Adama Science and Technology University School of Humanities and Law Department of Geography and Environmental Studies

ADAMA SCIENCE AND TECHNOLOGY UNIVERSITY SCHOOL OF HUMANITIES AND LAW DEPARTMENT OF GEOGRAPHY AND ENVIRONMENTAL STUDIES

THE ROLE OF LOCAL INSTITUTIONS IN YAYO COFFEE FOREST MANAGEMENT: YAYO WOREDA SOUTHWEST ETHIOPIA

BY: BANTI MOSISA FURI

SEPTEMBER, 2018

ADAMA

ADAMA SCIENCE AND TECHNOLOGY UNIVERSITY SCHOOL OF HUMANITIES AND LAW DEPARTMENT OF GEOGRAPHY AND ENVIRONMENTAL STUDIES

THE ROLE OF LOCAL INSTITUTIONS IN YAYO COFFEE FOREST MANAGEMENT, SOUTHWEST ETHIOPIA

BY: BANTI MOSISA

ADVISOR: HURGESA HUNDERA

A THESIS SUBMITTED TO ADAMA SCIENCE AND TECHNOLOGY UNIVERSITY SCHOOL OF GRADUATE STUDIES DEPARTMENT OF GEOGRAPHY AND ENVIRONMENTAL STUDIES IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF ARTS IN GEOGRAPHY AND ENVIRONMENTAL STUDIES

SEPTEMBER, 2018

ADAMA

ADAMA SCIENCE AND TECHNOLOGY UNIVERSITY SCHOOL OF GRADUATE STUDIES DEPARTMENT OF GEOGRAPHY AND ENVIRONMENTAL STUDIES

DECLARATION

I, the undersigned, declare that this thesis is my own work and that all sources of materials used for this thesis have been properly acknowledged. I seriously declare that this thesis is not submitted to any other institution anywhere for the award of any other academic degree. Brief quotations from this thesis are allowable without special permission provided that accurate acknowledgment of source is made. In all other instances, however, permission must be obtained from the author of the thesis.

Name: Banti Mosisa Furi Signature ______Place: Adama Science and Technology University. Date of Submission: ______

ADAMA SCIENCE AND TECHNOLOGY UNIVERSITY SCHOOL OF GRADUATE STUDIES DEPARTMENT OF GEOGRAPHY AND ENVIRONMENTAL STUDIES

As thesis advisor, I hereby certify that I have read and evaluated this thesis prepared under my guidance Banti Mosisa Furi entitled The Role of Local Institutions in Yayo Coffee Forest management, Southwestern Ethiopia. Therefore, I recommend that it is accepted and submitted as fulfilling the MA thesis requirement.

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Advisor signature Date

We, the undersigned, as member of the board of examiners of the MA thesis final open defense examination, we certify that we have read, evaluated the thesis prepared by Banti Mosisa Furi entitled The Role of Local Institutions in Yayo Coffee Forest management, Southwest Ethiopia and examined the candidate. Therefore, this is to certify that the thesis has been accepted as fulfilling the thesis requirement for the degree of masters of Arts in Geography and environmental studies.

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The Role of Local Institutions in Yayo Coffee Forest Management

ACKNOWLEDGEMENT

Above all, I thank Almighty God for always with me in all my endeavors and gave me endurance to complete my study. It is my pleasure to acknowledge my thesis supervisor, Mr. Hurgesa Hundera; for his untiring effort, careful supervision, kind and constructive comments and continuing guidance at every stage of this thesis. I have also acknowledged the communities and government staff members of Yayo Woreda offices for their kind cooperation in giving me all the necessary data especially the staff members of YWARDO and Agriculture development experts of the study kebeles for their special cooperation during data collection. Moreover, I express my heartfelt gratitude to my wife Serkalem Nagara and my child Bekan Banti for giving me moral support in all my life and to accomplish my study. Finally, I would like to express my gratitude to all my friends and those who directly or indirectly made it possible for me to complete this thesis through various means of support.

Last, but not least, I would to thank Arsi University for providing me financial support for the completion of the study. Also I provide my gratitude to ASTU for the whole services provision during my stay in it for the last five summers.

The Role of Local Institutions in Yayo Coffee Forest Management

Table of Contents ACKNOWLEDGEMENT ...... i List of Tables ...... v List of Figures ...... vi Abbreviatios ...... vii ABSTRACT ...... viii CHAPTER ONE: INTRODUCTION ...... 1 1.1 Background of the Study ...... 1 1.2 Statement of the Problem ...... 2 1.3 Objectives of the Study ...... 4 1.3.1 General Objective...... 4 1.3.2 Specific Objectives ...... 4 1.4 Research Questions ...... 4 1.5 Significances of the Study ...... 4 1.6 Scope of the Study ...... 5 1.7 Limitations of the Study ...... 6 1.8 Organization of the Thesis ...... 6 1.9 Operational Definition of Terms ...... 6 CHAPTER TWO: REVIEW OF RELATED LITERATURES ...... 7 2. Reviews of Conceptual and Theoretical Literatures ...... 7 2.1 Reviews of Conceptual Literatures ...... 7 2.1.1 Types of Institutions ...... 8 2.1.1.1 Informal Institutions ...... 8 2.1.1.2 Formal Institutions...... 9 2.2 Reviews of Theoretical Literatures ...... 10 2.2.1 Challenges of Local Institutions in Coffee Forest Management ...... 10 2.2.1.1 Insecurity of Property Rights and Coffee Forest Management...... 10 2.2.1.2 Attributes of the Community and Coffee Forest ...... 10 2.2.1.3 Local Institutions and Coffee Forest Management ...... 10 2.3 Reviews of Empirical Literatures...... 14 2.3.1 Forest Management and Conservation Policy in Ethiopia ...... 14 2.3.2 Approaches of Coffee Forest Management ...... 16 2.4 Institutional Analysis Development Framework (IAD) ...... 18

The Role of Local Institutions in Yayo Coffee Forest Management

2.4.1 Major Components of IAD Framework ...... 19 CHAPTER THREE: METHODS AND MATERIALS ...... 22 3.1 Description of the Study Area...... 22 3.1.1 Location of the Study Area ...... 22 3.1.2 Topography and Drainage Systems ...... 23 3.1.3 Climate and Vegetation ...... 24 3.1.4 Geology and Soil ...... 24 3.1.5 Socio-Economic Aspects and Landuse Patterns in the Study Area...... 25 3.1.6 History of Yayo Coffee Forest Management ...... 26 3.1.7 Social Organizations of the Population of the Study Area ...... 28 3.1.8 Kinship or Relationship Forms ...... 28 3.2 Research Methods and Materials ...... 30 3.2.1 Research Design ...... 30 3.2.2 Research Approach ...... 30 3.2.3 Data Types and Sources ...... 30 3.2.4 Methods of Data Collection ...... 31 3.2.5 Sample Size Determination and Sampling Techniques ...... 33 3.2.5.1 Sample Size Determination...... 33 3.2.5.2 Sampling Techniques ...... 33 3.2.6 Methods of Data Processing and Analysis...... 35 3.2.6.1 Quantitative Data Analysis ...... 35 3.2.6.2 Qualitative Data Analysis ...... 35 3.3 Data Validity and Reliability ...... 36 3.3.1 Techniques of Promoting Data Validity ...... 36 3.3.2 Techniques of Promoting Reliability...... 36 3.4 Ethical Considerations ...... 37 CHAPTER FOUR: RESULTS AND DISCUSSIONS...... 38 4.1. Socio- demographic Characteristics of the Respondents ...... 38 4.2 Challenges of Local Institutions in Coffee Forest Management ...... 41 4.2.1 Landholding Size ...... 42 4.2.1.1 Impacts of Small Landholding Size...... 43 4.2.2 Insecurity of Property Rights ...... 47 4.2.3 Distance from the Coffee Forest ...... 51 4.3 Attributes of the Community and Coffee Forest ...... 53

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The Role of Local Institutions in Yayo Coffee Forest Management

4.3.1 Income and Coffee Forest Management ...... 53 4.3.2 Heterogeneity of the Community and Coffee Forest Management ...... 55 4.3.3 Dependence on Coffee Forest ...... 56 4.3.4 Knowledge of the Community and Coffee Forest Management ...... 58 4.4 The Role of Local Institutions in Coffee Forest Management ...... 59 4.4.1 The presence, Types and Connections of Local Institutions...... 59 4.4.2 The Roles of Formal Institutions in Coffee Forest Management ...... 61 4.4.2.1 Yayo Woreda Agriculture and Rural Development Office...... 62 4.4.2.2 Yayo Woreda Police Office ...... 62 4.4.2.3 Yayo Woreda Administration ...... 64 4.4.2.4 Kebele Administration Office ...... 64 4.4.3 The Roles of Informal Institutions in Coffee Forest Management ...... 66 4.4.3.1 Gada Institution...... 66 4.4.3.2 Iddir (Afooshaa) ...... 68 4.4.3.3 Religious Institutions ...... 69 4.4.3.4 Dabo ...... 70 4.4.3.5 Council of Elders (Jaarsummaa) ...... 71 CHAPTER FIVE: CONCLUSIONS, RECOMMENDATIONS AND ISSUES FOR FURTHER RESEARCH...... 73 5.1 Conclusions ...... 73 5.2 Recommendations ...... 74 5.3 Issues for further research...... 75 REFERENCES ...... 76 APPENDICES ...... 83 A.Questionnaires for Household Head Respondents ...... 83 B Interview guidelines for Data Collection ...... 88 C Focus Group Discussion Guidelines...... 89

The Role of Local Institutions in Yayo Coffee Forest Management

List of Tables

Table 4. 1 Sex and Age Characteristics of Respondents…………………………………...…………..…….…39 Table 4. 2 Educational status and Ethnic groups of Respondents ...... 40 Table 4. 3 Religion and Family Size of Respondents ...... 41 Table 4. 4 Average Landholding Size for Sampled kebeles (of crop farming) ...... 43 Table 4. 5 Landholding Size of the Respondents (in hectare) ...... 43 Table 4. 6 Sex, marital status and family members of the respondents...... 44 Table 4. 7 Awareness about climate change and its concept ...... 46 Table 4. 8 Responses on the Impacts of Small Landholding Size...... 47

Table 4. 9 Responses on the major impacts of lack of property rights…………………………….…….48 Table 4. 10 Responses on the negative impact of lack of property rights...... 51 Table 4. 11 Approximate distance between the study sites and the coffee forest ...... 51 Table 4. 12 Responses on the frequency of visiting coffee forest and its impacts ...... 52 Table 4. 13 Income level and its impacts on coffee forest management ...... 53 Table 4. 14 Responses on impacts of low income and large family size ...... 54 Table 4. 15 Responses on the impact of heterogeneity in coffee forest management...... 56 Table 4. 16 Responses on dependence on coffee forest and reasons ...... 58 Table 4. 17 Responses on the awareness about coffee forest management ...... 59 Table 4. 18 Responses on the presence, types and connections of local institutions ...... 60 Table 4. 19 Responses on the connections between institutions and roles in the management of coffee forest ...... 61 Table 4. 20 participants, membership and beneficiaries of some informal institutions ...... 72

The Role of Local Institutions in Yayo Coffee Forest Management

List of Figures

Figure 2. 1 Analytical Framework for Institutional Analysis Development...... 19

Figure 2. 2 Action Arena for Yayo Coffee Forest ...... 21

Figure 3. 1 Location map of the study area ...... 23

Figure 3. 2 Landuse Aspects of the study woreda (in hectares) ...... 26

Figure 4. 1 The severity of three factors affecting local institutions among others ...... 55

Figure 4. 2 Yayo coffee forest conservation site ……………………………………………..66

Figure 4. 3 Dirre Aba Alanga, Center for Gada Rule Enforcement of Salgan Ilu……………68

The Role of Local Institutions in Yayo Coffee Forest Management

Abbreviations

CIP Coffee Improvement Project

FAO Food and Agriculture Organization

IBC Institute of Biodiversity Conservation

IZFEDO Illubabor Zone Finance and Economic Development Office

NFPA National Forest Priority Area

NGO Non-governmental Organization

UNESCO United Nations Educational Scientific and Cultural Organization

YWAO Yayo Woreda Administration Office

YWARDO Yayo Woreda Agriculture and Rural Development Office

YWPO Yayo Woreda Police Office

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The Role of Local Institutions in Yayo Coffee Forest Management

ABSTRACT

In Yayo woreda, forests and forest derived resources are not well managed which mostly resulted from weak institutional impacts. The local level institutions broadly understood as formal and informal which are directly or indirectly engaged in coffee forest management. This study was conducted with the objective of examining the role of local level institutions in Yayo coffee forest management, Southwestern Ethiopia. Both primary and secondary sources of data were employed in this study. Primary data were collected via household survey questionnaires, key informant interviews, focus group discussions and personal observations. The data were analyzed using descriptive statistics. Findings of the study revealed that the existence of various formal and customary institutions play significant roles in coffee forest management in the study area. The result indicated that factors affecting the role of local institutions in coffee forest management were small landholding size, insecurity of property rights, large size of the group depending on resource and short distance to the coffee forest. Formal institutions contributed to coffee forest management in performing collective choice activities. On the other hand, informal institutions were involved in operational level activities. Attributes of the community like dependency on the resource and group size and that of coffee forest like extractability and excludability were important factors affecting community to use and manage coffee forest. Accountability and responsibility for coffee forest management through building the capacity of local institutions at local level and collaborating activities of these institutions should be enacted to enhance monitoring and sanctioning of the coffee forest resource in the study areas.

Keywords: attributes of coffee forest, attributes of community, coffee forest, local community, local institution

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The Role of Local Institutions in Yayo Coffee Forest Management

CHAPTER ONE: INTRODUCTION

1.1 Background of the Study

Institutions viewed as the development of norms and behaviors that humans use to organize all forms of repetitive and structured interactions (Ostrom, 2006). Although institutions can represent diffuse patterns of behavior, they can also function as organizations or structures of recognized and accepted rules that serve particular purposes (Uphoff and Buck, 2006). Adding to this, the same author argued that institutions exist in the public, private and community sectors in the form of membership organizations or cooperatives. Stellmacher and Mollinga (2009) argued that beyond shaping human-human interactions, institutions can have a considerable impact in shaping human-nature relationships. More specifically, local institutions represent the critical resource governance component by providing determinations and regulations defining human access to these resources (Norgard, 1996).

Dixon and Wood (2007) argued that because they are dynamic, flexible and responsive to societal and environmental change, local level institutions are more efficient in promoting sustainability. Field studies in the Eastern India showed that the forest managing communities developed suitable forest management institutions and defined their membership (Prateep, 2002). The same author stated that through these local institutions the local community elaborate rules and regulations designed and operationalized to support the forest protection arrangements. The villages got into long drawn negotiations with other communities to define forest boundaries as well as the users who could be included as members (Prateep, 2002). According to Hilhorst (2008) in Mali, Burkina Faso and Niger local institutions are playing a significant role in natural resources management in general and forest resources in particular including defining access and management of these resources. In line with this idea, William (1995) stated that sustainable natural resource management and use are conditioned by the strength of local institutions in involving the local community in the use and management of the resources.

However, when regulator institutions are absent or maladapted forest resources and the environment remain under threat from increasing human population, growing consumption, and the rapid use of advanced resource-using technology (FAO, 2002). Teklu (2006) stated that the conventional approach to natural resource management has tended to either disregard in total or give marginal consideration to the role that local institutions have come

The Role of Local Institutions in Yayo Coffee Forest Management to play. Agrawal (1995) stated that, in recent years, an increasing number of scholars and experts have come to conclude that, lack of appropriate and compulsory formal or informal local institutions have become a fundamental driver of forest depletion and loss. In line with this idea, Mellese (2005) added that in Ethiopia, due to lack of coordination among various institutions, weak institutional impacts, lack of the necessary skilled manpower especially at the local levels, lack of political commitment on the side of officials, lack of the culture of listening to expert opinions before decisions are made by political authorities, maladministration, over emphasis on rapid economic growth at the expense of the environment (through investment projects) among others, Ethiopia is suffering from severe environmental degradation specifically forest resources.

