to identify any changes in the farm ecosystems. Monitoring the status of the resource is a common practice among many groups of traditional users, and is often accompanied with the monitoring of change in ecosystems (Berkes et al., 2000). The proximity of users to the resource confers an ability to observe day-to-day changes, either by the whole community or by selected individuals such as stewards and elders (ibid.). Management by the adjoining communities is seen as the most cost-efficient way of managing a forest (Castren, 2005). Indigenous communities historically work by consensus and such collective support is critical to the long term success of protecting their forests, particularly in the face of economic hardships (Both Ends, 2000). Collective management of resources currently receives greater attention from both policy makers and academic worlds, and it is considered as the vehicle for effective management of resources. Indigenous strategies of use and

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management of the tropical lowland ecosystems have, for decades, been exclusively identified with shifting cultivation (Toledo et al., 2003).

6.3. SHIFTING CULTIVATION AS A MODE OF LOCAL FOREST USE AND MANAGEMENT Shifting cultivation was the first cropping system used by early agricultural occupants of many forested areas all over the world and is still wide spread in tropical regions (de Rouw, 2004). Despite rapid economic development in many tropical countries, millions of people, particularly in the humid tropics, still practice some form of shifting cultivation (Mertz et al., 2008: 75). For centuries, shifting cultivation was the primary mode of use of tropical forests among the indigenous peoples inhabiting the humid tropics (Toledo et al., 2003). Indigenous shifting cultivators produce goods for their own consumption and for sale in markets, thus indigenous resource management strategies encompasses a duel role as subsistence and market producer (ibid.). Even though the production system is endowed with subsistence needs and market economy, the issue of its sustainability is of great concern nowadays. When in a particular region suitable land is available and population growth remains almost constant, the traditional shifting cultivation remains sustainable (Palm et al., 1996), and hence the soil gets a long enough fallow period to recuperate its original fertility (Levasseur and Olivier, 2000). A wide range of biophysical, socio-economic, and cultural factors influences yield levels in shifting cultivation and it is difficult to isolate fallow length as a single determining factor (Mertz, 2002). Weed suppression and build up of ecosystem fertility are the two major reasons for fallowing (ibid.). The shifting cultivation, once considered a sustainable land use strategy in the forested mountainous areas, is a subject of controversial discourse in the current upland management literature. Whatever the debate says on the positive and negative aspects of shifting cultivation, the real situation is that the productivity of this traditional farming system has reduced markedly and farmers’ livelihoods have become threatened. Recent studies indicate that farmers involved with shifting cultivation experience food shortage, and adopted some other non-farm activities such as wage labor, extraction and selling of forest products, etc. to sustain their living (Nath et al., 2005b). Traditional patterns of shifting cultivation has gradually or abruptly been modified due to the integration of the indigenous communities into the regional, national and global markets, under which their population numbers have increased and they have adopted new cultivars, domestic animals and technologies (Toledo et al., 2003). Particularly important of this transition is the role played by new cultivars, animals and wild species that have some market value because these products increased the economic return and brought about the modification of the original management strategy of the tropical lowland ecosystems (ibid.). Scarcity of suitable land caused by the expansion of protected areas, construction of development infrastructures such as hydroelectric project, internal migration of plain land people into the uplands, etc. have created problems which make the shifting cultivators to practice farming on small plots of land with very short fallow period. Many indigenous people have been displaced and shifted to other places due to expansion of forest reservation, infrastructure development and other socio-political reasons. Forest dependent communities

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who once enjoyed the comparative advantage of their skills and knowledge of rich ecosystems lose their culture and get pushed to the margins of society once the forest is destroyed or access to it is denied to them (Both ends, 2000). Settlers occupy the land of indigenous people illegally and start cultivating soil exhausting root crops such as aroids, turmeric, etc. along the hills slope resulting huge soil erosion and forest degradation. They are more likely to undertake environmentally sensitive occupations than the native households (Wiggins et al., 2004). Case studies indicate that people lose their jobs or source of livelihoods because of the enclosure of forest commons, ongoing mechanization and depletion of forest resources, resulting in local people’s hardship (Both Ends, 2000). Several farming systems have been promoted around the world to replace the shifting cultivation. Among the farming systems introduced, agroforestry has been extensively promoted. However, confronted with necessary supports such as institutional, policy, land tenure insecurity, etc., shifting cultivation is still being widely practiced in mountainous areas of many countries (Khisa, 2002; Millat-e-Mustafa et al., 2002; Roy, 2002; Rasul and Thapa, 2003).

6.4. RESEARCH METHODS Study Area The study was conducted in the Khagrachari hill district of the CHT. The district is bounded by the Indian State of Tripura on the north, Rangamati and Chittagong districts on the south, Rangamati district on the east, Chittagong district and the Indian State of Tripura on the west. Geographically it is located between 21o25′and 23o45′N latitude and 91o45′and 92o50′E longitude. The hills and cliffs of the entire CHT are covered with dense trees, cane, bamboo, and shrubs, and valleys have deep natural forests. Hill elevations in Khagrachari are not more than 500 m. The forests are mainly of mixed tropical evergreen and deciduous type. Plantations started in the CHT in 1871 with teak (Tectona grandis) and teak is still the dominant plantation species in the region. However, presently a mixture of long-rotation (40 years), medium-rotation (18 and 12 years), and short-rotation (6 years) species are being planted with emphasis on timber, fuel, and pulp production. Even though there is no database, it is claimed that the total annual plantation area never exceeds 400 ha and most of the plantations are in very poor condition due to lack of regular maintenance. Agroecologically, the region belongs to the northern and eastern hills of Bangladesh (FAO/UNDP, 1988). Hill slopes are very steep. The predominant general soil types of the area are brown hill soils (FAO/UNDP, 1988). Soil texture varies from sandy loam to sandy clay-loam. Hill soils are mainly yellowish brown to reddish brown-loam and grade into broken shale or sandstone at a variable depth, usually between 0.25 to 1.0 m. Organic matter content and general fertility are low. Valley soils are mainly acidic loam and clays subject to seasonal flooding (FAO, 1988). The area has a monsoon climate with a mean annual rainfall of about 2,553 mm, and more than 80 percent occurs between April and October. After the rainy season, a long drought starts which lasts for four to five months. Mean annual temperature and relative humidity of the region are around 25°C and 80 percent, respectively (FAO, 1988).

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Methods and Data Collection The district consists of eight upazilas (sub-districts) and from these two, central Khagrachari and Matiranga, were selected randomly for study. A list of jhumias whose livelihoods is dependent mainly on jhum was prepared using the information recorded and deposited in respective upazila offices. These farmers enjoyed neither governmental assistance nor non-governmental support. From the list thus prepared, 48 farmers, 24 from Khagrachari and 24 from Matiranga, were selected randomly for household interviews. However, one farmer from Matiranga declined to be interviewed, making the final sample size 47. The farmers belonged to the Chakma, Marma, and Tripura ethnic groups, which constitute more than 90 percent of the population of 13 ethnic groups living in the CHT. They were divided into three distinct classes based on the extent of operational jhum holdings, i.e., total land used for jhum. Customarily, headmen allotted jhum land based on the availability of household labor, i.e., those having more household labor were allotted more land. The classes were: ƒ ƒ ƒ

Small (up to 0.81 ha, mean 0.61 ha): 21 households Medium (> 0.81 to 1.62 ha, mean 1.21 ha): 21 households, and Large (> 1.62 to 2.43 ha, mean 2.02 ha): 5 households.

The study was carried out using different tools, e.g., semi-structured interviews, uncontrolled focus group discussions, key-informant interviews, uncontrolled observations and village walks, which are part of the participatory rural appraisal (PRA) method of social research. Open-ended questionnaires were used to collect relevant household data. The data collected were related to basic socio-demographics such as household size, sex ratio, literacy, and occupation, products, productivity, cost, and income from jhum; and mean annual household income and expenditure. Field data, except for some jhum products, were collected from January to March 2002. However, I also made three short field visits of two or three days, for example, during the harvesting time of some jhum products. Products were harvested at different times of the year. For example, rice, beans, chili, cotton, and other crops were harvested from September through November. I could not estimate the total farm production and amounts sold in the market because the survey was not conducted during the main harvesting period (September to December). Therefore, farmers were asked for their own assessments. In general, farmers do not maintain any record, but they could recall how much they sold in the market and the income from the sale of those products. Although farmers themselves consumed some of their products, the assessment seemed plausible because products are sold by weight (kg), indicating how much they really sold in markets and accordingly the income derived from the sales. Even though farmers could tell the amounts of products sold and the income, they could not clearly say how much they consumed themselves because they collected products such as arum, chili, eggplants, and beans when needed. As a result, this study could not portray a complete picture of jhum production per unit of jhum plot. However, I could assume the amounts of different products a household of five members can consume. Focus group discussions mainly highlighted the farmers’ perception about the present jhum and what they want for the improvement of their livelihoods. Discussion with key informants explored the differences between present and earlier jhum practices.

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6.5. RESULTS Some important socioeconomic and demographic characteristics of the people in sample areas were collected (Table 6.1). The total household members in the 47 sampled households were 238. Household size varied from a minimum of three to a maximum of seven, averaging 5.06 members. The male-female ratio was 1.1:1.0. Most heads of households were illiterate, but some children attended school. The number was, however, discouragingly low, as only 30 percent of the children in sampled households were found to attend school. The principal occupation in all households was jhum. Other occupations included daily wage labor, animal husbandry, and the collection and selling of forest products, mainly non-timber forest products (NTFPs). Average per capita income was nearly Tk. 25,545 (Tk. 58.90 = 1US$ in 2002).

Input-Output Situation under Present Jhum Production System This study examined the input-output situation under the prevailing conditions of jhum production. On the input side, the major investment was labor. I classified labor costs into two broad categories: paid and unpaid costs (Table 6.2). Paid costs included the payment made for land preparation and weeding, and the purchasing of seed and agricultural implements. More than 80 percent of paid costs were for labor. Labor costs are the major costs during traditional shifting cultivation (Lojka et al., 2008). Farmers reported that jhum is now a labor-intensive farming system due to excessive weeds, mainly sun grass (Imperata cylindrica). Jakobsen et al. (2007: 317) also reported that the most labor demanding activity in shifting cultivation is weeding. Women are the greater part of paid labor because, according to farmers, they are paid less than men; a woman laborer receives Tk. 40 per day while a man receives Tk. 60. Another reason was that men are engaged in the collection and selling of forest products almost all year. Furthermore, women were skilled in weeding without damaging planted crops. Five to eight women were seen to perform weeding along with household members in a jhum field. Farmers reported that if weeding is performed early, a better crop yield could be expected, which is the reason they employ a number of laborers at one time to weed jhum fields. Researchers (e.g., Mertz, 2002; de Anneke, 2004) also believe that the yield and sustainability of shifting cultivation depends, largely, on weed infestation, and suggested a long fallow period and selective weeding. Table 6.1. Basic demographic and socio-economic attributes of sampled households. Sample size: 47 households Total household members: 238 Household size Total Mean no. of people± Standard error of mean Small landholders: 90 4.29 ± 1.32 Medium landholders: 114 5.43 ± 0.54 Large landholders: 34 6.80 ± 0.24 Male-female ratio: 1.1:1.0 Mean annual household income: Tk. 25,545 ± 1812.67

Source: Field survey in 2002

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In contrast to paid costs, unpaid labor costs (mainly household labor) constitute the major input in jhum. Among the farming classes, this opportunity cost (i.e., unpaid costs) was higher than paid costs among smallholders (Table 6.2). Household women played an important role in jhum, as is evident from the amount of unpaid costs. Ethnic people have reciprocal relationships by which they share their labor in social activities including jhum. These labor exchanges were mostly employed when planting crops. On the output side of jhum production, farmers harvested different products in one jhum season. This study recorded 17 kinds of products, of which the principal one was rice (Table 6.3). As on the plains, rice is the staple food of ethnic people. Considerable variation was observed among farmers’ classes regarding rice production. Among smallholders, 40 percent of total output (in terms of sale value) derived from rice, while for medium and large farmers it was more than 60 percent and 75 percent, respectively. I asked them about the reasons for such variation. Smallholders reported that the available jhum fields (mean 0.61 ha) could not produce enough rice to feed them all year even if they cultivated the whole field with rice. Existing production hardly fulfilled rice demand for six to seven months of the year. Many shifting cultivators, elsewhere in Vietnam for example, suffer from hunger between 1 and 8 months in a year (Jakobsen et al., 2007: 317). On the other hand, rice was comparatively cheaper than other items such as linseed or chili, from which they got higher market prices, which gave them the cash to purchase rice, and other food items for household consumption. Medium and large landholders produce other crops but emphasize rice. However, they still faced rice shortages for at least two or three months of the year. When I compare the total input and output, considering both paid and unpaid costs (Table 6.2 and 6.3), it appears that farmers got almost the same amount as they invested in their jhum. However, with these products they could not fulfill their household needs. As a result, they had to depend on other sources of income to maintain their livelihoods.

Income and Expenditure under Present Conditions The trend toward dwindling jhum productivity forces farmers to engage in non-farming activities to make a living. These include wage labor, animal husbandry, poultry, and the collection and selling of forest products (Table 6.4). Farmers, both men and women, who are smallholders, sell their labor to neighbors’ jhum fields while also looking after their own. They got nearly 23 percent of their non-farm income from wage labor, while for medium and large landholders the amounts were only 12 and 9 percent, respectively. Animal husbandry, mainly keeping goats but also including poultry, created a similar trend for non-farm income among all farmers. The highest portion of non-farm income was derived from collecting and selling forest products. Farmers sell products such as fruit, bamboo, timber, and sun grass from their own forests. They also collect and sell NTFPs from nearby “Unclassed State Forests (USF)” [USFs are one of the legal forest types of the Bangladesh hill forests owned by the government but not constituted into reserved or protected forests; these forests (0.7 M ha) are subject to jhum and are under the administrative control of their respective district commissioners]. Sometimes they also extract forest products such as bamboo, timber, rattan, fuelwood, bamboo shoots, and seeds from forest reserves (both primary and secondary forests). Villagers harvested bamboo, fuelwood, and timber almost year round, and these products provide regular income. Bamboo shoots are

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priced high because they have high value as a vegetable to the ethnic people. Even though profitable, they face problems in harvesting these products, mainly the distant locations (usually 3 to 4 km from their residences), difficult terrain, and lack of transport. Forest products provide differential income to farmers. Large landholding farmers earned more than 70 percent of their non-farm income from forest products, while medium and small farmers earned 66 and 55 percent, respectively. Mean annual income from jhum and other sources varied from Tk. 23,823 to Tk. 26,852 across farmer classes. The sale values of products consumed in the household (e.g., rice) were not included in calculating mean annual income, however. When I look at the annual earnings per hectare per year from jhum, an interesting finding is that it is almost two times higher for smallholders than for large landholders (Table 6.3). The main reason, farmers claimed, was that small farmers took intensive care of their crops and utilized the small plots of land to a fuller extent for better production. On the other hand, large landholders put more emphasis on the production of forest products than agricultural products, which have good markets nowadays. It indicates that even though large landholders, who have more workable household members, did not utilize their allotted plots intensively for crops production. Rather they deployed their labor forces for the extraction of forest products that provide better income to their households. In terms of expenditures, farmers of all classes spend most of their income for food and the payment of paid costs. Though farmers consumed a portion of jhum products themselves, they purchased other dietary requirements such as fish and oil, and household utensils at the market. Smallholders expended more than 74 percent of their income on food and other necessities (Table 6.4). This figure, for medium and large farmers, was 64 and 56 percent, respectively. Farmers spend very negligible amounts of their income on education and healthcare. Children drop out of primary school just after two or three years. The distant location of schools, parental ignorance, and above all the need for jhum labor were found to be the reasons for the low level of education. For healthcare, ethnic people mostly depend on traditional herbal medicine. However, in critical situations they visited upazila clinics. From the above income and expenditure analysis, it is apparent that household income and expenditures are almost the same. A very small amount was saved to meet the needs of unusual situations like marriage, hospitalization, or crop failure. Furthermore, farmers reported that productivity might not be the same in the next season. Hence, overall productivity seems unable to maintain the livelihoods of ethnic people.

Comparison of Past and Present Jhum Researchers and policy makers claim that jhum is no longer a sustainable land use practice. Results on input-output and income-expenditure situations also indicated that present jhum production could not sustain the livelihoods of the jhumias. However, reports on many earlier studies stated that jhum was a sustainable production system in hilly areas of the CHT. In order to gain insight on this sustainability issue, I discussed the matter with some elderly ethnic people who had past (for example 30 years ago) jhum experience. Focus group discussions with farmers also tried to get an idea of present jhum management. Discussion results indicated that earlier jhum management seemed to differ from the prevailing current practice in many respects. In the past, all ethnic households of a village selected a jhum field of 8 to 10 ha for one seasonal year, managed the jhum collectively, and shared the products

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equitably. The jhum fields were either naturally grown dense forest or had been resting or fallow for 15 years or more. During land preparation, larger trees usually had their lower branches lopped off and were left standing. Villagers reserved some areas as commons for timber, NTFPS, hunting, and other uses. All debris was burnt and the ash was spread throughout the field to aid production. Farmers usually grew more than 25 varieties of crops in one season. There was no pest infestation and weeding was done twice. Farmers could harvest at least 6,123 kg of rice in a year along with other crops from one hectare of jhum field. The field got a long enough fallow period (more than 15 years) to replenish its natural fertility. The size of the area cleared for jhum per household under present jhum practices is determined by the labor size of the household. Jhum fields are selected either from a household’s own forest land or from USF and covered with small bushes, sun grass, creepers, vines, and species of Albizia spp., and Gmelina arborea. A large portion of slashed and dried materials is taken away for household fuel, and small quantities are burned for ash. Jhum species composition is not as rich in previous years, and farmers grow soil-exhausting cash crops such as ginger, turmeric, and arum, and allow a very short fallow period of two to three years along with few perennial crops such as bananas, pineapple, Albizia spp., G. arborea, and Syzygium spp. Though pest infestation is not very serious, jhum work has become laborious due to severe weed infestation. Productivity is down considerably, to not more than 1,482 kg of rice per hectare annually. Farmers do nothing to improve soil quality within the limited fallow period. The results of the group discussion also indicated that collective activities in jhum were much more prominent in earlier years, which ensured equitable access to resources and benefits among the community members. Productivity was higher because the land got enough time to rejuvenate its natural fertility. Decisions on land preparation and crop combinations were made while keeping the problems of soil erosion and soil quality in mind. The current approach to crop selection is based on cash value rather than on soil fertility management. As a result, heavy soil erosion takes place especially during the first year of cultivation. Very recent studies indicate that upland soil loss during the first year of jhum in the CHT is 41 Mg ha-1 yr-1, though the rate of soil erosion decreased in subsequent years (Gafur et al., 2003).

5.6. DISCUSSION In relation to the debate on advantages and drawbacks (Fig. 6.1), ethnic people of the CHT still practice jhum as a principal source of livelihoods. Due to repeated shortening of the fallow period, jhum productivity has been reduced markedly, and soil can no longer regain its natural fertility in a short time. Input-output analysis shows that the present low productivity of jhum jeopardizes the livelihoods of jhumias.

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Input-Output Analysis The results of input-output and income-expenditure analyses reveal that the present jhum production pattern cannot be considered sustainable for the livelihoods of ethnic people. There are two reasons for unsustainable production. First, present yield cannot feed the farmers all year, which was possible in the past (Lewin, 1869). Interviews of key informants also indicate that in the past (30 years ago) rice productivity was almost five to six times higher than it is now. Generally, productivity is around 1,035 kg of rice per hectare (see Table 6.3). In a recent study in the Bandarban district of the CHT, Boggaard et al. (2003) found that with a total input value of US$ 380, the returns correspond to only about US$ 360 ha-1 yr-1, even after allowing for a conservative labor wage. The findings, however, indicate that output is higher than the input value when I exclude the unpaid costs of household labor and exchange labor. Even though jhum yield was higher than input value, farmers face food shortages and have therefore adopted other occupations for sustenance. A similar situation can be observed in the study of Seidenberg et al. (2003). They observed that farmers shifted to wet rice cultivation where possible; established home gardens, fruit orchards, and fish ponds; intensified their collection of forest products; and sought income from off-farm activities due to the breakdown of shifting cultivation. Livestock development along with production of fruits and vegetables as well as fish production from ponds provide a viable element of the livelihood portfolio of households (Jakobsen et al., 2007: 317). Jhum Merits - Socio-culturally adapted land use system - Produce main food crop (rice) - Eco-friendly

Demerits - Deforestation - Soil degradation - Sedimentation - Unsustainable land use system

Factors that badly affected jhum and jhumias - Rapid rise in population (endemic and in-migrant) - Construction of development infrastructure - Government policies on expansion of reserved and protected forests

Present condition Reduced productivity and vulnerable

livelihoods

Ways forward - Collective jhum management - Improving farming systems - Policy re-forms - Institutional supports - Effective local participation - Off-farm income generation

Improving livelihoods of jhumias and conservation of forests

Figure 6.1. Debate on jhum, and possible ways to improve the livelihoods of jhumias

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The second reason for unsustainability is that farmers cannot increase or even maintain the existing level of production because repeated cultivation has reduced the nutrient base of the soils, and top fertile soil has been eroded in every cultivating season. Jhum fields suffer the severe loss of soil and valuable plant nutrients along with runoff during the rainy season (Boggaard et al., 2003; Gafur et al., 2003). Boggaard and others have also mentioned that to compensate for these losses with commercial fertilizers would cost nearly US$ 2 million yr–1 for the entire CHT. Use of chemical fertilizers in the remote hilly areas is not a feasible option because the bad transportation network might impose higher costs beyond farmers’ capacity to pay. Limited application of fertilizer can enhance yield level (Mertz et al., 2008). However, the application of mycorrhizal fungi, which enhances nutrient availability for crop productivity and soil improvement, (Uphoff, 2003) could be investigated in the CHT. Moreover, farmers should be encouraged to apply locally available organic materials such as decomposed weeds, cow dung, etc.

Ways Forward Taking consideration of land scarcity, population growth, and jhum productivity decline, I asked farmers what they wanted in order to improve their livelihoods. Farmers mentioned some alternatives such as collective jhum management, development of site-specific and market-oriented agroforestry systems, land tenure security and necessary institutional supports. However, they do not want to leave jhum, because it provides them with the main food grain of rice, which is the symbol of their identity and culture. Traditional culture, which is embedded in human knowledge and experience within religious faith and which is deeply rooted in the minds and hearts of small-scale farmers, makes agriculture meaningful and sustainable (Alhamidi et al., 2003). Opinions of farmers are discussed in the following sections in light of sustainable livelihoods.

Collective Management of Jhum Collective management involves allocation of a tract, say 8 to 12 hectare, for a village of 30 to 40 households. This collective land tenure should be used for subsistence purposes. On this collective land, farmers could produce rice and other products through traditional jhum. If they would have been allocated, for example- 12 hectare of land, this land could be divided into four equal plots, and jhum could be practiced sustainably on those plots with a four-year fallow cycle. Farmers feel that such a collective management system benefits them in several ways: 1) Collective action would be enhanced, which leads to better yield and increased income through collective management and marketing of products. 2) Labor input would be reduced and used for other productive purposes such as manufacturing cottage industry products. Ethnic people are well known for their handicrafts, traditional cloth, and other products, which have good markets in urban areas. 3) Child labor would be avoided and children could attend school. 4) Above all, social cohesion will be re-established among them. Jakobsen et al. (2007), in Vietnam, observed that instead of allocating agricultural plots to individual households, it was decided to allocate the entire area to the whole village- thereby

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building on the customary land tenure system. Community control of natural resources can open up new livelihood opportunities for local households (Thoms, 2008). This option highlights an important requirement for resource management: collective action. Collective action is well recognized as being an important component for long-term use of natural resources for rural development through various forms of active management. (McCarthy et al., 2004; Poteete and Ostrom, 2004). Collective skills and labor inputs increase crop production without relying much on external inputs such as chemical fertilizers or crop protection devices (Pretty and Hine, 2001). Agricultural systems are sustainable and more productive when human capacity increases (Pretty, 2002), and collective action, particularly in remote areas, plays an important role in building human capacity to innovate and adapt agricultural practices for sustainable outcomes. Productive use of people’s collective capacities to work together in order to solve common management problems is considered an important way of making farming systems sustainable (Pretty, 2002). Local organizations which have linkages with governmental and non-government agencies play an important role in enhancing human capacity. Presence of farmer’s organizations facilitates rapid development and diffusion of technologies and information (Isham, 2000). The landcare approach, which centers on the formation of community landcare groups supported to varying degrees through partnerships with government and non-government agencies, in the Philippines are an example of collective action, which ensures secure livelihoods and environmental sustainability through appropriate agroforestry technologies (Cramb and Culasero, 2003). Data on labor exchanges (Table 6.2) indicates that collective activity was present among farmers, but because they have individual parcels of land they contribute much less time to collective action. In order for increased collective activity and for effective collective management, the foremost importance is to build socially acceptable organizations through which agencies could develop and disseminate locally suitable, socially acceptable and economically viable farming systems. Where such organizations are present, collective action would produce beneficial outcomes.

