The Effect of Social and Institutional Structures on Decision-Making And

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The Effects of Social and Institutional Structures on
Decision-Making and Benefit Distribution of Community
Forestry in Nepal

___________________________________________
A thesis submitted in partial fulfilment of the requirements for the Degree of
Doctor of Philosophy

at
Lincoln University, New Zealand

by
Bhagwan Dutta Yadav

________________________________________
Lincoln University
2013
Abstract of a thesis submitted in partial fulfilment of the requirements for the
Degree of Doctor of Philosophy in Forest Economics

The effects of social and institutional structures on decision-making and benefit distribution of community forestry in Nepal

by
Bhagwan Dutta Yadav

Participatory democracy has been an official part of Community Forestry (CF) since 1989 when the main policy document, the Master Plan for the Forestry Sector (MPFS), was introduced in Nepal. However, many problems related to benefit distribution from CF have emerged because of the way decision-making is influenced by the social and institutional structures present at the community level, particularly in terms of dominance by wealthy and caste elite and the inability of poor and disadvantaged households to participate fully in decisions. The purpose of the study is to investigate the potential for poor and disadvantaged households to have positions on the Executive Committee (EC) of the Community Forestry User Group (CFUG), and whether representation of the poor and disadvantaged on the EC has any influence on the distribution of CF products or the formulation of distribution rules.

The study used a conceptual approach using elite theory with models that looked at EC decisions based on whether there was a single caste in the CFUG or multiple castes, and whether only rich households were on the EC or whether a mix of rich and poor households were on the EC. Rich and/or high caste individuals, typically identified with EC membership, would interact on the EC either as a consensually integrated elite where there was one caste, or a plural elite where there was a mix of castes. A mix of rich and poor households on the EC was characterised as an organisational elite model, in which the EC organisation provided power and influence to members of the EC, including the poor, thus providing a balance to the dominance by the traditional elite.

The study uses CFUG-level data from 31 CFUGs in the Baglung district and household data from 310 households. The results of the study show that while the usual factors associated with wealth and caste are important for selection to EC leadership positions, NGO membership was also an important factor EC leadership positions. The importance of NGO membership is that it means that NGOs and civil organisations are able to strengthen the leadership capabilities of poorer and disadvantaged people or encourage/empower someone to

ibe an EC member through training, workshops and study tours. This finding also supports the concept of the organisational elite model. The study also examined the effect of representation of the poor and disadvantaged on the EC by studying the factors that determined the relative distribution of forest products and the rules of distribution. In both cases, the higher the representation of the poor and disadvantage on the EC, the greater the benefits to the poor, both in terms of greater quantities distributed and longer distribution or collection periods.

The policy implication of the study is that there is a way to overcome the traditional domination of the EC by the local elite through greater activity of NGOs, CBOs and civil society organisations. These organisations help the poor and underprivileged households to build up capacity to undertake leadership roles and through the organisational elite model become part of the elite decision-making.

Keywords: Community forest, Community Forest User Group, Leadership, organisational elites, consensually integrated elites, plural elites, proportion of EC, influences, timber, firewood, fodder, leaf litter.

ii

Acknowledgements

I am greatly indebted to many people who have helped in this research endeavour. It is almost impossible to acknowledge my gratitude and debts to each and every one of them, but I owe my sincere gratitude and heartfelt thanks to some people who are worthy of mention. First and foremost, my sincere thanks to my supervisor, Associate Professor Dr Hugh H Bigsby, and Co-supervisor, Senior Lecturer Dr Ian Macdonald. I am especially grateful to my supervisors for their sharp insights, constructive comments and tireless guidance throughout the research endeavour. I could not have completed this thesis, without their support, guidance, and encouragement and due diligence. I have learnt greatly from their comments and am grateful for their help. My studies in the Faculty of Commerce have been memorable due to many people, but I must thank Professor Ross Cullen, Head of the Commerce Faculty who produced my research proposal to New Zealand Agricultural and Resource Economics Society (NZARES) that has also recognised my contribution with an award. A special thanks also to Dr Patrick Adwell, Dean of the Commerce Faculty for providing me prompt support and for managing my student visa on the special initiation of my supervisor, Dr Hugh H. Bigsby.

I must acknowledge the Community Forest User Group members and DFO, Mr Kedar Nath Dahal, his staff, particularly, Yamnath Pokharel who helped me and participated in my research in Baglung. I would also like to acknowledge with gratitude to DFO, LFP staff, in particular Mr Nirmal Thapa and project coordinator, Mr Vijay Shrestha, Assistant Coordinator, Mr Ramu Subedi and LFP Baglung In-Charge, Mr Lila Paudel. Their help, open-handedness and hospitality made this thesis possible. I am indebted to Mr Bijay Kumar Singh, Professor Dr A. K. Das, Dean of the Institute of Forestry, Nepal, for providing valuable advice on the data collection. I extend my sincere thanks to the Secretary, Ministry of Forest and Soil Conservation, Government of Nepal, the late Dr Damodar Parajuli, Ex Conservator, Mr R.V. Gupta, Regional Director, Mr Ram Paudel, Mr Mohan Dhungel, DFO Mr Braj Kishor Yadav, Shekhar Kumar Yadav, Mr Yogendra Yadav and CDO Panchthar Mr Janardhan Sharma Adhikari and my intimate friend Tek Ghimire and Yog Narayan Singh who encouraged me to undertake this study. I must also thank Mr Dinesh Parajuli, Anil Adhikary Yadav, Nirmala Yadav, and Mr Ram Kumar Yadav, former Minister Ram Chandra Yadav, MP Raj Lal Yadav and Ram Kishor Yadav for their continuous support. My special thanks are also conveyed to Dr Rabindra Kumar, my son, Dr Vinay Adhikari and my childhood colleague, Dr Gyanendra Adhikari who provided enormous health support to my 81 year old

iii father while I was in Nepal and back here in New Zealand. He left us and departed for heaven at 3.45 pm on 18 September, 2009.