Currently, the most important attentions are given for the conservation of natural resources in general and forests in particular at all levels of the government organizations in Ethiopia. Similarly, emphasis is given for the conservation of Yayo Coffee Forest by the concerned organizations before and after the forest was recognized by the International Organization, UNESCO, because the resource is survived under the condition of destruction. Therefore, having the aforementioned explanations in mind, the researcher conducted a research on assessing the role of local level institutions in coffee forest management in the case of Yayo Coffee Forest.

1.2 Statement of the Problem

In Ethiopia, forests and forest derived natural resources are not well managed and their existence continues to be threatened. Coffee forests together with the genetic resources of the wild coffee and the associated flora and fauna are disappearing rapidly as a result of deforestation of the ecosystems, especially in the past few decades (Bekalu, 2016). Results of a recent survey show that 50 percent of natural tall forest has been lost or degraded to a level of slightly or heavily disturbed forestlands in the years between 1971 and 1997 (Daba, 2000). More recently, the forest cover together with the coffee growth in some parts of Southwest Ethiopia has declined from 71 percent to 48 percent between the years 1973 and 2005 (Wakjira, 2007). Particularly, the Ethiopian coffee forests have witnessed high rates of deforestation especially during the past decades due to increased forest resource utilization and expansion of smallholder agriculture (Stellmacher and Mollinga, 2009).

The Role of Local Institutions in Yayo Coffee Forest Management

In Ethiopia, although efforts made to conserve natural forests in general and coffee forests in particular, they did not bring significant change because they fail to take into account the interests of the local community by misconceiving farmers in decision making process (Teklu and Thomas, 2004). For instance, Stellmacher and Mollinga (2009) stated that the nationalization of all land in Ethiopia in 1975 was the major institutional turning point in which responsibility for coffee forest use and management was by decree shifted from local farmers towards newly established centralized state bodies and such organizations neither had experience, expertise nor financial resources to tackle the challenge of coffee forest management. In practice, state control did not reach the forest areas and rather created a scrambled and frequently changing institutional framework that turned out to have no or minimal actual impact (Stellmacher and Mollinga, 2009).

In this regard, Thida (2011) argued that community-based forest projects are tended to initially focus on justice (improving access to forest for traditional users) and thus made sense to protect forest with and not through conflict with its users. Therefore, from this statement, it is possible to assume that forests would usually be better protected by their users than by the state. At present, Yayo forest and the wild coffee gene pools in the forest is recently nominated by the government of Ethiopia as UNESCO biosphere reserve sites for biodiversity conservation by zoning the forest into three management zones namely core, buffer, and transition. Although the approaches of biosphere reserve nomination is participatory that involved all stakeholders including local communities, old-aged lack of trust and hostility between the government and local communities toward forest resources use and management can still be an obscurity (Andinet, 2010).

Yayo Coffee Forest is not free from problem of lack of strong and decisive local institutions to involve the local community towards the management and use of the resource. During the course of reviewing empirical literatures, it has been realized that several scientific studies have been carried out mostly in southwestern part of Ethiopia. These studies include Melaku (2003), Teklu and Thomas (2004), Teklu (2006), Fite (2008), Stellmacher (2009), Zewdie (2009) and Andinet (2010). However, these studies mainly focused on conflict management, forest cover change, zonation, institutional arrangements, perception and legal institutional analysis. In addition, the data they used do not reflect the current realities of institutions and coffee forest users. Furthermore, none of the above mentioned studies explicitly researched the role of local institutions on coffee forest management. Considering

The Role of Local Institutions in Yayo Coffee Forest Management these issues therefore, the study was tried to assess the role of local institutions on coffee forest management in the case of Yayo Coffee Forest, Yayo Woreda Southwestern part of Ethiopia.

1.3 Objectives of the Study

1.3.1 General Objective

The general objective of this study is to assess the role of local institutions on coffee forest management in the case of Yayo Coffee Forest.

1.3.2 Specific Objectives

1. To identify major challenges impeding coffee forest management in the study area. 2. To identify attributes of the local community and coffee forest that affects the management of coffee forest. 3. To investigate the roles of local institutions in the coffee forest management in the study area

1.4 Research Questions

The study was conducted in order to address the following research questions.

1. What are the major factors affecting the management of coffee forest in the study area? 2. What are the major attributes of the community and coffee forest affecting the management of coffee forest? 3. What are the roles of Local institutions in the use and management of coffee forest in the study area?

1.5 Significances of the Study

Conducting research on the issues of local institutions has a paramount importance in natural resources management in general and coffee forests in particular. Accordingly, this research deals with the role of local level institutions in coffee forest management at Yayo woreda and attributes of forest resources and the local community that are influencing the behavior of individuals towards coffee forest resource use and management. In doing so, this research would have the following significance:

The Role of Local Institutions in Yayo Coffee Forest Management

 Provoke similar studies of wider coverage of different coffee forests in different regions of Ethiopia in addition to adding to the stock of existing knowledge and narrowing research gap.  Other researchers who will conduct study on this problem can be benefited from the result of the study by taking the research findings as sources of information.  Policy makers can also use the result of the study so as to make debate on the formulation of the policy regarding forest resources use and management in general and coffee forests in particular.  Agricultural research institutes and bureaus at all levels will use the result of this study as a source of information on institutional and social element of the forest sector and  Non-governmental Organizations working in the local areas on the sustainable coffee forest use and management will be benefited from this study to identify which local institution best suited in managing and using of coffee forest resources in the study area.

1.6 Scope of the Study

Spatially this study was conducted in Oromia National Regional State Ilu Aba Bor Zone Yayo Woreda more specifically on the three kebeles adjoining with Yayo Coffee Forest area which were purposively selected by the researcher. The Sample sizes used in this study were 136 respondents systematically selected by the researcher. Institution is one factor among others that influences individual‟s behavior towards coffee forest resource management and use. More importantly, local level institutions are area specific and culture based, therefore, the result of this research was not indicated the whole image of coffee forest resource management and institutions that are found across all coffee forests and all cultures in Ethiopia. However, it is possible to deduce the result of this study to other forests in the country concerning the role of local institutions and attributes of the community and coffee forest resource that influences local institutions in coffee forest management. Thematically, the study bases on the assessing the role of local institutions in Coffee Forest Management in the study area and investigate the factors that affect local institutions in coffee forest management like the attributes of community and coffee forest. Methodologically, the study employed cross-sectional research design where both quantitative and qualitative data collection and analysis techniques interactively applied.

The Role of Local Institutions in Yayo Coffee Forest Management

1.7 Limitations of the Study

The major problems hindered the researcher to conduct this study and therefore affects the quality of the study were lack of well-organized document about the roles of local institutions in the management of Yayo Coffee Forest. The other problem was the unavailability of office workers due to field work and different meetings. The problem of lack of using inferential statistics like regression for data analysis was also the other limitation that can affect the consistency of respondents‟ responses and the finding of the study.

1.8 Organization of the Thesis

The thesis was organized in five chapters. The first chapter is the introductory part where the background of the study and problem of the study are justified; the objectives and research questions are indicated as well as the significances and scopes of the study are explained. In the second part, theoretical and empirical literatures are reviewed while the third chapter presents description of the study area and research methods and materials. The fourth chapter has dealt with results and discussions. In the last chapter conclusions and recommendations are provided. Finally, references and data collection methods were placed at the end this thesis.

1.9 Operational Definition of Terms

Local institutions- organizations or institutions established at the local level for achieving certain objectives.

Formal local institutions- are government-oriented local institutions established to carry out certain functions which are government based.

Informal local institutions- are community-oriented or customary organizations established for performing tasks especially by the voluntary associations of the community for their practice of self-governance and good will.

Coffee forest- is the name stands for forests with coffee growth in the forest floor. It refers to the forestland in which coffee grows as undergrowth plants.

Protected area- is the area restricted or became free from human encroachment primarily for the purpose of biodiversity conservation.

The Role of Local Institutions in Yayo Coffee Forest Management

CHAPTER TWO: REVIEW OF RELATED LITERATURES

2. Reviews of Conceptual and Theoretical Literatures

2.1 Reviews of Conceptual Literatures

Hodgson (2006) argued that the Continuous discrepancies over the definitions of terms, institutions and organizations, have led some scholars to give up matters of definition and to propose getting down somehow to practical matters instead. In addition, Ostrom (2006) explains the difficulties of studying institution by explaining the issue starting from the definition of the word institution itself. It is hard to make much progress in the study of institutions if scholars define the term institution as meaning almost anything (Bekalu, 2016).

Ostrom, (1986) in Edwards & Steins, (1998) defined Institutions as: "sets of working rules that are used to determine who is eligible to make decisions in some arena, what actions are allowed or constrained, what aggregation of rules will be used, what procedures must be followed, what information must or must not be provided, and what payoffs will be assigned to' individuals dependent on their actions." In his work of the institutional theory, Scott (2004) defined institution as follows; “Institutions comprise regulative, normative and cultural-cognitive element that together with associated activities and resource provide stability and meaning to social life.‟‟ Eriksson (2005) as well defined Institutions as behavioral rules for social interaction. According to Erikssonk, institutions suggest behavior for actors in recurrent situations of interaction with other actors and thereby solve social interaction problems. Accordingly, they form „the rules of the game‟ while the actors are the „players of the game‟. Institutions, whether local or beyond than local, provide a structure that says which person has which particular right to use which forest resource to what extent, denote manners in which way goods and services are to be used, as well as conservation measures that are to be accomplished (Stellmacher and Mollinga, 2009). In general, in the context of this study institution was used to guide the understanding as rules which direct human activities, it can be either the formal or informal rules that promote or discourage human activities towards the management of coffee forest in the study area.

The Role of Local Institutions in Yayo Coffee Forest Management

2.1.1 Types of Institutions

Different writers argued that institutions exist in all spheres of social life, at all levels and can be categorized in a number of ways. Different institutional theories including Douglas North‟s new institutional economics approach classify institutions according to formality which has led to the dichotomous breakdown of formal and informal (Stellmacher, 2007).

2.1.1.1 Informal Institutions

Studying informal institutions pave the way for understanding their importance and how to combine with formal institutions such as governmental institutions and Non-Government Organizations, which are working for effective natural resource management and use (Andinet, 2010). In addition, studying informal institutions is considered to be the means of understanding the livelihood of the community and their interaction among themselves and the internal community (ibid). Zewdie (2009) stated that informal institutions deal not only with the natural resource management but with the whole aspect of the community. Thus, the socioeconomic, cultural, political, religious, and other affairs of the community are reflected in customary/informal institutions (ibid). Basically, informal (indigenous) institutions are not established to govern natural resources in general and forests in particular rather they are naturally intended to order, assist and administer different aspects of the local community in their day to day life (Andinet, 2010).

Nevertheless, these institutions can still direct the behavior of the local community living in and adjacent to the forest (Pankhurst, 2001). In his study, Pankhurst (2001) stated that natural resource management is not an isolated or separate field. His study affirmed that natural resource management is part of the rest of social organization and therefore “resource management institutions would often deal not with a single resource, but several.” According to Manchur (2002) Informal institutions form a fundamental link between local communities and their environments and it is through these rules that the collective action associated with controlling access to local resources is organized. In line with this idea, Pankhurst (2003) stated that customary local institutions have been playing a role in resource management in preventive cursing of tree-cutting in identifying wrongdoers. Therefore, in this study, it is important to make investigation on the customary/ indigenous institutions like the Gada system of the Oromo, Council of elders, Iddir (afooshaa), Dabo and religious institutions geared towards natural resource management in general and forest

The Role of Local Institutions in Yayo Coffee Forest Management resource in particular in the study area. According to Zenger and Olin (2001) informal institutions are understood as rules based on inherent understandings, being in most part socially constructed and therefore not accessible through written documents or necessarily approved through formal positions.

According to Donnelly-Roark (2001), local Indigenous institutions and organizations functions as village-level governance, acceptable methods of community resource mobilization, security arrangements, conflict resolution, asset management and lineage organization. In Mozambique, for instance, traditional leaders including spiritual ones were found to be important institutions with responsibilities such as land allocation, conflict resolution and mediation with spirits (Blom, 2000). Hilhorst (2008) noted that informal local governance institutions continue to play an important role in natural resources management including defining access and management of natural resources and in allowing or restricting residents to certain actions.

2.1.1.2 Formal Institutions

Formal institutions are rules that are readily observable through written documents or rules that are determined and executed through formal position, such as authority or ownership (Zenger and Olin, 2001). Formal institutions thus, include explicit incentives, contractual terms and firm boundaries as defined by equity positions.

Formal Local institutions encourage people to take a longer-term view by creating common expectations and a basis for cooperation that goes beyond individual interests and to the extent institutions are regarded as legitimate (Uphoff, 2006). Andinet (2010) stated that the management of forest resources is not only determined by ecologic, economic, or demographic factors, but also influenced by sets of institutions. The same author explained these institutions as structures that shape the behavior of rural community towards forest resources management through a range of essential roles they accomplish in rural contexts such as information gathering and dissemination, resource mobilization and allocation, skills development and capacity building, providing leadership, and networking with other decision makers and organizations.

The Role of Local Institutions in Yayo Coffee Forest Management

2.2 Reviews of Theoretical Literatures

2.2.1 Challenges of Local Institutions in Coffee Forest Management

As stated by Stellmacher (2006) the state efforts for environmental protection in general and the commitment to primary forests in particular did not bring the desired results in Ethiopia. This is due to a number of factors which induced from a number of sources and are difficult to assess in general. In Ethiopia, frequent changes in the institutional setting and the transfer of rights and duties from one institution to another do not necessarily bring a change for the better (Andinet, 2010). Passing rules and regulations does not ensure their enforcement, and proclaiming concerned organizational bodies does not mean that they are actually effective in the achievement of their objectives (ibid).

2.2.1.1 Insecurity of Property Rights and Coffee Forest Management

Property right is understood differently among different scholars. The most widely used and commonly accepted among the scholars regarding the definition of property right is the one developed by Commons (1968). Accordingly, property right is understood as an enforceable authority to undertake particular actions in a specific domain. Schlager and Ostrom (1992) argued that the property right of a given community towards natural resources determines the incentives that an individual get or it provides incentives to invest in the resource in the future. In the agrarian lead societies like Ethiopia, land lease and property rights are considered the major critical issues especially in the use and management of natural resources in general and forest resources in particular (Andinet, 2010). The study conducted in Uganda revealed that in those areas where a system of property rights is recognized to the local population and is enforced, the condition of forests is possibly better than in those areas where locals play no part in forestry management and national laws lack enforcement (FAO, 1998). The common pool resources cannot be managed in a sustainable manner and lead the push towards private or state ownership of resources (Kruseman and Pellegrini, 2008). Whether forest land is property of the state, of an individual, a group of individuals or a combination of these features and whether land lease and property rights are de facto (actually implemented among the community using the resource) are highly relevant concerns regarding forest resource management (Andinet, 2010). According to Ruth (no date) the arguments for consideration to property rights can be summarized as follow;

The Role of Local Institutions in Yayo Coffee Forest Management

Property rights are considered mainly because it : 1) offer incentives for management 2) give necessary authorization and control over the resource 3) can reinforce collective action and 4) assigning rights to the users demonstrates government commitment to decentralization. According to Melaku (2003), there are four types of property rights rules that include private, public (state), common and open access. Private property rights system refers to the situation where an individual exercises right over the property.

This system provides individuals with various incentives like the capacity to alienating others from the resource that increase the likelihood of their sustainability though sometimes they may prefer to maximize profit by over investing in their property that brings externalities which include the degradation of the property (Schlager and Ostrom, 1992). In State or Public property system the state agencies exercise rights over resources and it is “assumed to be the ultimate defender of the nation‟s resources” but lack of awareness, corruption, necessity of institutional and organizational capacity and knowledge often prevent effective control and administration of assets under its control (Melaku, 2003). In most cases, degradation of natural resource owned by the state is inevitable as the result (Dessalegn, 2001). On the other hand, common property right system refers to property right system where resources are owned commonly and it excludes the non-members. However, unless these property rights are legalized, they remain “defenseless and non- durable in the face of interference by the state” (Melaku, 2003). Open access „property right system refers to the system where “no one holds rights to a resource and nobody is excluded” and then, the resource is “owned and used by all” (Melaku, 2003). Hardins‟ „tragedy of the commons‟ works under such situation (open access property system). This is mainly because individuals run to maximize their gains from the open access resources which lead to overexploitation and ultimate destruction to the resource (Melaku, 2003). The rules that define property rights; requiring, prohibiting or permitting certain actions are effective when they are generally recognized and respected by the users of the resources (Andinet, 2010).