Promotion of Suitable Agroforestry Systems There have been increasing efforts, in many developing countries, to promote the adoption of agroforestry systems to reduce the problems associated with shifting cultivation (Fischer and Vasseur, 2002). Development of agroforestry on degraded community lands seems to be an important way to achieve land rehabilitation and restoration of forest services (Blay et al., 2008). As traditional slash-and-burn systems with prolonged fallow periods are no longer feasible in most parts of the tropics, improved agroforestry systems have high potential to increase the productivity of farming systems and sustain continuous crop production (Lojka et al., 2008: 27). For the promotion of agroforestry, I propose individual land tenure system, for example 0.5 ha of hilly land could be granted to each household. This agroforestry would be market oriented from which the farmers get financial return. This type of land tenure arrangement and agroforestry practices are working well in other parts of the country (Nath et al, 2003; Safa, 2004). However, the development and diffusion of suitable agroforestry technologies are of great challenge. The Chittagong Hill Tracts Development Board (CHTDB) tried contour hedgerow intercropping agroforestry technology (CHIAT) to replace the jhum; but the adoption rate was discouraging due to difficulty in managing

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hedgerow and reduced yield of annual crops under the shade of perennials (Nath et al., 2005a). Farming systems based on natural vegetative strips (NVS), instead of tree hedgerows, could be sustainable with many advantageous qualities (Fujisaka et al., 1994; Garrity, 1999a). The NVS technology can be introduced experimentally in some areas initially. However, farmer's organization should be involved during the on-farm development of the technology. Appropriate training should be provided to farmers, and local facilitators should be developed who, with commitment and skills, help to diffuse the technology to other farmers. The study indicated that women as well as men play an important role in jhum management. Women’s initial and continued input has important ramifications for their role in the decision-making process within the community as well as the long-term sustainability of interventions (Ward et al., 2004). Therefore, they should be consulted, their views should be taken into consideration, and they should be given equal opportunity to take decisions about technology interventions.

Policy Implications and Institutional Supports Existing land distribution policy in the CHT allows allocating one hectare of hilly land to a permanent resident of the CHT. If this were the case, my proposal for both collective and individual tenure systems would save much government land that could be utilized for other land use purposes. Whenever farmers get individual permanent land tenure, they could invest all of their efforts for agroforestry development. Permanent land title increases the social, political, and economic interest of the farmers, and they can apply for loans to develop their land in a suitable and diversified way (Boggaard et al., 2003; Rasul et al., 2004). Uncertain land rights discourage villagers from investing labor and capital in permanent land and soil improvement or into changing to permanent cultivation (Seidenberg et al., 2003; Ward et al., 2004). However, there should be strong commitment among farmers, farmer's organizations and government authorities for the development of the upland and upland societies. Government authorities should monitor the programs from time to time. In some areas of the CHT where institutional supports such as land agreements, titles, credit facilities, extension services, and marketing facilities are available, farmers have abandoned extensive jhum and adopted locally suitable commercial land uses such as agroforestry, horticulture, and timber production (Rasul et al., 2004). In the study areas, farmers did not receive any sort of institutional support either from the government or from non-governmental organizations (NGOs). When there will be farmer's organizations, it would be possible for NGOs to work with those organizations. By principles, NGOs operate their works through local organizations.

Table 6.2. Production costs (Tk.) in jhum according to operational landholding classes

Paid costs Landholding Classes

Labor Male

Seed

Unpaid costs Agricultural implements

Female

Household Labor Male

Exchanged labor

Total costs Jhum ghar

Jhum watch

Paid

Unpaid

Female

Small

138

3218

370

560

1644

3088

200

213

365

4,286

5,510

Medium

950

6037

206

327

1887

3690

446

174

384

7,760

6,341

Large

1350

9064

367

67

2580

3867

100

309

609

10,848

7,465

Sources: The figures were derived based on farmer’s responses during field survey in 2002. Jhum ghar: For the protection of jhum field farmers, soon after land preparation and planting, built a temporary hut (jhum ghar) mostly located at the center of the jhum field. From that hut, farmers watch the crop field and store their stuffs. They stayed at both day and night, especially during crop growth and harvesting, to protect the crop damaging by wild animals such as deer, monkey, porcupines, etc.

Table 63. Products, productivity (kg), market value (Tk.) and earnings (Tk.) per household from jhum in a year according to landholding classes Small landholders Products Rice Barley Maize Linseed Ginger Turmeric Arum Cassava Chili Eggplant Snake gourd Beans Cucumber Marfa Khira Sweet gourd Cotton Mean annual earning plot/household (Tk.) Mean annual earning/ha /household (Tk.)

Quantity

Sale value

645 9 27 64 59 110 42 45 44 38 21 34 4 91 5 12 45

4545 180 270 1600 702 220 420 450 880 380 210 238 20 455 25 120 540

Medium landholders Quantity 1293 21 66 40 124 30 30 28 28 19 20 14 38 4 42

Sale value 9051 210 1650 480 248 300 300 560 280 190 140 70 190 20 504

Large landholders Quantity 2035 17 40 57 61 20 24 34 19 20 13 17 15 65

11,225 ± 658.67

14,193

± 687.42

18,762 ± 587.36

18,402 ± 649.89

11,730

± 680.54

9,288 ± 578.22

Sale value 14245 170 1000 684 122 200 240 680 190 200 91 85 75 780

Sources: Figures on quantity of different products were derived based on farmers’ assessment during field data collection, and sale values were cross-checked based on the prevailing market prices in nearby markets at the time of data collection in 2002

Average production per ha/yr (kg) 1035 15 17 44 42 77 25 27 22 17 17 10 40 7 20 40

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Table 6.4. Yearly income (Tk.) and expenditure (Tk.) situation of jhumias in the study areas Landholding classes Item Small Medium Income & Sources Jhum products except rice 6,710 5,142 Wage labor 4,934 2,505 Animal husbandry 4,439 4,114 Poultry 905 558 Forest products 7,335 13,642 Total income Expenditures Paid cost Food & others Education Health

23,823 ± 654.32

Total expenditures

22,765 ± 215.34

4,286 16,884 889 706

25,961 ± 349.43 7,760 16,286 717 571 25,334 ± 327.18

Large 4,517 2,017 4,134 534 15,650

26,852 ± 459.12 10,848 14,660 434 225 26,167 ± 338.23

Source: Field survey in 2002

As jhum land belongs to the Forest Department (FD), state forest policy largely affects jhum practices and hence the livelihoods of ethnic people. Earlier policies, which aimed for further forest reservation and expansion of teak forests, could not benefit jhumias, and diminished the area of jhum (Roy, 2002). Teak monoculture not only effected the livelihoods of the ethnic people, but also adversely effected the CHT soil, water, wildlife, vegetation, ecology and environment (Rasul, 2007: 160). Farmers did not participate in these plantation programs. Current state forest policy (1994) requires that all denuded USF of the CHT would be brought under plantation programs with the active participation of jhumias (FMP, 1995). However, translation of good policy statements into reality is very rare in Bangladesh, and the policy in large part benefits the social elites who are on good terms with officials. The situations of the actual victims remain unchanged. Moreover, farmers felt that plantation programs would displace them again as they were previously on account of forest reservations. Besides forest policies, policy on the government-sponsored in-migration program also adversely effected the lives of ethnic people and the forest resources of the region. Since the independence of Bangladesh in 1971, thousands of plains Bengalese have been settled throughout the CHT, but were not provided any job; rather they exploited the CHT forests. They were even resettled on land previously held by ethnic people (Roy, 1997). Ethnic people believe that in-migrant plains people are mostly responsible for soil degradation and deforestation in the CHT, because these people were not familiar with traditional jhum and practiced unsustainable agriculture on hill slopes often with cash crops such as ginger, turmeric, and aroids, which caused heavy soil erosion. Inoue (2000b) also found a similar situation in his observations. Though policy makers and environmentalists claim that jhum is the major factor for deforestation in upland areas, tribal people argued that much of the forest

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land was (and is being) deforested due to inappropriate government policies and illegal logging. Confronted with the above-mentioned limitations and difficulties, farmers in the CHT who live mostly in inaccessible hilly areas and are deprived of all humanitarian services and facilities are forced to practice traditional jhum. In order to maintain their livelihoods, there is a need to balance food and income generation, and a combination of on- and off-farm enterprises helps to maintain the balance (Belsky and Siebert, 2003). By carefully exploiting the distinctive ethnic cultures and forest biodiversity of the CHT, there is ample scope for the creation of off-farm income-generating activities such as ecotourism. This tourism, if developed with a community-based approach, could bring real economic benefits to local communities. Communities will ultimately be involved in protecting areas of rich biological and scenic interest, and dependency on jhum will be reduced.

6.7. CONCLUSION Some conclusions can be drawn from the results of this study and previous reviews. As citizens of independent Bangladesh, jhumias can enjoy at least basic rights such as land rights. They believe the land is common property and as such, they do not maintain any kind of land certificate. Although the in-migrant Bengalese were not the original residents of the CHT, they have land titles. In contrast, the ethnic people who have been living in the region for many generations have no formal land title. They are struggling for land tenure. Policymakers blamed them for the plunder of forest resources, but nevertheless the major stock of the country’s forests, in terms of coverage and growing stock, is found in the CHT and provides the FD with revenue. A collective approach of resource management can be seen effective in many Asian countries, and a market oriented individual approach is prevailing in Bangladesh. These two approaches jointly could be functional for the development of CHT. With this new approach, farmers could be able to maintain their traditional jhum as well as practice market oriented locally suitable agroforestry practices. Farmers need technical know-how, capital investment, marketing facilities, and institutional supports (mainly title to their land) to move from jhum to sedentary farming practices such as agroforestry. Government institutions, NGOs, and other social organizations exist in the CHT, but they are mostly located near accessible areas. Their activities should be extended to remote areas so that ethnic people can get extension services. However, there should be integration among different government institutions such as the FD and Land Revenue Department, while NGOs, other development agencies, and farmers’ organizations should offer a permanent solution to discontinue jhum and institute other land uses in the CHT. At the same time, community-based ecotourism may be developed in protected areas of the CHT to provide alternative livelihoods sources. Finally, it can be concluded that any development interventions that are targeted towards sustainable resource management and livelihoods improvement will be sustainable only when the authorities have a strong will accompanied by appropriate policy and institutional support that integrates farmers, consumers, and other stakeholders for the betterment of society and the environment.

Chapter 7

SMALL-SCALE BETEL LEAF AGROFORESTRY IN SYLHET REGION ABSTRACT The Khasia ethnic community of Bangladesh has been a population of forest villagers in the northeastern hill forests of Bangladesh since the early 1950’s, practicing a betel leaf-based agroforestry system on land granted by the Forest Department. This chapter explores indigenous management of agroforestry and the sustainability attributes of betel leaf production in the agroforestry system. The data and information of the study have been drawn from randomly selected three forest villages of Sylhet forest division. Villagers were classified into three categories based on their mean monthly income. Eight households were selected at random from each category in each village for household interview. Officials of the Forest Department were interviewed to explore the impacts of the farming system on forest conservation. Findings indicate that the lives of the Khasia people are centered on the hills and hill resources. Their economy is forest based, using simple, traditional technology. Their principal occupation and source of livelihoods is betel leaf agroforestry. The presence of several positive attributes of sustainability such as composition of agroforestry, disease control, soil fertility management, profitability, socio-cultural acceptability and institutional support indicate that betel leaf production within the agroforestry system seems stable under prevailing traditional management system. Income from the sale of betel leaf is the principal livelihoods means and villager’s reciprocal contributions help to conserve forest resources.

7.1. INTRODUCTION The majority of the ethnic people of Bangladesh inhabit hilly areas. In the past, most of them lived by subsistence agriculture, but a market economy has emerged with their integration into mainstream society. Both external and internal factors have been responsible for such a shift in their economy. The external factors include the imposition of settlement of non-tribal outsiders in the ethnic areas, external market forces, provision of services, etc. The internal factors are changes in their attitude towards life, the adoption of wet rice cultivation, changes in social and property relations, acceptance of modern education, and the adoption of the values of the market economy.

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The Khasia ethnic community dominate in the greater Sylhet district along the northeastern border of the country – the Khasia hills and the Shillong of the Meghaloya Plateau being the main residence of this tribe, having settled there some 500 years ago (Das, 1999). They are light to medium in size and show a Mongoloid physique with a whitish-yellow complexion. They are simple, polite, honest and hard working in nature and have a unique and joyful lifestyle with their own language - ‘Khasi, Khas or Tsinteing’ (Hassan, 1999) cultural background and history. The Khasias are partly animist and partly scheduled caste Hindu, the latter being rapidly Christianized (Rashid, 1991). The Khasia ethnic community has practiced their traditional betel leaf (Piper betle L.) agroforestry system since the early 1950’s when they were settled as forest villagers by the Sylhet forest division. There have been some studies on the farming systems of different ethnic groups in Bangladesh. Khaleque (1983) studied the wet cultivation and property changes of the Garo people in Madhupur Barind. A study of the trends and constraints of farming systems in the Chittagong Hill Tracts was conducted by Uddin and Saha (1994). Millat-e-Mustafa et al. (1999, 2002) and Siddiqui et al. (2002) described the indigenous farming system and socio-economic status of the Marma tribe in the Chittagong Hills. Alam and Mohiuddin (1995) studied the conservation of tree diversity through betel leaf cultivation in Sylhet. This study was done in order to describe the indigenous management of betel leaf agroforestry and the sustainability attributes of betel leaf production within the agroforestry system that ensures the sustainable flow of income to villagers. Betel leaf, a perennial vine, is an important crop throughout Bangladesh and the neighboring countries. Usually people of South Asia, the Gulf States, Southeast Asia and the Pacific islands chew it. In Bangladesh, the leaf is traditionally chewed with slices of betel nut (Areca catechu L.) and a thin coating of lime by all classes of people not only as a habit but also as an item of rituals, etiquette and manners. It is a common and sometimes mandatory item in many social functions. The leaf has both medicinal and economic values. It is traditionally used for the treatment of various maladies, including bad breath, headache, ringworm and hysteria, and the leaf’s oil possesses antibacterial, antiprotozoan and antifungal properties (Guha, 2006). The economic significance of betel leaf in the past was such that Prince Azim-us-Shan, the subhadar of Bengal (1697-1703) made it one of the royal monopolies calling it Saudia khas. Robert Clive, after the acquisition of the Mughals provincial administrations in 1765, made betel leaf and betel nut a monopoly of the East India Company in 1767 (Banglapedia, 2001). Presently, it is known as neglected green gold because it is one of the promising commercial crops capable of attracting a substantial amount of revenue to the country (Guha, 2006).

7.2. IDENTIFYING THE CHARACTERISTICS OF AGRICULTURAL SUSTAINABILITY The livelihoods of rural people depend on their village’s natural capital (land, water, trees and forests), which provides all natural resources required by villagers (Komatsu et al., 2005), and hence resource sustainability has foremost importance in sustaining their livelihoods. Like sustainable development, agricultural sustainability also has considerable appeal. Despite variation in the concept of sustainable agriculture, there is a consensus on three basic

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features (Rasul and Thapa, 2004b; Zhen et al., 2005): (a) maintaining environmental quality (reasonable use of external inputs to prevent resource degradation and reduce risks of human health), (b) economic viability (ensuring stable and profitable production activities), and (c) socio-institutional acceptance (food security, technology adoption, and effective institutional services such as markets and policy). Sustainability requires that economic objectives be achieved while preserving the ecological and social systems that support humankind (Lamberton, 2005). Dumanski et al. (1998) mention five pillars of sustainable land management: maintenance or enhancement of productivity/services, reduction of production risk, protection of the natural capital base, economic viability, and social acceptability. The sustainability attributes of agroforestry include soil productivity and other biophysical advantages including soil erosion control, addition of organic matter, improvement of physical properties, N2-fixation, improved nutrient cycling, and reclamation of degraded land (Nair, 1993). Nair (1993) reports that quantitative measure of sustainability has not been developed yet and until such criteria and indices for assessment are fully developed and widely accepted, it will be necessary to rely on qualitative statements about the sustainability of agroforestry as is the case with other land-use systems. The International Tropical Timber Organization recently developed seven criteria with several indicators of sustainable forest management (ITTO, 2005). These criteria can be grouped into three major categories: enabling conditions (ITTO criterion 1), ecological criteria (ITTO criteria 1-6), and socioeconomic criteria (ITTO criterion 7). In light of above discussion, the following characteristics were used within the studied agroforestry system: • • •

Ecological attributes: cropping patterns, species composition, pest and disease management, soil erosion, and soil fertility management. Economic performance: trends of productivity, profitability, food security and savings. Socio-cultural and institutional aspects: people’s beliefs, self-sufficiency of inputs, and equity, policy, land tenure, and markets. Input self-sufficiency means availability of local inputs, while equity means the ability of the agroforestry system to generate employment (Rasul and Thapa, 2004b).

7.3. METHODOLOGY Study Area and Selection of Sample Households The greater Sylhet district in the northeastern border of Bangladesh is the traditional area of Khasia and Manipuri ethnic communities. The area lies between latitude 24001´ to 25015´ north and longitude 91005´ to 92015´ east. The district of Sylhet is a broad, level valley. To the North the hills of Indian Khasi and Jaintia form a wall, the base of which forms the district boundary. A little to the north of Sylhet town there are numerous isolated hillocks, called tillas, ranging from 40-90 m in height. The lower slopes with undulating topography of these tillas are under tea cultivation. Agroecologically the region belongs to the northern and eastern hills of Bangladesh under entisols soil order, and the general soil type is brown hill soil (Banglapedia, 2001). Soil organic matter and fertility levels are generally low, and texture

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is generally sandy loam or silty loam. The area has a maritime climate characterized by a period of high rainfall from April to September, and relatively dry period from November to March. Humidity remains high at 70 to 85 percent throughout the year, and daytime temperatures remain above 30 degrees Celsius from April to October, and normally below 20 degrees Celsius from November to March (Saha and Azam, 2005). The Khasia ethnic people are distributed in all 11 thanas (sub-districts) of Sylhet. Three thana were selected at random followed by a random selection of three villages (punji), one from each selected thana. These villages are situated on the tillas in clustered settlements. The head of the punji, who is much respected, is called mantri (minister) and the villagers abide by his commands. In each village studied, a preliminary socio-economic survey was conducted to find the monthly income of every household and later they were divided into three categories based on the size of their mean monthly income:

• • •

category 1: poor (mean income per month ≤ Tk. 10, 000); category 2: medium (> Tk. 10, 000 ≤ Tk. 15, 000) and category 3: rich (> Tk. 15, 000)

Eight households were selected at random from the lists of the households in each category from each of the three villages - 72 households in all - in three thana- in one district. Before household sampling, a discussion was done at the respective forest officials, local union council offices with the Chairman and members, the mantri and other influential persons. The discussion helped to explain the work intended.

Methods of Study The study was conducted in two phases. The first phase was carried out in May – June of 2002 in three selected villages. In that phase, the head of each sample household was interviewed and their agroforestry plots were visited. A questionnaire consisting of both structured and semi-structured questions, was designed and pre-tested in advance, and used to gather quantitative data on the socio-economic attributes (household composition, education status, occupation, monthly income and income sources) of each household. Simple observation was also used to determine the housing status and overall condition of the agroforestry. In each village, a group discussion with the villagers was conducted using a semi-structured questionnaire to explore the management of agroforestry, gender roles in agroforestry activities, attitudes on the future of this agroforestry system and the problems they are facing. An informal discussion was also conducted with officials of the FD of the Sylhet forest division to ascertain their views about the prevailing practices and their impacts on the forest and its conservation. The second phase was carried out in 2005 and concentrated on investigating the sustainability attributes of betel leaf production in the agroforestry system. All agroforestry plots in the three villages are managed traditionally and seem very similar in terms of growth and composition. Hence, this phase was concentrated in one village and 21 households out of 23 were interviewed.

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Quantitative data was collected to assess the profitability of betel leaf production within the agroforestry system. Profitability was measured according to net annual income. Household expenditures were estimated to get a general picture of savings. To assess households’ income and expenditures, villagers were asked about their weekly incomes and expenditures for certain items. It was observed that villagers could recall their weekly income and expenditures more accurately than monthly or yearly. For example, they recalled how much they spend for food in a week and how much they earn from betel leaf per week. Those figures were converted to an annual basis. Villagers said that even though expenditures may vary from week to week, this estimate gives a general picture of household expenditures. The principal cost in betel leaf production within the agroforestry is labor, and therefore villagers were asked how many male and female labor they employ for how many days in season (May through August), and off season (September through January) and also annually, and the cost for wages. One pre-tested, semi-structured questionnaire for each household was used and interviews were carried out over a period of several weeks in May and June 2005. One Khasia boy was always present during household interviews but did not involve himself in interviewing the respondents. Qualitative information was gathered through one group discussion with villagers, informal talks with Khasia people of various ages and with forest officials, and through personal observations. Six men and two women were present in the group discussion, which highlighted matters such as their views on agroforestry system, management of soil fertility, pest and diseases control, markets for product, and problems related to agroforestry system. A separate semi-structured questionnaire was used to facilitate the discussion. Talks with forest officials dealt with matters including policy, land tenure issues and participation of Khasia people in forest management activities. Khasia people talked about matters of concern to them such as living conditions and daily activities. Agroforestry plots were visited to identify species composition and to observe soil conditions. Collected quantitative data was summarized into averages to find the standard error of mean. The Pearson correlation (two-tailed) was used to find the correlation among different variables of betel leaf production. All statistical analysis was carried out by using SPSS (Statistical Package for the Social Sciences) version 12.

7.4. RESULTS Some Ethnographic Observation There are six castes in the Khasia tribe: tsinteing, khinrium, war, nong phlang, lyngam and bhoi, but there are no differences in dress, food habits or festivals. The female wear kajimpin and lozonkhen, and male wear foon-mabu and lungi. Women are very fond of ornaments, usually of gold or silver, on their neck, wrists, fingers and ears. Men wear finger rings only. The Khasia people are fond of songs and dance. Besides songs and dance, hunting, throwing arrows, gambling, drinking, etc. are the part of their joyful way of life. The major festivals of the Khasias are Nong Krem Dance, Ronkhlii-Bagh, Behdeinkhlam, Jeinge-yasang, Hoktoi, the 31st night of December and Christmas day.

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Rice, fish, meat, egg, bread, pulse and vegetables are common foods, along with hard drinks, betel leaf and betel nut. Pork and dried fish are very popular. They use few spices in cooking their food. The total population of the 72 sampled families was 522. Household size varied from a minimum of 3 to a maximum of 18, averaging just over seven members with a. male-female ratio of 1: 0.9. The male and female literacy rate was estimated to be 42 and 33 percent respectively, giving a figure of 38 percent for the population as a whole; sixty two percent of the population was illiterate while 24 percent had primary education, and only 10 percent went on to secondary school - fewer still to higher education. Currently, education at primary and secondary levels amongst females was comparatively higher than for males due, possibly, to the program "food for education and fellowship," provided by the government to encourage female education throughout the country. The principal occupation of the Khasia ethnic members, irrespective of their farm size, was betel leaf (Khasia paan) and betel nut cultivation. All sampled households practised this type of farming system in their homegardens and the allotted forest-land. Villagers who had substantial plain lands outside the forest engaged in arable agriculture, while others were engaged in service occupations or had additional businesses as secondary occupations. A few villagers owned livestock (mainly poultry and cattle), but this was of minor importance. Houses are generally located on ledges cut into the hill slope and made from locally collected wood, bamboo, slits of betel nut stem, mud, etc. They are raised (machan) 1.5-1.6 m high from the ground as protection against flood and wild animals. A rough step-ladder gives access to the house. Twenty nine percent of the houses in the study areas were made with timber-mud-split betel nut walls and 25 percent of mud alone. Some richer villagers (12 percent) used bricks and cement. Eighty three percent used C.G.I. sheet for roofing but the poorer villagers thatched their houses with sun grass. Split betel nut stems are laid over the ground under the edge of the house’s roof to break the fall of water flowing off the C.G.I sheets or other roofing material and also to control soil erosion during the rainy season. The floors are made of bamboo and betel nut split and flattened, the numerous crevices giving free access to every breeze and rendering a hill-house one of the coolest and most pleasant of habitations.

Mean Monthly Income and Their Sources The mean monthly income across different categories of villagers in three studied villages ranged from Tk. 8287 to 17,513 (Table 7.1: Tk. 58/US$ in 2002). More than 85 percent of the incomes of the poorer villagers came from betel leaf and betel nut compared to 75 and 59 percent respectively for the medium and rich farmer categories. The rich villagers derived up to 29 percent of their income from other services and businesses.

