INSIGHTS from BARA COUNTRY, MADAGASCAR a Disse
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THE LIMITS OF RULES: WHEN RULES PROMOTE FOREST CONSERVATION AND WHEN THEY DO NOT--INSIGHTS FROM BARA COUNTRY, MADAGASCAR A Dissertation Presented to the Faculty of the Graduate School of Cornell University in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy by Nadia Rabesahala Horning August 2004 © 2004 Nadia Rabesahala Horning THE LIMITS OF RULES: WHEN RULES PROMOTE FOREST CONSERVATION AND WHEN THEY DO NOT--INSIGHTS FROM BARA COUNTRY, MADAGASCAR Nadia Rabesahala Horning, Ph.D. Cornell University 2004 To what extent can the enactment of rules achieve resource conservation? This study addresses the problem of deforestation and explores how the Malagasy state, in responding to this problem, has ignored the pluralistic arena in which forest users have devised local rule systems adapted to their respective social, political, economic, cultural, demographic, and natural environments to secure their livelihoods. These regimes coexist with the rule regime of the state, creating confusion or at least ambiguity that makes the efficacy of rules uncertain. This study explores the conditions under which rules-in-use may or may not have desired resource-conserving behavior (RCB) effects. Looking at local governance systems of five rural communities adjacent to four forests under varying protection statuses in Bara country in southern Madagascar, the relationships between rules and conservation outcomes are examined. Several instruments of investigation were combined to gather data on forest products, the rules that govern access to products and their uses, forest users' perceptions of the rules, and communities' conservation behavior. The study concludes that while rules can have some effect on conservation behavior, key actors' interests, which the rules serve, are the primary determinant of conservation outcomes. Key actors' success in monopolizing resource access, by using rules, rests primarily on the ability to enforce rules and their ability to legitimize their authority vis-a-vis forest users at the local level. BIOGRAPHICAL SKETCH Nadia Rabesahala Horning teaches Political Science at Middlebury College, in Vermont. Before starting her doctorate in Government at Cornell University, she worked as an international development consultant for Associates in Rural Development (ARD, Inc.). During that time, she conducted research on institutional aspects of natural resource management in her native country, Madagascar. Dr. Horning received a Masters' Degree in International Transactions and her Bachelor's Degree in International Studies from George Mason University, Fairfax, Virginia. Her research interests are in how interests shape institutional factors that, in turn, affect compliance with rules. m Atolotro ho fahatsiarovana ny raiko, Rabesahala Jacques, ity asa ity noho ny fitiavana feno nomeny ahy. To my ancestors, including RAM Edward F. Blasser. IV ACKNOWLEDGMENTS Although writing a dissertation often feels like an alienating and solitary process, this one could not have been completed without the invaluable help and support of various individuals and institutions. First and foremost, I wish to thank my advisor, Norman Uphoff, for challenging me tirelessly and for his careful supervision of my project. He was patient, understanding of my personal choices and, most of all, always interested in what I had to say. I am grateful for every criticism that he voiced. I am also thankful for the funds he made available from the Cornell International Institute for Food, Agriculture and Development (CIIFAD) that allowed the purchase of field equipment. Likewise, Elinor Ostrom's intellectual and material contribution to this project was enormous. Not only did she and Vincent Ostrom graciously host me at the Workshop in Political Theory and Policy Analysis for one semester, but Lin also enthusiastically encouraged me to pursue my interest in rule compliance in the domain of forest management. With a grant from the McArthur Foundation, Lin made International Forestry Resources and Institutions (IFRI) funds available that allowed me to hire a research assistant for the entire duration of the field phase of this project. While at the Workshop, I was fortunate to interact with Clark Gibson and Arun Agrawal, both of whom helped me refine my proposal ideas for this research. If not for WWF Madagascar's support while in the field, I would not have had the fortune to work in Bara country. In particular, I wish to thank Koto Bernard and the entire WWF-Sakaraha staff for putting us up and putting up with us for months. Each individual, in his and her own way, made our research possible, even enjoyable. Bruno, Venot, Chiriac, Jesse, and Vao were real allies. I hope that they