2.2.1.2 Attributes of the Community and Coffee Forest

Attributes of the community comprise “generally accepted norms of behavior, the level of common understanding about action arenas, the extent to which the preferences are homogenous and distribution of resources among members” (Ostrom, 1994). These attributes are bundled under the idiom „culture‟, which appears to be unfortunate as culture

The Role of Local Institutions in Yayo Coffee Forest Management is just one attribute of the community, among historical, social, political and economic factors as well as patterns of flexibility and change (ibid). Concurrently, in the case of human-forest interaction, important variables that can be the cause for coffee forest management or destruction are for instance households‟ family size, employment category of the local community, knowledge about the resource and heterogeneity/homogeneity of the resource users (Bekalu, 2016).

When users of a common-pool resource share a common set of values and work together with one another in a complex set of arrangements, the probabilities of developing adequate rules and norms to govern resources are much greater (Ostrom, 2006), whereas If users of a resource come from many different communities and are suspicious of one another, the task of devising and sustaining effective rules is substantially more difficult (ibid). As stated by Andinet ( 2010) the attributes of the forests and associated landscape resources in any given jurisdiction will have impact on the definition of sustainable forest management, the implementation of adaptive management strategies and the successive nature and level of care conducted by forest managers. Exclusion and Extraction of the resource can also have an impact on the management of the resource in the action arena (Bekalu, 2016). According to the study of Bekalu (2016) the types of natural resource utilization in general and common-pool resources like forests in particular are distinguished by the extractability and excludability of the resource. Therefore, coffee forest is categorized as common-pool resources for which human institution is needed to prevent the destruction of playing field (an action arena) in which individuals direct their short-term individual interests to destroy the resource (Zewdie, 2009).

According to the study of Poteet and Ostrom (2004) heterogeneity and group size do have considerable impact on some forms of collective action towards the management of forests. They stated that given the diversity of group characteristics and custom conditions, rules that work to develop collective action for one group may not work for another group that entail the need to avoid imposing a particular type of institution or rules for different forest user groups in different backgrounds. In this regard, this study tries to examine heterogeneity of the community and coffee forest resource use that affects behaviors of local community in the management of Yayo Coffee Forest. Still today, millions of people living in and around the forest environment in the tropics depend on forests to a large extent (Tadesse, 2003). Forests are sources of food, fuel wood, timber, construction wood, and the

The Role of Local Institutions in Yayo Coffee Forest Management like. For some communities, forests are important not only for subsistence, but also for their spiritual life, which may influence the way they manage the forest (Tadesse, 2003). Depending on the cultural background and the management targets, local communities in different parts of the world have developed different indigenous management practices and perceptions of forests. The indigenous management practices may include several activities such as conserving some patches of forest, considering or planting desirable species, introducing new species, eliminating competing species, thinning to protect the forest from fire, mulching, stimulating fruit production, etc. (Wiersum, 2009). Such forest management by local communities was sustainable and contributed greatly to the conservation of biodiversity and protection of the environment (Becks, 2001 cited in Tadesse, 2003). However, the level of dependency and mode of management varies from place to place, depending on the type of product taken from the forest. In the montane rain forest areas of Southwest Ethiopia, where coffee (Coffea arabica) occurs naturally, the local communities living in and around the forest traditionally manage the forest for coffee production (Tadesse, 2003). Thus, coffee production from these traditional management systems is the main source of livelihood for more than 60% of the local population in the coffee-growing montane rain forest areas of Southwest Ethiopia (Tafesse, 1996). Distance from the forest is also considered as contributing factor for coffee forest management activities. According to Gunatilake (1998) Proximity to the forest has an effect on natural resource management. Those who are close to the forest will rely more on natural resource than those far from it. This means if people travel small distance to collect natural resource products, there is a high tendency of visiting on daily or weekly bases (ibid).

2.2.1.3 Local Institutions and Coffee Forest Management

According to Lawrence (2000) forest management refers to the process of making and implementing decisions about use and maintenance of forest resources in order to meet forest-related needs of human societies and organization of the related activities. In addition, Wiersum (2009) defined it as the practical application of scientific, economic and social principles to the administration and working of any area used for forestry for specific objectives. According to the same author forest management is characterized as involving a set of both technical activities and social organizations for the protection and utilization of forest resources and the distribution of forest products. Scholars of forest-based commons focus primarily on how various local institutions shape resource-related outcomes. In this

The Role of Local Institutions in Yayo Coffee Forest Management regard, Agrawal (2007) stated that researches on the commons in understanding collective action focuses more with the principles of institutional design, the need for connection between institutions and their ecological context, the nature of institutional mediation, the importance of local enforcement, possibilities of social resistance, the necessity of broad- based participation in institutionalized governance, the relationship between indigenous peoples and forests and their impacts in shaping resource-related outcomes. Koontz (2003) added that Local institutions on forest conditions are the intense focus of research by scholars of forest-based commons from the very beginning of research on the commons. Agrawal (2007) argued that locally devised institutions are easy to understand, enforce and take into account differences in types of violations, help to deal with conflicts, and officials are accountable for effective governance of the resource.

The study of Zewdie (2009) showed that some of the rules currently governing the coffee forest are effective in improving the forest condition. However, it greatly affects the customary right and the subsistence mechanisms of the local community and that is why many of the local people are opposing the rules in use by the project that essentially bases on the principles of biosphere reserve and federal and regional proclamations. Therefore, this study bases on assessing the role of local level institutions more specifically focusing on the connection between the formal and informal (indigenous institutions) in the management of yayo coffee forest by identifying the major attributes (attributes of the community, coffee forest resource and that of institutions) involving in the use and management of the resource.

2.3 Reviews of Empirical Literatures

The study of forests as commons has been one of the central sources of stimulus to the development of scholarship on common property because of the fact that the forests yield multiple products over which diverse stakeholders assert competing claims and thus addressing governance problems in forests (Agrawal, 2007).

2.3.1 Forest Management and Conservation Policy in Ethiopia

The development of a state-initiated forest policy and administration took place relatively late in Ethiopia when compared to other African countries. According to (Kigenyi, 2002 cited in Stellmacher, 2006) this can be basically traced back to the fact that Ethiopia was

The Role of Local Institutions in Yayo Coffee Forest Management never colonized by the Europeans, and hence the idea of state obligation to natural resource conservation was not introduced from outside. According to Abebe (2003) state forest policy legislation and administration in modern-day Ethiopia began as early as 1945 with the creation of the Department of Forestry, Game and Fishery within the Ministry of Agriculture. The Department of Forestry, Game and Fishery was dissolved and replaced by the Wildlife Conservation Department with the responsibility to create and manage wildlife reserves in 1964.

In 1971 again, the Wildlife Conservation Department was renamed into Wildlife Conservation Organization and Stewardship for forest management and conservation matters was outsourced and given over to the newly established State Forest Development Agency (UNEP, 1992 cited in Stellmacher, 2006). Generally, during the time of Emperor Period, the Ethiopian government was made attempts to establish an institutional framework with the objective to promote environmental protection in general and forest protection in particular. However, none of these measures was ever implemented in practice (Stellmacher, 2006). More than 75 percent of the Ethiopian forests were owned by the private sector (mostly landlords) by the end of the Ethiopian Empire in 1974. Private ownership of forests was abolished and the entire forest area of Ethiopia was handed over to the state administration in 1975. National state bodies took control of forests more than 80 hectare, named state forests and the Peasant Associations, which had the mandate to use and conserve natural resources in their areas of jurisdiction were charged with the responsibility for forests less than 80 hectare, so called community forests (Mengistu, 2002).

In 1977, forest and wildlife matters were again grouped together, and named “Forestry and Wildlife Conservation and Development Authority” (FWCDA). This semi-autonomous authority launched a natural forest management program, which aimed to introduce integrated forest management systems. Between 1980 and the end of the Dergue regime in 1991, a total of 42 state forests with a size of about 2.2 million hectare were demarcated as NFPAs on the ground with concrete pillars (Mengistu, 2002). However, the dos and don‟ts of forest use, management and conservation were only loosely defined (Andinet, 2010). It can be said that the nationalization of all land holdings was the major turning point for use, management and conservation of Ethiopian forests and forest responsibility was shifted from private owners to newly established state bodies. In general, these new state-initiated bodies neither had the necessary organizational structures nor the experience, the expertise

The Role of Local Institutions in Yayo Coffee Forest Management or the financial and infrastructural resources to tackle such a cross cutting challenge (Stellmacher, 2006). Between 1975 and 1991 the centralized governmental control did not „reach‟ the forest areas, hence rather created a confused and ever changing institutional framework that turned out to have no or minimum actual impact on forest resource management (Kigenyi, 2002 cited in Andinet,2010).

The study by Stellmacher (2006) shows that proclamation No 9/1994 assigned five forest administration categories as state forests, state protected forests, regional forests, regional protected forests and private forests. The Ethiopian People‟s Revolutionary Democratic Front government basically reserved the National Forest Priority Areas (NFPA) concept by integrating the demarcated sites into the forest categorization concept and the regionalization policy of Forest. Despite, the categorization between „state forests‟, „state protected forests‟, „regional forests‟, „regional protected forests‟ and „private forests‟ by the proclamation it did not work out in practice, but rather created confusion between different state levels (particularly federal and national) about responsibilities. In general, from the above discussions one can conclude that in this dynamic process and historical period different indigenous and external organizations interact to control and regulate the use and management of coffee forests. The state efforts for environmental protection in general and the commitment to primary forests in particular did not bring the intended results under any Ethiopian government (Stellmacher 2006). This is due to a number of factors which carry different weight from different views and are difficult to assess in general. The most notable are the vague definition of and conflicts about competences, a defective and/or incomplete implementation (e.g., NFPAs were legally established and demarcated but lacked management plans), and the non-involvement of the local forest users in decision making process regarding coffee forest management (Andinet, 2010).

2.3.2 Approaches of Coffee Forest Management

Primarily, natural resource conservation has been responsive in large part, which is, responding conservation to the perceived problems like threatened forestland. In other words, conservation approaches have been taking modernization approach (Tola, 2005). Modernization is an approach to resource conservation where scientists and planners identify problems such as severe degradation and search for rational solutions or technologies, which are tested under controlled environment to be taken up by farmers. In this case, farmers are expected to change their previous practices which, most of the time,

The Role of Local Institutions in Yayo Coffee Forest Management involve altering their livelihood to comply with new technologies (Tola, 2005). The basic assumption behind the modernization approach is that farmers are the cause for natural resource degradation such as deforestation, soil degradation and overgrazing. Therefore, it recommends the segregation of local community from forests and coffee forests to protect them and wildlife as well as the adoption of externally developed natural resource conservation technologies. Such conservation approach has been characterized as the „fortress conservation‟, „forced conservation‟ or „fence-fine‟ and for a long time has dominated conventional thinking in conservation. Broadly, this approach viewed development objectives of local communities as being in direct conflict with the Objectives of Biodiversity Conservation (Tesfaye, 2017). Government based conservation polices have been focused on biological value of the resources and ignored the local community who depend on such resources being influenced by modernization or traditional conservation approach (Tola, 2005). Largely, in most developing countries including Ethiopia the conservation of forest and coffee forest has been vested in the state. However, this method of forest resource conservation has never managed the vast forestland at its stake effectively because it lacks the resources (Carney and Farrington, 1999). In addition, such conservation method has abolished the local management system of forests and thereby disturbed local people‟s livelihood and accelerated the rate at which this resource is converted to open access „property‟. Moreover, the rigid forest management strategies imposed by central governments might reflect less desires and needs of local populations, and restrict their ability to adapt to changing environmental and local contextual factors as these populations were not part of the process for designing and implementing forest-management strategies (Ostrom, 1990).

In Ethiopia, large forestlands have been owned by the state starting from mid 1960s. These taken away properties of forests were not acceptable among the local communities, who have their base of livelihoods in one-way or another from the forest resource. Above all, in response to such state measure three major waves of destruction of forest and woodland owned by the state occurred in the country, of which the first two major deforestation occurred following the mid-1960s Imperial and the 1975 Derg regimes‟ proclamations while the third one was occurred at the time of the Derg fall and when the current government came to power (Dessalegn, 1996; Pankhurst, 2001). As stated by Dessalegn (2001) the state forestry of the Derg government, however “posed a threat to peasant livelihoods” as “it encroached on farmland, evicted households living in and near it, and

The Role of Local Institutions in Yayo Coffee Forest Management took away land that was customarily used for grazing.” Prior to interventions from the state, in many parts of the world, local communities have been managing forests in sustainable manner (Andinet, 2010). This is because local peoples have protective mechanisms/institutions to do so (ibid). Their old-age knowledge and experience played an important role in managing the resources. `Nevertheless, the coming of state interventions with their powerful interest to have control over those commonly managed resources brought a failure to the traditional natural resource management systems (Borrini- Feyerabend, 2000 cited in Tola, 2005). Similarly, in the study area especially after the demarcation of the coffee forest as protected area for biodiversity conservation, the approach of coffee forest management and associated natural resources is based on the rules and regulations of the protected areas. This approach of management exile the indigenous knowledge and institutions local communities are using to the management and use of the coffee forest.

2.4 Institutional Analysis Development Framework (IAD)

One principally useful framework, which has structured investigation across a far-reaching range of policy sectors and disciplines, is the IAD framework, developed by Elinor Ostrom and other scholars, which focuses on individuals who make decisions over some course of action (Koontz, 2003). Policy developments and results are assumed to be affected, to some degree, by four types of variables which are external to individuals such as; attributes of the physical world, attributes of the community within which actors are embedded, rules that create incentives and constraints for certain actions, and interactions with other individuals (Ostrom, 1999). The framework is used for analyzing institutions and actors that are playing a significant role in coffee forest resource management. Applying the IAD framework for this study has two advantages: Firstly, it preserves the focus of institutional analysis on the complexity of environment that actors face. Secondly, it allows relative analysis across both institutions (formal and informal) and types of activities undertaken (Consider: Shigeo, 2007).

In addition, there are many attributes that make the IAD framework essential for the analysis of research on the institutions of coffee forest management in particular and forest resources in general. The IAD framework possess three main exogenous variables that include biophysical attributes (coffee forests in this case); community attributes (homogeneity/heterogeneity, knowledge of the resources) and rules-in use (institutions both

The Role of Local Institutions in Yayo Coffee Forest Management

formal and informal) that this study was stressed to investigate the roles of local institutions on the coffee forest management activities interacting in the action arena (yayo coffee forest). Therefore, in this study IAD (Institutional Analysis Development) framework was used for analyzing institutional aspect of coffee forest management at local level.

Attributes of the Coffee Forest (Extractability, Excludability, Action Arena type of resource used etc.)

Attributes of the community Action Situation Interactions (group size, homogeneity/heterogeneity, and dependence on the resource.

Actors/Decision makers

Attributes of Institutions Out Come (Operational, Collective choice and Constitutional)

Figure 2. 1: Analytical Framework for the study

Source: modified from Elnor Ostrom, 2006.

2.4.1 Major Components of IAD Framework

Action Arena: The Playing Field.

The core analytical unit of institutional analysis is an „action arena‟ in which participants (individuals, families, firms, voluntary associations, governmental units) interact in a structure of incentives generated by the characteristics of the goods involved, the rules-in- use and the attributes of the community (Ostrom 2006). The action arena contains interacting individuals with decision-making capability; the „actors‟, their decisions, which are affected by exogenous variables (institutions or rules and regulations that motivates and/or constrains human actions, community attributes and the biophysical attributes (coffee forest resources in this case) comprise activities that produce the action arenas‟ outcomes.