Vegetation The vegetation in the study areas is both natural and man-made. The natural forests can be classified as tropical mixed evergreen with a bamboo understorey. The natural virgin forest has almost completely disappeared - destroyed by fire, illicit felling or shifting cultivation -

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and being replaced by secondary regrowth of varying degrees of density (mostly with the bamboo Melocanna bambusoides that is managed on a 4 years felling cycle), or by plantations. Considerable areas of sun grass (Imperata cylindrica) occur in pure stands and elsewhere as patches. The plantations are mainly teak (Tectona grandis) with various mixtures of other local species, including Dipterocarpus spp., Shorea robusta, Lagerstroemia speciosa, Artocarpus chaplasha, etc. Areas of Paraserianthes falcataria, Acacia spp., Eucalyptus spp., etc., are managed on short rotations. Table 7.1. Average monthly income of Khasia people and their sources in northeastern hill forest region of Bangladesh. Mean monthly income (Tk) from different sources

Mean monthly income (Tk)

680

225

-

44

Business and others 88

8594

1000

938

-

106

750

11388

Rich

10406

1481

2500

263

363

2500

17513

Mean

8750

1054

1221

263

171

1113

70

8

10

2

1

9

Category

Poor Medium

Percentage

Betel Leaf and betel nut 7250

Trees

Service

Agriculture

Livestock

8287

Source: Field survey in 2002

The forest on the agroforestry plots is rich in species with a distinct storeyed structure. Sixty one plant species have so far been identified from the samples agroforestry plots (Nath et al., 2002). The upper canopy consists of both evergreen and deciduous trees Dipterocarpus turbinatus, Tetrameles nudiflora, Dillenia pentagyna, Salmalia spp., Albizia spp., Lophopetalum fimbriatum, etc. The middle layer contains Amoora wallichi, Cedrela toona, Alstonia scholaris, Mesua ferra, Gmelina arborea, Terminalia spp., etc. The lower canopy consists of Phyllanthus emblica, Bauhinia spp, Cordya myxa, etc. The undergrowth consists of various kinds of bamboos, canes and grasses.

Indigenous Farming Practices Betel leaf is a perennial dioecious climber that creeps up the support trees supported by its adventitious roots. The vine grows best in moist, tropical forest conditions with cool shade, high humidity and abundant soil moisture (Bendre and Kumar, 1980). The betel leaf agroforestry system plays an important role in conservation of tree diversity. Alam and Mohiuddin (1995) reported that at least 30 different tree species were found to be used as support trees of betel leaf. In this farming system, villagers keep all the trees as shade and as support trees for betel leaf plants. They also keep new seedlings to use as a support tree in the coming years. Alam and Mohiuddin, (1995) reported that there are 2,500-3,000 trees of

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different diameter classes per hectare on a typical betel leaf farm. Further, Khasia people live on government forest land and practice the farming system; but they do not fell forest trees but conserve them as support trees for betel leaf, although branches from pruning are used as fuel in their households. Khasia people reported that as betel leaf agroforestry provides them with their livelihoods and financial security, they protect the forest. They consider the forest as the life-blood of their existence. Therefore, betel leaf agroforestry system has had positive impacts on the conservation of forests. During the study, the officials of the FD were also asked about the contribution of Khasia people and their agroforestry system to the aims of the FD. When they replied they mentioned that Khasia people play a vital role in a plantations’ establishment and protection. The agroforestry system does not impede plantation management. Villagers conserve the forest for their own business. Though plantation density is high, it does not hamper tree growth. This is because villagers prune the trees every alternate year which creates enough space for light penetration. Due to pruning, tree grows straight and it does not affect undergrowth during felling.

Land Preparation and Planting Khasia people cultivate betel leaf on the land allotted by the FD. The land is government forest land. Once the land is allotted, it is demarcated and fenced in by bamboo stick. After demarcation of the farm, farmers firstly clean the land, slash and uproot the shrubs and ground flora; keeping only the trees and their saplings. These farms are around or just a little distance from the punji. They believe that betel leaf has a strong connection with the natural forest and its trees as they support the betel leaf and permit it to grow. The existing trees in the agroforestry plots are used as support trees and require little tending. Villagers also plant betel nut trees in the areas without suitable natural support trees within the agroforestry plots. They prefer betel nut because it grows straight, provides partial shade and has a small crown that requires no pruning. In addition, the betel nuts provide a handsome income to the villagers. After demarcation and cleaning of the plots, villagers planted banana saplings, mostly purchased from the nearby market. When the banana plants are one or two years old, betel nut seedlings are planted in between them so that the banana plants provided shade to the nut seedlings at this initial stage. Most of the villagers raised the seedlings in their homesteads. Villagers collected large ripen betel nuts in October-November from tall mature trees (25-30 yr. old). Prior to sowing, the collected seeds are dried for a day or two. Then they are put underground, a few centimeters apart, in a shady place near the homegardens and covered with the leaves of banana or betel nut until germination is complete. After 3-4 months when they are 2-3 cm tall, they are transplanted 10-15 cm apart in beds. After 3 or 4 years, when the seedlings are 1-1.5 m tall, they are transplanted into the garden about three to four meters apart. When they first start to bear fruit, a second cycle of transplanting takes place. Similarly, when the second generation is fruiting, a third generation is transplanted, and so on. As a result, a regular age gradation is maintained. The land is prepared during the drier months of November to February so there is very little chance of soil erosion during this operation. Villagers reported that, generally, after 7-8 years of transplanting, the nut trees are sufficiently tall for betel leaf planting. With the initiation of rains (May –June) the betel-leaf cuttings are planted near the support trees – both natural and planted. Generally, four node cuttings are taken as propagules from the 2-3 year

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old vines. Three nodes are buried under soil and one node is kept above ground. Planting one cutting per tree is the general practice, but some villagers plant 2-3 cuttings per support tree in case of losses. Tending Operations As betel leaf grows well in partial shade, the support trees (other than betel nut) are pruned and lopped every alternate year during the dry months. After pruning, the debris is cut up and lops and tops are made into pieces and kept spread on the ground as a mulch. The ground is kept clean by weeding - two or four times a year, depending on the ground vegetation- and the weeds are used as mulch around the base of the betel leaf plants.

Harvesting of Products Betel nut trees generally bear fruit at seven or eight years of age. Fruits are normally harvested every year. The fruiting life of a tree may extend from 30 to 50 or 60 years. The tree flowers in February and March. The main cropping season is from August to January. During the first period (August), a quarter of the crop is collected, but the major portion is gathered in the second period - during October or November, and finally a small harvest is collected up to January. Plucking of betel leaves starts in the second year and continues for about 10-15 years. High yields are obtained up to the fifth year and then the production declines. Leaves are harvested thrice a year. Two harvests during in-season and off-season give more leaves then the dry months’ harvest. Selective plucking is done during the dry months. Villagers reported that the plucking of betel leaf continues until the plant dies naturally or succumbs to disease or pests. Labor Division Both male and female members of the family participate in betel leaf agroforestry preparation and maintenance. There exists a harmonious relationship among male and female members in performing the activities involved in hill farming. Male members usually do the laborious work (e.g. pit digging, weeding, preparing seed beds, plucking etc.) while females are engaged in light works like mulching, binding and packing the betel leaf, etc. Women perform multiple roles in the household; they act as agriculturists, housewives and entrepreneurs. Sometimes hired laborers are also engaged in field preparation, weeding and the lopping of trees. Children normally participate in sorting and packing the leaves.

Sustainability Attributes of the Agroforestry System Ecological attributes This agroforestry (or agri-silvicultural) system has the two components of betel leaf vines and trees which support them. Villagers practice agroforestry in mixed patterns. Though they prefer fluid-rich trees (e.g., Artocarpus heterophyllus and Artocarpus chaplasha, the bark of which produces latex), all trees in agroforestry plots are used as supporting trees (Plate 7.1). If not effected by disease or damaged by cattle, every betel vine is satisfactorily productive for 10 to 15 years. However, within this period they replant new cuttings at the base of the support trees. To replace the old vines, at two-year intervals, rooted leafy cuttings are made

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from the highly productive vines during June and July, and planted at the base of the support trees. Villagers dig a small hole for planting betel cuttings, which does not create any soil erosion. This practice makes it possible to maintain a range of ages of betel vines to ensure continuous production. Two diseases that are common, known as uttram and uklam, occur mostly during the rainy season (June through August). Uttram damages leaves from the outside to the inside. The leaf edge becomes black, and the disease can spread through the whole plot within a week if precautions are not taken. Villagers generally cut off the effected branches, bury them far from the plots, wash all cloths and tools with hot water, and then take a bath so that the disease is not spread. Uklam causes root-rot and villagers reported that it is highly dangerous. Whole vines become yellowish and if preventative measures are not taken at the first sign of infection, the whole agroforestry plot may be damaged within two or three days. They uproot the affected vine, bury it far away, wash all materials, and take a bath. Villagers reported that the burying of disease infected vines helps stop the spread of disease. They also said that heavy damage due to disease occurs infrequently. During the study, two plots of two households with serious damage were observed. In very severe cases, villagers clear all vines, keep the plot vacant for 2-3 years, and then replant with cuttings. However, their long experience plus regular and intensive care prevent the outbreak of severe diseases. The Khasia observed that many Bengalis (the mainstream people of Bangladesh) tried betel leaf-based agroforestry, but their betel vines failed due to disease after six or seven years. The Bengalis could not identify the diseases at the beginning even though they worked long hours in Khasia’s agroforestry plots. They proudly feel that ‘the betel leaf is given to us by God and only we can take care of it.’ Due to its pungency, betel leaf is not vulnerable to attacks from vermin and insects (Banglapedia, 2001).

Plate 7.1. An agroforestry plot in the studied Khasia forest village, Sylhet forest division, Bangladesh. Photo shows trees of different ages are being used as support trees for betel vines.

The Khasia traditionally manage soil fertility by using available plant materials. Every year, just before the monsoon season, they prune all the branches from support trees, and allow them to dry out. When all the leaves have been shed, big branches are collected for

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fuelwood and the decayed leaves are spread evenly at the bases of betel vines. Plots are weeded twice a year and the weeds are used as mulching. Mulching at the base of vines helps to hold moisture during the dry season. If mulching is insufficient, villagers collect weeds from the forest. They consider this humus enough to maintain soil fertility and have followed this traditional agroforestry practice for more than 50 years on the same plots. During agroforestry plot visits, it was observed that the ground was covered with half-decomposed weeds, leaves and small branches. Topsoil was black, with high organic matter content. However, some people reported that because the forest had been declared a national park, collection of weeds had been prohibited; hence some of them want to use chemical fertilizer in the future. Though two households applied inorganic fertilizer this year (2005), they warned that this could increase the possibility of uklam as being experienced in other Khasia villages. In summary, the agroforestry system accommodates many tree species and maintains regular age-gradations. Skilled people control diseases manually, keep up soil fertility through the use of organic matters, and minimum tillage does not create any soil erosion.

Economic performance Two households (10%) who applied chemical fertilizer reported increasing yield, 17 households (80%) reported a constant level, and two households, whose agroforestry plots were effected by diseases, reported decreasing yield. This means that without using any chemical fertilizer and if there are no severe diseases, it is possible to achieve a constant level of production under present traditional management. The increasing trend of yield, however, does not mean that the households over-exploited the betel leaves, but they reported that due to application of inorganic fertilizer leaf quality increased (e.g. bigger green leaf), attracting higher prices. To measure profitability, all costs involved over the last year (2004) and gross income from the sale of betel leaf were assessed as summarized in Table 7.2. The main cost involved with agroforestry is labor (kamla). Besides households labor, workers are employed, most of whom are female. Females do weeding, cleaning of the ground, and mulching. Male laborers carry out the physically demanding and specialized tasks, including pruning and plucking. A male-female wage disparity was noticed. Female’s wages varied from Tk1. 25 to Tk. 50 per day, whereas male’s wages ranged between Tk. 50 and Tk. 80 per day. The lion’s share of costs are paid for male labor even though their working days were nearly half those of female labor. However, total costs are not significantly correlated with income from betel leaf (Table 7.3). Agroforestry net income depends more on factors other than labor cost. Villagers divide the year into the in-season and the off-season based on rainfall. The number of days worked and labor costs of male and female vary between seasons (Table 7.2). The main benefits (mean net annual income per household) come from the sale of betel leaf. The unit of productivity and selling of leaves is the kuri (1 kuri= 2880 individual leaves). Leaf productivity and prices vary between seasons. In-season leaf production per week per agroforestry plot is between 2.5 and four kuri and the price is between Tk. 250 and Tk. 300 per kuri, while off-season productivity varies from one to three kuri per week, with price between Tk. 650 and 700, and even more than Tk. 1000 in February and March. Correlation 1 $1 US = 65, Bangladeshi Taka (Tk.), as of 2005

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tests indicate that agroforestry income is related to agroforestry plot numbers2 (Table 7.3 and Figure 7.1). The reasons are that villagers could pluck leaves sustainably from a larger number of agroforestry plots. If diseases occur severely in an agroforestry plot, villagers can pluck leaves from other uneffected plots. Table 7.2. Mean annual betel leaf production costs, outputs, and income from betel leaf and expenditure situation of the villagers Variable Betel leaf production costs Labor working days and costs Male labor working days In-season Off-season Female labor working days In-season Off-season Costs for male labor (Tk.) In-season Off-season Costs for female labor (Tk.) In-season Off season Mean costs/year/household (Tk.) [A] Agroforestry outputs Betel leaf productivity (kuri) In-season Off-season Sale value (Tk.) [B] In-season Off-season Net mean annual income (Tk./household) [B – A] Mean annual expenditure a (Tk./household)

Mean

Standard deviation of the mean

112 49 63 217 94 123 6245 2678 3612 6561 2832 3729 12806

23 11 13 64 28 36 1738 779 960 1599 710 890 2742

132 118

15 16

39683 84331 111208 50107

4614 13386 17853 23121

a. Household expenditures include costs for food (more than 90% of total expenditure), healthcare, education, social work, livestock rearing, and hiring labor for forest patrolling. Source: Field survey in 2005

Agroforestry income is more strongly correlated to off-season leaf production and offseason sale values than in-season production and sale values due to higher off-season demand. Higher off-season sale values suggest that if villagers could irrigate their agroforestry plots during the dry seasons, they could expand the plucking period and increase their income. In this regard, they could arrange collective irrigation systems. During the study, researchers observed that there is a perennial stream just beside the village from which villagers could irrigate their agroforestry plots. They could collectively make a temporary 2 Even though all households supposedly have only one agroforestry plot in this village, six households were found to have more than one agroforestry plot. We found six households having more than one agroforestry plot. Villagers said that some of them have expanded their holdings illegally, some purchased from others, and some inherited land from their kin (Gousti or extended patrilineal family members).

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earthen dam (for the dry season, November through March) to create a reservoir for irrigating their agroforestry plots with a shallow water pump connected with long pipe. A shallow pump would cost no more than Tk. 5000, and could be used for many years. It was noticed that the mantri has a deep tube well by which he irrigates his agroforestry plots in February and March and hence obtains a higher price (even Tk. 1300 per kuri). After March, all leaves become yellow and shed. Villagers were asked about their food security status using a three-level scale: surplus, sufficient and shortage. All households said that the income they get from agroforestry (Table 7.2) is sufficient to cover the costs of food and other necessities. Mean annual income of Khasia villagers is about five times as high as per capita national income (GNI) of Bangladesh, which was US$ 400 in 2004 (World Bank, 2006).

OSPRO

r=0.69

AFN

r=0.67

r=0.67

r=0.90

SPRO AFI

r=0.87

r=0.79

r=0.88

r=0.70

r=0.99

SSV

OSSV r=0.81 3

Figure 7.1. Correlations among some important variables of betel leaf production in the studied agroforestry system practiced by the Khasia forest villagers. (r<0.80); (r>0.80)

After covering all production and household expenditures, they have a saveable surplus, but did not reveal the amount or what they do with their savings. However, forest officers and some villagers reported that almost all households invest their savings in acquiring more agroforestry plots in other Khasia villages. These additional plots ensure them steady incomes in case of disease infestation in plots in the study village. Extended family members or relatives care for these plots, which they visit occasionally for maintenance.

3 AFI= Mean annual income from agroforestry; AFN= Agroforestry plot number; SSV= In-season sale value; OSSV= Off-season sale value; SPRO= In-season production; OSPRO= Off-season production

Table 7.3. Correlation matrix showing relationships among different variables of betel leaf production in the agroforestry system in the studied Khasia forest village. Variable AFN HHM MWD FMD MW FW SSV OSSV SPRO OSPRO TINPUT

AFI 0.67** 0.21 -0.03 0.56** 0.01 0.49** 0.88** 0.99** 0.79** 0.90** 0.38

AFN

HHM

MWD

FMD

MW

FW

SSV

OSSV

SPRO

OSPRO

0.57** 0.18 0.95** 0.26 0.88** 0.68** 0.63** 0.69** 0.67** 0.72**

0.27 0.56** 0.35 0.51* 0.35 0.18 0.45* 0.28 0.67**

0.33 0.96** 0.40 0.11 -0.07 0.18 0.04 0.77**

0.38 0.97** 0.59** 0.49* 0.64** 0.60** 0.80**

0.43 0.17 -0.04 0.24 0.06 0.84**

0.52** 0.43 0.57** 0.53* 0.80**

0.81** 0.97** 0.87** 0.48*

0.70** 0.87** 0.31

0.85** 0.54*

0.41

AFI= Mean annual income from agroforestry; AFN= Agroforestry plot number; HHM= Household member; MWD= Male labor working days; FMD= Female labor working days; MW= Male labor wage; FW= Female labor wage; SSV= In-season sale value; OSSV= Off-season sale value; SPRO= In-season production; OSPRO= Off-season production; TINPUT= Total input costs ** indicates significant difference at P<0.00 level and * at P<0.05 level. Source: Based on field survey in 2005

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Socio-Cultural and Institutional Aspects Khasia people are known as the producers of betel leaf in Sylhet region. They have been practicing this agroforestry generation after generation. The mantri stated: “Betel leaf is our blood, our life. All of our culture and festivals are based on this leaf. We are the only people who can grow this betel leaf.” (pers. Com., 2005) This statement expresses how deeply the agroforestry system is rooted in their lives. They learned this land-use technology from their forefathers and still keep up this practice. However, they refine the management system through interactions with neighbors and relatives. For example, the two households which applied inorganic fertilizers for the first time in their agroforestry plots were inspired by their relatives who live in nearby forest villages. Khasia believe the agroforestry plots are a sacred place. Every morning they bathe before entering the plots and wear clothes used exclusively for agroforestry activities. They believe that if they bathe all the evil things will be washed away and their agroforestry will be free from pests and diseases. Whenever a diseased leaf or branch touches their bodies, they immediately take a bath so that the disease cannot spread out. They feel hurt if outsiders enter a plot without bathing because this could introduce plant diseases. Their beliefs and culture are strongly connected with agroforestry. Villagers believe that dancing in their crop fields before planting will induce better crops. The higher the dancers skip, the higher the yields will be. After death, the bodies of Khasia people are cremated. The ashes are kept in an earthen pot inside their houses. Then they bury the ashes in the crop fields when planting new crops. The belief is that, if the soul of the dead enters the crop field, fertility increases and crop grows well. They also believe that the dead body would have a connection with the betel leaf and so the priest recites at the funeral ‘Good bye, good bye. You will chew betel leaf in the kingdom of God’ (Banglapedia, 2001). Walker (2004) also mentioned that upland agriculture is intrinsically linked by locally specific belief systems and cultural practices. Traditional culture, which is embedded in human knowledge and experience within religious faith and which is deeply rooted in the minds and hearts of small-scale farmers, makes agriculture meaningful and sustainable (Alhamidi et al., 2003). Villagers reported that the agroforestry system depends, to a large extent, on the local labor force and locally available plant materials for soil fertility management. The system creates employment opportunities for the surrounding landless and marginal local people. It was found that on the average over one year 112 male days and 217 female days were employed in the village (Table 7.2). Some households employ laborers all year. Moreover, some people obtain employment during marketing of products. Five middlemen (paikar) come three days a week to purchase betel leaves from the village and employ six to eight male laborers each day to transport the produce to the main road. Hence, it seems that the agroforestry system is input self-sufficient and has an equity effect in generating local employment. Moreover, villagers reported that many people are engaged with marketing of the leaves to various regions of the country and local administrations earn revenue. Due to possession of multiple agroforestry plots by some households, there are income disparities among the villagers. However, they said that wealth differences have created a small extent of social stratification which does not induce any conflicts. They have trust in neighbors and in forest officers and obtain help from each other when needed. In addition to

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social work, villagers help each other in agroforestry tasks also. For example, if any household needs weeding on its agroforestry plots, it sometimes invites some villagers to help, and for this the household arranges a feast for the villagers who help. Related to institutional aspects, the FD initially granted land to the villagers on a renewal basis for 99 years. They will enjoy inheritable land rights, but cannot sell or even cannot shift from allotted and demarcated land. Renewal is done for the same area of land allotted to each household. In accordance with policy, the agreement between the FD and the forest villagers is to be renewed every two years. The mantri informed that the agreement was last renewed in 1982. When the local forest officer was asked about the renewal status of the agreement, he replied that he sent all the papers for renewal to the divisional office last year (2004). But another senior officer said that since 1982 there has been no activity to renew the agreement. The villagers wonder what might happen if the FD does not renew their agreement. It is significant that though they have been living in the village since the early 1950’s, they still do not have legal land tenure status and are appealing for permanent tenure. They believe that if they would have permanent land tenure, then they would not think about renewal of agreement. However, FD officers suspect that if they provide permanent land tenure, the villager would not abide by the agreement. It was noticed that there were no real conflicts between villagers and FD over land tenure issue. However, due to the lack of regular renewal of agreement and lack of regular monitoring of the granted land, some villagers extended their agroforestry plots boundaries illegally. The FD needs to ensure, after monitoring the status of granted land, at least regular renewal of the agreement so that villagers know they have land security and this could check the illegal occupation of land. Betel leaf was exported in small quantities to India before 1954 (Rashid, 1991) and now has a huge internal market. Villagers reported that high quality leaves from their agroforestry are being exported to the United Kingdom. Many people of Sylhet division live in the United Kingdom and they are the main consumers of these leaves. As there are internal as well as foreign markets for the product of this agroforestry system, the future appears as assured as for any crop. Usually women deal with selling of betel leaf in the village. They negotiate prices with paikar. When they feel that paikar offer unacceptably low prices, then they call on mantri who then talks with leaders of other Khasia villages by his mobile phone to coordinate the supply price.

7.5. DISCUSSION The life of Khasia people and their socio-economic activities are centered on the hills and hill resources with which they have been living in an intimate relationship for centuries. Since they are forest dwellers and hill villagers, their economy is forest based and operates with simple traditional technology. Betel leaf cultivation along with betel nut and other trees is the foundation of the recent economic structure in the Khasia community that has replaced subsistence farming and it is the principal source of their livelihoods. Various farm activities like land preparation, weeding, pruning, etc. create employment opportunities for other forest dwellers and unemployed and under-employed people living in vicinity of the forests.

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Villagers harvest betel leaf and betel nut nearly round the year, so their annual income flow is fairly well sustained and this assists them to meet their commitments throughout the year. Betel leaf is an important crop throughout Bangladesh and the neighboring countries. The leaf is commonly chewed with slices of betel nut and a thin coating of catechu and lime. It is a common and sometimes mandatory item in many social functions, and has a huge internal market. A secure market is considered one of the important factors for sustaining any farming system (Deomampo, 1994). As there are internal as well as foreign markets for the products of this farming system, the future appears as assured as for any crop. Secure markets and the need to maintain a balance of different age-classes of support trees and betel leaf play an important role in the sustainable production of the agroforestry system and the conservation of the tree cover on the land. Villagers need very little capital as the important inputs of land and support trees are provided by the FD under the forest village system. Species diversity, status of stand and regeneration of trees in the hill farms are comparable with and even more than in natural forests (Drigo et al., 1988). Though ground vegetation is cleared off, it is quite different from a slash and burn system. The land is not burnt, so the seeds in the soil are not destroyed. Therefore, when gaps are created by pruning, secondary forest species regenerate (Brown, 1992). In shifting cultivation, farmers prepare land by cutting jungle, drying the cut plant materials and then burning. Generally, any unburned debris is collected and the roots of previous crops are dug out. The clearing of forests in shifting cultivation adversely affects the ecosystem of the area through the reduction of the biodiversity (Dale et al., 1993; Millat-eMustafa et al., 2001). It accelerates soil erosion; burning produces smoke and increases greenhouse gases in the atmosphere (Myers, 1989). In contrast, Khasia villagers believe that the weeding and pruning materials used as mulch in the betel leaf farms maintain and to some extend increase soil fertility. For this reason, villagers do not use any inorganic fertilizer on their farms. Furthermore, for betel leaf and betel nut planting only a small pit is dug and that does not result in soil erosion. Though the agroforestry system is beneficial in terms of forest conservation and villagers’ livelihoods, there exists some problems. Villagers face problems of land tenure and the marketing of products. Due to land tenure problem, they are open to harassment to force them to leave the land. The agroforestry products fetch higher prices in the district town than on the farm. However, transport is difficult and dangerous, with obstruction from agencies and terrorists. The agencies claimed that the products have been smuggled from the nearby Indian boarder and demand money, as do the terrorists; so the benefits of the higher market prices go to outsiders rather than to the villagers. Officials of the FD reported that if they give the land permanently, the villagers might misuse the right. Even with the present land holding status, villagers are now sometimes reluctant to provide their labor for the forest activities. If the land tenure system is to continue, then the villagers will have to pay more attention to their obligations to the FD. It may well be that the latter also has to review the conditions of the forest village scheme. The problems regarding the harassment by outsiders and marketing of products should be resolved by local leaders and the local administration. The concept of forest villagers is long standing in Bangladesh FD as well as neighboring countries. Many forest villagers live in the hill forests of Bangladesh. They live on forest land but they do not practice any sort of farming on that land. As a result, they have no alternative sources of income other than the daily labor wages paid by the FD. They, in most cases, help

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the outsiders to exploit forest resources illegally. If they practiced a suitable cropping system involving the conservation of forest trees, this might protect the forest. The possibility of replicating this betel leaf cultivation to other hill forests of Bangladesh where the climatic and edaphic factors are similar to that of the Sylhet forests should be investigated. Though betel leaf agroforestry is the principal source of income in the household economy of the Khasia people, they also practice arts that meet their other needs. They build their own houses, make their own looms, weave their dresses, make baskets, and manufacture household utensils, agricultural implements, drinks and so on.