I must acknowledge the Government of New Zealand and Lincoln University for providing me an opportunity to study under domestic fees and for helping in the research field. I would like to express my heartfelt thanks to Dr Bhubanesowor Dhakal for his advice and his wife Urmila Dhakal, for support afforded and their daughters who took care of my son while I was in Nepal collecting the research data. Special thanks to go my friend Dr Jagannath Aryal, Mr Bhoj Raj Khanal and other Nepalese students and office colleagues for their support in numerous ways. I am also grateful to the members of the Nepal-New Zealand Friendship Society, Christchurch, and Mr Peter and Mrs Jill Lemon, Dr Eric Scott and Brenda Lord who contributed one way or another to my study.

Finally, I express my hearty thanks to my wife Yamuna Yadav for her tireless support as she worked long hours to manage the family, who shared my anxiety, provided love, endurance, and understanding and gave enormous encouragement throughout the entire duration of my study. My son, Vivek Adhikari, who changed my life by motivating me, this work may answer his frequent questions about why I used the computer all the times at home and went to the office every night and even at weekends.

I dedicate this work to my late father, Sukhadev Yadav and mother, Sajo Devi Yadav, who

started my academic expedition to this level. iv

Acronyms

AD

The Anno Domini dating system was devised in 525 by Dionysius Exiguus,

who used it to compute the date of the Christian Easter Festival,

Above Mean Sea Level

AMSL

CBDD CBNRM CBO
Community Based Driven Development Community Based Natural Resource Management Community Based Organisation Clean Development Mechanism Community Forestry
CDM CF CFMP CFUGs CHHE CTVET DANIDA DLGDP DDC
Collaborative Forest Management Plan Community Forestry User Groups Caste Hill Hindu Elite Centre for Vocational and Educational Training Danish International Development Agency Decentralised Local Government Development Programme District Development Committee District Forest Office/District Forest Officer Dalit NGO Federation
DFO DNGOF

DoF

Department of Forest

EC

Executive Committee

FAO

Food and Agriculture Organisation

Federation of Community Forestry User Group in Nepal Gross Domestic Product
FECOFUN GDP

ha

Hectare

I/NOG IHDP K-BIRD KHARDEP KHDP LFP
International/Non-Governmental Organisation Integrated Hill Development Programme Karnali-Bheri Integrated Rural Development Koshi Hill Area Rural Development Programme Koshi Hill Development Programme Livelihood and Forestry Programme Land Resource Mapping Project Metre
LRMP mMDGs mm
Millennium Development Goals Millimetre

v
MPFS NAFP NATO NFI
Master Plan For Forestry Sector Nepal Australia Forestry Project North Atlantic Treaty Organisation National Forestry Inventory

NRM

Natural Resource Management

NSCFP NTFPs NUCFP OFMP OLS
Nepal Swish Community Forestry Project Non Timber Forest Products Nepal-UK Community Forestry Programme Operational Forest Management Plan Ordinary Least Squares

OP

Operation Plan

PASRAP PF
Poverty Alleviation in Selected Rural Areas of Nepal Panchayat Forest

PPF

Panchayat Protected Forest

PRMCIP-MS PVSE
Nepal Marginalised Community Empowerment Project Poor, Vulnerable and Socially Excluded Reduced Emissions from Deforestation and Forest Degradation Rapti Integrated Rural Development Programme Rasua-Nuwakot Interpreted Rural Development Programme Rural Women Development Centre Rural Water Supply and Sanitation Seti and Mahakali Integrated Rural Development Strengthened Actions for Governance in Utilization of Natural resources Sagarmatha Integrated Rural Development Programme Total Digestible Nutrient
REDD RIRDP RNRDIP RWUDUC RWSS S/MIRD SAGUN SIRDP TDN

UK

United Kingdom

UK-DFID UNICEF USA
United Kingdom Department for International Development

United Nation Children’s Fund

United Stated America

VDC

Village Development Committee

vi

Glossary

Bahun (Brahmin), Chhetry, Thakuri and Newar
Elite castes used for this research

Bari

Cultivated land in hills and mountains occurs mostly on slopes

between 15 and 25 degrees

Bhari

Head load, on average 40 kg

Birta, Math

Forest Land particularly in Terai provided by King and Rana

rulers to their relatives and closest persons Primarily priests and one of the elite castes Land in hills and mountains occurs mostly on slopes between 20 and 35 degrees
Brahmins or Bahun Butyan

Char kose jhadi Dalit
Dense forests approximately 12 kilometres wide Lower untouchable caste
Dharmasastras Jagir
The civil and criminal law of the nation Service provided by King and Rana rulers to their nearest persons and relatives particularly in military

Middle caste

Janjati

Khet

Rice land, a cultivated land type.

Warriors Populace who live in Terai (Plain area) National legal code Populace who live in hills Partiless political system
Kshataryias Madhesi Mulki ain Pahadia Panchyat

Raj

State

Ropani Shudras Tagadhari Terai Vaishias Varna
Unit of land area: 20 Ropani =1 hectare Lower Caste artisans and manual labourers Wearier of the sacred thread Plain area particularly in tropical region in Nepal Businessman Group of people

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