The Role of Local Institutions in Yayo Coffee Forest Management

In this system, the action arena can be understood as the “decision environment of the actors”. Therefore, in the context of this study the action arena is Yayo woreda coffee forest of Southwestern Ethiopia and its management activities at local institutional levels. The action arena includes individuals and organizations that make coffee forest management decisions based on the information they have or how the actions influence the outcome and different costs and benefits attached to the actions and outcomes.

Action Situation: a condition in which actors interact

The actors are said to be in an action situation when two or more actors are encountered with a set of potential actions that together generate outcomes (Ostrom, Stellmacher, 2006). According to Ostrom (2006), a common set of variables used to describe the structure of an action situation includes; the set of participants, the specific positions to be filled by participants, the set of allowable actions and their linkage to outcomes, the potential outcomes that are linked to individual sequences of actions, the level of control each participant has over choice, the information available to participants about the structure of the action situation, and the costs and benefits, which serve as incentives and disincentives assigned to actions and outcomes. Differences in patterns of interactions between the various actors finally determine the outcome, in this study, the way how the community uses, manage and conserve the coffee forest.

Actors: the decision-makers in the action arena

In the IAD framework, „actor‟ is applied for individuals, social groups, or organizational bodies, which enjoy a „stake‟ in one particular issue (for instance, in this case use of a certain coffee forest resource). Actors are individuals with decision making capability, with an activity that influence and produces an outcome (Shigeo, 2007). Those outcomes have feedback to exogenous variables (ibid). Although „local levels‟ and „upper‟ levels (regional and national) have multiple important coherencies and mutually influence each other, the structural focal point of this thesis was located at the „local level‟. This is to identify the essential stage at which decisions and actual actions related to the use, management and conservation of coffee forest resources was conducted or averted in practice, and hence how humans directly affect coffee forest conditions. The actors within the local action arena include all stakeholders directly or indirectly involved in or affected by decisions

The Role of Local Institutions in Yayo Coffee Forest Management

concerning coffee forest use, management and conservation, irrespective of their organizational or hierarchical background.

Collaborate Coffee Forest Management Projects YWARDO, YWAO, YWPO

Monitor &

Collaborate

Monitor

Govern &Govern

Use & Manage & Local Community Kebeles Manage COFFEE FOREST Monitor

Influences

Manage Monitor

Customary Institutions

Figure 2. 2: Action Arena for Yayo Coffee Forest

Source: Developed from Review of Literatures

The Role of Local Institutions in Yayo Coffee Forest Management

CHAPTER THREE: METHODS AND MATERIALS

3.1 Description of the Study Area

3.1.1 Location of the Study Area

Yayo Coffee Forest is located in Yayo Woreda of Ilu Aba Bor zone of Oromia National Regional State at about 550km Southwest of Addis Ababa on the major road from Addis Ababa to Metu (the capital of the zone) (Zewdie, 2009).) It shares boundary with Chora woreda in the east, Doranni woreda in the north, and Hurumu woreda in the west and SNNPR (Southern Nations, Nationalities and Peoples Republic) in the south. Yayo Coffee Forest (the study area) lied between 8o10‟-8o20‟ N latitude and 35o50‟36o03‟E longitude (Figure 3.1).

The Role of Local Institutions in Yayo Coffee Forest Management

Figure 3. 1: Location map of the study area.

Source: Ethio-boundary map, ARC-GIS version 10.3(by the researcher)

3.1.2 Topography and Drainage Systems

The study area is characterized by rolling topography and dissected by three major rivers Gaba, Dogi and Sese. The altitude of the woreda ranges between 1140 and 2562 meters above mean sea level, the lowest altitude is found at Gaba river and the highest is at the top of Sayi Mountain around Keresi kebele. The major known big mountains of the woreda are mountain Agaro (1750 m), mountain Dimaga (1700m), mountain Bile (1800 meters) and mountain Taya (1885m). The landform of the study woreda frequently changes from flat surfaces on the top of plateaus to very steep slopes and valley bottoms within short distances (Tadesse, 2003 cited in Andinet, 2010). The Dogi River drains into the Gaba river, which are flowing southwest ending in the Baro River, one of the main tributaries to the Nile, and drains most areas of the forested areas in the southwestern part of the country

The Role of Local Institutions in Yayo Coffee Forest Management

(Tadesse, 2003). The ruggedness of topography in the Yayo Coffee Forest area affected the accessibility of some Coffee Forest areas and made the management of the resource difficult especially for controlling forest fire that would erupt during the dry season. In addition, such topography would affect the researcher during the field observations hampering the deep walk into the coffee forest to carry out deep observations.

3.1.3 Climate and Vegetation

The study area had hot and humid climatic condition. The mean annual temperature is about 22.50c that ranges between 160c mean minimum annual temperature and 290c mean maximum temperature (YWARDO, 2017). The source indicated that the hottest months are February, March and April while the coldest were August, September and October. The rainfall pattern was uni-modal (single maxima rainfall region), with low rainfall in January and February, gradually increasing to the peak period between May and October (Tadesse, 2003). The same author identified that the rainfall pattern varied annually from 1,191mm to 1,960mm showing variations from year to year.

The forest ecosystem of Yayo Coffee Forest was endowed with a variety of plant species. The most common are Hambabessa (Albizia gummifera), Waddessa (Cordia africana), Qararoo (Aningeria adolfi friedertel), Hogda (Ficus varta), Sondi (acacia lahai), and Alale (Albizia grand ibracteata) (Zewdie, 2009).These vegetation species that were found in the Yayo Coffee Forest directly or indirectly affected the use and management of the coffee forest. More importantly, the growth of Waddessa (Cordia africana) in the coffee forest ecosystem became the major challenge in the management of these resources due to the fact that it was very desirable plant species for the production of wood furniture. Thus, this condition could affect the sound and participatory coffee forest management by the local community.

3.1.4 Geology and Soil

The study area was covered by Precambrian Metamorphic rocks consisting of biotite and hornblende gneisses granulate migmatite with minor meta-sedimentary gneisses along the river valleys and by flood basalts overlying the crystalline basements on the plateaus in between the river valleys (Geological Map of Ethiopia, 1996 cited in Andinet, 2010). The soil type in the area is described as red or brownish ferrisols derived from volcanic parent

The Role of Local Institutions in Yayo Coffee Forest Management material. The prevalence of high rainfall has covered other soil forming-factors and hence, very similar soils have developed on a variety of parent materials. The major soil groups in the area include Nitosols, Acrisols, Vertisols, and Cambisols (Tafesse, 1996 cited in Andinet, 2010).

3.1.5 Socio-Economic Aspects and Landuse Patterns in the Study Area

The major occupation in the area is agriculture, which employs over 90% of the labor force (Andinet, 2010). The agricultural practice in the area is mainly smallholder subsistence farming. For more than 60% of the population, coffee production, processing and marketing are the major sources of employment (ibid). Yayo woreda has a total population of 70,061(34,091 males and 35,970 females) (YWHC, 2017).Of the total population 20% were living in urban areas while the rest 80% living in rural areas (YWARDO, 2018). The woreda has an average population density of 66 people per square kilometers which is comparatively sparsely inhabited in relation to 90 persons per square kilometers of the zonal population density (IZFEDO, 2009 cited in Zewdie, 2009). The economically active segment of the population (15-64 years) comprises 51.5 percent of the total population. The zonal annual population growth rate was 3.2 percent (Tafesse, 1996) which is one of the highest in the country implying some level of pressure on natural resources. The data of the woreda ARDO (2018) indicate that the landuse of the woreda is mainly for the production of coffee (25,227 hectare) which is about 66.78%, the land used for crop production (cereal crops) is 9,671 hectare (25.60%) and for other productions like chat and vegetables are 553.375 hectare (1.46%) and 318.875 hectare (0.84%) respectively (YWARDO, 2018). In addition, the land used for grazing is about 1,700.5 hectare which shares 4.5% of the total land area of the woreda (ibid).

The Role of Local Institutions in Yayo Coffee Forest Management

318.875 1700.5 553.375

For Coffee production 9,671

For Crop (cereals) production For Chat production 25,227 For production of vegetables For grazing land

Figure 3: 2 Landuse Aspects of the study woreda (in hectares)

Source: Yayo Woreda Agriculture and Rural Development Office, 2018.

3.1.6 History of Yayo Coffee Forest Management

According to Million (2001), forests still suffers from lack of appropriate management systems for both the natural and plantation forests. The general objectives of forest management in general and coffee forests in particular is to promote the conservation and sustainable use of the resources to meet local and national needs through encouraging local communities, investors and NGOs to manage, protect and restore forest resources and land, for the benefits of present and future generations. The forestry administration at the federal level has classified 58 most important high forest areas in Ethiopia as National Forest Priority Areas since 1985. From the 58 National Forest Priority Areas in the country, Ilu Aba Bor zone has five National Forest Priority Areas including Yayo Coffee Forest (Zewdie, 2005). Due to its national and international importance, Yayo Coffee forest has been designated as a site for wild Arabica coffee (Coffea arabica) conservation as a gene reserve by the government of Ethiopia since 1999, that is, the Gaba-Dogi Forest Coffee Conservation Area.

The Role of Local Institutions in Yayo Coffee Forest Management

The project was demarcated the forest in 1999 under the supervision of the Federal Ministry of Agriculture, but implementation of the project was delayed until 2003 due to various administrative problem and structural changes. Hence, Gaba-Dogi Forest Coffee Conservation Project was started operation under the close supervision of ORADB being demarcated into three management zones in 2003 (Zewdie, 2005). Traditional local community management systems, scientific forest management mechanisms and other factors are major criteria to classify the Yayo coffee forest into three management zones (Tadesse, 2003). Recently, Yayo Coffee forest is nominated by the government of Ethiopia as a UNESCO biosphere reserve sites for biodiversity conservation by zoning the forest into three management zones; core, buffer and transition (Figure 3.3). The biosphere reserve has three functions. They are;

Conservation - contribute to the conservation of landscapes, ecosystems, species and genetic variation.

Development - foster economic and human development which is socio-culturally and ecologically sustainable.

Logistic support - support for demonstration projects, environmental education and training, research and monitoring related to local, regional, national and global issues of conservation and sustainable development (UNESCOb, 1995 cited in Fite,2008).

The Role of Local Institutions in Yayo Coffee Forest Management

3.1.7 Social Organizations of the Population of the Study Area

The majority of the population in the study area shares almost similar forms of social organization and cultural characteristics. People living in Wabo kebele share homogeneity in ethnic and religious background while Achibo and Witate consist of relatively some heterogenic characteristics, as there are significant numbers of resettlers from Tigray, Wollo and Gondar. This does not mean that there are extreme differences among the resettlers and the indigenous people in terms of economic status apart from others. There is homogeneity among the host people and resettlers mainly from Wollo as an influential portion of both groups are followers of Muslim and some traditional beliefs, which has been a strong connection to share some similar indigenous institutions. However, regarding the self- governing and some socio-cultural make up that stick the community together, it is assumed to be true as there is difference among the Oromo and other ethnic groups of the study area. Thus, these differences can cause disparity among those communities‟ behavior and attitude towards the use and management of coffee forest resource. For example, in the Gada system of government, the Oromo people have been accustomed to the rules and regulations of the Gada system towards the natural resource use and management in general and forests in particular.

3.1.8 Kinship or Relationship Forms

According to Zewdie (2009) Kinship is important in studying the role of institutions especially local institutions in various development activities. It is important in natural resource management in general and coffee forests in particular as this enhance the role of institutions. For this reason, it is a social organization that reinforces societal initiation contributing to various socioeconomic development activities. Kin groups, therefore, sometimes force agreement with the rules of some institutions (ibid). Every kinship system identifies blood relatives (biologically related or socially constructed) and relatives by marriage. In other words, except for married couples without children, all groups of relative residing together consists of “consanguine” relatives, but married couples are usually regarded as “affine” relatives since marriage relationship is socially the most important bond between them (Johnson, 2007). Hence, kinship system is fundamental for the social organizations of Oromo in general and Oromo of Ilu Aba Bor and the study woreda (Oromo of Yayo woreda) in particular. Likewise, the Oromo of Ilu Aba Bor trace their parentage from „Salgan Iluu‟ (in Afan Oromo), that means the nine Ilu. They include (as interviewed

The Role of Local Institutions in Yayo Coffee Forest Management with one known elder person who resides in the study area) Salgee yaayyoo (the nine yayo), Saddeettan Cooraa (the eight Chora), Torban Hadheessoo (Buunnoo) (the seven hadhesso), Jahan Noonnoo (the six nonno), Arfan Mattuu (the four Metu), Sadan Doorannii (the three Doranni), Sadan Hurrumuu (the three Hurumu), Lamaan Suphee (the two suphe) and Tokkoon Buree (the one Bure). More specifically, the Oromo of the study woreda have their sub-clan from Salgee yaayyoo (the nine yayo) through a parentage line. These are Hadhesso, Saphera, Bacho, Lago, Birbirso, Magela, Iggu, Bondowo, and Yanno clans (gosaa). For individuals who are born into these groups, knowing their kin groups in the line of their fatherhood is very important for various reasons. First and for most, property right is claimed through parentage line. For example, inheritance of farmland or forest land is through father‟s line. Second, since intra-clan marriage (marriage within the same clan) is completely impermissible (among all Oromo of different areas), they clearly identify their cosanguineal (decedents‟) kin groups of their father. That means, knowing the parentage line is necessary for an individual to differentiate from which group he/she can have marriage relationship or not. Hence, the marriage type of this society is exclusively exogamous. Last but not least, persons to whom they relate by kinship system may normally look for emotional support and various kinds of help in case of need.

Thus, kinship system plays important role in rights of access to resources, formation of marriage and other social organization among the Oromo of the study area. Kinship is also the source of some indigenous institutions. For instance, as the Oromo expanded from the central part of the country to the present area, elderly informants stated that those who arrived during the first phase became qoro, the highest rank under the regional Oromo governance before the conquest of Menelik. Qoro later became the title under vice district administrators and then affiliated with feudal landlords. There is a remarkable explanation among some informants that those who came later to the area were mostly the extended families of the original comers that could get the title of Abbaa lagaa that is elected by qoro. In this regard, it is possible to state that kinship has “an influential consequences for economic development, attitudes toward collective or individual ownership of property, conception of legal responsibility, and reactions towards individualistic behavior” (Asmerom, 1973).

The Role of Local Institutions in Yayo Coffee Forest Management

3.2 Research Methods and Materials

3.2.1 Research Design

The study applied cross-sectional survey research design as the study was conducted by employing both quantitative and qualitative data collected from the household heads of the three selected kebeles through questionnaires, key informant interviews, focus group discussions and field observations. The data collected through questionnaires, key informant interviews, focus group discussions and observations were cross checked and triangulated.

3.2.2 Research Approach

The study employed mixed research approach in which quantitative and qualitative approaches were used one after the other. Consequently, the use of mixed research approach in this study allowed the investigator to assess the socio-economic and demographic characteristics (quantitative data) of the local coffee forest users and their impacts on the coffee forest use and management. As well, the use of mixed research approach in this study helped the researcher to collect and analyze qualitative data for the study. The qualitative data like religion, sex, property rights (coffee forest use and management rights of the households), attributes of the local communities such as heterogeneity of the household heads in terms of ethnicity, dependences on the coffee forest and attributes of the coffee forest resource such as extractability/excludability of the resource were collected and analyzed separately using qualitative approach.

3.2.3 Data Types and Sources

The types of data for this study were quantitative and qualitative. The quantitative data include socio-economic and demographic characteristics of the community such as educational level, family size, age of the household respondents in years, income of the household head respondents in birr per year and landholding size of the respondents per hectares. Whereas, the qualitative data comprise sex of the household head respondents, religion of the household head respondents, ethnic groups of the household heads, property rights (resource ownership rights of the household heads), dependences on coffee forest, the roles of local institutions (the formal and informal local level institutions) in the coffee

The Role of Local Institutions in Yayo Coffee Forest Management forest management and attributes coffee forest (extractability and excludability characteristics of the resource).