7.6. CONCLUSION The Khasia is one of the forests dwelling, ethnic communities living in the hill forests of northeastern Bangladesh. Hills and forests are the part and parcel of their lives. As a result, their livelihoods and economy is based on a betel leaf agroforestry system. Availability of plating materials, ease of establishment, low investment in production, fairly long and sustained productive life of the crops and large market demand for betel leaf are some of the factors encouraging and supporting this farming system that now generates and sustains above average household incomes. Findings show that a number of positive attributes of sustainability are present at the studied agroforestry system that the Khasia forest villagers have practiced for half a century. Even though the biophysical environment of the agroforestry was not investigated, for example in terms of soil nutrients, a comprehensive financial analysis was carried out, and it is apparent from the study that the system still performs well under prevailing traditional management. There is no incidence of land degradation. Besides being the main source of income for the Khasia people, this system generates employment opportunities for other unemployed people. Even though the system alters the forest conditions by regular weeding and pruning on agroforestry plots, it conserves tree diversity. It maintains and sometimes increases soil fertility. The sources of the current conflicts over land tenure and marketing of products need to be resolved. The possibilities for the extension of the system to other areas with similar conditions can be investigated.

Chapter 8

LINKAGES BETWEEN LIVELIHOODS OF FOREST VILLAGERS AND FOREST CONSERVATION IN SYLHET REGION ABSTRACT Even though many forest villagers have been living on forest department (FD) land and serving the department in the northeastern hill forests region of Bangladesh since the early 1950’s, their livelihood has not been fully explored yet. Taking a sample forest village of the Sylhet forest division, as a case study, this chapter deeply examines the livelihoods of villagers (Khasia ethnic people) and their contribution to forest conservation. Findings of the study indicate that the villagers are well-endowed with all the capitals of a sustainable livelihoods framework, though human capital in terms of education is not satisfactory. Strong social capital, stable natural capital, and a productive market-oriented agroforestry system facilitates the generation of financial and physical capital that make the livelihoods of Khasia people sustainable. At the same time, their reciprocal contributions in terms of forest protection and plantation development support forest conservation. However, some institutional issues such as land tenure and regular agreement renewal problems need to be resolved for the sake of their livelihoods and forest conservation. Lessons learned from the study can be utilized in formulating future participatory forest management schemes in the country.

8.1. INTRODUCTION In most of the developing countries, forests are inhabited by the poor, which means that millions and millions of rural poor live in remote forested areas and obtain their food, fuel, medicine and other essentials from forest resources. Forests are not only considered a socioeconomic buffer for the poor, but also to provide important basics for the livelihood development of the rural communities (Kijtewachakul et al., 2004: 634; Fisher and Hirsch, 2008; Guthiga et al., 2008). Scholars (for example, Mcsweeney, 2004: 39-40) believe that forest resources serve as ‘natural insurance’ for the livelihoods of rural poor and that the earnings from forests, although small, help bridge income gaps and, therefore, play a critical role in livelihood security. Confronted with poverty due to small landholdings and scarce

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non-farming employment opportunities, villagers have benefited considerably from forest resources (Pandit and Thapa, 2004: 1). Forest resources are often the most important available resource for poverty alleviation in these areas (Belcher, 2005: 83; Thoms, 2008). However, achieving poverty reduction with forest products requires the creation of wealth by means of forest product production, processing, and marketing, and having mechanisms which ensure that the intended beneficiaries get some of that wealth (Belcher, 2005: 84). Investment in the building of institutions and capacity within forest communities, and facilitating the devolution of rights and responsibilities for local resource management that increases local access to forest rents, can be a direct pathway to poverty alleviation (Belcher, 2005: 88; Sunderlin et al., 2005: 1393). If economic development and community participation are not promoted in conjunction with environmental conservation, then local populations will have no interest in protecting resources (Virtanen, 2005: 1). Improving local people’s access to resources in their vicinity and their capacity to transform them is critical for enabling them to attain better health, education, and other well-being improvements (Dewi et al., 2005: 1431). As in other South Asian countries, the hill forests of Bangladesh, which constitute more than 40 percent of the total forests area, are dominated by different ethnic communities. The Khasia ethnic community is predominant in the northeastern hill forests of Bangladesh. Some of them have been serving the FD as forest villagers since the early 1950’s1. Even though these forest villagers have been living on FD land and utilizing forest resources for their survival for more than half a century, their livelihood is not fully explored yet. It is necessary to know how they maintain their livelihood and what roles they play in forest conservation. This study examines: a) the situation of livelihoods capital, or human, physical, natural, financial, and social capital, which are forest villagers’ livelihoods building blocks; b) the livelihood strategies, which Khasia people adopted to support themselves; c) the institutions and level of local governance that facilitate resource utilization and management; and d) what roles Khasia people play in forest conservation The next section of this chapter begins with background information on forest villages in Bangladesh, and then elaborates the methods used in conducting the study. This paper’s core comprises a number of sub-sections, which analyze situations of different livelihoods capital, local governance issues, livelihood diversification strategies, problems of the villagers, and forest conservation. It concludes with a brief analysis of important findings and their implications for development policy initiatives.

1 Even though forest villagers were settled in the 1950s, there are no remarkable published articles and/or evaluation reports, in between 1950s and 2006, related to their activities, livelihood, and their contribution to forest conservation.

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8.2. BACKGROUND Bangladesh has a century of plantation history starting with the introduction of teak (Tectona grandis) from Burma in 1871. The first plantation was established with teak in the Chittagong Hill Tracts on a very small scale, and plantation activities were subsequently expanded to other parts of the country by converting low-density heterogeneous forests into commercial mono-plantations, mainly of teak. As plantation programs gained momentum, the FD faced problems with labor because population density was lower in the forested hilly areas during that period. To supplement the labor force, the FD introduced the forest village concept. This concept was first applied in the Chittagong and Chittagong Hill Tracts forest divisions in 1872 and 1909, respectively (Saha, 1998 cited in Saha and Azam, 2004). In the forest villages, local people (20-50 families) living near the forest were settled in villages where they were supposed to supply their labor to the FD whenever and wherever necessary, and in return they could practice agroforestry practices on the allotted land. As in other places, scientific management of Bangladesh’s northeastern hill forests, which are under Sylhet forest division jurisdiction, started in the 1900’s. In order to meet the demand of labor for forestry operations, the FD introduced the forest village concept here in the 1950’s and invited Khasia people to be forest villagers by granting forest land for their house construction and agroforestry development. They practice the agri-silvicultural type of agroforestry system where the main agricultural component is betel leaf.

8.3. METHODOLOGY Selection of the Study Village This study intended to investigate the livelihoods of forest villagers registered with the Sylhet forest division. As such, I asked forest officers holding different positions and headmen (mantri) of two registered Khasia punji how many villages were registered with their division. They gave us the names of six Khasia punji (Amchari, Doublechara, Kalenji, Kuroma, Lawachara, and Magurchara) that are officially recognized as Sylhet forest division’s forest villages. I then visited all six villages to have an idea of similarities and differences. Our observations and talks with villagers found some differences, for example number of households living in the villages that ranged from 20 - 40, house conditions, literacy, and communications. Forest conditions were almost the same in all villages and villagers reported that there were incidences of illegal tree cuttings throughout the Sylhet forest division. I also asked forest officers whether there are differences among forest villages in fulfilling FD objectives. They replied that the Khasia people are helpful in forest management activities and perform assigned duties. As such, I decided to select one representative village randomly from six for the study. For conducting social research, Yin (2003) also suggests selecting one representative case study site if there are no remarkable differences among sites. Using a case study approach, attempting to answer general questions by studying one village, presumes that the village studied is somehow representative in the sense that it can be used to test a hypothesis (Jakobsen et al., 2007: 311). I selected

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Lawachara Khasia punji located within Lawachara National Park. Some basic information of the studied village is shown in Table 8.1.

Lawachara National Park The study site was Lawachara National Park, previously known as West Bhanugach Reserved Forest. Part of the reserve was declared as park in mid-1996; it covers an area of 1,531 ha (FSP, 2000), and is under the administration of Sylhet forest division. The park’s coordinates are 24°30´ to 24°32´N and 91°37´ to 91°39´E. Topographically the park consists of many hillocks (tila) having an elevation of not more than 50 m with fairly moderate slopes. Park forests consist of mixed semi-evergreen old secondary re-growth. Almost 100-yearold plantations created multistoried dense forests which look like virgin natural forest. The most commonly visible plant species include Tectona grandis, Artocarpus spp., Quercus spp., and Amorphophallus spp. Commonly found wildlife includes Hoolock hoolock, Macaca spp., Trachypithecus spp., and many species of birds. Agro-ecological conditions of the site are similar to those described in chapter six. Table 8.1. Some basic characteristics of the Sylhet case study forest village Topographic feature: Hilly topography with moderate slope Road condition: Earthen forest road Distance to main road: 1 km Distance to market: 9 km Distance to nearest local government administration: 9 km Distance to nearest medical facilities: 9 km Electricity power: Not available Source of lighting: Kerosene and nine-volt batteries Fuel source: Wood Drinking water source: Ring well (major) and tube-well (minor) Distance to government schools: 3-9 km Total households: 23; Average household size: 5.62 Literacy: 67 percent (can read and write) House conditions: Cement coating mud walled house with tin roof Principal occupation: Betel leaf agroforestry

Source: Filed survey in 2005

Data and Data Collection Methods I collected both quantitative data and qualitative information to ensure methodology pluralism and to minimize the weaknesses of the methods. I conducted household interviews for quantitative data at 21 of 23 households from Lawachara Khasia punji. The remaining two household members were not at home during the study. They had gone to another nonregistered punji, where they have a betel leaf garden, to perform agroforestry chores.

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Following Grandin (1988), a participatory wealth ranking2 exercise was conducted with the help of four key informants including mantri. Initially, they identified variables such as income, household labor, and the number of agroforestry plots (each of which is equivalent to 1.01 ha of forest land) in each household. After a long discussion, the informants concluded that the main factor effecting household wealth in this forest village area is the number of agroforestry (AF) plots. Their argument was that households having more agroforestry plots could harvest products sustainably and thus have a regular income flow. Based on their opinion, I placed all 21 households into one of two categories: • •

Category A: more than one agroforestry plots (six households) Category B: only one agroforestry plot (15 households)

I found an average of 3.92 agroforestry plots for category A, and it was significantly (P<0.000) different from category B households with only one plot in this punji. However, for agroforestry sustainability, the analysis was done by considering the 21 household as a whole population; I did not divide them into above-mentioned categories. The reason is that the sample size in each category is small and as a whole population, it would give a comprehensive picture of agroforestry system. After a series of discussions with colleagues and testing at the research site, and with necessary revision and modification, I prepared a questionnaire containing some structured questions and a checklist for a semi-structured interview (Appendix 1). The questions were designed to help collect data on all five capitals of the livelihood framework, and on variables pertaining to governance. I used one questionnaire for each household and carried out interviews over a period of several weeks in May and June 2005. To estimate the monetary values of physical capitals (e.g., televisions, cassette players, and motorcycles; excepting livestock) I asked what physical capitals they have, and their estimated monetary values. Then I calculated the mean equivalent value of physical capitals. Ordinal scales were used to measure several variables of governance and social capital. I estimated household expenditures to get a general picture of savings. To assess households’ income and expenditures, I asked people’s weekly incomes and their expenditures for certain items. I found that people could recall their weekly income and expenditures more accurately than monthly or yearly. For example, they recalled how much they spend for food in a week and how much they earn from agroforestry products per week. Those figures were converted to an annual basis. Villagers said that even though expenditures may vary from week to week, this estimate gives a general picture of household expenditures. To gather qualitative information, I conducted a group discussion with villagers, informal talks with Khasia people of different ages, forest officials, and NGO staff members, along with informal personal observations. Group discussion involved six men and two women, and highlighted issues such as problems related to agroforestry systems and to livelihoods, local institutions, their FD activities, and daily activities. A separate semi-structured questionnaire facilitated the discussion. Talks with forest officials dealt with Khasia participation in forest management activities, what the FD is doing for the forest villagers’ welfare, their 2 For wealth ranking, a list of all household was prepared, with a separate card number with the name of household head for each household. All cards were then ranked by the key informants independently, based on criteria each chose following their discussion. Finally, two categories of villagers - labeled category A and category B - were identified.

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perceptions on the role of villagers in forest conservation, problems with villagers, policy, land tenure issues and other matters. I talked with Khasia people of different ages about social issues such as social relations, conflicts, mantri’s activities, their education, and daily activities. NGO staffs told about their activities in the punji.

Statistical Analysis I summarized all quantitative data into averages and percentages to find out standard deviation and conducted analysis of variance (one-way ANOVA) to find statistically significant differences among the means of several variables of two categories of Khasia villagers.

Respondents’ Profiles Household interviews involved whomever was available, both men and women. Eight of the 21 interviewees were female. The respondents’ mean age was 38. Eight interviewees had no formal education; 12 had primary (five years) schooling, and secondary (10 years) schooling. Only one person had graduated (14 years of schooling).

8.4. FINDINGS AND DISCUSSION In this section, I first explain the state of five different capital of the livelihoods framework, followed by issues of local-level governance, and other relevant issues of livelihoods. Then I discuss the Khasia role in conservation and management of forests.

State of Livelihoods Capital In the rural livelihoods framework, the ability of households to pursue livelihood strategies depends on their available livelihood assets or capitals (Cramb et al., 2004: 264). I investigated all five capitals of the sustainable livelihoods framework. The variables of the capitals I assessed were mostly of individual household capitals. Village-level capital was present in the form of social capital only. Below I describe the five capitals:

Human Capital I evaluated human capital in terms of household size, age gradations, literacy, current school enrollment, and household members that contribute remarkably to a household’s cash income (Table 8.2). In 21 sampled households, the total number of household members was 118, and the average was 5.62. Mean household sizes of categories A and B were 7.33 and 4.9, respectively. Even though gross literacy and male and female literacy percentages were

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higher in category A than in B, the present female education rate was higher in B than in A. This is due to parental awareness raised mainly by NGOs. Male education, however, was considerably higher in category A. The reason cited was distant schools and involvement in agroforestry activities. Public schools are about 7 to 10 km from their village and communication is very bad, especially in the monsoon season. Better-off families send their children (sons only) to Christian missionary schools where they have to bear the costs of tuition, lodging, and other living costs. Years of schooling were higher in category A than in B. The higher schooling of category A indicates that some of their children gained the secondary school certificate (SSC) and entered colleges, which is absent in category B. In category A, I found one person (mantri) who had graduated and obtained an SSC from missionary school. However, most of the children dropped out after seven or eight years of schooling, then engaged in agroforestry activities to contribute to household income. All people more than 12 years old are involved in agroforestry activities. When I considered the mean number of active members contributing a lot to household income, I found a highly significant (P<0.003) difference between the two categories. The mean number of income-earning members in category A was more than twice that of B.

Physical Capital Physical capital that I considered comprised various household assets such as the condition of houses, appliances (e.g., televisions, radios, cassette players, CD players, and batteries), vehicles, irrigation equipment (e.g., deep tube-wells), agricultural implements, and livestock. I estimated equivalent monetary values of household appliances based on the opinions of households. The findings indicate that only one category B household has a bamboo mat-walled house thatched with sun grass (Imperata cylindrica). All other households of both categories have mud-walled houses with corrugated iron sheet rooves (Table 8.2). On my first visit to the village, I thought that all houses were brick-walled. Everybody thought so until they asked the villagers. The reason is that they put a thin layer of cement on the wall and then colored it. All houses have cement floors, and around the base of wall there is earth (dela) that is also coated with cement. The two reasons for cement coating are to improve appearance and, more importantly, to keep the wall from absorbing water. Due to the remote location and lack of recreation facilities, almost all households of the punji have either a television, or cassette player or CD player, or even a radio. Those without TVs watch their neighbors’ TVs. Antennae on long bamboo poles bring in programs from around India. Because they are off the grid, they use nine-volt batteries to run their televisions and other appliances. It costs Tk. 200 a week to charge a battery. Among other physical capital, one household (mantri) had a motorcycle and a deep tubewell. He can irrigate his agroforestry plots in the dry season with the deep tube-well (installed at the base of the hillock) by using long plastic pipe. He also uses the well for household water. Some households obtain drinking water from the mantri’s house, but all other households of the punji use ring-wells. Though one is abandoned, they have two other ringwells for drinking water. Being open-top wells, the water becomes contaminated and villagers suffer from stomach diseases. Considering estimates by households, the mean equivalent

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monetary values of the physical capital were Tk. 7,310 for category B and Tk. 20,583 for category A. The difference between them was statistically significant (P<0.052), and the difference was obviously due to the greater capital endowment of category A. Table 8.2. Variables of livelihoods capital at household level of the Lawachara Khasia punji, Bangladesh Capital Human capital Mean household size (no.) Male: female Members ≤ 11 years (no.) Members 11-59 years (no.) Literacy (%) Male/female literacy (%) Average schooling years Current school enrollment (%) Primary (male/female) Secondary (male/female) Mean members contributing cash income (no.) Physical capital Mud wall house with tin roof (%) Bamboo mat wall house with Sun grass thatch (%) Television (% of households) Cassette player (% of households) CD player (% of households) Radio (% of households) Battery (% of households) Motorcycle (% of households) Deep tube-well (% of households) Agricultural tools (% of households) Mean equivalent money (Tk.) Livestock (no.) Cows Goats Chickens Natural capital Mean landholding (ha) Forest conditions Good (% of households) Financial capital Households having loan (no.) No. of loans Sources and amount (Tk.) NGOs Source: Field survey, 2005 Note: Figures in parenthesis indicate standard error of mean.

A (n=6)

Category B (n=15)

7.33(1.20) 1:1 7 36 89 100/77 9.50

4.9(1.79) 1.1.1 19 55 57 52/48 8.25

12/6 27/5.33

8/9 5/7 2.53

0.003

100 83 67 33 33 100 16 16 100 20583

87 13 53 20 20 33 53 100 7310

0.052

3 4 -

1 3

4.42

1.21

100

100

2 1

3 1

9000

7667

Sig. level

0.000

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The state of livestock husbandry in Khasia punji is not good. Only three households out of 21 have livestock. Mantri has three cows and four goats. Two category-B households have cows and chickens. The villagers said that they are interested in raising cattle, but the problem is the shortage of land at their homesteads. If they allow open livestock grazing, livestock might damage the betel leaf plants. Mantri employs a boy to look after his livestock while they graze in the adjacent forest.

Natural Capital I assessed natural capital in terms of landholdings, and forest conditions of the AF plots (Table 8.2). From FD-granted land (2.1 ha), every household allocated 1.01 ha for an AF plot and the remaining 0.2 ha for a house. All households built their houses in a compound at the top of hillock that is surrounded by their AF plots. Even though all households supposedly have equal quantities of land in this punji, I found that households of category A possessed more land than category B. As head of the punji, the mantri said that their families got 2.42 ha of land, but forest officers said that all villagers were granted equal amounts of land. Another person of that category said he bought some land from others. Other households got the land of their kin (gousti-extended male-lineage family members) after death. Landholding status indicates that some households hold more land than granted. I tried bringing this to the attention of forest officers, who described the overall situation as follows: ‘Over the years, the Khasia people encroach upon forest land. Being very rich, they persuade [with money] local influential people, politicians, forest officers, and other concerned parties, and then illegally occupy the forest land to raise plantations, grow betel leaf, and invite relatives to settle down on encroached land. They occupy other areas using the same strategy. When the FD goes to recover the land and to evict the unauthorized villagers, they [Khasia people] first try to persuade [by money] the concerned officer, and if that fails, the case is filed in court. By this time, their welfare society makes contact with influential donor agencies, humanitarian organizations, and others to get a judicial verdict in favor of them. In addition, in almost all cases, the verdict goes in favor of villagers, for many reasons. The Khasia punji now become the burden of the FD.’ (pers. comm. 2005) Though there is no record of how many hectares of forest land have been encroached by the Khasia, one study indicates that around 29 ha of Lawachara National Park have been taken by two Khasia punji (NACOM, 2003). However, it also reports that non-Khasia people, (Bengalis who have migrated here,) illegally occupy much more land. Forest land encroachment and land tenure are an important but still unresolved issue in Sylhet forest division as well as in other parts of the country. Forest villagers still have not been provided legal land certificate. As these people have been serving FD as unpaid laborers for the protection and expansion of forest resources, it is their ethical claim for permanent land tenure. It is saying that measures to protect and manage natural resource are directly proportional to the sense of land tenure (Bonfiglioli, 2004: 58). The FD, with mutual understanding and negotiated agreements, should provide permanent land title to the villagers. If this would come true, the FD could recover the encroached land by re-

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demarcating the boundary of granted land. As this studied punji is located inside the protected area (a national park), the recovered land could be managed under co-management scheme as FD is trying to do with support from foreign agencies. It is increasingly argued that conservation areas and buffer zone management today have come to rely on user groups based in settlements located close to or within protected area boundaries (Agrawal and Gupta, 2005: 1103). Though the protected area was created 10 years ago, it neither involves villagers in its management, nor has a buffer zone from which they could collect wood for household use. These lands could be buffer zones in which they could grow fuel wood and grass for AF plots. This would reduce pressure on park resources. Even though villagers claim that they meet fuel wood demand from their AF plots, my observations show that the branches from pruning are not enough to provide fuel to cook three meals a day. However, the question may arise whether recovery of encroached land would hamper their livelihoods. My observation is that all of them have AF plots in other areas, and even income from one AF plot (Table 8.5) could support their livelihood comfortably. Hence, it would not hinder their livelihood. The important point is that they need to be motivated and convinced, and be given a good understanding of their participation in co-management. Policy regarding benefit sharing and the level of participation should be clearly formulated based on negotiations with villagers and FD. If we look at the encroachment problems in Bangladesh, we can see that more than 35 percent of total forest land of Bangladesh has been encroached (Muhammed et al., 2005), and Iftekher and Hoque (2005) warn that if the present rates persist the entire natural forests of the country might be encroached within the next three decades. It seems difficult to recover these lands by evicting encroachers as they have been living there for many years. The encroached land has been used for non-forestry purposes, mainly for agriculture. The only way to bring these lands under forest cover is massive plantation programs with effective participation of encroachers. The 12th statement of current forest policy also emphasizes the afforestation of encroached land with peoples’ participation (FMP, 1995). However, as there are very few alternative sources of living in these forested remote areas, the plantation programs, to be a successful one, must provide short-term incentives as well as long-term benefits. Locally suitable and economically viable agroforestry systems can be a potential candidate for this. However, villagers need necessary institutional and material supports. Along with land tenure, villagers have no rights on trees; they cannot fell or sell any trees from their homesteads or from AF plots. They should have at least some share on these trees because they plant and take care of these trees at their own costs. Saha and Azam (2005), [Azam is an author and a senior forest officer] urge that such a benefit sharing option would benefit the forest villagers as well as create a sustained flow of revenue for the FD. In addition to landholding, I used a four-level scale (4=very good, 3=good, 2=fairly good, and 1=not good) to ask villagers about the conditions of their AF plots and whole forest area. All households of both categories replied that agroforestry conditions are good in terms of their subsistence value. They also said that forest conditions of the national park are good enough to conserve the biodiversity of the region, even though there is some illicit felling. Even though I did not conduct a biodiversity study, I found a report which mentioned the presence of 167 species of plants, 4 species of amphibians, 6 species of reptiles, 246 species of birds, 20 species of mammals and 17 species of insects in this park (NACOM, 2003). Forest officers also replied that though AF plots do not support wildlife, overall biodiversity conditions of the forest are reasonably good.

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Financial Capital I used three indicators for measuring households’ financial capital: loans, credit, and credit amount (Table 8.2). As all the households are fairly well off, they generally do not need loans. However, if agroforestry production declines or households need money for emergency purposes (e.g., purchasing land in other areas), they get loans. During the study, I found five households that have loans: two in category A and three in category B. Every household has one credit, and national NGO Caritas provides credit to them with an interest rate of 12 percent. Repayment is in 22 installments, one per month. It was not an easy task to estimate households’ savings, because they could not tell us how much they saved in a year. What they did say was that they could save some money after paying all bills. However, data on incomeexpenditure (Table 8.5) reveals that they could save a handsome amount.