learned from us as much as we learned from them. v Of course, without the hospitality and cooperation of the people of Fanovana, Andranoheza, Mikoboka, Andranomaitso, Mitia, and Iarindrano, the data presented in this dissertation would not be. How could I ever thank them for all that they offered? Josiane Ravaosolo, my research assistant, was a superb colleague and friend. I am indebted to her for helping me with logistics and, especially, with the surveys. Her companionship in times of frustration, sickness, and loneliness, as well as in fun times, was critical in keeping me sane and focused. In the final phase of this project, Middlebury College's role was critical. I would like to express my gratitude, in particular, to Roman Graf and the Office of Institutional Diversity for granting me a dissertation fellowship and providing the proper material and intellectual environment to bring this project to maturity. My colleagues in the department of Political Science and other departments were also supportive in the final phase of this intellectual voyage, either by offering advise or simply by asking how my writing was going. A particular thank you goes to Mark Williams who was honest enough to tell me that my initial thesis statement "doesn't tell me anything!" Like Middlebury College colleagues, parents', relatives', and friends' words of support and encouragement kept me going. They know who they are, and they know I am grateful. Among friends, I must single out Minfong Ho and John Dennis who always had a nice pep talk and great meal for me when I needed them while in Ithaca. Finally, thank you to Ned, Naina, and Nanja. Naina and Nanja were born as I was working on this doctorate. While at times they were demanding of my time and _ energy, I could not have finished this project without them. Not only did they give me a true sense of purpose in life, but they also helped me resist the temptation to give up. May the completion of this degree serve as an example of perseverance and persistence to both of them. And last but not least, my most sincere gratitude goes out VI to Ned, my husband, friend, and colleague. I can hardly imagine what he went through, but he endured it all with patience, discretion, and kindness. As if helping with the children, constantly moving around, providing for the family were not enough, he also provided support with the remote sensing part of my analysis. How could I have measured my dependent variable without his knowledgeable help? How could I have completed this degree without him? So, to all I say: "Misaotra betsaka!" and "Andriamanitra sy ny razana hitahyH ("Thank you very much!" and "May God and the ancestors bless you!"). v11 TABLE OF CONTENTS Chapter 1: Farmers, Forests and the State 1 September 2003: President Ravalomanana Makes Conservation History 2 The Deforestation Puzzle in the Malagasy Context ........ .3 The Malagasy State's Perspective and Coping Strategies. 6 Parks, People, Poverty and Practices: What about Institutions? 11 Defining Institutions and Connecting Institutions with Rules 13 Do Rules Matter? 14 Main Argument 16 Chapter 2: The Roles of Rules 21 Are Protected Area Forests Common-Pool Resources? 24 Unpacking the Rule Box: Rules, Laws, Norms. 29 Legal Pluralism ....... 34 The Issue of Compliance.... ..42 Descriptive Framework 51 Theoretical Propositions 54 Chapter 3: Methods 58 Research Design .58 Subjects and Procedures .61 Rationale for Combining Instruments of Investigation., ...68 Why Bara Country? 70 Site Selection 75 Research Team 76 Overcoming Suspicions 76 Conclusion 78 Vlll Chapter 4: Bara Land 79 Ibara.... ......................80 Bara Socio-Political Organization 86 Five Communities, Four Forests, Three Cases ... ..89 Analavelona Sacred Forest. 91 Zombitse National Park. 98 Ihera Classified Forest 101 Iarindrano Classified Forest 105 Comparing Study Sites 108 Changes in Forest Cover 113 Chapter 5: Who Needs a State? The Sacred Forest of Analavelona..... 121 How Are Analavelona Communities Defined? 121 Leaders' Legitimacy. 124 Forest Products. .127 Rules Pertaining to the Sacred Forest 128 How Forest Users Learn about Rules 139 Interactions Between State Authorities and Communities .....141 Local Reactions to Rules .. 142 Compliance. 148 Reasons for Compliance ..152 Concluding Remarks 160 IX Chapter 6: Who Needs Rules? Zombitse National Park 167 Andranomaitso: From Invisible to Infamous 168 Livelihood Choices and Forest Dependence 170 Forest Products 171 What Rules Apply? 173 Are There "Community" Rules? 178 Assessing the Effectiveness of Rules-in-Use 181 Assessing the Legitimacy of Rules .182 DMH and Power Dynamics 184 Compliance 187 Challenges to Effective Monitoring and Enforcement 192 Concluding Remarks 196 Chapter 7: State vs. Community in Iarindrano and Ihera... 198 Settlements'Histories