This research uses both primary and secondary sources of data. Primary sources of data obtained from household heads (both males and females) of the three selected kebeles through questionnaires, local level government organizations (YWAO, YWARDO, and YWPO) and professionals working in the area of coffee forest management through interview, Focus group discussions with three groups from the three study kebeles (6 persons from each study kebele) taken from adult household heads (18-60 ages), old household heads (above 60 ages) of both sexes and personal observations were made by the researcher. Relevant secondary data for this study was obtained from official documents of government organizations related to local institutions, their roles and challenges in coffee forest management in Ethiopia in general and in the study area in particular, peer reviewed articles, statistical report, journals and books.

3.2.4 Methods of Data Collection

The data appropriate for this study was collected using tools of data collections such as; questionnaires, interviews, focus group discussions and field observations.

I/ Questionnaires

This was employed to collect data related to socio-economic and demographic characteristics of the household respondents such as age of the household heads in years, educational level, family size, sex of the households, religion of the households, ethnic groups of the households, major attributes of the community affecting local institutions in Coffee forest management activities to investigate their impacts on coffee forest management. For this research about 136 questionnaires were distributed for the respondents depending on the proportion given for each study kebeles. The questionnaires were administered by persons selected by the researcher based on their skill of managing the activity from experts of agriculture development working in the respective study kebeles. The researcher provided orientation for enumerators for one hour on how to manage the activity and kept the quality of data in accordance to the questionnaires prepared and the way they handle data for quantitative or qualitative in response spaces provided.

The Role of Local Institutions in Yayo Coffee Forest Management

II/ Key Informant Interviews

It was conducted with different groups of people from Agriculture and Rural Development Offices (ARDO), Kebele Leaders and Managers (leaders of the three selected kebeles), Idir Officials (leaders of Idir in the kebeles), Police Offices, Woreda Administration Offices and other organizations like CIP (Coffee Improvement Project) related to Coffee Forest Resource Management to collect data related to attributes of coffee forest (extractability / excludability of the resource) and attributes of local institutions such as operational ( management level), collective choice ( access and alienation rights). Accordingly, 3(three) experts from each formal institutions, two known persons from each informal institutions, 2(two) Persons from the Leaders of each study kebeles and Managers of the Kebeles and 2 (two) Persons from the Agents of Coffee Forest Improvement Project Office of Yayo Woreda were interviewed. The interview lasted for 2 (two) hours and 20 (twenty) minutes.

III/ Focus group discussions

This technique was held to collect information to triangulate the reliability and validity of the data collected by other methods. This data collection method helps to generate data on a topic determined by the researcher through the interaction of a purposefully formed small group of people, often ranging from 6 to 10 people (Marshall and Rossman, 1995).

The main reason for using the focus group discussion is to gain understanding on the respondent‟s attitudes, feelings, beliefs, experiences and reactions which cannot be obtained through other methods (Zewdie, 2009). As a result, in this research, three focus group discussions consisting of eighteen (18) persons from the three kebeles (i.e. three groups with six members) conducted with different groups of people in the study area. These focus group discussants were taken from adult household heads, old household heads and young household heads from both sexes. The FGD lasted for 3 (three) hours to complete the task of exploring the idea of the discussants regarding the issue under consideration.

IV/Field Observations

In addition to the above data collection methods, multiple field observations were performed by the researcher to confirm and complement the information obtained through

The Role of Local Institutions in Yayo Coffee Forest Management other primary and secondary data collection tools. The biophysical and socio-economic conditions of the local community sites (the three selected kebeles; Achibo, Witate and Wabo) were explored through a series of field observations. In the meantime, experts and known elders were briefly interviewed to look into the role played by informal local institutions in the management of coffee forest resource. During the field observation, the researcher used the observation checklist and collected some data regarding the dependency characteristics of the local community on Coffee forest to cross-check with the data collected through questionnaires. This was done in order to assure the data validity by employing triangulation method.

3.2.5 Sample Size Determination and Sampling Techniques

3.2.5.1 Sample Size Determination

Sample size determination is not an easy task since it is affected by several factors. For instance, in addition to the purpose of the study and population size, three criteria usually need to be specified to determine the appropriate sample size: the level of precision, the level of confidence or risk, and the degree of variability in the attributes being measured (Miaoulis and Michener, 1976). Thus, considering the above criteria, from the total number of households in the three selected kebeles, the researcher uses the following formula for determining sample size (using the formula developed by Yamane, 1967). This sample size determination formula is preferred because of the following reasons:

 It can reduce the degree of variability in the attributes to be studied. The more heterogeneous the study population, the larger the sample size required to obtain a given level of precision (Glenn, 2012).  It can also reduce sampling error and hence attain 95% level of precision.

( )

Where; n= designates sample size

N= designates total number of households of the three selected kebeles

e= designates maximum variability or margin of error (0.05, which is 5%)

The Role of Local Institutions in Yayo Coffee Forest Management

1= designates probability of the event occurring

Applying the formula; 1362/1+ 1362 (0.05)2 = 1362/1+3.405= 1362/4.405= 309 are considered as sample size of the household heads. However, considering the possibility to get appropriate data from other means of data collection like interview and experts working in the management of Coffee Forest and the difficulty to distribute the survey questionnaires for these large size of the household heads especially taking factors like the inaccessibility of the households for responding to the questions and similarity of the population in terms of economic and geographical characteristics, the researcher expected that the use of 10th proportion of the study population (1362) was considered to be an enough number that can be a representative of the study population. Therefore, the sampled sizes of the household heads for the survey questionnaires are about 136 (10th percent of the study population).

On the other hand, to get the proportion number of sample (respondents) from the three selected kebeles, the researcher used the following formula:

N1=n (N1/N) =136(759/1362) =76 (Achibo)

N2=n (N2/N) = 136(393/1362) =39(Witate)

N3=n (N3/N) = 136(210/1362) = 21(Wabo)

3.2.5.2 Sampling Techniques

The target population of this study are household heads of three selected kebeles who are living in adjoining with coffee forest in Yayo woreda including Achibo, Witate and Wabo having the total household heads of 1362 persons(males= 981, females=381) (kebele administrations of the study sites, 2017). Several reasons make sampling useful rather than complete enumeration. These include considerations regarding time, cost and available resources, and practicability (Yeraswork, 2010).

For this study both probability and non-probability (purposive) sampling were used to draw the required number of sample units. Accordingly, kebeles were selected purposively from the entire kebeles in the Yayo woreda. This is because; people living close to coffee forest areas have rich cultural assets or their own institutions that affect the use and management of resource (IBC, 2006). Therefore, out of 18 kebeles in the woreda, 3 (three) of them were

The Role of Local Institutions in Yayo Coffee Forest Management purposively selected by the researcher based on their adjacency to the coffee forest areas. These selected three kebeles were Achibo, Witate and Wabo. And then out of the total household heads of the three kebeles (1362), the researcher determined the sample size for the study using the calculation method as indicated below. After this, to get the proportional representatives of samples for the three kebeles, the researcher followed the formula as showed under sample size determination techniques. Finally, to select the respondents for data provision, the systematic random sampling was employed by arranging the total households in alphabetical order taking their list from the kebele administration office and then using the nth interval (i.e. total households dividing by samples; 1362÷309 =4, that is every 4th households on the list are selected until the sample size reached). To determine the starting individual selection for the respondent from the list, the researcher applied the random sampling technique. Purposive sampling was also employed to select the required number of respondents for key informant interviews and focus group discussants. The selection of key informant interviews was based on purposive sampling in sense that their knowledge, experiences, well-known local community elders and experts at different levels were considered.

3.2.6 Methods of Data Processing and Analysis

Under this section of the study the researcher engaged in the organizing and coding of data collected using different techniques of data collection, and then analyzed the data in their respective types as follow.

3.2.6.1 Quantitative Data Analysis

The quantitative data that are obtained from the primary sources through questionnaires were analyzed by employing SPSS Software version 20 and Microsoft Excel program in order to present the results in the form of frequency tables and percentages to understand the distribution of respondents. The data presented by frequency tables were discussed and analyzed based on the results provided in the table. Accordingly, analysis was done for the quantified data such as the landholding size of the respondents, family size, income of the respondents and others like insecurity of property rights and reasons of forest dependence of the local community, heterogeneity and the impacts of these on the local institutions in the coffee forest management activities in the study area.

The Role of Local Institutions in Yayo Coffee Forest Management

3.2.6.2 Qualitative Data Analysis

Qualitative data that were collected through key informant interviews and focus group discussions are analyzed according to the main themes of interviews and discussions. In this case, data that were generated through interview and FGD concerning attributes of the coffee forest resources and local institutions and their roles in coffee forest management were analyzed through narrating (reporting) and interoperating the situation. In addition, secondary data that were collected from journals, reports of government offices regarding the roles and challenges of local institutions in coffee forest management and documents of the coffee forest management based organizations in the study area were compared qualitatively by describing and explaining the issue under consideration.

3.3 Data Validity and Reliability

3.3.1 Techniques of Promoting Data Validity

Validity stands for the degree to which the research measures what it purported to measure (Kayrooz and Trevitt, 2006 cited in Messay, 2012). Validity in the research is necessary to test with the view of drawing more credible and defensible results to make analytical generalization of the result about the population of the study (Golefshani, 2003 cited in Messay, 2012). To assure the validity of the research results the researcher tried to review literatures related to the problem in investigation. The researcher also conducted focus group discussion and triangulated in order to cross check validity of the data that were collected from the respondents through key informant interviews and questionnaires.

3.3.2 Techniques of Promoting Reliability

Regarding reliability, which indicates the extent of the study to provide the same result (the degree of consistency in results) if the study is to be done for the second time (Kayrooz and Trevitt, 2006 cited in Messay, 2012), the researcher carried out a test-retest procedure with the same group of respondents nearer to the implementation of the actual questionnaire. This enabled the researcher to have deep understanding of the respondents and judge the capacity of the respondents in providing as reliable data as required. In line with reliability of the research, the researcher also employed personal observation and made discussions

The Role of Local Institutions in Yayo Coffee Forest Management with certain persons about the roles of local institutions in the coffee forest management in the study sites. Again the enumerators were selected by the researcher and oriented well in the way that they can handle the respondents and their responses.

3.4 Ethical Considerations

Primarily, the researcher has a responsibility to respect the rights, needs, values, and desires of the informants (Creswell, 2009). For instance, the researcher is required to consider the potential for risk such as physical, psychological, social, economic, or legal harm to participants in a study (Andy, 2009). Taking this in to consideration, the researcher got the permission of the household heads questionnaire survey respondents and key informant interviewees before going into gathering data. Therefore, before starting to conduct the study the researcher became ethical in manners that don‟t disappoint the respondents. In addition, participants were fully informed that their personal information is kept confidentially and that the researcher never exposed them in any way and never mentioned their name in the paper and they were remain unnamed throughout the study unless get consent of the respondents. Beyond the ethics on human matters, research ethics also considers acknowledgement of data generated by others and appropriate citations of scholarly research outputs, books, websites, and the researcher tried to cite and acknowledge all the information taken from scholarly literatures and data generated by other individuals or organizations.

The Role of Local Institutions in Yayo Coffee Forest Management

CHAPTER FOUR: RESULTS AND DISCUSSIONS

4.1. Socio- demographic Characteristics of the Respondents

The analysis of the socio-demographic characteristics of the respondents such as sex, age, educational status, religion, ethnic group and family size were indicated in the table 4.1, 4.2 and 4.3 below. In this regard, carrying out brief analysis of socio-demographic characteristics was essential since it influences the nature of the data even though it was not part of the research objective. As shown in the table 4.1, 75% of the respondents were males and about 25% were females. With regard to the role of sex towards coffee forest management, it is logical to include them in this type of study because both sexes are considered to have roles and participation in the management of the natural resource in general and coffee forest in particular in the study area.

The respondents‟ age structure revealed that 22.8% were found in the age category of less than 31 years, while the largest percentage (66.9%) were found in the age category of 31-60 years and the smallest proportion (10.25%) were in the age category of above 60 years (Table 4.1). From this data, it is possible to understand that significant numbers of households (66.9%) are found in the economically active (working age population) category, which has a positive consequence for development. This implies that the age structure of the population in the study area can affect the local institutions in the management of coffee forest resource. That is, the participation of the people in the management activities of coffee forest is significant for the local level institutions to achieve their management goals.

The Role of Local Institutions in Yayo Coffee Forest Management

Table 4. 1: sex and age characteristics of respondents

Sex frequency percent Male 102 75 Female 34 25 Total 136 100 Age < 31 31 22.8 31-40 45 33.1 41-50 25 18.4 51-60 21 15.4 >60 14 10.3 Total 136 100

Source: compiled from household survey result, Feb, 2018

As indicated in the table 4.2 below, about 13% of the respondents were categorized as persons who are unable to write and read those would not attend neither formal nor informal education, 55.1% of the respondents were categorized as those who can read and write merely gained through attending adult education or informal education and 31.6% of the respondents were those who attended primary, secondary or above schools. It was not amazing to say that the level of education of the local community depending on the Coffee forest resource affect local institutions in the management of the resource in the study area. This implied that the more educated the local community the less dependence on coffee forest to fulfill their livelihoods. For instance, the educated people are eager to create diverse job category than depending on the coffee forest to run their living.

As observed by the investigator during field observation, majority of the local communities who were running to harvest and produce forest products like burning of charcoal for carrying out their daily life were mainly known by their single income source and lack of diverse occupation. As indicated in the table 4.2, the Oromo people, who were indigenous to the study area, comprises greater proportions (72%) of ethnic groups in the area. In support of the finding, whether the community is indigenous or settler to the area, the forest users are possibly to provide a strong cause not only for present-day forest resource use, management and conservation, but by impacting on resource users‟ options, willingness and resistance to change on future developments (Stellmacher, 2006). The main target in this regard was the longtime relationship of forest resource users with the forest resource, which is highly determined by the „rootedness of the community in a concerned area. In this sense, as explained by interview respondents indigenous Oromo peoples have been living in the

The Role of Local Institutions in Yayo Coffee Forest Management area for many years and have high association with the forest and they have their own norms, cultures and values towards forest use and management. In support of this idea, Institute of Biodiversity Conservation (2006) described that people living close to forest areas have rich cultural assets or their own values and institutions that affect the use and management of the resource. This indicated that even though there is possibility of creating awareness among the settlers about forest use and management, the indigenous communities have a long and accustomed experience of the coffee forest use and management in the study area.

Table 4. 2: Educational status attributes and ethnic groups of respondents

Educational status Frequency Percent Can‟t read and write 18 13.2 Only read and write 75 55.1 Primary school 34 25.0 Secondary school 9 6.6 Total 136 100

Ethnic group Oromo 97 72 Amhara 25 18 Tigre 14 10 Total 136 100

Source: compiled from household survey result, Feb, 2018

As indicated in the table 4.3 below, the respondents are belonging to protestant (17.23%), Orthodox (13.23%), Muslim (55.89%) and Wakefata (13.23%) religious affiliations. Even though all religions support the activities towards forest resource management in the study area, Wakefata strongly focus on the use and management of natural resources in general and forests in particular as interview informants of elderly persons asserted. They added that the belief of the Oromo people in the study area is highly governed by the Gada system which pays much attention for the management of forests. Therefore, traditional religions (beliefs), mainly in rural areas, serve as a base for the compliance of the majority of the rules and punishments for many indigenous institutions (Zewdie, 2009). As pointed out by focus group discussants as well, for instance, cursing (abaarsa) and swearing (kakuu) were involving various practices and applied in identifying and exposing rule breakers or those who violates rules of indigenous institutions are still considered part of traditional belief system. The result of data of family size shown in the table 4.3 indicated that more than half percent of the respondents (66.3%) have family sizes between four (4) and six (6). This

The Role of Local Institutions in Yayo Coffee Forest Management shows, as explained by focus group discussants, when the farmland owned by the household heads becomes fragmented among the family members specifically in the rural farmers, it is not enough for the youths to run their livelihood activities. Therefore, as described by focus group discussants in order to get new farmland whether for coffee production or crops they encroach into the boundary of the forest. From this, it can be understood that large family size in the study area affected local institutions in the coffee forest use and management.

“Landless and people with shortage of farmland resulted from large family size are attempted to encroach the forest at different time, even though they are restricted by forest management committee in collaboration with kebele administration and other stakeholders,”( Wabo kebele manager, name withheld, April, 2018).