Social Capital Indigenous people in the uplands are accustomed to solving problems by relying mainly on their own resources (Danchev, 2005: 30). These resources are social ties and networks, which are collectively expressed as social capital. Societies with high-quality social capital attained high achievements in their development despite restricted access to resources and technologies (Danchev, 2005: 25). In measuring household-level social capital, I used four indicators (Table 8.3). For groups and networks, I used three variables. By household communication network (HCN) I mean the number of households (whether kin, relatives, or friends in their own or nearby villages) with whom a member of a household (mainly a household’s head) can share problems, ask for help, and request loans. As such, I found a significant difference (P<0.004) among households of the two categories having different HCNs. A similar trend was observed when I consider the number of people willing to help by giving money, the number of people currently able to provide that money and times traveled to relatives. All households of the punji visit relatives every year. The reasons for such visits are apparently to learn and help in farming activities, to visit and stay for leisure, to share their problems, and perhaps to get loans. More than 90 percent of households of two categories said that they learn agroforestry techniques such as crop improvement, disease prevention, and soil management from relatives. For example, two households of this punji applied inorganic fertilizer in 2005 for the first time under inspiration by relatives (fathers-in-law) who live in nearby punji, and have better betel leaf production (greener and bigger leaves which fetch better prices). Wu and Pretty (2004: 87) also mention that social connectedness in uplands helps to spread and adopt ideas and technologies. Farmer’s networks and information sharing helps to access resources such as knowledge, time or money necessary for practicing different livelihood-earning activities and avoiding poverty traps through economic growth (Mazzucato et al., 2001; Lehtonen, 2004; Peng, 2004). Visits to relatives are also associated with household loans; last year two category-B households received loans from their relatives and paid back that money within six months.

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Variable Groups and Networks Household communication network(HCN) No. of people willing to help by giving money in emergency No. of people currently able to provide this money Trust and Solidarity Opinion on the statementsa Most people living here can be trusted One has to be alert or someone is likely to take advantage of you Most people are willing to help if needed People generally do not trust each other in lending or borrowing money Trust the following peopleb People of same ethnic group Village leader Leader responsiveness Forest Department (FD) personnel FD personnel responsiveness Village group members Social Cohesion and Inclusion Feeling of togetherness or closeness Somewhat close Very close Social stratification Neither great nor small extent Small extent Very small extent Information and Communication Sources of information related to farming systems Relatives Neighbors Kin group Times traveled to relatives last year

A (n=6)

Category B (n=15)

Sig. level

13.42 8.25 6.50

9.30 5.57 3.87

0.004 0.004 0.000

1.50 4.67 1.83 4.50

1.53 4.8 1.87 4.6

0.897 0.541 0.853 0.694

4.60 4.60 4.60 3 3 4.17

4.93 4.75 4.80 4.07

0.505 0.900 0.398

33 67

20 80

17 83 -

80 20

100 17 50 8.08

100 20 5.77

0.505

0.008

Source: Field survey, 2005 a values are the averages of five-level scale used [1= agree strongly, 2= agree somewhat, 3= neither agree nor disagree, 4= disagree somewhat, 5= disagree strongly]; b= Figures are the mean of fivelevel scale used [1= to a very small extent, 2= to a small scale, 3= neither small nor great extent, 4= to a great extent, 5= to a very great extent]; c= Figures indicate percentage of households

Although many households do not take loans, they do believe that they would get them on request. The extent of their beliefs can be understood when I analyze trust and solidarity. According to the scale I utilized (Note of Table 8.3), it is evident that people of the punji have strong confidence in their fellow people and strong faith in their leader (mantri). Scholars (for example, Danchev, 2005: 27) believe that no form of capital can be sustained unless there is confidence among the members of the community (tribe, village, town, region, etc.). However, one category-A interviewee [who felt that young men (mantri) cannot serve as

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mantri and he should be fairly old] is not satisfied, other villagers are satisfied with the mantri’s activities, responsiveness, and honesty. They share their personal problems with the mantri. Sometimes they could get loans from the mantri for emergencies such as sickness or school fees for their children. Villagers also help each other by loaning money, but for purchasing land in other areas, they do not provide loans. In that case, villagers ask close relatives or their kin groups. Though villagers (except mantri) do not have direct contact with forest officers, they believe that FD personnel are responsive, mostly honest, and would not do anything that might hamper their livelihoods. Their mutual trust helps them to live very closely inside the forest. While there is income disparity, it does not create remarkable social stratification. Most villagers (more than 80 percent) opined that the wealth differential has created a small extent of social stratification, which does not induce conflicts. Mantri told that it is very rare for major conflicts to arise in a Khasia punji. They have similar relations with their relatives and kin groups living in other punji. Besides household-level social capital, I also investigated village-level social capital in the form of collective action and cooperation. Almost all households of the punji take part (45 days in a year) in social development activities such as repairing access roads, and maintaining wells and prayer halls. Households donate equal amounts to cover needed costs for maintaining wells, roads and prayer halls. In addition to social work, I also observed collective action in farming activities. If any household needs weeding on its AF plot, it sometimes invites some villagers to help, and for this the household arranges a feast for the villagers who help. I also explored some issues of empowerment including feelings of happiness as a forest villager, self-control and power in making decisions that effect their livelihoods, and the overall impact of the forest on sustaining livelihoods. On a five-level scale (1=very happy to 5=very unhappy), all households felt that they are moderately happy being forest villagers. The forest as the venue for the agroforestry system has a very big impact on their livelihoods. With the present economic situation (income-expenditure situation in Table 8.5) and social connectedness, all villagers are mostly able to make the decisions, which change their livelihoods. They are strongly connected with other punji. All Khasia punji form a Khasia welfare society that has a strong liaison with different national and international NGOs and several donor agencies. It deals with all problems and interests of the Khasia people and organizes a 36-hour seminar twice a year in different punji. This society has a very strong lobbying capacity to elicit decisions, which favor themselves, which is evident from the following statement: ‘This society is so powerful that if anything happened, at any punji, against members’ interests they could bring the matter quickly to the influential agencies (e.g., foreign embassies or donor agencies) to take immediate and necessary action, even before our national government or the concerned agency knows about it’ (senior forest officer, pers. comm. 2005).

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SELECTED ISSUES OF GOVERNANCE AT LOCAL LEVEL The FD considers forest villagers to be resident labor that engages in plantation and other scheduled tasks in forests. Villager participation in forest management is only as labor. In accordance with need, local personnel (Beat officers) call the mantri to discuss the schedules of activities (e.g., nursery work, planting, and patrolling), and decide how many people they need for labor. Usually the mantri ask the FD to restrict the number of villagers so it does not exceed one-third of the punji’s households in a day. Villagers said that agroforestry management would be hampered if more than one-third of the households were called out in a day. In most cases, the FD agrees, but more labor is needed for large works. If villagers cannot supply adequate labor from their punji, they hire outside laborers. The mantri decides these matters. The FD also invites him to attend meetings. Though he does not play a very active role in decisions made at meetings, the mantri feels fairly satisfied with their deliberative quality, decisions, and convenience. Forest villagers are not paid for their labor. I asked the mantri and local forest officers repeatedly whether villagers are paid. After a series of talks, the mantri said that the FD gave him money last year (2004) for their labor. However, local FD personnel said that they pay no money to forest villagers. To further confirm this I put the same question to higher-level forest officers, who replied that forest villagers are no longer unpaid laborers because they now receive wages under government rules. Finally, I asked villagers whether they receive money from the FD. They replied that they still are not paid for their labor in forest management. Even though not all villagers can attend FD meetings, they have access to their local institution meetings. At punji, they have a darbar3 committee. All household heads are members of this committee, which is chaired by the mantri. The mantri is selected hereditarily, but he/she should be literate, acceptable to the majority, be of sound health, and be able to liaison with the FD and other agencies. When he feels, for example, a need for road construction, or the FD wants plantation labor, then the mantri convenes a darbar meeting at his house. Every year four or five general meetings are called, and in most cases, all members attend, though category-B members attended less (Table 8.4). They do not generally criticize if some members cannot participate occasionally, but warn if it happens repeatedly. Every member can participate in making decisions. First, the mantri states the agenda, and then all attendees participate in the discussion, reach a consensus, and finally make decisions based on majority support. I found that though some members do not participate, most members take part somewhat actively in decision-making processes (Table 8.4). Using a five-level scale (Note of Table 8.4), I measured three indices of darbar meetings. Values of indices reveal that all households are quite satisfied with the meetings; they feel comfort and convenience, and express their satisfaction with deliberative quality at the meetings. As a measure of governance, I also assessed several variables of equity. Findings show that all households have equal access to granted forest land, and are aware of how their own funds are used for common social work and common development programs in their punji. However, except for the mantri, they do not know about policy changes in FD activities. 3

Darbar committee means a village committee in a Khasia community which looks after day-to-day affairs. All decisions related to social development, festivals, resolution of social conflicts, duties in forests, and other matters are made by the darbar committee.

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Women too can participate in local meetings. Villagers said that women attend at darbar meetings with their husbands, and play a role in decision-making processes. In addition to darbar committees, there is a savings committee. Household members (men and women over 12 years old) can be a member. At present, there are 40 members. Every member deposits Tk. 20 per month. They can get loans from this committee at a very nominal interest rate. However, the committee convenes meetings to decide the amounts and number of loans that can be given to members. Table 8.4. Some Selected Issues of Local-Level Governance at Lawachara Khasia Punji, Bangladesh Variable Participation in local institution meetings Attended how many times Had a saya Role in decision makinga Leader Very active Active Somewhat active Does not participate Meeting indices† Satisfaction with meetings Comfort and convenience Deliberative quality Leader’s responsivenessa Very responsive Fairly Satisfaction with leader activitiesa Very satisfied Satisfied Equitya Access to benefits Land allocation Access to information Policy change Market information Women’s participation Local meetings Meeting decisions Know activities such as Fund for common work 100 Programs available

A (n=6)

Category B (n=15)

4.17 100

3.43 100

17 17 67 -

73 27

3.83 4.00 3.83

3.93 3.93 3.93

83 17

93 7

17 83

100

100

100

17 100

100

100 83

80 7

100 100

100

Sig. level 0.005

0.505 0.541 0.505

Source: Field survey, 2005 a Values indicate percentage of households. † Values indicate means of five scales used [1= disagree strongly, 2= disagree somewhat, 3= neither agree nor disagree, 4= agree somewhat, 5= agree strongly].

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LIVELIHOOD STRATEGIES AND FOREST CONSERVATION LINKAGES Livelihood strategies are what people do in terms of production and consumption, in mediating social and institutional relationships and in the activities that they engage to meet their livelihood needs and expectation (Long, 2004b: 15). The livelihood strategies persuaded by the Khasia people included mainly agricultural intensification and limited livelihood diversification. Study findings reveal that all their efforts are concentrated on agroforestry system, which use low-capital inputs (local labor, organic fertilizer) and generates better returns through betel leaf production. In this indigenous agroforestry system they keep all the trees as shade and as support trees for betel leaf plants. They also keep new seedlings to use as a support trees in the coming years. Some households cultivate pineapples, lemons, and other crops in agroforestry plots, but these are for household consumption, not to sell. Diversification is an important dimension to livelihood strategies (Cramb et al., 2004: 269). Discussions with villagers and forest officers, and personal observations disclose that there is very limited diversification of livelihood means in Khasia punji. Rural households may choose not to diversify, preferring instead to specialize in a product to have greater returns (Perz, 2005: 1195). A very few households have livestock and one girl works for an NGO that operates education, credit, savings, legal awareness and leadership development program in this punji. Two women, after finishing their own work, work part-time in other households of the punji. The mantri receives tax from paikar who come to punji to buy betel leaves. The paikar (middlemen; five paikar come each day) buy betel leaves from the punji (3 days a week). As a rule, every paikar must pay Tk. 2 for one kuri (1 kuri= 2880 individual leaves) of betel leaves and must get a receipt from the mantri. The receipt shows how many kuri of betel leaves the paikar bought from the punji, and it must be shown to the aratdar (market wholesaler) when selling the goods. Without a receipt, the aratdar would not buy the products, which would be regarded as smuggled. In order to reduce pressure on forests and to diversify livelihood of villagers, the FD with assistance from a foreign agency is developing a co-management plan for the area where forest villagers will be involved as a key stakeholder. Under the project, social forestry programs, ecotourism, and other income-generating activities will be initiated (Philip J. DeCosse, e-mail com., 2005). It also provides training for alternative livelihood sources. The mantri said that he attended aquaculture training in 2004. I estimated an income-expenditure situation of all sampled households of this punji (Table 8.5). It shows that in both categories of villagers, the principal source of income is betel leaf. I found significant differences in betel leaf income (P<0.004) and mean household income (P<0.007) between two groups. Category A villagers could pluck more leaves from more AF plots and earned more money, resulting in income disparity. In expenditure items, major expenses involved food and input costs, mainly labor. Within food item, they purchase rice, fish, meat, spices, oil, snacks, confectionary, tea, etc. from markets. They collect most of the vegetables from forests. They informed that more than 80 percent of their vegetables such as arum, jackfruit, various tubers and green leaves, mushrooms, etc. are collected from forest and their maximum dietary requirements are fulfilled from forest resources. Occasionally they buy fish and meat from markets. For social works (e.g., Christmas day, New Years day, etc.) they contribute as per their capacity. Those who could not patrol forests must give Tk. 250/month to mantri and with this money, mantri employ temporary forest

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guards. This expenditure situation roughly expresses how much they expense annually. There are many other items such as clothing, daily expenses, etc. that I did not assess. However, from this expenditure, and gross annual income, it can be confirmed that there remain savings. In order to maintain steady production from the agroforestry system, all households invest their savings in getting more AF plots. Even though they avoided answering questions, forest officers and boys of the punji said that every household has AF plots in other areas. Extended family members or relatives look after these AF plots, which they visit occasionally to care for. The livelihood strategies indicate that betel leaf, the main product of agroforestry system, is the key element to their living. Now I turn discussion on the linkages between livelihood strategies and forest conservation. In other words, what roles do Khasia people play for the conservation of forest resources? Table 8.5. Mean annual income - expenditure (Tk.) situation of the sampled households of the Lawachara Khasia punji, Bangladesh Variables Income Betel leaf Livestock Cow Part-time wage labor Service (in NGO) Tax Gross mean annual income per household Expenditure Input costs Food Health care Education Livestock Social work Guard Mean total expenditure/household Mean expenditure/person

A (n=6)

Category B (n=15)

Sig. level

194267

95913

0.004

2720 4080 532 201599

768 96681

0.007

24541 65167 825 2417 850 567 2490 96857 12850

9251 39360 275 283 600 49769 9955

0.013 0.005

0.003 0.202

Source: Field survey, 2005 Note: Figures in parenthesis indicate percentage of households.

In explaining linkages, first I would portray the roles of forest villagers in forest conservation and then connection between forests and livelihoods. They play a two-fold role in forest conservation: protection and plantation expansion. Before explaining forest protection, first I look at the threats to the forests. My observation, talks with FD staff and villagers, and reports of NACOM (2003) indicate that the main threats are fuel wood collection by forest and adjacent villagers, and illegal cutting of trees. In order to prevent illegal cutting, nine Khasia people in three shifts (three persons in one shift, each shift for

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eight hours), working with FD guards, provide round-the-clock duty along forest boundaries every day. Although this is inadequate, it still goes a long way toward protecting forests from theft. Thanks to patrols, the forests still look like deep, natural forest. In addition to these nine people, the FD calls more people if it needs an emergency force to tackle organized gangs. The villagers cooperate actively, even in the dead of night. Though fuel wood collectors extract dead trees and branches, they damage young plants that reduce regeneration capacity of the forests. FD has not taken any measures to prevent uncontrolled extraction. Establishment of park’s buffer zones and development of participatory forests on these zones can reduce the risk of impacts of fuel wood collection. The FD carried out plantation activities almost every year. Villagers participate in all phases of plantation works from nursery preparation to site preparation, planting, weeding, and other tasks. Due to readily available labor, the FD can run plantation programs smoothly. Moreover, villagers plant seedlings on their AF plots. Villagers claim that ‘As long as there are trees (forests), we can practice agroforestry.’ It means that forests are indispensable for their agroforestry and conversely for their livelihoods. With this in mind, they effectively participate in forest conservation activities, and have been living in forests peacefully for more than 50 years. Scholars (for example, Walker 2004: 321) believe that the coexistence of people and forests is possible only due to the intimate relationship between rural livelihoods and forest ecosystems. Figure 8.1 illustrates the linkages between livelihoods of forest villagers and forest conservation. It shows that forests, besides supplementing many food items, provide the asset base to Khasia people on which they practice agroforestry and considered it as natural capital for their livelihoods. Natural capital plays an important role in the livelihoods of the rural people- predominantly who depend directly on natural resources (Reddy et al., 2004). Lifelong experience, skilled household labor and deep-rooted cultural beliefs that are regarded as human capital enabled villagers to manage the sustainability of the agroforestry system. Existence of strong social capital among villagers as well as with outsiders helps to spread the knowledge of farming technologies, and even helps farmers take out loans for investment in agroforestry. The product (betel leaf) of this profitable agroforestry system have both internal as well as foreign markets that generates financial capital by which villagers purchase household’s equipments, agricultural tools, repair village infrastructure (e.g., road, prayer hall, etc.) that are known as physical capital, and buy or take lease of land for expansion of agroforestry. On the other hand, they invest these financial and physical capitals for smooth production of the agroforestry system, development of human capital (e.g., education), helps peers in emergencies by giving loan, and above all maintain all household expenditure to sustain their living. Reciprocally, villagers, with mutual understanding between FD’s staffs, provide free labor (human capital) and collectively (social capital) patrol the forest for the development and protection of forest resources. Therefore, it is clear that there is a strong symbiotic relationship between the livelihood strategies of Khasia people and forest resources. They asserted that besides being quite sustainable, the agroforestry system can provide sufficient economic returns for their living.

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Problems Reported by the Villagers In group discussion, the villagers pointed out some problems that require attention for betterment of their livelihoods. The principal problem is lack of safe drinking water. Hilly topography prevents installation of shallow tube wells. They are planning to establish another ring well with closed top. For this, they received some rings from a former NGO, the Integrated Rural Program for Khasia (IRPK). Every punji household contributes Tk. 150 for installing the well. The second problem is the distance to schools, which causes many children to give up further schooling after completing primary education in the punji. Poor roads (dirt forest roads) prevent students from going to schools, especially during the monsoon season. The other minor problem is the lack of a common fund. The darbar committee does not have a fund. A fund must be raised for any program. The mantri said that they would discuss the matter to create a common fund for social development.

Social capital

Forest conservation

Natural capitalagroforestry system

Physical and financial capital

Human capital

S u s t a i n a b l e L i v e l i h o o d s

Figure 8.1. The reciprocal relationship between forest conservation and livelihoods of the Khasia forest villagers.

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8.5. CONCLUSION The study found that the Khasia are well-endowed with all the capitals of the sustainable livelihoods framework, but some issues need more attention for better livelihood outcomes and forest conservation. For example, in terms of human capital, the current school enrollment rate is very discouraging. Except for the mantri, nobody had a secondary school certificate. My observation is that to be the mantri, he was sent to missionary school because he has to maintain liaison with many agencies. Even though Khasia people seem quite rich, they are not interested in education. For the improvement of human capital, there is a need for a human capacity building program. The investment in human capacity requires a long-term and focused commitment, and willingness to develop human skills (Bingen et al., 2003: 417). Although Caritas has an education program, more facilities (e.g., infrastructure) should be developed so that children can continue their education after primary school. The Khasia have very limited diversity of income-generation activities. Small-scale livestock husbandry programs can be promoted. The homestead area, as I observed, is sufficiently large enough to rear some livestock such as chickens and goats, at least for household consumption, to reduce the hunting of wild animals. I also observed that they built some small buildings for their work, which could be used instead to house livestock. The natural capital (forests) and the agroforestry system appear good enough to sustain their livelihoods. However, land encroachment disputes need a reasonable solution. Due to lack of monitoring by forest personnel, and by observing encroachment by Bengalis who have migrated here, they have gradually extended their boundaries. Experience shows that forced eviction could not effect a satisfactory solution to illegal land occupation. The solution should involve villagers in the co-management of national parks, as Nishorgo is trying to do. Qualitative information and social capital results indicate that the villagers have strong confidence and faith in the mantri, who is beneficial to the punji, but is somewhat exploitive. Although villagers are paid labor of the FD, they do not receive their wages. Even they do not know that they are now paid labor. Local forest officers and the mantri might share this wage money. Therefore, to implement co-management, the FD should involve other villagers along with the mantri in decision-making meetings. This will increase the level of transparency and accountability. Otherwise, influential people will receive most of the benefits. The interesting and remarkable finding of this study is that the forest villagers, by conserving and utilizing forest resources, have been able to maintain their livelihoods in a sustainable way. The findings have potential implications in Bangladesh forest management. We have forest villagers in other parts of the country, but they are wage laborers and are sometimes involved in illegal logging (Nath et al., 2003). They do not have productive farming or agroforestry systems that support their livelihoods. A similar scenario can also be observed in participatory forestry projects in upland areas, which could be brought under productive farming systems by tailoring their comparative advantages. Effective strategies for developing upland areas depend, however, upon identifying and implementing socially profitable investments in different environments and opportunities (Pender, 2004: 363). Particular development pathways that are appropriate for uplands offer location-specific opportunities for poverty alleviation and sustainable resource management (Ruben and Pender, 2004: 313). In areas with better agroecological conditions and access to markets and

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infrastructure, land use intensification and/or diversification into high-value crops (e.g., horticulture) are of major importance, also generating employment opportunities (ibid., 313). Our current forest policy (formulated in 2004) aims to bring 20 percent of country's land under plantations with active participation of local people (FMP, 1995). Previous (during last 30 years) plantation conditions where only 35 percent tree cover does exist (Iftekhar, 2006) indicate that without direct benefits and effective people’s participation, there is no easy way to manage a country’s forest resources. It is strongly saying that participation of local people in participatory forest management depends, largely, on direct benefits, and only appropriate and locally adapted production technologies can provide these benefits (Tamale et al., 1995). It needs careful identification of technologies, giving more attention to local preferences and market demand, and should provide necessary institutional supports. If people get livelihood supports from appropriate forestry programs, then they, from their own interests, would effectively be involved in forest management. This study indicates that because villagers realize continuous benefits from the agroforestry system, they expend many resources on conserving their agroforestry plot as well as the government’s forests. Finally, it can be said that strong social capital helps villagers to get technological, and financial support from fellows, and competent manpower for the management of agroforestry plots that stable natural capital, facilitates the generation of financial and physical capitals, and the re-investment and utilization of financial and physical capitals,, therefore making the livelihoods of the Khasia people sustainable, gaining in return their support for the conservation of forests in Lawachara National Park. However, to better assure the villagers’ livelihoods and to avoid possible conflicts between the FD and forest villagers, land tenure issues should be resolved and regular renewal of the agreement should be confirmed. The lessons that are learned from this study can be utilized in formulating future participatory forest management schemes in the country.

Chapter 9

CONCLUSION ABSTRACT This chapter conducts comparative analysis between the USP and the forest villagers, answers the research problems and recommends some policy implications. Comparative analysis indicates that Khasia forest villagers are in better position in terms of livelihoods and forest conservation than that of the USP planters. It could explore differential answers to the research problems in two study sites. The USP has been able to limit the jhum, improve livelihoods of planters through building of several livelihood capitals and is able to reduce land degradation through introduction of small-scale rubber plantations and promotion of homestead agroforestry. Even though having some institutional and governance problems, in contrast, the livelihoods of Khasia people has improved remarkably after joining as forest villagers in Sylhet forest division. Khasia people conserve and protect the state forests as their own asset because these forests support their livelihoods sustainably. This book has academic merits in terms of creation of new ideas and supporting the existing theories by case studies. Recommendations are made for sustainability of the USP activities and better livelihoods of the Khasia forest villagers and integrated regional development.

9.1. INTRODUCTION Two comparative discussions will be done in this chapter followed by answers to the research problems and some recommendations. The comparative discussions are a] shifting cultivation and the USP, and b] the USP and Khasia forest villagers. The reasons for comparison are twofold: 1] to what extent USP has become successful in reducing jhum and enhancement of livelihoods of jhumias, and 2] comparative role of the USP and forest villages on livelihoods of beneficiaries and on forest conservation.

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9.2. SHIFTING CULTIVATION AND THE UPLAND SETTLEMENT PROJECT In this section, I would compare the livelihoods situation of jhumias (who are not USP beneficiaries), and planters of the USP. In comparing livelihoods I would analyze sustainability of natural capital (i.e., farming systems practiced by them) that facilitates generation of physical and financial capital, and the influencing factors such as human capital (education), state of social capital (that create collective action) and institutional factors including policy, land tenure, markets and NGOs. In assessing sustainability of natural capital (in case of jhum), I focus on trend of yield. Population growth and shortage of land forces farmers to repeatedly shorten fallow periods (now 2-3 years). Additionally, lack of any soil improving measures (e.g., fertilization), lowers the productivity down remarkably and jhumias face food shortage all the year. Studies elsewhere, Indonesia for instance, observed an alarming decline of rice yield under swidden cultivation (Dendi et al., 2005: 25; Ducourtieux et al., 2006: 73; Rigg, 2006: 131) and researcher proposed urgent replacement of this farming practice. In the CHT, several agencies, with their own strategy, tried to encourage jhumias to abandon jhum, but failed and the main stumbling blocks of their approaches, as Shoaib (2002: 83-84) mentioned, include lack of stewardship, top-down approach, non-holistic methods, and ignorance of cultural and social customs of the community. With this decline in productivity, jhum could not generate enough financial capital to sustain their living apart from investing on development of physical capital (e.g., household appliance, infrastructure, etc.) and human capital (e.g., children schooling). In order to survive, they extract forest products, both from primary and secondary forests illegally and sell them in the markets. However, due to government policy on expansion of reserve forests, the increasing rate of illegal logging and deforestation, the possibility of future forest exploitation by the jhumias is questionable. Moreover, because of remote location, sparsely distributed households and lack of good road networks, government and NGO supported development projects could not reach their villages. Poor communication thwarts them from selling abundant perishable products in markets in peak production season. Road infrastructure has a potentially important impact on poverty reduction by contributing to the integration of national economies, improving the functioning of markets, spreading the flow of information, and increasing the mobility of people, resources and outputs (Ngugi and Nyariki, 2005: 69). In the USP, the project authority developed several agroforestry technologies in project villages to replace jhum and to rehabilitate jhumias in sedentary villages. Field observation reveal that homestead agroforestry seems sustainable, but the conditions of rubber plantations are not good enough to generate income opportunities for the planters as project plan expected, and many planters still practice jhum, even in project’s rubber plantations areas. In Vietnam, for example, swidden farmers who have been converted to a sedentary society only in terms of housing after implementation of new land policy, still continue swidden cultivation (Castella et al., 2006). Even with good communication network, and having employment opportunities in project’s activities, planters carry on jhum. In a study in Malaysia, Hansen and Mertz (2006: 145-146) observe that many farmers, although having increased cash-crop production and off-farm jobs, still practice shifting cultivation because it’s their identity. Their observation is consistent with this study. Planters also mentioned that

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off-farm employment opportunities are not enough to fulfill their food deficit. However, they mentioned that due to joining in the USP their income level increased; they also became socialized and empowered and could speak in different forums. They could build good houses, purchase some household appliances, and send their children to schools. Social connection enhanced, they participated in collective action for social development, and they maintained linkages with NGOs and other organizations for the welfare of the society. Therefore, it seems that implementation of the USP could arrest the trend of jhum to some extent, at could at least improve livelihoods of the planters by providing land for house construction and development of homestead agroforestry, and by creating employment opportunities in project activities.

9.3. UPLAND SETTLEMENT PROJECT IN THE CHT AND KHASIA FOREST VILLAGES OF SYLHET FOREST DIVISION State of Livelihoods Capital Here I examined some important variables of five livelihoods capital (Table 9.1). In investigating human capital, I assessed household size, literacy and current schooling status. Household size was a little higher and gross literacy nearly two times higher in Khasia punji than USP villages. However, percentage of current school-going children was almost twice in USP villages than the Khasia punji. In Khasia punji, however, they have a higher percentage of literacy (most of them have primary education- five years of schooling), and are now very much interested about their farming system, which has made them affluent. Children after primary schooling quit school and involve themselves in household farming activities. Physical and financial capital status implies that forest villagers are more affluent than USP planters. The majority (more than 90%) of the houses of Khasia punji are mud-walled and cement-coated with tin roofs, whereas in USP villages the majority (more than 70%) is made of bamboo-matt walls with sun grass roofs. More than 60% of Khasia punji households have either a television, CD player or other appliances, while only 14 percent of USP planters possess appliances such as televisions, tape recorders, or radios. The possession of more appliances in Khasia punji is also reflected in their mean equivalent money (Tk. 11102), which was nearly four times higher than that of the USP villages (Tk.2741). This indicates that the living standard of Khasia villagers is much better than that of the USP planters. Eighty-eight percent of the planters have a chicken and 42% have a cow, and many rich planters (12%) fatten cows for selling during the Muslim festival of korbani, earning a handsome amount of money. In Khasia punji only one family has two cows, and others (5%) have two or three chickens. We were told that the reasons for having a few livestock were that cattle may damage their agroforestry, and they have limited land for rearing livestock. In analyzing financial capital, we first examined loan status. Planters sometimes take loans, for purposes such as raising livestock, while forest villagers get loans for expanding agroforestry plots or repairing any damaged plots. Usually they get loans from NGOs operating in their respective villages and sometimes, from relatives or neighbors. It was observed that 14 planters had taken loans from several NGOs while three forest villagers had taken loans from an NGO, and two from relatives. Loans from relatives are usually interest-

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free. The mean annual income of forest villagers (Tk.124776) was about three times higher than that of UPS planters (Tk.47831). Table 9.1. State of livelihoods capital of the USP planters and Khasia forest villagers. Variable Human Capital Mean Household size (no.) Literacy (%) Current school going children (%) Boy (%) Girl (%) Physical capital Majority house Households (%) having appliances Mean equivalent money (Tk.) Livestock status Cow (mean no.) Chicken (mean no.) Natural Capital Mean land holding (ha) Financial capital Household (no) having loan No. of loan (mean) Mean annual income (Tk.) Mean annual expenditure (Tk.) Expenditure on education (Tk.) Food security (% of households) Surplus Sufficient Shortage Social Capital No. of organization involved HCN Most of the village people can be trusted a Most people are willing to help if needed a Trust in leader and his responsiveness b Inclusiveness (% of households) Neither distant nor close Somewhat close Very close Social stratification (% of households) Neither great nor small extent Small extent

Planters of the USP

Khasia forest villagers

5.28±0.30 38 45 53 47

5.62±0.52 67 25 57 43

Bamboo matt-walled with sun grass roof 14 2741±761

Mud-walled with tin roof 62 11102±3122

3.78 (42) 10.46 (88)

0.19 (10) 0.14 (5)

2.71±0.15

2.78±0.31

14 1 47831±5482 28865±1734 4265±1184 (40)

5 1 124776±17779 50107±5045 3643±986 (33)

12 23 65

95 5 -

2.41 6.17±0.59 2.19 2.67 3.94

2.33 9.55±0.91 1.52 1.86 4.78

19 67 14

24 76

49 51

5 95

Note: Figures in parenthesis show percentage of households. a= values are the mean of five scales used [1= agree strongly, 2= agree somewhat, 3= neither agree nor disagree, 4= disagree somewhat, 5= disagree strongly]; b= Figures are mean of five scales used [1= to a very small extent, 2= to a small scale, 3= neither small nor great extent, 4= to a great extent, 5= to a very great extent] Source: Field survey in 2005

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The income of forest villagers from agroforestry was high enough to have surpluses after all household expenses. In USP villages, the majority of the planters (65 percent) who have no irrigated agricultural land face food shortages all year and depend on off-farm jobs, mainly wage labor in agricultural fields, for maintaining livelihoods. The products they produced from their agroforestry or shifting cultivation (jhum) could not feed them all year. The state of financial capital specifies that the natural capital (i.e., agroforestry) of the Khasia punji is more productive and generates better returns than in USP villages. The agroforestry system that forest villagers have been practicing since the 1950’s seems sustainable ecologically, economically, socio-culturally and institutionally. In the UPS villages, conversely, planters developed homestead agroforestry sustainably, but present deteriorated conditions of rubber plantations, centralistic management by project authority and detachment of planters in rubber management might put questions on its long-term sustainability. It has been reported that social capital plays an important role in the management of natural capital and improvement of livelihoods, especially in remote rural areas. As forest villagers have been living for more than 50 years in the same village and being homogeneous, they have communication with more people within and outside the village as evident from the number of households in a household communication network (HCN). Because it is a relatively new village, and because planters of several ethnic groups joined the USP from different regions of the CHT, they have not been able to develop extensive networks. However, those planters who are the original residents of the adjacent villages have comparatively wider networks than new inhabitants. Being new and of divergent ethnic identities, many planters of the USP villages still feel isolated and cannot build trust and camaraderie with local planters. Due to this social status, most of the planters do not get help (e.g., emergency loans) from each other and rely mostly on project staff. Moreover, due to distant relationships, a sense of collective action has not arisen among them. Collective action nowadays is considered an asset for sustainable management of natural resources.

Local Level Governance Leaders of the USP villages and Khasia punji occasionally attended project or FD meetings, but could not play any role in the decision-making processes. Planters as well as Khasia people sometimes attended some motivational meetings. It means that they have no participation at a higher level of policy meetings. However, they often join their respective committee meetings. As such, here I would compare some issues such as participation and equity under village level governance. On average, both USP village committees and darbar committees of the Khasia punji call meetings 3-4 times in a year. However, absent planters of unsuccessful USP village hold meetings frequently- every month. Hence, frequency of meetings in the USP villages, on an average, is higher than the Khasia punji (Table 9.2). Even though all of them participate at meetings many planters do not speak. This is also true for the taking part in decision-making processes; only 53 percent planters said that they take part to reach any decision, and only a few people- leaders and some of their nearest planters- actively play dominant roles in making decisions. In darbar meetings, 73 percent participants play a nearly active role in reaching decisions. Others said that they listened and sometimes spoke, but were not involved

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directly in making decisions. Despite some of them remaining silent, they are somewhat satisfied with the meeting’s outcome, feel comfort and convenience with meeting’s timing and also enjoy the deliberative quality at meetings. The values of these meeting indices are higher in Khasia punji than that of USP villages. This is due to the homogeneity of villagers in Khasia punji in terms of ethnicity and economy. In respect to leader’s responsibilities and satisfaction with their activities, I observed differential opinions. Table 9.2: Some variables of local level governance in USP villages and Khasia forest villages Variable Planters of the USP Khasia forest villagers Participation at local institution Meetings 5.94 3.64 How many times 86 100 Had a say Take part in decision-making Yes No Meeting indices †

Satisfied Comport and convenience Deliberative quality Leader responsiveness Very responsive Fairly Satisfaction with leader activities Very satisfied Satisfied Equity (% of households) Access to benefits (e.g., land) Access to information Women participation at meetings

33 67

73 27

3.65 3.49 3.58

3.90 3.95 3.90

71 29

90 10

28 60

5 95

100 100 26

100 100 86

77 77

100 100

Information about

Fund for common work Programs available

Source: Field survey in 2005 Note: † indices are the averages of five scale used [1= disagree strongly and 5= agree strongly]

In Khasia punji, 90 percent households responded as very responsive when I asked them about leader’s responsiveness, only 10 percent opined that leaders should be a reasonable and older person for growing responsiveness of the villagers. In USP though 71 percent of overall planters said their leaders were very responsive, but more than 50 percent planters of the unsuccessful village said that their leader is biased. Their opinion was also reflected when I asked them about their satisfaction on their leader’s activities. Only close relatives of leaders answered that they were very satisfied while the majority of planters responded as satisfied with their leader’s actions. On the other hand, 95 percent Khasia villagers opined that they are

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satisfied with leader functions. A leader’s responsibility also effects the equity aspect of governance. In terms of benefits such as access to land, all Khasia villagers and USP planters have equal access to land though afterwards some of them occupy some government land illegally. Access to other benefits such as project money and employment, in case of USP, vary from village to village. In both USP villages, planters received different amounts of settlement money and some of them did not even get any money. It was absolute biasness on the part of the project authority. Being older, rich and a relative of many planters the leader of successful village always tried to allocate project jobs equally to all planters, especially to needy planters. In unsuccessful village, on the other hand, the leader gives priority to absent planters, who are his relatives and live in his village, in project works. Those who live in project village have less access to project jobs. All people have access to information, mainly of market information. Planters obtain market information from relatives, neighbors and friends. In Khasia punji, apart from relatives and neighbors, the leader plays great role in collecting market information. He, by his cell phone, talked with other punji people to obtain such information. Except leaders, villagers of both sites have no access to information regarding policy changes. All Khasia villagers know about programs in their punji and are aware of the use of their common funds. Many planters in USP villages are not aware about programs and use of common funds. I also observed differential levels of women’s access to local meetings. More than 80 percent of the wives of household heads attend, most often, at the meetings along with their husband or individually in Khasia punji. Sometimes they contribute in making some decisions. Only 26 percent planters in USP mentioned that their wives attended local meetings when they were busy otherwise, but did not speak out.

Forest Conservation in the USP and Forest Villages The central endeavor of both the USP and the forest village concept was to prevent or reduce the level of forest degradation, thereby improving the lives of forest-dependent people. The USP authority, by its direct supervision, raised rubber plantations by employing project planters as paid laborers. With income-generating options, they anticipated reducing the extent of jhum use and pressure on adjacent forest resources, which would leave nearby forests undisturbed. The reality is that even in the successful USP village, planters do their tapping in the morning, and then go to nearby primary forests and extract timber, bamboo, and other forest products to sell and supplement their living. In the face of economic hardship, the majority of the planters (more than 80%) in the unsuccessful village collect nontimber forest products (NTFPs) from nearby forests without any measure of sustainability. Therefore, it seems that the USP could not arrest the rate of forest exploitation. Even the project authority could not develop and conserve their rubber plantation to the fullest extent. Forest villagers, on the other hand, are bound to participate in forest development and protection by agreement with the FD. Despite this, what I observed during field data collection is that reciprocity is the main reason for their voluntary involvement in forest conservation. Forests, besides supplementing many food items, provide the asset base on which forest villagers practice agroforestry, and which they consider to be natural capital for their livelihoods. Villagers, under a mutual understanding between themselves and FD staff members, provide free labor and collectively patrol the forest for the development and

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`protection of forest resources. It is unique in this country to have villagers voluntarily patrol the forest. They believe that until their own forests are sufficiently grown, they can practice agroforestry to sustain their livelihoods.

9.4. ANSWERS TO RESEARCH PROBLEMS AND ACADEMIC CONTRIBUTIONS Answers to the Research Problems In order to clarify the answers to the research problems stated in chapter one, first I shed light on how this study has attained its objectives mentioned in chapter two, because research problems and objectives of the study are interrelated. In chapter four and seven, I deeply examined the livelihoods of planters of the USP and forest villagers of Sylhet forest division, respectively, which is related with the first objectives of the study. Findings in these chapters indicate that the livelihoods of both planters of the USP and forest villagers have improved, largely, after joining the projects, and they feel moderately happy and have been empowered to make decisions, at least some, that can change their livelihoods. In these two chapters I also investigated, in-depth, the factors that effect the outcomes of livelihoods and forest conservation in two study sites that are related with second objectives of the study. The study could identify divergent enabling factors such as economic incentives, employments, capacity building, institutional supports and social capital that govern the outcomes of livelihoods and forest conservation. Some factors such as lack of motivation, inadequacy of good governance and absence of social connectedness negatively effected the project outcomes in the USP. I also examined customary forestry practices (jhum) in chapter five, which is linked with the third objectives of this book. Here I found several factors that compel ethnic people to practice jhum in the CHT in order to sustain their living. Cross-case analysis in this chapter confirms that forest villagers of Sylhet forest division are in better position in terms of livelihoods and forest conservation than the planters of the USP. Sustainable natural capital base and existence of strong social capital among forest villagers are apparently the reasons for such variation. Even though there are no concrete measures of how much livelihoods of the participating ethnic people have been improved and to what extent they contribute to forest conservation after joining in participatory forestry projects (i.e., USP and forest village), this study could explore differential answers to the research problems in two study sites. The USP has been able to limit the jhum, improve livelihoods of planters through the building of several livelihood capitals and is able to reduce land degradation through introduction of small-scale rubber plantations and promotion of homestead agroforestry. Though there are some institutional and governance problems, the livelihoods of Khasia people has improved remarkably after joining as forest villagers in Sylhet forest division. Khasia people conserve and protect the state forests as their own asset because these forests support their livelihoods sustainably.

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Contributions to the Academic Societies Academic contributions of any research can be explained in two ways- generation of new theories or support of existing theories. This book could contribute to the academic societies in terms of supporting the existing theories by case studies. As far as established theories, findings of the study such as forest production technologies (e.g., agroforestry), existence of social capital (e.g., local organizations), and presence of good governance (e.g., governance at local institutions) facilitated the finding of the project’s goals and objectives, and effected people’s living positively. Similarly, the holding of strong social capital among one group (e.g., absent planters in the unsuccessful USP village) deprived other groups (e.g., resident planters of unsuccessful USP village) and lack of good governance impeded the project’s outcomes. This study could also explore some new ideas such as market demand of products, which seems very important for the adoption and maintenance of sustainability of agroforestry systems comparing to land tenure. For instance, Khasia villagers of Sylhet forest division who have been performing indigenous agroforestry systems sustainably on government FD land for more than 60 years without permanent land tenure. The product (betel leaf) has huge market demand that ensures sustainable income for their living. The market demand of products which has been ignored in widely used DFID’s sustainable livelihoods framework, can be fit into the framework for analyzing livelihoods. Based on critics on SL framework and considering the market demand of products, I proposed a modified and simple framework for livelihoods analysis (Fig. 9.1).

Enabling Environment (Governance, markets, demand of products, technology, policies and institutions)

To support Vulnerable livelihoods livelihoods

Development projects

Feedback

Access to, formation, and accumulation of livelihood capitals

Reinvestment

Figure 9.1. A simplified framework for analyzing sustainable livelihoods.

Livelihood strategies

Improved and sustainable livelihood outcomes

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The framework starts with analyzing vulnerable context. Under the circumstance of vulnerable livelihoods, development projects such as participatory forestry can be launched to support the livelihoods of vulnerable people. These projects supported by suitable enabling environments help villagers access to, formation and accumulation of livelihood capitals. With capital endowments and supportive environment, they could set the appropriate strategies for proper utilization of capital to achieve improved and sustainable livelihoods outcomes. The sustainability of projects as well as the livelihoods of the villagers, however, will remain at an increasing or constant level only when the surpluses of the development outcomes are reinvested to maintain the continuity of the resource-base, i.e., the livelihood capitals. The feedback loop indicates that flexibility needs to be there in order to refine the policies, technologies and other factors of projects, whenever and wherever necessary, to cope with the changing situations in the project areas.

9.5. POLICY IMPLICATIONS Forests, especially in remote mountainous areas, are the repositories of village food and wealth, and serve as buffers during times of crisis (Rigg, 2006). Natural resource decline contributes to livelihood decline, and livelihood decline places additional pressure on natural resources (ibid.). Findings indicate that USP planters do not get sufficient livelihood support from the project’s rubber plantations and homestead agroforestry. Moreover, they have no other secure alternative sources to supplement their livelihoods and hence exploit rubber plantations for practicing jhum to maintain their livelihoods. On the other hand, traditional agroforestry supports the livelihoods of forest villagers sustainably, and their reciprocal and voluntary contributions help to conserve the region’s forest resources. Therefore, it is obvious that natural capital (forests and rubber plantations), supported by social capital, and its sustainability are central to the livelihoods of the planters and forest villagers. Hence, in the following sections we discuss the future sustainability of the USP and betterment of forest villagers in light of sustainable management of natural capital.

Implications for Sustainability of the USP Sustainability of Natural Capital Long-term sustainability of natural capital (i.e., rubber plantations) to which the USP authority attached highest priority through which, they intended, to ameliorate land degradation and improve livelihoods of planters is uncertain. The USP introduced rubber as a commercial crop for the long-term socioeconomic development of planters. However due to poor stock and unsatisfactory tree growth, planters did not benefit as expected. Rubber has been planted as a means of rehabilitation for shifting cultivators elsewhere, for example in Tripura State of India, where each participating family earns at least Rp.5000/month/ha1 from 7th year of planting and onwards (Viswanathan and Shivakoti, 2008). For the benefits of the planters, as well as to prevent land degradation, the project authority needs to replant and properly manage vacant project land with the active participation of planters. In order to

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improve and sustain the rubber plantations, it is necessary to involve planters actively in rubber plantations management activities. Planters participate in project functions when they become aware of the benefits and they have direct and real involvement in project management functions. Adhikari et al. (2007) reported that people’s real involvement improves the chances of long-term success for community forestry, thereby resulting in continued improvements in forest health and the overall environmental situation, as well as the livelihoods of the people. The idea of rubber cultivation is new to planters. New resource management ideas will not succeed and sustain unless communities take ownership of the concepts and value the end results; (Liu, 2005) and promotion of such ideas require in-depth thought about the socioeconomic conditions and suitable research in the on-farm environment (Ducourtiex et al., 2006: 75). Sustainability of natural resource management is typically viewed as being dependent upon community engagement at the local level (Pini and McKenzie, 2006: 27). Hettige (2006) states that full community participation and management are increasingly recognized as important for the long-term sustainability of investment. Following Cocklin (2005), Pini and Mckenzie (2006) also mention that future of sustainability will depend upon relations between social and natural capital. If natural resource management strategies are to be successful, then a much wider and more inclusive view of community is needed that captures the different stakeholder groups beyond farmers (Broderick, 2005: 286). Planters of the USP have no stake in project design and planning. Even though they participated in some motivational meetings, they could not feed any input into decision-making processes. For participation to lead to the expected sustainable outcomes, people need to be involved in higher levels of decision-making (Schouten and Moriarty, 2003 cited in Prokopy, 2005). When real decision-making roles are devolved to local people and they have the feeling of shared responsibility, they are likely to foster sound environmental management (Blay et al., 2008: 512). High levels of participation can only occur in situations where villages are truly given choice about what type of project they want, when they want it and how they want it (Prokopy, 2005: 1811). Douglas (2006) mentions that clearly public participation and full involvement of the poor in efforts to make agriculture more sustainable is a key part of the way forward for arresting environmental degradation. In another example, Kumar and Meenattoor (2003) state that the single most contributing factor for the success of rubberbased restoration program in tribal areas of India has been the involvement and commitment of the tribal groups and dedicated support provided by the rubber board- the government institution. Active participation of local communities in resource management can curb destructive and inequitable resource exploitation (Marschke, 2005). For forest rehabilitation projects to be successful, the involvement of motivated local communities is invaluable (Blay et al., 2008: 512).

Stakeholders and Village Committee of the USP The USP involved only two stakeholders: planters and the project implementing agencyCHTDB. For good collaborative governance, it is important to engage more stakeholders including NGOs, local government institutions, and local organizations. In the Philippines, Ernesto and Aguirre (2005) observed that even though a project might be initiated by the 1

1US$=37 Rp. as of Feb. 2008.

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local government authority, subsequent involvement of NGOs and the formation of an effective planters’ organization that manages and protects forests create the environment for long-term sustainability of mangrove restoration projects. To succeed in dealing with farmers’ vulnerability and environmental degradation, it is necessary to invest, along with other components, more on building active farmers’ organizations (Dendi et al., 2005: 25; Hong, 2005). Crook and Decker (2006) mention that benefits acquired by local people, community control of the resources and programs, local organization in place make the community-based natural resource management programs successful. There are planters’ organizations in every project village, but they are all not involved in project functions. The project manager made all decisions related to project activities. Power to make decisions has not been delegated to planters. Experts (Murali et al., 2006, for example) reported that devolution of power through participatory decision-making is an important process of governance. A top-down approach of management in the USP could not create the sense of ownership among planters, which is evidenced by the deteriorated conditions of rubber plantations. The project authority also ignored the role of local knowledge in the management of resources. Kajembe et al. (2005) reports that a top-down approach and ignoring the contribution of indigenous knowledge equally contribute to the failure of state led land conservation programs, and call for indigenous-based interventions that ease-up farm operations, contribute towards increased crop-yields, improve soil conservation and increase farm income. Forest resource use practices of local people utilizing traditional forest-related knowledge should be recognized, respected, and further supported from the viewpoint of forest resource management (Hyakumura and Inoue, 2006: 23). A desire to learn, employ and improvement of traditional knowledge by the project is an encouraging factor for the project to be successful (Bruges and Smith, 2008: 19). There is a need to rejuvenate project village committees that could take part in project decision-making processes for the sustainability of the project activities. This requires the formation of a new committee, where necessary, so that planters could select or elect proper and responsive leaders. Planters have no objections about the leader and committee of successful village, but many planters show dissatisfaction with leader’s activities in unsuccessful village. Being comparatively old, responsive, helpful, fair, and close relatives of many planters, all planters have respect and trust in leader of successful village while due to inclination towards absent planters, resident planters of the unsuccessful village do not have respect and trust in their leader. Gray et al. (2005) indicate leadership as an important element in community organization that assist in developing community capacity, and leadership training is put forward as a means of promoting the development of sustainable communities. A good leader, with honesty and fairness, can enhance the level of social capital among villagers. Strong social cohesion and active social association help people to procure rights and improve livelihoods (Dolom and Serrano, 2005). Trust and reciprocity among farmers at a personal and generalized level facilitates information exchange and so collaboration needed for collective action is enhanced (Westermann et al., 2005: 1794-95). Social capital, however, sometimes create problems too such as social exclusion and even exploitation (Gray et al., 2005: 128). In the unsuccessful USP village, having strong social capital among absent planters excludes resident planters from their social organization. Moreover, the resident planters are deprived of project employment opportunities too. There is another reason- divergent ethnicity and culture- as well as the conflicting nature between two groups of planters. This

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socio-cultural gap among planters has negative impacts on resource management and creates miscommunication and distrust among them. Hyakumura and Inoue (2006) report that due to gaps in understanding local culture and customs, and lack of mutual trust and communication create latent conflict between local people and officials that hinder the smooth management of forest resources at local level.