Table 4 3: religion and family size of respondents

Religion Frequency Percent Protestant 24 17.6 Orthodox 18 13.2 Muslim 76 55.9 Wakefata 18 13.2 Total 136 100

Family size 1-3 46 33.8 4-6 61 44.9 >6 29 21.4 Total 136 100

Source: compiled from household survey Result, Feb, 2018

4.2 Challenges of Local Institutions in Coffee Forest Management

Coffee forest is one of important resources of Ethiopia in general and Yayo woreda (the study area) in particular. The populations of the study area were depending on this resource for many reasons. For instance, data gathered from respondents through field surveys and interviews indicated that the resource is serving as the sources of livelihoods for providing natural coffee (forest coffee), honey production, construction materials (mainly for house construction, fences etc.), serve as sources of income for the local communities providing different types of spices and generally the coffee forest can be considered as the backbone for the life of the local communities living in and adjacent to the coffee forest.

The Role of Local Institutions in Yayo Coffee Forest Management

Although it provides various services for the local communities and the whole country, the resource was not well managed due to different factors emanated from different sources as can be understood from the data discussed here under. In line with this idea, Stellmacher (2006) stated that efforts for environmental protection in general and the commitment to primary forests in particular did not bring the desired results in Ethiopia. This is due to a number of factors which induced from a number of sources and are difficult to assess in general (ibid). In Ethiopia, frequent changes in the institutional setting and the transfer of rights and duties from one institution to another do not necessarily bring a change for the better (Andinet, 2010). Passing rules and regulations does not ensure their enforcement and proclaiming concerned organizational bodies do not mean that they are actually effective in the achievement of their objectives (ibid). The primary focus of this section of the chapter is to make analysis of major factors affecting the local institutions in the management of coffee forest resource constraining the achievement of their objectives towards the management of the resource.

4.2.1 Landholding Size

The sampled households have land either used for crop production or coffee production and other productions such as chat and vegetables. As indicated in the table 4.4, the average land holding size in the three study sites is 0.68 hectares for crop production which shares only 25.60% as indicated in figure 3.2. This shows that the land used for farming (crop production) was relatively small compared to the land used for coffee production which was about 66.78% (Figure 3.2). Therefore, based on the result of the study, it was possible to deduce that the population of the study area were depending on the coffee production for their livelihood than crop farming that directly or indirectly causes the population to interfere with the coffee forest. In addition to the dominance of coffee production in the study area, the small landholding size of farmers has its own impacts to enforce the local community to encroach into the forest zone for their livelihood activities.

The Role of Local Institutions in Yayo Coffee Forest Management

Table 4. 4: Average Landholding Size for Sampled kebeles (of crop farming)

Sampled kebeles Average landholding size (in hectares) Achibo 0.8 Witate 0.75 Wabo 0.5 Average 0.68

Source: Sampled kebele administration offices, Jan, 2018.

As indicated in the table 4.5 below, about 69.1% of the respondents responded that their landholding size per hectare was less than a hectare (one hectare). The result of data obtained from focus group discussants showed that land leasing in rural farmers was not common among themselves except for the richer urban dwellers and traders on the basis of contract for three to four years. In this case, they added that the rural poor farmers remain or became waiter for the richer person who took their land on contract basis and continued to extract forest products to carry out their living.

Table 4. 5: landholding size of the respondents (in hectare)

Responses Frequency Percent Valid Percent Cumulative Percent <0.5 37 27.2 27.2 27.2 0.5-1.0 57 41.9 41.9 69.1 1.0-1.5 42 30.9 30.9 100.0 Total 136 100.0 100.0

Source: compiled from household survey result, Feb, 2018

4.2.1.1 Impacts of Small Landholding Size

Before dealing with the impacts of small landholding on local institutions in the Yayo Coffee Forest management activities it was necessary to understand some demographic characteristics of the local communities in terms of sex, marital status and the size of family members indicated in the table 4.6.

As indicated in the table 4.6, greater proportions (88.97%) of the respondents of the study were in the marriage relation, 6.62% and 4.41% of the respondents were widowed and divorced respectively. The responses of respondents as indicated in the table 4.6 showed that 44.6% were those households having family members of 4-6 children, 33.8% were with

The Role of Local Institutions in Yayo Coffee Forest Management family members of 1-3 children and 21.4% were those having family members above 6 children. This implied that the greater proportions (66.3%) of the respondents were found within the family size of above 4 children. From this result, it was possible to understand that, due to majority of the respondents were confined to marriage relationship; there were the possibility of producing larger children and required larger farmland unless the family shifted their livelihoods activities from farming to non-farming activities.

In addition, the key informant interview respondents explained that shortage of farmland coupled with large family size were affecting the local institutions in the management of Coffee Forest in the study area. In line with the expansion of farmland and its impacts, Stellmacher and Mollinga (2009) stated that the Ethiopian coffee forests have witnessed high rates of deforestation especially during the past decades due to increased forest resource utilization and expansion of smallholder agriculture. Therefore, it was possible to conclude that the large family members resulted in the need to expand farmland and affect the management of Yayo Coffee Forest. The sex of respondents and its implication in the management of Yayo Coffee Forest was explained under table 4.1.

Table 4. 6: Sex, marital status and family members of the respondents

Variables Frequency Percent Male 102 75 Sex Female 34 25 Total 136 100 marital status Married 121 88.97 Widowed 9 6.62 Divorced 6 4.41 Total 136 100 Family members 1 – 3 46 33.8 4 – 6 61 44.9 >6 29 21.4 Total 136 100 Source: Compiled from household survey result, Feb, 2018

Table 4.7 below was used to identify and describe some about the awareness of respondents on the concept of climate change. As can be seen from table 4.7 below, 66.9% of the respondents responded that they had awareness about climate, whereas 33.1% of respondents responded that they didn‟t have awareness about the concept of climate. From

The Role of Local Institutions in Yayo Coffee Forest Management

66.9% of the respondents‟ responses on the awareness about the concept of climate change, 44.85%, 17.65% and 4.41% of them responded that they had little awareness, more awareness and detail awareness about the concept of climate respectively. As far as awareness about the concept of climate change was considered, 30.88%, 8.82%, 5.15% and 22.05% of the respondents responded that they were understood the concept of climate change as; the short term fluctuations of rainfall and temperature, drought, deforestation and changes in the average weather conditions over an extended periods of time respectively. Regarding the awareness about the spatial scale of climate change, 24.26%, 22.05%, 6.62% and 13.97% of the respondents responded that they recognized it as; a problem happened at local scale, world scale, not a problem anywhere and they were early to recognize the concept of spatial climate change respectively. Therefore, based on the results discussed, majority of the respondents of the study area had awareness about climate but, the extent of their awareness about it was little. In addition, even though majority of the respondents had awareness on the concept of climate change, their understanding on the spatial scale of climate change was limited to the local scale. In regard with the impacts that forests had on climate change in the study area, it was necessary to made continuous follow up of local communities‟ actions in the Yayo Coffee Forest use and management.

The Role of Local Institutions in Yayo Coffee Forest Management

Table 4.7: awareness about climate change and its concept

Variables and their Attributes Frequency Percentage Yes, aware about it 91 66.9 Awareness about climate No, don`t aware about it 45 33.1 change Total 136 100 Little about it 61 44.85 The extent of awareness More about it 24 17.65 about climate Detail about it 6 4.41 Short term fluctuations of rainfall and 42 30.88 temperature Awareness about Drought 12 8.82 concept of the phrase Deforestations 7 5.15 climate change Changes in the average weather conditions 30 22.05 over extended periods Problem happened at local scale 33 24.26 Awareness about the Problem happened at world scale 30 22.05 spatial scale of climate Not a problem at anywhere 9 6.62 change Early to recognize it as a problem 19 13.97 Source: Compiled from household survey result, Feb, 2018

As indicated in the (table 4.8) below, the major impacts that small landholding size has on the local institutions constraining its performance in the management activities of coffee forest in the study area are: decreasing the motivation of local communities towards coffee forest management activities (31.6%), forcing the local communities to expand farmland (37.5%) and decreasing the involvement of the local communities in decision making process of local institutions in the management of coffee forest (30.9%). This implies that, besides other factors, small landholding size of the respondents had an impact on the local institutions in the coffee forest management activities in the study area.

The Role of Local Institutions in Yayo Coffee Forest Management

Table 4. 8: Responses on the Impacts of Small Landholding Size

Responses frequency percent

Decrease motivation of the local communities 43 31.6

Force the local communities to expand farmland 51 37. 5

42 30.9 Decrease the involvement of the local communities in decision making

Total 136 100

Source: compiled from household survey result, Feb, 2018.

In addition to this, an interview respondent from Wabo Kebele Agriculture Development expert (name withheld), explained the illness of small landholding size as constraining factor for local institutions in the management activities of coffee forest in that area as follow;

“I am sure that if people have enough land for producing enough food for their family consumption, the problem of forest dependence and extraction decline and thus the forest management activities will be promoted. People make the forest land their mainstay because they have no ample land even during the farming season and such conditions are becoming an obstacle to achieve the forest management objectives of the local institutions since the forest users are not in a position to minimize their interest of encroaching into the forest land,”(March 15,2018).

4.2.2 Insecurity of Property Rights

Insecurity of property rights to use and manage coffee forest resource in the study area was one of the major challenges hindering the activities of the local institutions in the management of the resource. The major impacts of lack of property rights to use and manage coffee forest identified in the study area were indicated in the table 4.9 below. As can be understood from the table 4.9, greater proportions (26.5%) of the respondents reported that lack of property rights decreased the rule enforcement by the local communities towards the management of the coffee forest. The results of interview

The Role of Local Institutions in Yayo Coffee Forest Management respondents revealed that, even though, use of different forest resources from the core zone is legally prohibited, it is categorized as an open access use right customarily in which resources such as spices, coffee and honey is extracted for both personal use and market. It is possible to understand the impacts of other variables from the table.

Table 4. 9: respondents‟ responses on the major impacts of lack of property rights

Responses frequencies percent

Creates consideration of the resource as someone 27 19.9 else resource

Arises conflict between communities and forest 24 17.6 management bodies

Decrease the responsibility of local communities 29 21.3

Decrease the participation level of the local 20 14.7 communities

Decrease the rule enforcement by the local 36 26.5 communities

Total 136 100

Source: compiled from household survey result, Feb, 2018

Similarly, the result of interview with one of the experts from Environmental Protection and Climate Change Authority of the woreda revealed that the local communities living adjacent to the forest are illegally use some of the forest products such as fuel wood, construction materials like crippers, timber woods, different types of spices and forest coffee without considering the management of the forest mainly due to restrictions made to their use and management of the coffee forest. The qualitative data gained from focus group discussions showed that although it is subjected to preconditions (permissions from the kebele administrations for instance), local communities in the study area have special use right of forest products and resources from their own plots of the buffer zone. But, still the local communities are only given use right of forest resources, especially forest coffee with minimal management activities such as cutting undergrowth shrubs to maximize their yield yet they are not allowed to cut and manage big trees which served as a shade for the coffee as discussants explained.

Moreover, the result of focus group discussions and personal observations made showed that plot owners from the buffer zone do not possess the right to extract large quantities of

The Role of Local Institutions in Yayo Coffee Forest Management forest products beyond their personal use. This condition of limited use right of forest resource causes conflict between the forest users (local communities) and the forest resources. Thus, it is possible to understand that the local forest users consider the legal restriction for forest product use as illegal unless the communities are equipped with adequate and reasonable awareness by the management committees and other concerned bodies.

Property rights provide confidence that the holder of the rights will secure the future benefits of investment and careful management and accept the losses incurred by misuse of the resources (Andinet, 2010). The same author stated that property rights to use and manage the resources in general and forests in particular were one of institutional measures that had an impact on resource conservation and degradation. With regard to the property rights to use and manage coffee forest in the study area, an interviewed expert from Environmental Protection and Climate Change Authority of the woreda (name withheld) (April, 2018), explained the conditions of lack of property rights as follow;

“I had worked in the Non-Governmental Organizations (NGO) that are targeted their activities towards the natural resources management in general and forests in particular for more than five years. During that time what the local communities were claiming for was the traditional (customary) rights of forest use and management. Similarly, nowadays they were also just claiming for the same rights. I argued that the traditional use rights are better for the management of the forest because just as the local communities are holding both the rights and responsibilities for using and managing the coffee forest. But, in the current situation of use and management rights of the coffee forest resource in the study area which is restricted use and management rights, the local communities are considering themselves as strange for the resource those who hadn‟t the right and responsibility of using and managing that resource. In this case, I said that the condition of the coffee forest management is better in the customary rights of use and manage the coffee forest in the study area than that of the current Yayo coffee forest governing rules.”

In support of the above explanations regarding the use rights of the local community, Articles 10(3) and 10(4) of the forest proclamation (cited in Andinet, 2010) address the needs of local Communities as follow:

The Role of Local Institutions in Yayo Coffee Forest Management

„…the local community may obtain grasses, collect fallen woods and utilize herbs from a state forest in conformity with the management plan developed for the forest by the appropriate regional body‟ and „…the harvesting of forest products, grass and fruit as well as the keeping of beehives in state forests may be permitted based on the objective realities of the locality (cited in Zewdie, 2009).‟

However, as explained by focus group discussants and researcher‟s personal observations made, none of the above rights are legally given to the local community in the study area due to lack of awareness from the forest management boards and inability to develop sound forest management plan. This remained the major threat for the life of the people who are dependent on the forest for coffee production and other sources of their livelihood activities. Therefore, it is possible to state that insecurity of property rights to use and manage coffee forest in the study area was affecting the motivation of the local communities towards the management of the resource. This statement was confirmed by the result of the respondents presented in the table 4.10. Accordingly, greater proportions (78.68%) of the respondents asserted that lack of property rights of coffee forest use and management negatively affecting the motivation of the household heads respondents for managing the resource in the study area. The result revealed that insecurity of property rights for using and managing the coffee forest in the study area was considered as the major obstacle affecting the motives of the local communities to actively take part in the management efforts of the resource.

The Role of Local Institutions in Yayo Coffee Forest Management

Table 4.10: responses on the negative impact of lack of property rights

Variable Responses Frequencies Percent

Insecurity of property rights of Strongly agree 45 33.09 coffee forest use and management negatively affects Agree 62 45.59 your motives of managing the resource. Disagree 27 19.85 Strongly disagree 2 1.47

Total 136 100

Source: compiled from household survey result, Feb, 2018

4.2.3 Distance from the Coffee Forest

The settlement patterns of the sampled household heads in the three study areas is found in almost at equal distance from the coffee forest area as indicated in table 4.8 below. As far as the distance of the three study kebeles from the coffee forest is considered, as presented in the table 4.11 below, the three study sites were found at nearly equal distances to the coffee forest. Thus, it was possible to understand that the population of the three study areas equally affected the management (protection) of the resource or causing forest destruction. Although the Institute of Biodiversity Conservation (2006) stated that People living close to forest areas have rich cultural assets or their own institutions that affect the use and management of the resource, the result of the study revealed that communities living very close to the coffee forest negatively affects the management of the forest. Accordingly, this study confirmed with the study of Gunatilake (1998) that stated proximity to the forest has an effect on natural resource management, hence those who were close to the forest rely more on natural resource than those far from it.

Table 4.11: Approximate distance between the study sites and the coffee forest

Study kebeles approximate distances (in kilometers)

Achibo 5

Witate 7

Wabo 4

Source: Sampled kebele administration offices, Jan, 2018.

The Role of Local Institutions in Yayo Coffee Forest Management

As can be seen from table 4.12 below, majority (44.83%) of the respondents responded that they were visiting (making contact with the coffee forest) twice a day for different purposes. About 75% of the respondents were responded that the distance between coffee forest and resident‟s area of respondents affected the management activities of coffee forest in the study area. From the result presented in the table 4.12, greater proportions (48.52%) of the respondents stated that the distance between coffee forest and resident area was negatively affecting coffee forest management in the study area.