Provisions for Alternative Livelihood Sources Time between the establishment and commencing of rubber tapping was very critical for planters. Three to four years into the project period there were almost no project activities that would provide employment to the planters. Additional program components that generate alternative income sources are essential for the success of the programs and for improving farmers’ livelihoods (Weyerhaeuser et al., 2006). Though intercropping during early the (1-3 years) stage of rubber plantations provided some returns, the project authority could continue intercropping with other suitable economic plant species, which is being practiced in other countries. Iqbal et al. (2006: 298), for example, speaking of the case of Sri Lanka mentioned that rubber and tea crops are agronomically compatible and present an ideal intercropping system for providing a potentially uninterrupted income for rubber farmers throughout both the immature and mature phases of rubber growth. In China, in order to overcome land degradation rubber and tea intercropping, that generates higher land expectation values than that of rubber and tea monoculture, was introduced where the land is very susceptible to soil erosion (Guo et al., 2006). Being more labor intensive (Guo et al. 2006), tea-rubber intercropping would offer year-round employment to planters and could reduce increased pressure on degraded forests. However, they (Guo et al., 2006; Iqbal et al., 2006) warrant expert knowledge to handle this type of intercropping as it is more complex and technically demanding. Professional experts do exist in our country; what is needed is to appoint appropriate people to suitable positions. Due to fluctuation of prices, this type of agroforestry systems sometimes may not be economically feasible, but it serves more socio-economic and community development oriented purposes (Guo et al., 2006).

Implications for Better Livelihoods of Forest Villagers Absence of interference by FD on traditional land use practices encourages Khasia people to practice betel leaf-based agroforestry system. This is consistent with the findings of Casson (2005), who reported that the Kuri indigenous community in Indonesia, following customary rules and regulations, develop dammar (Shorea javanica) gardens in cleared swidden fields, which has provided a sustainable livelihood support to the community for more than five centuries. Forest villagers reported that non-renewal of agreements and lack of formal land tenure may create problems for the future sustainability of agroforestry and hence their livelihoods. Villagers stated that as they have no permanent land title, nearby lowland people often threaten them with eviction and damage their agroforestry plots. The FD could provide permanent land titles or ensure regular renewal of the agreement to solve this problem.

178

Tapan Kumar Nath

9.6. POLICY RECOMMENDATIONS FOR REGIONAL DEVELOPMENT In independent chapters, I have suggested several policy recommendations for improving land uses, project outcomes, and forest conservation. Here I would like to highlight integrated regional development. A livelihood is a combination of several capitals that are formed under favorable enabling environments. Forest conservation and livelihoods improvement should not be an independent idea by respective experts; rather it should be coordinated thoughts. In this study I observed that the USP could meet planters’ livelihoods only partly, but has the scope to meet other needs by involving other agencies. The project authority, in collaboration with other agencies including NGOs and local government authorities, could promote offfarm income-generating opportunities. Possible opportunities may include livestock rearing, aquaculture, beekeeping, forest-based cottage industries, and horticulture. Involvement of NGOs and other concerned sectors may offer the necessary credit and appropriate training to planters in these regards. NGOs may also help to run informal education, family planning programs, sanitation, etc. in remote areas. In the Khasia forest villages, agroforestry systems provide sufficient financial returns to maintain their livelihood, however, development of small scale poultry may help to reduce pressure on wildlife hunting. Villagers reported that they hunt wild animals including pigs and birds to fulfill their dietary requirements. Other potential areas of development may include education, sanitation, family planning, cottage industries, etc. Therefore, it seems that development projects such as PF are not sufficient to conserve and develop forests unless people’s basic needs, including food security and regular income sources, are assured. To meet the diversified needs of people, a long-term integrated plan that focuses on sustainable management of land, water, and other resources with a coordinated approach is necessary. In Bangladesh as well as in many developing countries, it can be seen that development projects are being implemented individually by independent agencies and there is a lack of coordination among agencies. Douglas (2006) mentioned that sustainable achievements of projects requires not only inter-disciplinary thinking by scientists and experts but collaboration between government departments and integrated political action at all level from local to national. Therefore, it appears that though it involves costs and time, for long-term regional development all concerned agencies should come in one platform. Implementation of small and independent projects by individual agencies could bring sustainable outcomes in some cases, but projects with multiple components implemented jointly by several agencies in a decentralized manner could bring log-term sustainable development of the region. Involvement of several stakeholders would also check good governance in development programs that would facilitate positive outcomes. Findings of the study show that social capital among stakeholders plays an important role not only in improving rural livelihoods but is also essential for positive outcomes of the projects. Therefore, emphasis should be given on formation of social capital for implementing an integrated development program. Implementation of an integrated development project in the CHT and Sylhet forest division region seem not to be a difficult task. The CHTDB, which has three branch offices in three hill districts, has direct links with the Ministry of CHT Affairs. This ministry decides the development programs to be undertaken for the development of the CHT, and CHTDB could easily integrates other development agencies such as FD, Department of Agriculture,

Conclusion

179

Department of Horticulture, Local Government and Rural Development, etc. and other nongovernment agencies such as national and local NGOs, rural organizations, etc. for the execution of coordinated regional development projects. Because government as well as donor agencies has attached highest priority for the development of CHT and its people, it is the time to take an integrated and coordinated project for sustainable development of uplands and its divergent ethnic communities. In the Khasia forest villages, they could maintain their livelihoods sustainably, but still face problems. Besides problems of land tenure and wage labor, recently it has been observed that nearby plain land people attacked their punji and damaged agroforestry plots. As they are considered residential forest labors, FD in consultation with local union councils and local public administrations should come forward for the protection of forest villagers and their resources. The integrated approach itself is challenging because many stakeholders and interests are involved. However, a strong commitment and political will can overcome the obstacles.

INDEX

A academics, 5, 38 accessibility, 71 accommodation, 54, 70 accountability, 60, 64, 66, 69, 73, 85, 101, 103, 162 achievement, 11, 100 adaptability, 45 ADP, 14 age, 43, 44, 46, 71, 88, 108, 132, 133, 135, 141, 148 agricultural sector, 31 agriculture, 1, 10, 14, 31, 42, 44, 45, 46, 49, 51, 52, 60, 64, 88, 96, 98, 106, 117, 122, 125, 126, 130, 139, 152, 175 air quality, 26 alienation, vii, 9, 10 alternative, ix, 3, 17, 33, 42, 44, 47, 48, 60, 67, 74, 87, 101, 105, 123, 141, 152, 158, 174, 177 alternatives, 2, 5, 117 alters, 2, 106, 142 amphibians, 152 animal husbandry, ix, 8, 105, 112, 113 animals, 43, 50, 109 annuals, 56 ANOVA, 148 argument, 147 armed conflict, 16 arrest, 167, 171 arson, 66 ash, 115 Asia, 57 Asian countries, 56, 68, 106, 123 assessment, 46, 74, 111, 121, 127 assets, 12, 20, 23, 24, 25, 28, 29, 30, 31, 32, 33, 34, 36, 62, 65, 67, 148, 149 assumptions, 2 attacks, 134

attitudes, viii, 2, 28, 41, 44, 62, 128 Australia, 62 authority, 2, 3, 10, 15, 29, 35, 49, 51, 54, 55, 61, 65, 70, 76, 77, 78, 79, 80, 82, 83, 84, 86, 88, 91, 98, 99, 100, 102, 166, 169, 171, 174, 176, 177, 178 availability, 1, 44, 47, 74, 98, 100, 111, 117, 127 averaging, 112, 130 avoidance, 2 awareness, viii, 45, 59, 100, 102, 149, 158

B background information, 144 Bangladesh, vii, viii, ix, 1, 4, 5, 7, 9, 10, 11, 12, 13, 15, 16, 17, 18, 19, 20, 37, 41, 44, 47, 55, 61, 62, 68, 71, 80, 87, 89, 90, 91, 93, 94, 97, 99, 102, 106, 110, 113, 122, 123, 125, 126, 127, 131, 134, 137, 141, 142, 143, 144, 145, 150, 152, 154, 157, 159, 162, 178 banks, 10, 63, 90 basic needs, 1, 3, 24, 63, 178 batteries, 146, 149 behavior, 28, 29, 61, 64, 100 belief systems, 139 beliefs, 16, 28, 102, 127, 139, 154 bias, 2 binding, 133 biodiversity, vii, 11, 43, 50, 106, 108, 123, 141, 152 biotic, 10, 46 birds, 53, 146, 152, 178 birth, 46, 75 birth control, 46 blocks, 166 blood, 132, 139 bonding, 27 borrowing, 94, 154

182

Index

boys, 74, 88, 97, 159 breakdown, 116 breeding, 90 buffer, 143, 152, 160 building blocks, 5, 28, 34, 144 bureaucracy, 65 Burma, 145 burn, 47, 106, 118, 141 burning, 41, 141

C Cameroon, 69 Canada, 17 capacity building, 34, 46, 62, 101, 102, 162, 172 capital input, 158 case study, viii, ix, 7, 13, 38, 48, 59, 143, 145, 146 cash crops, 14, 15, 37, 56, 115, 122 catalyst, 35 categorization, 27, 70 cattle, 77, 88, 130, 133, 151, 167 cell, 171 certificate, 123, 149, 151, 162 chicken, 167 childhood, 93 children, 46, 87, 100, 112, 117, 149, 155, 161, 162, 166, 167, 168 China, 64, 67, 68, 177 civil society, 61, 66, 69, 73 classes, 47, 111, 113, 114, 120, 121, 122, 126, 132, 141 cleaning, 92, 132, 135 clients, 64, 67 clusters, 45, 63 codes, 67 coffee, 56 cohesion, 27, 72, 91, 92, 102, 117, 176 cohesiveness, 45 collaboration, 35, 65, 81, 86, 91, 176, 178 collateral, 63 colleges, 149 colonial rule, 10 communication, 16, 44, 60, 63, 64, 67, 70, 72, 87, 90, 91, 93, 95, 100, 102, 149, 153, 154, 166, 169, 177 community, viii, ix, 3, 8, 10, 11, 12, 13, 15, 18, 19, 20, 27, 33, 35, 36, 41, 42, 45, 46, 55, 58, 60, 62, 63, 82, 83, 100, 102, 108, 115, 118, 119, 123, 125, 126, 140, 144, 154, 156, 166, 175, 176, 177 comparative advantage, 48, 110, 162 compensation, 85, 86 competition, 57 complexity, 72

components, 10, 16, 18, 24, 29, 33, 37, 44, 133, 176, 177, 178 composition, ix, 46, 49, 74, 76, 77, 106, 115, 125, 127, 128, 129 conception, 107 concrete, 88, 172 confidence, 35, 64, 72, 102, 154, 162 conflict, 15, 35, 57, 60, 62, 63, 66, 86, 177 conflict resolution, 57, 63 Congress, 3 consciousness, 67 consensus, 4, 35, 42, 69, 72, 81, 108, 126, 156 conservation, ix, x, 2, 3, 4, 5, 8, 11, 12, 15, 19, 20, 21, 33, 36, 37, 38, 42, 44, 47, 48, 49, 60, 61, 62, 63, 64, 65, 85, 100, 102, 125, 126, 128, 131, 141, 142, 143, 144, 148, 152, 159, 160, 161, 162, 163, 165, 171, 172, 176, 178 construction, 5, 16, 18, 35, 42, 43, 47, 54, 109, 145, 156, 167 consumer goods, 31 consumers, 52, 97, 123, 140 consumption, 49, 51, 72, 76, 77, 87, 88, 97, 109, 113, 158, 162 continuity, 108, 174 contract enforcement, 32 control, ix, 2, 3, 10, 12, 15, 24, 26, 29, 42, 46, 47, 50, 65, 67, 113, 118, 125, 127, 129, 130, 135, 176 conversion, 1, 26, 106 cooking, 92, 130 corn, 52 correlation, 129 corruption, 67 costs, 32, 52, 56, 62, 64, 68, 85, 92, 93, 98, 112, 113, 114, 116, 117, 120, 135, 136, 137, 138, 149, 152, 155, 158, 159, 178 cotton, 41, 52, 111 covering, 3, 27, 98, 137 credit, 14, 16, 27, 33, 42, 44, 63, 64, 87, 90, 91, 119, 153, 158, 178 crop production, 74, 118, 166 crops, 15, 24, 41, 42, 43, 44, 45, 47, 48, 49, 50, 53, 55, 56, 57, 93, 106, 107, 108, 110, 111, 112, 113, 114, 115, 119, 126, 139, 141, 142, 158, 163, 177 cultivation, vii, viii, 13, 14, 15, 20, 26, 37, 41, 42, 44, 47, 48, 49, 50, 56, 71, 86, 90, 93, 94, 96, 97, 105, 106, 107, 109, 110, 112, 115, 116, 117, 118, 119, 125, 126, 127, 130, 140, 141, 142, 165, 166, 169, 175 cultural beliefs, 160 cultural practices, 139 culture, 43, 75, 91, 102, 107, 110, 117, 131, 139, 176 cycling, 46, 127 cyclones, 51

Index

D data collection, 38, 43, 48, 51, 61, 74, 121, 171 database, 110 death, 139, 151 debt, 24 decentralization, 65, 66, 67, 69 decision making, 2, 157 decision-making process, 4, 23, 28, 30, 33, 35, 58, 60, 66, 67, 68, 83, 101, 119, 156, 169, 175, 176 decisions, 3, 23, 30, 32, 57, 65, 66, 67, 68, 80, 81, 82, 83, 119, 155, 156, 157, 169, 171, 172, 176 deconcentration, 65 deficit, 167 definition, 27, 72 deforestation, vii, 2, 3, 9, 10, 14, 44, 47, 59, 106, 122, 166 degradation, vii, x, 1, 2, 5, 9, 10, 14, 15, 37, 42, 46, 47, 48, 53, 57, 59, 61, 66, 94, 106, 110, 122, 127, 142, 165, 171, 172, 174, 177 democracy, 65 democratization, 35 demographic characteristics, 27, 112 demographics, 111 density, 56, 78, 131, 132, 145 Department of Agriculture, 178 deposits, 157 deprivation, 2 detachment, 169 developing countries, vii, 1, 2, 3, 4, 27, 33, 43, 46, 59, 65, 67, 118, 143, 178 development assistance, 73 development policy, 144 deviation, 136 devolution, 65, 66, 68, 69, 83, 144, 176 diarrhea, 92 diffusion, 44, 57, 118 direct investment, 64 discourse, 109 dissatisfaction, 82, 176 disseminate, 86, 118 distress, 2 distribution, 9, 10, 11, 12, 46, 60, 65, 67, 68, 83, 86, 88, 99, 119 divergence, viii, 59 diversification, 5, 31, 48, 71, 74, 106, 144, 158, 163 diversity, 15, 20, 46, 53, 107, 126, 131, 141, 142, 162 division, vii, ix, x, 4, 5, 8, 9, 13, 17, 18, 19, 20, 69, 125, 126, 128, 134, 140, 143, 145, 146, 151, 165, 172, 173, 178 dominance, 35 donors, 60

183

drinking water, 16, 33, 95, 96, 98, 149, 161 drought, 24, 110 drying, 141 duties, 145, 156

E earnings, 56, 114, 121, 143 ears, 129 earth, 94, 149 ecology, 48, 122 economic development, 15, 17, 27, 34, 35, 46, 100, 109, 144 economic efficiency, 64 economic growth, 42, 64, 153 economic incentives, 172 economic problem, 27 economic status, 53, 74, 126 economics, 58 ecosystem, 108, 109, 141 education, 99, 122, 159 egg, 130 elderly, 73, 87, 114 elders, 62, 108 employees, 97 employment, viii, 5, 8, 12, 15, 17, 23, 25, 31, 32, 35, 36, 41, 50, 51, 52, 53, 56, 60, 72, 75, 79, 83, 84, 96, 100, 102, 127, 139, 140, 142, 144, 163, 166, 167, 171, 176, 177 empowerment, 4, 33, 38, 46, 91, 155 enabling environments, 5, 174, 178 encouragement, 65 energy, 11, 25 engagement, 62, 64, 83, 175 enthusiasm, 4, 103 entrepreneurs, 133 environment, viii, 15, 27, 33, 35, 36, 37, 41, 44, 45, 46, 47, 60, 61, 63, 67, 72, 73, 100, 102, 106, 107, 108, 122, 123, 142, 174, 175, 176 environmental conditions, 66 environmental degradation, 83, 175, 176 environmental protection, 102, 107 environmental sustainability, 4, 60, 118 equilibrium, 107 equity, 45, 63, 65, 69, 73, 83, 84, 103, 127, 139, 156, 169, 171 erosion, 46, 47, 50, 53, 106, 115, 141 ethnic culture, 106, 123 ethnic groups, 13, 92, 111, 126, 169 ethnicity, 44, 170, 176 etiquette, 126 evil, 139 evolution, 11

184

Index

execution, 3, 36, 179 exercise, 65, 74, 147 expenditures, ix, 96, 98, 99, 105, 114, 122, 129, 136, 137, 147 expertise, 16 exploitation, 14, 24, 31, 46, 48, 61, 66, 166, 171, 175, 176 external environment, 102 externalities, 64 extinction, 15, 60 extraction, ix, 1, 8, 37, 96, 97, 105, 109, 114, 160 extreme poverty, 4

F facilitators, 38, 119 failure, 1, 2, 7, 33, 37, 55, 59, 60, 61, 67, 73, 75, 100, 101, 114, 176 fairness, 65, 82, 176 faith, 56, 92, 117, 139, 154, 162 family, 17, 18, 27, 48, 51, 56, 61, 79, 91, 92, 98, 133, 136, 137, 151, 159, 167, 174, 178 family income, 98 family members, 27, 48, 56, 136, 137, 151, 159 family planning, 178 family relationships, 92 farm size, 130 farmers, vii, ix, 1, 4, 5, 11, 15, 16, 17, 18, 20, 24, 25, 28, 34, 35, 36, 42, 43, 44, 45, 46, 50, 56, 57, 62, 63, 64, 105, 106, 107, 108, 109, 111, 112, 113, 114, 115, 116, 117, 118, 119, 120, 122, 123, 132, 139, 141, 160, 166, 175, 176, 177 farms, 16, 43, 49, 54, 89, 108, 132, 141 feedback, 174 feelings, 92, 101, 155 females, 130, 133 fertility, viii, ix, 15, 41, 42, 43, 45, 46, 47, 49, 53, 106, 109, 110, 115, 125, 127, 129, 134, 135, 139, 141, 142 fertilization, 166 fertilizers, 51, 52, 77, 117, 118, 139 finance, 63, 64, 65 financial capital, 26, 27, 28, 34, 35, 64, 90, 153, 160, 166, 167, 169 financial resources, 26, 27 financial support, 59, 67, 163 fires, 26 fish, 90, 94, 98, 114, 116, 130, 158 fixation, 46, 127 flavor, 98 flexibility, 46, 69, 108, 174 flood, 130 flooding, 24, 110

flora, 15, 132 flora and fauna, 15 fluid, 29, 133 focusing, 7 food, ix, 1, 4, 7, 17, 26, 31, 33, 35, 41, 42, 44, 54, 55, 56, 74, 87, 90, 96, 98, 99, 105, 106, 107, 109, 113, 114, 116, 117, 123, 127, 129, 130, 136, 137, 143, 147, 158, 160, 166, 167, 169, 171, 174, 178 food production, 99 forest ecosystem, 10, 160 forest management, iv, vii, x, 1, 2, 3, 7, 9, 10, 21, 33, 34, 57, 61, 62, 63, 65, 66, 67, 68, 69, 107, 127, 129, 143, 145, 147, 156, 162, 163 forest resources, ix, 1, 2, 3, 4, 5, 8, 10, 19, 33, 35, 37, 46, 59, 63, 66, 67, 105, 110, 122, 123, 125, 142, 143, 144, 151, 158, 159, 160, 162, 163, 171, 172, 174, 177 forests, vii, ix, x, 1, 2, 3, 5, 8, 9, 10, 12, 13, 14, 15, 18, 26, 33, 34, 35, 36, 37, 47, 53, 66, 67, 69, 85, 96, 98, 105, 106, 108, 110, 113, 122, 123, 125, 126, 130, 132, 140, 141, 142, 143, 144, 145, 146, 148, 152, 156, 158, 159, 160, 162, 163, 165, 166, 171, 172, 174, 176, 177, 178 formal education, 102, 148 freedom, 32 fruits, 76, 116 fuel, 3, 13, 53, 69, 110, 115, 132, 143, 152, 159 funding, 16, 17, 86 funds, 16, 68, 82, 92, 156, 171 fungi, 117

G gambling, 129 gangs, 160 gender, 68, 69, 128 gender role, 128 generation, ix, 5, 12, 14, 16, 25, 35, 43, 51, 108, 123, 132, 139, 143, 162, 163, 166, 173 germination, 107, 132 ginger, 15, 37, 42, 51, 52, 55, 93, 94, 95, 97, 115, 122 girls, 97 global markets, 109 goals, 3, 5, 11, 16, 29, 30, 35, 37, 42, 65, 101, 173 God, 134 gold, 126, 129 goods and services, 32 governance, vii, viii, x, 8, 23, 27, 32, 35, 36, 59, 60, 61, 63, 65, 66, 67, 68, 69, 73, 75, 80, 83, 86, 101, 144, 147, 148, 156, 165, 169, 170, 171, 172, 173, 175, 176, 178

Index government, vii, viii, ix, 1, 2, 3, 4, 5, 10, 11, 12, 14, 15, 16, 18, 33, 35, 36, 37, 41, 42, 45, 46, 47, 50, 51, 54, 56, 57, 58, 61, 64, 65, 66, 68, 71, 81, 85, 86, 87, 90, 96, 102, 105, 107, 113, 118, 119, 122, 123, 130, 132, 146, 155, 156, 166, 171, 173, 175, 176, 178, 179 government policy, 50, 166 grains, 56 grants, 77 grass, 88, 112, 113, 115, 130, 131, 149, 150, 152, 167, 168 grasses, 57, 131 grazing, 3, 18, 151 green belt, 11 greenhouse gases, 141 groups, 13, 16, 17, 27, 29, 31, 35, 36, 38, 60, 61, 63, 66, 67, 72, 75, 81, 91, 98, 107, 108, 111, 118, 152, 153, 155, 158, 173, 175, 176 growth, 18, 31, 35, 42, 63, 69, 76, 106, 120, 128, 132, 146, 166, 174, 177 guidance, 57

H habitat, 53 hands, 60 happiness, 155 harassment, 141 harm, 47, 105 harmony, 47, 105 harvesting, 12, 45, 94, 111, 114, 120 hazards, 64 headache, 126 health, 2, 16, 25, 74, 98, 102, 108, 127, 144, 156, 175 health care, 25, 74, 102 health problems, 2 height, 49, 127 herbal medicine, 114 herbicide, 53 heterogeneity, 29 higher education, 130 highlands, 35 hiring, 136 homogeneity, 170 Honduras, 69 honesty, 82, 155, 176 hospitalization, 114 household composition, 128 household income, 12, 43, 56, 111, 112, 114, 142, 149, 158 households, ix, 1, 24, 25, 26, 29, 30, 31, 44, 45, 48, 49, 51, 52, 56, 64, 71, 72, 73, 89, 90, 91, 94, 97,

185

99, 106, 110, 111, 112, 114, 116, 117, 125, 128, 130, 132, 134, 135, 136, 137, 139, 145, 146, 147, 148, 149, 150, 151, 152, 153, 154, 155, 156, 157, 158, 159, 166, 167, 168, 169, 170 housing, 128, 166 human behavior, 29 human capital, ix, 25, 28, 31, 34, 35, 62, 64, 65, 87, 143, 148, 160, 162, 166, 167 human development, 3, 73 humidity, 110, 131 humus, 135 hunting, 26, 115, 129, 162, 178 husband, 92, 171 hydroelectric power, 16 hygiene, 99 hypothesis, 145

I identification, 29, 56, 163 identity, 106, 117, 166 implementation, 2, 4, 11, 12, 17, 36, 43, 62, 69, 92, 100, 103, 166, 167 imports, 56 imprisonment, 68 incentives, 31, 51, 54, 56, 62, 66, 102, 152 incidence, 51, 59, 142 inclusion, 23, 57, 72, 91, 92 income, viii, ix, 1, 4, 5, 7, 8, 12, 14, 17, 20, 23, 24, 26, 31, 34, 35, 36, 37, 41, 43, 48, 50, 52, 56, 60, 63, 64, 67, 72, 74, 79, 88, 89, 96, 97, 98, 99, 101, 102, 105, 107, 111, 113, 114, 116, 117, 122, 123, 125, 126, 128, 129, 130, 131, 132, 135, 136, 137, 138, 139, 141, 142, 143, 147, 148, 149, 150, 152, 153, 155, 158, 159, 162, 166, 168, 169, 171, 173, 176, 177, 178 increased access, 3, 93 independence, 10, 32, 122 India, 13, 33, 45, 57, 62, 64, 67, 68, 126, 140, 149, 174, 175 indication, 47 indicators, 8, 46, 72, 127, 153 indices, 46, 81, 83, 127, 156, 157, 170 indigenous, ix, 8, 14, 29, 33, 37, 45, 47, 53, 54, 90, 103, 105, 107, 108, 109, 125, 126, 158, 173, 176, 177 indigenous knowledge, 45, 176 indigenous peoples, 103, 107, 109 Indonesia, 166, 177 industry, 97, 117 inequality, 84 infants, 97 infection, 134

186

Index

information exchange, 62, 69, 176 information sharing, 63, 64, 153 infrastructure, 11, 23, 25, 28, 35, 37, 44, 75, 84, 88, 91, 92, 109, 160, 162, 163, 166 initiation, 132 innovation, viii, 28, 41, 44, 45, 64 insects, 134, 152 insecurity, 36, 37, 42, 50, 56, 68, 110 insight, 114 inspiration, 80, 153 institutional change, 69 institutions, 24, 27, 28, 29, 30, 31, 35, 61, 63, 64, 65, 67, 72, 85, 100, 103, 108, 123, 144, 147, 173, 175 instruments, 92 integration, 48, 109, 123, 125, 166 integrity, 17 interaction, 4, 45, 64, 79, 87, 91 interactions, 43, 46, 64, 91, 107, 139 interdependence, 10 interference, 177 intermediaries, 32, 52 internalization, 108 International Monetary Fund (IMF), 73 interrelationships, 72 intervention, viii, 37, 53, 57, 59, 60, 69, 71, 100 interview, ix, 38, 48, 74, 125, 147 intrinsic value, 25 investment, 4, 44, 46, 58, 64, 83, 112, 123, 142, 160, 162, 163, 175 investors, 64 iron, 149

J jaundice, 92 jobs, 44, 48, 53, 75, 85, 87, 99, 100, 110, 166, 169, 171 jurisdiction, 18, 145 justice, 108

K kerosene, 71

L labor, ix, 4, 8, 18, 36, 37, 42, 44, 50, 51, 52, 56, 57, 74, 75, 77, 80, 82, 87, 92, 96, 97, 99, 105, 109, 111, 112, 113, 114, 115, 116, 117, 118, 119, 120, 122, 129, 135, 136, 138, 139, 141, 145, 147, 156, 158, 159, 160, 162, 169, 171, 177, 179 labor force, 114, 139, 145

lack of confidence, viii, 41 land tenure, viii, ix, 1, 15, 35, 36, 37, 41, 42, 44, 46, 50, 54, 58, 73, 83, 103, 110, 117, 118, 119, 123, 127, 129, 140, 141, 142, 143, 148, 151, 152, 163, 166, 173, 177, 179 land use, viii, ix, 7, 10, 14, 15, 17, 20, 34, 41, 42, 43, 44, 45, 48, 50, 54, 56, 62, 65, 71, 105, 107, 109, 111, 114, 119, 123, 163, 177, 178 landscapes, 43 land-use, 42, 46, 47, 127, 139 language, 126 Laos, 33 leadership, 36, 60, 62, 82, 101, 158, 176 learning, 33, 38, 65, 108 legislation, 28 leisure, 153 lending, 63, 94, 154 lifestyle, 14, 126 lifetime, 101 likelihood, 102 links, 27, 58, 102, 178 literacy, 87, 89, 111, 130, 145, 148, 150, 167 livestock, 14, 31, 34, 46, 74, 87, 88, 99, 130, 136, 147, 149, 151, 158, 162, 167, 178 living conditions, 129 living standards, ix, 47, 101, 105 loans, 87, 89, 90, 119, 150, 153, 154, 157, 160, 167, 169 lobbying, 58, 155 local authorities, 61, 66 local community, 3, 14, 59, 62 local government, 3, 14, 66, 67, 83, 92, 102, 146, 175, 178 location, 41, 44, 60, 69, 70, 96, 114, 149, 162, 166 logging, 2, 5, 14, 36, 106, 123, 162, 166 long distance, 97 lying, 13

M machinery, 34 mainstream society, 125 major decisions, 80 Malaysia, 166 males, 130 malnutrition, 106 management,vii, viii, ix, 1, 2, 3, 6, 8, 9, 10, 11, 14, 15, 20, 24, 29, 31, 33, 34, 35, 36, 43, 44, 46, 48, 50, 54, 55, 57, 59, 60, 61, 62, 63, 66, 67, 69, 73, 80, 83, 86, 99, 101, 103, 107, 108, 109, 114, 115, 117, 118, 119, 125, 126, 127, 128, 129, 132, 135, 139, 142, 144, 145, 148, 152, 153, 156, 158, 162, 163, 169, 174, 175, 176, 177, 178

Index management committee, 86 manners, 126 manpower, 2, 163 manufacturing, 117 manure, 28, 46, 47, 88 market, viii, ix, 3, 15, 20, 23, 32, 35, 36, 41, 44, 45, 46, 50, 51, 52, 53, 55, 56, 57, 63, 64, 66, 68, 71, 77, 88, 97, 102, 109, 111, 113, 114, 117, 118, 121, 123, 125, 132, 140, 141, 142, 143, 146, 158, 163, 171, 173 market access, 32 market economy, 109, 125 market failure, 64 market incentives, 45 market structure, 32 marketing, 16, 36, 48, 49, 50, 51, 57, 117, 119, 123, 139, 141, 142, 144 markets, 5, 25, 30, 32, 34, 35, 36, 44, 49, 51, 52, 55, 57, 64, 65, 69, 97, 98, 101, 109, 111, 114, 117, 121, 127, 129, 140, 141, 158, 160, 162, 166 marriage, 114 matrix, 138 meals, 152 measurement, 72 measures, 2, 12, 36, 42, 44, 47, 64, 72, 74, 102, 134, 151, 160, 166, 172 meat, 130, 158 mediation, 62 membership, 30 men, 12, 44, 68, 74, 80, 112, 113, 119, 129, 147, 148, 157 migration, 2, 42, 47, 86, 109, 122 minority, 37, 47, 105 miscommunication, 177 misunderstanding, 99 mobile phone, 140 mobility, 166 moisture, 131, 135 momentum, 18, 145 money, 12, 26, 64, 78, 82, 83, 84, 85, 86, 87, 88, 89, 91, 93, 94, 98, 101, 141, 150, 151, 153, 154, 155, 156, 158, 162, 167, 168, 171 monopoly, 126 morality, 108 morning, 97, 98, 139, 171 mothers, 75 motivation, viii, 57, 59, 75, 79, 80, 100, 101, 172 motives, 85 movement, 3, 32, 45 multidimensional, 4, 72 multiple interpretations, 28 mutual respect, 63 MWD, 138

187

Myanmar, 13

N national income, 137 national parks, 162 natural resource management, 3, 27, 36, 60, 62, 63, 66, 83, 85, 103, 107, 108, 175, 176 natural resources, 5, 24, 26, 29, 31, 33, 36, 37, 45, 46, 54, 57, 59, 60, 61, 62, 63, 64, 66, 101, 107, 118, 126, 160, 169, 174 negotiation, 63 Nepal, 33, 62, 67, 68 network, 25, 31, 51, 64, 93, 117, 153, 154, 166, 169 networking, 101 NGOs, 3, 14, 20, 81, 87, 90, 91, 95, 96, 97, 102, 119, 123, 149, 150, 155, 166, 167, 175, 178, 179 nitrogen, 49, 53 nodes, 133 nutrients, 46, 47, 51, 106, 117, 142 nutrition, 16

O observations, 20, 53, 54, 61, 70, 87, 100, 106, 108, 111, 122, 129, 145, 147, 152, 158 obstruction, 141 oil, 98, 114, 126, 158 opportunism, 64 optimism, 69 organ, 81, 155 organic matter, 46, 53, 127, 135 ownership, viii, 50, 51, 59, 80, 88, 101, 175, 176

P Pacific, 126 Pakistan, vii, 9, 10 Panama, 45 passive, 5 pathways, 162 peers, 160 per capita income, 112 perceptions, 107, 148 permit, 45, 63, 132 personal problems, 93, 155 pests, 51, 133, 139 Philippines, 33, 45, 49, 54, 62, 68, 118, 175 physical properties, 46, 127 pigs, 178 planning, 4, 12, 37, 62, 63, 67, 83, 103, 161, 175

188

Index

plants, 15, 53, 56, 76, 78, 131, 132, 133, 151, 152, 158, 160 pluralism, 146 police, 97 policy makers, 3, 5, 38, 60, 107, 108, 114, 122 political leaders, 92 political parties, 102 poor, viii, 1, 2, 3, 10, 16, 20, 23, 24, 25, 26, 27, 31, 32, 33, 35, 36, 43, 44, 45, 46, 47, 51, 55, 60, 61, 63, 64, 68, 69, 70, 71, 72, 77, 84, 85, 87, 88, 90, 92, 97, 98, 99, 102, 110, 128, 143, 174, 175 population, ix, 1, 5, 10, 12, 13, 15, 17, 33, 37, 41, 42, 43, 46, 47, 55, 64, 106, 107, 109, 111, 117, 125, 130, 145, 147 population density, 1, 17, 145 population growth, 15, 46, 47, 109, 117 portfolio, 31, 116 portfolios, 32 potato, 15 poultry, 113, 130, 178 poverty, 1, 3, 4, 5, 16, 20, 23, 24, 25, 27, 30, 32, 33, 36, 42, 46, 48, 60, 63, 64, 65, 69, 71, 87, 106, 143, 144, 153, 162, 166 poverty alleviation, 3, 63, 65, 144, 162 poverty reduction, 4, 20, 24, 32, 33, 36, 42, 69, 144, 166 poverty trap, 64, 153 power, 27, 29, 32, 60, 65, 67, 68, 69, 73, 83, 88, 146, 155, 176 power relations, 60 prayer, 155, 160 president, 81 pressure, 2, 5, 10, 15, 37, 42, 44, 46, 101, 105, 106, 152, 158, 171, 174, 177, 178 prevention, 153 prices, 32, 113, 121, 135, 140, 141, 153, 177 primary school, 87, 88, 114, 162, 167 prisons, 29 private sector, 3, 73 privatization, 5 producers, 32, 36, 52, 69, 139 product market, 36 production, viii, ix, 5, 10, 15, 17, 23, 25, 26, 31, 32, 34, 43, 46, 49, 50, 51, 52, 54, 57, 61, 62, 63, 64, 66, 67, 73, 74, 77, 79, 84, 85, 86, 98, 100, 105, 107, 108, 109, 110, 111, 112, 113, 114, 116, 117, 119, 121, 125, 126, 127, 128, 129, 133, 134, 135, 136, 137, 138, 141, 142, 144, 153, 158, 159, 160, 163, 166, 173 production costs, 136 production technology, viii, 23

productivity, viii, 15, 26, 37, 42, 46, 47, 48, 49, 50, 51, 52, 53, 73, 105, 106, 107, 109, 111, 113, 114, 115, 116, 117, 118, 121, 127, 135, 136, 166 profitability, ix, 5, 56, 125, 127, 129, 135 program, viii, 16, 17, 18, 19, 37, 42, 55, 59, 60, 61, 80, 84, 122, 130, 158, 161, 162, 175, 177, 178 propagation, 54 property rights, 32, 46 protected areas, 42, 62, 109, 123 prototype, 54 pruning, 56, 132, 133, 135, 140, 141, 142, 152 psychology, 100 public administration, 69, 179 public health, 97 public sector, 65 public service, 65 public support, 60 pulse, 130 pumps, 74, 88

R radio, 149 rain, 49, 71 rainfall, 110, 128, 135 range, 32, 35, 43, 109, 134 raw materials, 101 reading, vii, 74 reality, 68, 69, 70, 122, 171 recall, 52, 70, 111, 129, 147 reciprocal relationships, 72, 113 reciprocity, 27, 28, 63, 72, 107, 171, 176 recognition, 3, 20, 35 recollection, 74 recovery, 42, 152 recreation, 149 reflection, 24, 63 reforms, 31, 65 regenerate, 41, 42, 141 regeneration, 15, 141, 160 regenerative capacity, 97 regrowth, 131 regulation, 68 regulations, 37, 62, 66, 67, 97, 103, 108, 177 rehabilitation, 3, 16, 37, 43, 100, 118, 174, 175 reinforcement, 102 relationship, vii, 1, 26, 37, 39, 91, 92, 93, 102, 133, 140, 160, 161 relationships, viii, 3, 23, 24, 27, 29, 33, 60, 63, 65, 66, 73, 92, 102, 138, 158, 169 relative size, 32 relatives, 65, 80, 91, 94, 137, 139, 151, 153, 154, 155, 159, 167, 170, 171, 176

Index remittances, 23 rent, 2, 99 repair, 94, 160 resale, 74 research funding, 38 reserves, 1, 113 resilience, 23, 64 resolution, 35, 62, 63, 156 resource management, 2, 5, 35, 36, 60, 61, 62, 66, 67, 80, 101, 108, 109, 118, 123, 144, 162, 175, 176, 177 resources, ix, 1, 3, 4, 5, 6, 8, 11, 16, 20, 23, 27, 28, 29, 31, 35, 36, 37, 42, 44, 45, 46, 48, 58, 60, 61, 62, 63, 64, 67, 68, 73, 76, 101, 103, 107, 108, 115, 125, 140, 143, 144, 152, 153, 163, 166, 176, 178, 179 responsiveness, 73, 81, 82, 86, 92, 94, 101, 154, 155, 168, 170 retention, 43, 48 returns, 28, 48, 56, 97, 106, 116, 158, 160, 169, 177, 178 revenue, 2, 14, 45, 56, 85, 86, 93, 123, 126, 139, 152 rhetoric, 12 rice, 7, 13, 14, 41, 42, 49, 51, 52, 56, 71, 78, 86, 88, 91, 97, 98, 111, 113, 114, 115, 116, 117, 122, 125, 158, 166 rice field, 78 rings, 88, 129, 161 ringworm, 126 risk, 24, 29, 44, 64, 127, 160 risk-taking, 64 rotations, 131 rubber, x, 9, 17, 20, 42, 45, 49, 50, 51, 52, 53, 55, 56, 70, 73, 77, 78, 79, 80, 82, 84, 85, 86, 89, 91, 93, 96, 97, 99, 100, 102, 103, 165, 166, 169, 171, 172, 174, 175, 176, 177 rubber products, 53, 56, 85 rule of law, 29, 32 runoff, 117 rural areas, 26, 60, 102, 169 rural development, vii, 27, 60, 61, 91, 118 rural people, 4, 26, 33, 35, 59, 126, 160 rural population, 31 rural poverty, 20, 25, 69

S safety, 1, 88, 102 sales, 64, 86, 93, 111 sample, viii, ix, 59, 61, 70, 74, 111, 112, 128, 143, 147 sampling, 7, 128 sanctions, 61, 62, 103, 108

189

satisfaction, 81, 156, 170 savings, 20, 26, 33, 34, 64, 74, 98, 127, 129, 137, 147, 153, 157, 158, 159 scaling, 45, 46 scarcity, 10, 42, 117 school, 35, 71, 87, 89, 97, 100, 112, 114, 117, 130, 146, 148, 149, 150, 155, 161, 162, 167, 168 school enrollment, 87, 89, 148, 150, 162 schooling, 44, 75, 87, 148, 149, 150, 161, 166, 167 scientific knowledge, 2 sea level, 14 search, 31 seasonality, 26 second generation, 132 secondary education, 87 security, 1, 4, 16, 17, 31, 33, 35, 36, 42, 56, 61, 90, 102, 117, 127, 132, 137, 140, 143, 168, 178 sediment, 106 seed, 112, 133 seedlings, 10, 11, 45, 46, 76, 100, 131, 132, 158, 160 selecting, 58, 145 self-confidence, 84 self-control, 155 self-employment, 23 seller, 91 semi-structured interviews, 38, 111 series, 3, 147, 156 service provider, 45 sex, 111 sex ratio, 111 shade, 55, 56, 119, 131, 132, 133, 158 shape, 28, 29 shares, 12 sharing, 4, 10, 12, 28, 33, 63, 64, 68, 73, 85, 102, 152 shelter, 25, 107 shock, 24 shortage, 2, 17, 18, 47, 50, 51, 54, 109, 137, 151, 166 shrubs, 49, 110, 132 side effects, 53 sign, 83, 134 signals, 108 silver, 129 skills, 25, 28, 31, 34, 35, 51, 61, 62, 87, 100, 110, 118, 119, 162 smoke, 141 social activities, 113 social capital, vii, viii, ix, 5, 27, 28, 29, 32, 35, 41, 43, 57, 58, 59, 60, 61, 62, 63, 64, 65, 69, 72, 73, 74, 82, 91, 93, 94, 102, 143, 144, 147, 148, 153, 154, 155, 160, 162, 163, 166, 169, 172, 173, 174, 176, 178 social conflicts, 156

190

Index

social development, viii, 4, 32, 59, 69, 81, 82, 83, 87, 91, 93, 102, 155, 156, 161, 167 social distance, 64 social events, 74 social exclusion, 176 social group, 108 social infrastructure, 63 social institutions, 108 social learning, 27 social network, 27, 28, 64 social norms, 28 social obligations, 72 social relations, 66, 74, 148 social security, 46 social services, 93, 95, 96, 102 social status, 5, 20, 169 social structure, 63, 106 social support, 27 socialization, 108 soil, viii, ix, 15, 16, 17, 20, 26, 36, 37, 41, 42, 43, 44, 45, 46, 47, 49, 51, 53, 55, 57, 64, 94, 106, 108, 109, 110, 115, 117, 119, 122, 125, 127, 129, 130, 131, 132, 134, 135, 139, 141, 142, 153, 166, 176, 177 soil erosion, viii, 15, 20, 26, 37, 41, 42, 46, 51, 53, 94, 106, 110, 115, 122, 127, 130, 132, 134, 135, 141, 177 solidarity, 28, 74, 91, 92, 154 South Asia, 4, 126, 144 Southeast Asia, 10, 42, 47, 105, 126 species, 15, 46, 49, 51, 53, 54, 55, 58, 68, 74, 76, 86, 107, 109, 110, 115, 127, 129, 131, 135, 141, 146, 152, 177 specificity, 32 spin, 64 Sri Lanka, 45, 177 stability, 45 stakeholder groups, 175 stakeholders, 3, 11, 27, 33, 36, 62, 65, 66, 67, 69, 83, 102, 103, 123, 175, 178, 179 standard deviation, 74, 90, 148 standard error, 129, 150 standard of living, 5, 31 state control, 1 Statistical Package for the Social Sciences (SPSS), 75, 129 stock, 69, 72, 77, 90, 123, 174 stomach, 149 storage, 16 storms, 51 strategies, viii, ix, 2, 5, 8, 20, 24, 25, 28, 31, 32, 34, 38, 46, 59, 61, 63, 67, 69, 71, 72, 73, 74, 87, 96,

97, 105, 108, 109, 144, 148, 158, 159, 160, 162, 174, 175 stratification, 94, 139, 154, 155, 168 stress, 24, 42 students, 161 subsistence, ix, 11, 14, 20, 36, 37, 43, 56, 67, 68, 105, 106, 109, 117, 125, 140, 152 subsistence farming, 14, 37, 106, 140 summer, 98 superstitious, 16 supervision, 171 supply, 14, 18, 25, 33, 41, 43, 52, 56, 71, 75, 81, 88, 92, 94, 95, 98, 140, 145, 156 supporting institutions, 36 suppression, 109 surplus, 15, 24, 51, 55, 97, 98, 137 survival, 37, 76, 87, 144 survival rate, 76 sustainability, viii, ix, x, 5, 7, 8, 12, 20, 31, 35, 37, 38, 42, 43, 46, 47, 48, 59, 60, 61, 62, 63, 66, 83, 101, 105, 106, 108, 109, 112, 114, 119, 125, 126, 127, 128, 142, 147, 160, 165, 166, 169, 171, 173, 174, 175, 176, 177 sustainable development, 27, 126, 178, 179 swamps, 14 systems, viii, 2, 3, 8, 14, 16, 18, 23, 24, 29, 31, 33, 36, 37, 41, 43, 44, 45, 46, 47, 48, 49, 50, 51, 52, 53, 54, 55, 56, 57, 58, 61, 62, 67, 100, 105, 107, 110, 117, 118, 119, 126, 127, 136, 147, 152, 154, 162, 166, 173, 177, 178

T tall trees, 13 tanks, 92 Tanzania, 64 tar, 93 targets, 12, 18 teaching, 108 technology, ix, 32, 35, 36, 37, 42, 44, 45, 46, 49, 50, 54, 57, 62, 63, 64, 65, 102, 118, 119, 125, 127, 139, 140 television, 74, 149, 167 temperature, 110 tenure, 15, 36, 50, 51, 54, 57, 99, 103, 118, 119, 140, 141, 151, 173 territory, 36, 86 tertiary education, 87 test data, 38 Thailand, 13 theft, 160 thinking, 24, 33, 35, 84, 178 threats, 10, 68, 159

Index threshold, 46 threshold level, 46 timber, 10, 43, 46, 49, 55, 67, 75, 77, 86, 92, 96, 110, 112, 113, 115, 119, 130, 171 timing, 170 tin, 88, 146, 150, 167, 168 total costs, 135 tourism, 8, 123 trade, 97 trading, 13, 34 traditional authorities, 35 training, 11, 54, 56, 57, 62, 76, 83, 84, 87, 92, 100, 102, 119, 158, 176, 178 training programs, 84 transaction costs, 27, 64 transformation, 56 transition, 4, 109 translation, 122 transmission, 37 transparency, 69, 73, 85, 101, 103, 162 transport, 74, 99, 114, 139, 141 transportation, 117 trees, 3, 12, 16, 43, 44, 47, 49, 51, 55, 56, 74, 76, 77, 78, 79, 83, 107, 110, 115, 126, 131, 132, 133, 134, 140, 141, 142, 152, 158, 159, 160 trial, 33 triggers, 107 tropical forests, 109 tropical rain forests, 106 trust, 27, 28, 32, 34, 64, 69, 72, 74, 79, 85, 91, 92, 94, 102, 139, 154, 155, 169, 176, 177 tuition, 149 turnover, 45

U uncertainty, 23, 31, 33, 45 United Kingdom, 18, 140 unstructured interviews, 20 urban areas, 117 urbanization, 10

V validation, 38 values, ix, 2, 3, 28, 29, 52, 62, 74, 105, 114, 121, 125, 126, 136, 147, 149, 150, 154, 168, 170, 177 variables, 32, 65, 72, 73, 74, 91, 92, 93, 94, 129, 137, 138, 147, 148, 153, 154, 156, 167, 170 variance, 74, 148

191

variation, 28, 113, 126, 172 vector, 38, 74 vegetables, 49, 51, 52, 55, 75, 76, 97, 98, 116, 130, 158 vegetation, 14, 41, 106, 122, 130, 133, 141 vehicles, 51, 149 venue, 155 victims, 122 Vietnam, 96, 113, 117, 166 village, vii, ix, 9, 11, 14, 17, 18, 33, 38, 43, 44, 48, 49, 53, 57, 58, 60, 64, 68, 70, 71, 73, 74, 75, 76, 77, 78, 79, 80, 81, 82, 83, 84, 85, 86, 87, 88, 90, 91, 92, 93, 94, 95, 96, 97, 98, 99, 100, 101, 102, 111, 114, 117, 125, 128, 134, 136, 137, 138, 139, 140, 141, 143, 145, 146, 147, 149, 154, 155, 156, 160, 168, 169, 170, 171, 172, 173, 174, 176 violence, 68 voice, 65 vulnerability, 23, 24, 25, 26, 29, 30, 31, 32, 83, 176 vulnerable people, 174

W wages, 129, 135, 141, 156, 162 war, 129 watershed, 47, 48, 63 weakness, 10 wealth, 24, 36, 69, 107, 139, 144, 147, 155, 174 wear, 129, 139 welfare, 18, 58, 59, 64, 72, 147, 151, 155, 167 wells, 95, 98, 149, 155, 161 West Africa, 69 wholesale, 52 wild animals, 51, 98, 120, 130, 162, 178 wildlife, 30, 63, 122, 146, 152, 178 winning, 100 winter, 49, 52, 98 wives, 171 women, 44, 68, 74, 81, 91, 92, 97, 112, 113, 119, 129, 140, 147, 148, 157, 158 wood, 3, 13, 43, 53, 69, 92, 130, 152, 159 workers, 15, 80, 135 World Bank, 33, 73, 137 wrists, 129

Y yield, 8, 15, 16, 43, 56, 57, 87, 106, 109, 112, 116, 117, 119, 135, 166 young men, 154