As the communities were very close to the forest, they could contribute more towards the management of the forest or accelerate forest disturbance whereas far distant settlers considered the resource management time consuming and energy demanding activity or had less opportunity to interfere with the resource (Andinet, 2010). Thus, from this statement and the responses of respondents discussed above, it was possible to state that the distance that human settlement had from the coffee forest contributed to the management of coffee forest in the study area. In this sense, the result of the study showed that the shorter the distance to the coffee forest, the more frequent that the local communities were visiting the resource per a day either for carrying out management activities or causing destruction.

Table 4.12: the frequency of visiting coffee forest and its impacts

Responses frequency percent Once a day 33 24.3 Twice a day 61 44.83 More than two times a day 42 30.88 Total 136 100 distance affects the Responses frequency percent management of coffee forest Yes 102 75 No 34 25 Total 136 100 ways that distance affects Positively 45 33.1 coffee forest management Negatively 66 48.52 Neutral 25 18.38 Total 136 100

Source: compiled from household survey result, Feb, 2018

The Role of Local Institutions in Yayo Coffee Forest Management

4.3 Attributes of the Community and Coffee Forest

This section of data analysis deals with an investigation of characteristics of the local community and coffee forest resource that affect the management activities of coffee forest in the study area. Accordingly, the major characteristics of local communities and coffee forest potentially affecting the management of coffee forest identified by data collected from different sources are group size or family size, income of the community, homogeneity/heterogeneity of resource users, dependences on the resource, knowledge about the resource, type of resource use.

4.3.1 Income and Coffee Forest Management

As can be seen from table 4.13 below, majority of the respondents‟ income level was found between 10,000 and 20,000 and the least were found between 40,000 and 50,000. Regarding the impact of income level on the management of coffee forest in the study area, about 57.35% of the respondents responded that the income level of the community affected the management of coffee forest in the study area as shown in the table 4.13 In line with this, the result of focus group discussions indicated that the local communities were encroaching into the coffee forest mainly for earning of money by selling forest products like charcoal, fuel woods, timber and different spices collected from the forest. The finding of the study showed that the income level of the local communities was affecting the management of coffee forest.

Table 4.13: Income level (in Eth. Birr) and its impacts on coffee forest management

Responses and on income level Frequency Percent <10,000 15 11.0 10,000-20,000 52 38.2

20,000-30,000 15 11.0 30,000-40,000 44 32.4 40,000-50,000 10 7.4 Total 136 100.0 income affects Responses management of YES 78 57.35 coffee forest NO 58 42.65

Total 136 100

Source: compiled from household survey result, Feb, 2018

The Role of Local Institutions in Yayo Coffee Forest Management

In addition, the low level of income of local communities had an effect on the behavior of participation of the communities in the management activities of coffee forest, indicated in the table 4.14 below. This was mainly because, as indicated in the table 4.14, about 53.67% of the respondents were responded that they were strongly agreed with the negative effect of low income level on their participation in the management of coffee forest. The other factor affecting coffee was large family size as discussed under the demographic characteristics section of this chapter.

Additionally, as indicated in the table 4.14 below, greater proportions (58.82%) of the respondents responded that having large family size affected the management of coffee forest. The result implied that large family size was negatively affected coffee forest management activities. Similarly, the result of interview informants and focus group discussions affirmed that individuals having large family size required more land either for farming or coffee production provided that landholding size of the local farmers was low as indicated in the table 4.5.

Table 4.14: impacts of low income and large family size

Variables Responses Frequencies Percent

Strongly agree 80 58.82 Large family size negatively affects the management of coffee forest. Agree 41 30.15 Disagree 13 9.56

Strongly disagree 2 1.47 Total 136 100

Low level of income is negatively Strongly agree 73 53.67 affecting community participation Agree 52 38.24 Disagree 10 7.36 Strongly disagree 1 0.73 Total 136 100

Source: compiled from household survey result, Feb, 2018

As it can be seen from the Figure (4.1) below, the severity of large family size on the management of the coffee forest, according to the responses of the household heads respondents (i.e. Respondents responses as „Strongly agree‟ on the negative impact of large family size in the management of coffee forest) about 59% is severe. Some of the respondents (responded as „Agree‟ on negative impact of large family size in the

The Role of Local Institutions in Yayo Coffee Forest Management management of coffee forest) (30%) responded as if large family size is high whereas only (10%) and 1%) of respondents responded the severity of large family size is medium and low respectively. Others can be understood seeing the Figure 4.1

40 Severe High 30 Medium

20 Low

0 Large family size Low level of income Insecurity of property rights

Figure 4 1: severity of three factors affecting local institutions among others

Source: computed based on the household survey data, Feb, 2018

4.3.2 Heterogeneity of the Community and Coffee Forest Management

As described under the demographic characteristics section of this chapter, the communities of the study area were heterogeneous in terms of religion, ethnicity, age, sex and educational status. Accordingly, as can be understood from table 4.15 below, more than half of the respondents responded that the presence of diversity among the local communities affected the management of coffee forest in the study area.

Similarly, the result of key informants‟ interview showed that heterogeneity among the local communities particularly in terms of ethnic and educational backgrounds created diverse understanding and valuing of the resource and hence affected the activities towards the management of coffee forest. Attributes of the community embracing generally accepted norms of behavior; the level of common understanding about action arenas and the degree to which the preferences were homogenous could potentially affect the interactions in the

The Role of Local Institutions in Yayo Coffee Forest Management action arena and outcome (Ostrom, 1994). The same author described the impacts of diversity of local communities in the management of forest by explaining as: when users of a common-pool resources shared a common set of values and worked together with one another, the probabilities of developing adequate rules and norms to govern resources were much greater while if users of a resource came from many different communities and were suspicious of one another, the task of devising and sustaining effective rules was substantially more difficult. In this case, the finding of the study was contrasted with the study of Andinet (2010) at Yayo Forest that stated heterogeneity in terms of ethnicity and religion had no impact on individuals‟ behavior for collective action to manage forest resources.

Table 4.15: Responses on the impact of heterogeneity in coffee forest management

Item Responses frequency percent heterogeneity affected Yes 87 64 management of coffee forest NO 49 36

Total 136 100

Source: compiled from household survey result, Feb, 2018

4.3.3 Dependence on Coffee Forest

The local communities living in the study area were highly dependent on coffee forest resource for many purposes as shown in table 4.16 below. Among others, they depended on the coffee forest resource mainly for the collection of wild coffee (forest coffee), extraction of construction materials, collection of fuel wood, collection of different spices and for beekeeping (for honey production as shown in table 4. 16. From this table, the total numbers (354) of the respondents exceeded the sampled respondents (136) because there were double responses for some attributes of coffee forest resource for which the local communities were depending.

As can be understood from table 4.16, majority of the respondents (86%) responded that local communities in the study area were depending on the coffee forest resource mainly for collection of wild coffee. This implied that the livelihoods of majority of the local communities were based on the product of coffee collected from the forest. Other reasons for coffee forest dependences can be seen from table 4.16 below. Consequently, the

The Role of Local Institutions in Yayo Coffee Forest Management qualitative data obtained through key informant interviews and focus group discussions confirmed that the livelihoods of the local communities in the study area depended directly or indirectly on the Yayo Coffee Forest for their livelihoods. The finding of the study supported the study by Tadesse (2003) that identified forests are not only just the sources of food, fuel wood, timber, construction wood and the like, but for some communities they were important resources that served for their spiritual life which influenced the way they managed the forest.

In addition, the same author described that depending on the cultural background and the management targets, local communities in different parts of the world had developed different indigenous management practices and perceptions of forests. Accordingly, as described by elderly interviewed respondents, the local communities in the study area had their own management practices which include several activities such as conserving some areas of forest, planting necessary species, introducing new species, eliminating opposing species, withdrawing the dried trees to protect the forest from fire and stimulating fruit production. An elderly individual person (name withheld) from Witate kebele had the following to say on the overall dependences on the Yayo Coffee Forest and the management practices of the local communities in the area:

“I am 64 years old. I had plots of land in the coffee forest that used to produce coffee in order to carry out my livelihood and of my family. Even though our dependences on the coffee forest seem solely to fulfill our basic needs, it has dual purposes. To produce coffee and other productions from the forest, we are also working in the management of the forest by planting and protecting shade trees as if it provide moisture and being shadow for the undergrowth coffee plants. In this case, the local communities and forests have strong link. The local communities have long lasted experience on how to use and manage the coffee forest.”

The Role of Local Institutions in Yayo Coffee Forest Management

Table 4.16: responses on dependence on coffee forest and reasons Items Responses Frequency Percent Do you depend on coffee Yes 122 90 forest? No 14 10 Total 136 100

Collection of wild coffee 117 86 Reason of depending on coffee forest House construction materials 35 25 For fuel wood collection 21 15 Collection of different spices 87 63 For beekeeping 94 69 Total 354 100

Source: compiled from household survey result, Feb, 2018

4.3.4 Knowledge of the Community and Coffee Forest Management

As indicated in the table 4.17, the local communities in the study area had awareness about the use and management of coffee forest obtained from different sources like media, local institutions via training and through experiences. From table 4.17, it can be understood that majority of the respondents (57%) responded they had awareness about coffee forest management activities. Whereas, (43%) of the respondents responded they hadn‟t awareness on the management of coffee forest. This implied that even though greater proportions had awareness about Coffee Forest management in the study area still it can be assumed that there was lack of awareness. Nevertheless, those respondents that had awareness on the management of coffee forest were not obtained via formal means such as training and others rather they acknowledged from their experiences of interaction with the resource as indicated in the table 4.17.

Therefore, from the above discussions, it was possible to say that the knowledge of local communities about the resource was one characteristic of communities affected the use and management of Yayo Coffee Forest. In this regard, Norgaard (1994) stated that the resource use and management was often the product of thousands of human history. This indicated that there was the connection between local community knowledge and experience that together contributed to the management of Coffee Forest in the study area.

The Role of Local Institutions in Yayo Coffee Forest Management

Table 4.17: responses on the awareness about coffee forest management Items Responses Frequency percent awareness about coffee forest Yes 77 57 management NO 59 43 Total 136 100 sources of awareness on the coffee media 21 15 forest management training 46 34 Experiences 69 51 Total 136 100

Source: compiled from household survey result, Feb, 2018

4.4 The Role of Local Institutions in Coffee Forest Management

Before starting to deal with the roles of local institutions in the management of Yayo coffee forest, it is seemingly important to investigate the presence, types and connections of local institutions actively involving in the management activities of coffee forest in the study area.

4.4.1 The presence, Types and Connections of Local Institutions

There were both formal and informal institutions working in the management of Yayo Coffee Forest indicated in the table 4.18 below. Out of the total respondents (136), 136 (100%) of respondents responded that there were both formal and informal local institutions involved in the Management of Yayo Coffee Forest. Regarding the connections between formal and informal institutions, as indicated in the table 4.18, there were minimal or weak connections between them towards the management of Yayo Coffee Forest.

Table 4.18 showed that greater proportions (56.62%) of the respondents responded that there were no connections between the formal and informal institutions. Local institutions and their connections on forest management conditions were the intense focus of research by scholars of forest-based commons from the very beginning of research on the commons (Koontz (2003). Locally devised institutions were easy to be understood, enforced and took into account differences in types of violations and hence help to deal with conflict management and therefore officials were accountable for effective governance of the forest resource (Agrawal 2007). The finding of the study confirmed with the study of Mellese (2005) at Sheka Forest of Southwestern Ethiopia that stated due to lack of coordination

The Role of Local Institutions in Yayo Coffee Forest Management

among various institutions among other factors, the forest of that area was suffering from severe degradation.

Table 4.18: the presence, types and connections of local institutions Items Responses Frequency percent Presence of local institutions YES 136 100 NO - - Total 136 100 Formal - - types of local institutions Informal - - Both 136 100 Total 136 100 Presence of connections between YES 59 43.38 institutions NO 77 56.62 Total 136 100

Source: compiled from household survey result, Feb, 2018

In addition, the respondents‟ survey result indicated in the table 4.19 below showed that the connections between formal and informal local institutions had a significant role in the management of Yayo Coffee Forest. However, as discussed in the table 4.18 above, the connections between these institutions was assumed weak. Therefore, it was possible to suggest that due to lack of connections between formal and informal institutions towards the management of Yayo Coffee Forest, the roles that local institutions had to play in bringing desirable change were not sufficient. As can be confirmed from table 4.19, majority of the respondents (76.47%) strongly agreed with the roles played by the local institutions if there were the presence of connections between formal and informal local institutions towards the management of Yayo Coffee Forest.

The Role of Local Institutions in Yayo Coffee Forest Management

Table 4.19: responses on the connections between institutions and its roles Item Responses frequency percent Presence of connections Strongly agree 104 76.47 between institutions play Agree 32 23.53 significant role in the Disagree 0 0 management of coffee Strongly disagree 0 0 forest

Total 136 100

Source: compiled from household survey result, Feb, 2018

4.4.2 The Roles of Formal Institutions in Coffee Forest Management

The major formal institutions in the study area that were engaged in coffee forest use and management identified by survey questionnaires include: Yayo Woreda Administration, Yayo Woreda Agriculture and Rural Development office, Yayo Woreda Police office, Yayo Woreda Justice office, Yayo Woreda Peace and Administration office, Yayo Woreda Culture and Tourism office, Gaba-Dogi Forest Coffee Conservation Project (but now, faced out upon the completion of its contract) and Kebele Administration.

Although the above institutions had played role in the use and management of coffee forest in the study area, as explained by the leader of (name withheld) Agricultural and Rural Development Office of Yayo Woreda; Yayo Woreda Administration, Yayo Woreda Agriculture and Rural Development Office, Yayo Woreda Police Office and Kebele Administrations were actively involved in the management of Yayo Coffee Forest. This didn‟t mean that other institutions had no contribution in the management of Yayo Coffee Forest rather it was to mean that active and directly responsible institutions as he explained. Accordingly, the aforementioned formal local institutions were involved in the activities geared towards the management of coffee forest in the study area by awareness creation (providing training for the local community among others) for the local communities about the use and management of Yayo Coffee Forest. An interview respondent from YWARDO described the activities of these institutions in the management of Yayo Coffee Forest were an interactive.

They carried out collective and interactive coordination under forest management boards, in which the woreda administrator (leader) was the chairman of the board (taken from written document plan prepared for training the concerned bodies on forest management, April,

The Role of Local Institutions in Yayo Coffee Forest Management

2018). The same source indicated that the woreda administration engaged in facilitating and controlling the activities of each institution established under the board of forest management and provide logistics for different stakeholders. According to the key informant‟s interview result from ARDO, based on regular forest monitoring activities undertaken by the institutions involved in the management of the forest, periodical reports (quarterly in most cases) about the forest condition was continually made to the woreda administration office.

Consequently, discussions (mostly called „forest auditing‟) depending on the result presented on the report from the concerned institutions involved in the management of the forest. As far as the formal local institutions contributed in the management of Yayo Coffee Forest identified by the study was concerned, it was better to separately investigate the major roles they played in the management of Yayo Coffee Forest as discussed below.

4.4.2.1 Yayo Woreda Agriculture and Rural Development Office

The main tasks performed by YWARDO, as explained by FGD participants were monitoring and distributing indigenous tree species to the local communities. In addition, decisions regarding the rights to access to some forest products such as timber production were approved by this institution based on application presented by the community via kebele administration. As expressed by interview informants‟ forest coffee harvesting time, the equipment used and method of collecting coffee berries, processing method such as drying and packing material and marketing time were regulated and monitored by YWARDO. Similarly, the result of interview respondents from CIPO indicated that the role of YWARDO in the management of Yayo Coffee Forest was multidimensional and all inclusive because of their direct participation with other departments and also responsible to brought cases concerning rule breakers to the woreda court. From this, it was possible to suggest that the role that YWARDO played in the activities of Yayo Coffee Forest management was considered as important to brought change.

4.4.2.2 Yayo Woreda Police Office

YWPO was also one of the formal institutions at local level actively participated in the use and management of the coffee forest in the study area. The main role of the police office was bringing the rule breakers (forest destructors) to justice office upon request from other

The Role of Local Institutions in Yayo Coffee Forest Management local institutions working in the management of the forest. The key informants from the woreda police office elaborated that, the woreda police office participated in creating awareness among farmers about the existing rules and regulations regarding forest use and management before taking measures of bringing rule breakers to the justice office.

However, the result of key interview respondents showed that monitoring and managing the coffee forest was difficult due to: lack of strong and objective coffee forest management project, specifically after the faced out of Gaba Dogi Coffee Forest Conservation project, lack of clear boundary separating the buffer and transitional zones of the forest in some part of the forest, large size of the forest, the poor coordination among the formal and informal institutions, lack of property rights to access and withdraw forest coffee from buffer region of the forest. In contrast to this, the key-informants from the police office stated that the local institutions together with local community members had developed awareness about forest resources use and management rules.

Before faced out its contract, the cooperation towards coffee forest management among stakeholders was achieved by Gaba-Dogi Forest Coffee Conservation Project. As explained by expert interview (name withheld) from Yayo Coffee Improvement Project Office, mainly after the faced out of the Gaba-Dogi Forest Coffee Conservation Project; the activities towards awareness creation and provision of training for the local institutions in the management of the coffee forest. Researcher personal observations made towards the sites of the Coffee Forest Conservation confirmed that there were shelters and notice boards (tapela) stood there without guard. That means, there was guard‟s house in the Dogi forest (portion of yayo forest) around the Dogi River, but no one was present in that house as indicated by Figure 4.2 below.

This implied that the house stood without playing role in the management of Yayo Coffee Forest. From this, it was easy to understand that the management sites and organs were not contribute significant role in the management of the forest mainly due to lack of commitment and coordination among local institutions established for the purpose of managing the forest. Therefore, the institutions established for the purpose of forest management especially regarding the protected forest area in the study area are not sufficiently promote the objective of the project (Gaba Dogi Coffee Forest Conservation), which has faced out in the near past, towards the management of the coffee forest.

The Role of Local Institutions in Yayo Coffee Forest Management

Regarding the projects of the coffee forest management, as interview respondent from the office of Environmental Conservation and Climate Change Authority of the woreda explained, after the facing out of the Gaba-Dogi Coffee Forest Conservation Project, still no proper and independent project for the management of the coffee forest is arriving in the area with purposeful and strong goal towards the management of the forest.

4.4.2.3 Yayo Woreda Administration

Yayo Woreda Administration engaged in facilitating and controlling the activities of each institution engaged in forest use and management and also provides logistic to different stakeholders. The forest management tasks are performed by the forest management committee established at the woreda level (known as Forest management Boards) and leaded by the woreda administrator. According to the key informant from the woreda office, based on regular forest management activities undertaken by the active forest management institutions quarterly report about the forest condition is always made to the woreda council in the presence of woreda administrator. The main roles (tasks) of the Forest management boards of the woreda include as described by interview informant of woreda leader: Responsible to evaluate the achievements of forest management technical committee established at the woreda level regarding activities performed in the management of the coffee forest, Seeking solution for the problems rose concerning the boundary of the forest in collaboration with the Forestry and Wildlife Institution of the zone, Responsible to create alternative job opportunity for those local people whose livelihood depends on the forest and forest product.

The major roles (tasks) of the Technical Committee of the woreda include assisting (providing support) for the planning of participatory forest management in the proper management of the forest, making selection of the forest destructors (rule breakers) and identify those cases that are discussed and solved at council of elders (jaarsummaa) and those must brought to the court for judgment, creating alternative sources of income for people whose livelihoods depends on the forest and providing opportunities for people depending on forests to organize in micro-institutions and create job opportunity.

4.4.2.4 Kebele Administration Office

The kebele administration was the state-initiated local institutional framework through which governmental policies ought to be implemented „on the ground.‟ With regard to the

The Role of Local Institutions in Yayo Coffee Forest Management forest use and management, as explained by interview respondent of Achibo kebele leader; the kebele administration was vested with the authority to apply communal rules; hence just the rules and regulations intended to guide activities of forest resource management were its area of responsibility. In addition, the key informant interview result of the kebele manager and focus group discussions clarified that the activities of the kebele administration were monitoring and approving of forest users‟ activities in the Yayo Coffee Forest. The same respondents explained that the activities of the kebele administration office was mainly based on provision of permission for the forest users to wisely extract forest types like crippers and old trees for the purpose of regenerating the tree species. However, the rule enforcement by kebele administration was not fully exercised due to the challenges like lack of accurate boundary of the demarcated forest as protected area as they explained.

The main roles (tasks) of the kebele administration regarding the coffee forest management activities in the study area as explained by the kebele administrators include preparing plan for the conservation and management of natural resources in general and forests in particular as well as making assessment regarding the proper implementation of the plan, identifying and reporting the size (number) of the local people whose livelihood depends on the forest products such as the sale of firewood, sale of construction materials like crippers, extraction and sale of charcoal, timber producers and sellers and the number of swills for logging trees etc. and following the proper implementation of the Participatory Forest Management planning established at the kebele level.

The Role of Local Institutions in Yayo Coffee Forest Management

Figure 4.2: Yayo coffee forest conservation site

Photo by the investigator during field observation, April, 2018

4.4.3 The Roles of Informal Institutions in Coffee Forest Management

The rules and regulations governing the community of a given locality which were emanated from informal institutions (indigenous institutions) form a portion of the livelihoods aspects of that community. That is why the study by North (1998) identified informal institutions are those institutions humanly developed constraints and build human interactions. According to North, institutions are made up of formal constraints (rules, laws, and constitutions), informal constraints (norms of behavior, conventions, and self- imposed code of conducts) and their enforcement characteristics.

Informal institutions have paramount significance in the livelihood of the rural communities living in and adjacent to the coffee forest. The rules, regulations, strategies and codes of conduct which constitute informal institutions can reflect the potential interaction of the local community with the coffee forest and other natural resources surrounding the community. The customary or informal institutions identified in the study area include among others;

The Role of Local Institutions in Yayo Coffee Forest Management

4.4.3.1 Gada Institution

Elderly informants of the study area indicated that the local communities specifically the Oromo people have been governed themselves by the rules and regulations of the Gada system for centuries. The Gada system has its own rules and regulations regarding the natural resources management and use. However, as described by some of the known elderly informants it was abolished for more than one century due to the political interference from the government bodies of that time. Nowadays, before five years ago, the people of Oromo in the study area regain their Gada system (known as „salge yayo‟) and officially recognize it (informed by one elderly man residing in Witate kebele).

The Gada system of the area has been drafted and sanctioned its rules of government regarding all aspects of the society at a historical place known as „Bake Aba Alanga or „Dire Aba Alanga‟ (Ato Miressa Geissa, YWCTO expert, April, 2018). As informed by him, this historical place was first established during the rule of Chali Shono or Aba Bor. Chali Shono, after completing his task of territorial expansion, started to measure the distances from the most peripheral limits to get a more central location for exercising the Gada government at an area accessible to all locations. Accordingly, as informed by interview of elderly persons of the area, using the back of his horse, Bora, he measure the distances from the four directions as from east starting from river Tachi, from the west starting from small Baro river, from the north starting from river Didesa and from the south starting from mountain Timba, he got Dire Aba Alanga as the center for all locations. At Dire Aba Alanga, the Oromo of the study area are still practicing the Gada system of government and they respect and protect the area as historical place where the Gada rule is exercised, taking and giving Gada power take place here.

Therefore, having its center at Dire Aba Alanga, the Gada system is playing a very crucial role in the natural resource management in general and forests in particular in the study area. As informed by the known elders of the area and Aba Gada of the study area, for the time when they lost their traditional system of government (democratic and fair system of ruling as they asserted), the local communities in the area fell under the threat of invasion by the external bodies in all aspects of their life. Adding to this they also raised that losing their self-governing authority in the Gada system caused the community to consider themselves as the second citizen who have simply the right to obey the rules and regulations

The Role of Local Institutions in Yayo Coffee Forest Management imposed externally and thus they lost the responsibility that the Gada system enforce them regarding natural resource management and forests of their locality.

Figure 4.3: Dirre Aba Alanga, Center for Gada Rule Enforcement of Salgan Ilu

Photo by the Researcher during Field Observation, April, 2018.

4.4.3.2 Iddir (Afooshaa)

Idir (Afoosha) is the local social organization formed by the consent of local people residing in the same village or sub-village (formed among the neighbor people in that locality). An interview informant from the leader of Iddir described that there are about three to five afooshas in a village usually based on the number of residents in that locality and social relations among those residents. That is, every person has the right to form membership with the afooshaa groups mainly on the basis of neighborhood as well as the degree of interconnection between the members. Within a single afoosha, there are about 30 to 40 individual members. As any other social organizations, this local organization has an essential role for the implementation of different social, cultural and economic activities in that specific area. Although relationship system was not the criteria to be a member of an afoosha, individuals in the same afoosha are usually from the same kin groups either related by blood or social constructions.

It is common for one kin group to be dominant in the organization, and the decision- making committee of the afoosha is chosen from this dominant group. However, as explained by informant interview from leaders of afoosha, while the social organizers of

The Role of Local Institutions in Yayo Coffee Forest Management afoosha are selected from the dominant groups of the members, individual potentials of social capital and acceptance are the major criteria employed in electing them. Every members of this local institution contributes money in cash as per agreement among the members. The contribution is usually carried out at the end of each month. Through these trends, they accumulate and save money that may be used in time of hardships. Moreover, afoosha institutions are important in controlling social misbehaving such as disloyalty and talk, performing funeral ceremony in cooperation with abbaa lagaa, and preventing conflict among individual/group members.

Although there are formal rules and regulations governing a given community, they are more obedience to the rules and regulations that created by themselves like the rules and regulations of afoosha. This implies that afoosha plays a significant role in determining and shaping the community towards doing corrective actions. In this regard, Zenger and Olin (2001) argued that informal institutions are, being in most part socially constructed, understood and enforced as rules based on inherent understandings and therefore not accessible through written documents or necessarily approved through formal positions.

4.4.3.3 Religious Institutions

Religious institutions have a major role in conserving and strengthening compliance to rules regarding natural resources management like coffee forest. For effective use and management of natural resources like forest, understanding the beliefs, cultures and perceptions of community concerning the resources is paramount important (Andinet, 2010). According to informants‟ interview and focus group discussants, although it is difficult to make a clear boundary between the roles of the major religious institutions in enforcing agreement with the rules of informal and formal institutions, they have a paramount significance. The values within Christian and Muslim traditions improve and sometimes strongly advocate for the acceptance of the decision of council of elders and generally accepted rules of conduct among the local community as stated by the informants. The role that religious institutions play in natural resource management is mainly indirect (Pankhurst, 2003). As explained by the respondents of interview and focus group discussions, religious institutions are very powerful in shaping human behavior for collective action, serving as both constraining and enabling structures. This indicates that religious institutions are acting as either enforcing or constraining agents in changing the

The Role of Local Institutions in Yayo Coffee Forest Management behavior of the local community. Tadesse (2003) argued that some communities are managing forests not only for subsistence, but also for their spiritual life.

The Finding of the study was confirmed with the study by Zewdie (2009) that stated traditional religions (beliefs), mainly in rural areas, serve as a base for the compliance of the majority of the rules and punishments of many indigenous institutions. From this, it can be understood that the way the rules of indigenous institutions were enacted and implemented to certain extent based on the traditional belief system and the indigenous knowledge of the local community.

As indicated by interview respondents as well, for instance, cursing (abaarsa) and swearing (kakuu) involved in various practices and applied in identifying and exposing rule breakers or those who violated rules of indigenous institutions were still considered part of traditional belief system. However, as explained by focus group discussants, religious institutions (traditional belief system) of the community of the study area were come to fall under the influence of government-oriented formal local institutions and interfered by external socio- cultural and economic practices that reduced the power as well as the value of these religious institutions. The result of the study affirmed with the study of Blom (2000) in Mozambique that indicated traditional leaders including religious institutions were found to be important institutions with responsibilities such as land allocation, conflict resolution and mediation activities.

4.4.3.4 Dabo

Dabo, as explained by participants of FGD, was an unpaid self-help association where members of the community participated in various callings in most cases for agricultural harvest collection including forest coffee in the study area. It was organized to perform various activities which include farming, spreading, sorting, house construction and clearing forest undergrowth for coffee production as elderly respondents of interview described.

The same respondents pointed out that dabo had a role in the use and management of Yayo Coffee Forest. This was mainly in that, as interview respondents explained, Dabo accomplished its direct participation in forest coffee production activities such as clearing the undergrowth, digging, thinning, planting seedlings, collecting and transporting coffee. The results of Focus Group Discussions elaborated that Dabo served as an informal local

The Role of Local Institutions in Yayo Coffee Forest Management organization with which the local communities form strong connections. The same respondents explained that information transmission from formal local institutions such as YWARDO, YWAO and Kebele Administration took place through dabo institution.

Therefore, it was possible to suggest that dabo initiated the communication between formal institutions and the local communities. In contrast, Yeraswork (2010) stated that Dabo achieved a short term plan that didn‟t last for more than an agricultural season that forced to argue that, it would be wishful thinking to pin any hopes of the management of long-term organizations such as that of hillside tree plantations. The FGD participants and key informants interview result asserted that dabo was purposefully organized informal institution and perform indirect activities towards Yayo Coffee Forest management. Therefore, with regard to role that dabo played in the use and management of coffee forest in the study area was acting as enabling and means of controlling activities towards coffee forest use and management. This implied that it could function as ways of initiation and produced fear of working against rules of governing Yayo Coffee Forest.

4.4.3.5 Council of Elders (Jaarsummaa)

The council of elders was an assembly of known elderly individuals highly respected and acceptable among the local community as elderly interviewed respondents described. The same respondents explained that the council of elders were called or assembled at a condition when things went wrong in the day-to-day activities of individuals living within a given community. They stated that it was considered as a practical organization to initiate the society for positive or negative consequences. Consequently, most of the time the contribution of council of elders was positive and usually involved in problem solving processes in the community such as conflict resolution (Andinet, 2010).

The FGD discussants argued that when disagreement among individuals with in a family, neighborhood or a local community occurred over resource use and other cases; local elders were primarily involved in resolving the cases either by themselves or through arranging mediators. The respondents explained that the council of elders (jaarsummaa) had been playing a fundamental role in solving disagreement between members of the community and government. This implied that the council of elders had the power of changing the behavior of local community either by taking corrective measures such as punishing the wrong doers or providing „redlines‟ not to cross for the next time. In this regard, it was

The Role of Local Institutions in Yayo Coffee Forest Management

possible to understand that the local community lived in fear of the decisions and warnings provided by the council of elders.

As can be understood from table 4.20, all discussants of FGD involved in the study were members, participants and beneficiaries of some informal institutions like afoosha (Iddir), Dabo and Jaarsa Biyyaa (council of elders). They asserted that being the participants and member of these institutions assisted them to get help when needed and informed about aspects of their life. In this case, as described by discussants, they discuss more about the issues of their environment and share idea regarding the situation of changing world from time to time. This implied that they made situational analysis knowingly or unknowingly in which they concerned about conservation of resources including forests. In support of this, the study of Zewdie (2005) described that alternative conflict resolution mechanisms (conciliation, negotiation and mediation) were widely practiced by local institutions mainly by council of elders and religious leaders.

Table 4.20: participants, membership and beneficiaries of some informal institutions Type of institution Responses Frequencies percent Afoosha YES 11 61.1 NO 7 38.9 Total 18 100 Dabo YES 14 77.8 NO 4 22.2 Total 18 100

Jaarsa Biyyaa YES 10 55.6 NO 8 44.4 Total 18 100

Source: compiled from FGD results, April, 2018

The Role of Local Institutions in Yayo Coffee Forest Management

CHAPTER FIVE: CONCLUSIONS, RECOMMENDATIONS AND ISSUES FOR FURTHER RESEARCH

5.1 Conclusions

Yayo Coffee Forest was well known for its abundances of Wild Coffee Populations and therefore majority of the local communities living adjacent to it were depend in large extent to extract the Forest Coffee grown in that forest. However, the activities towards the management of Yayo Coffee Forest were not implemented and hence the resource was not managed due to the interactive factors like insecurity of property rights to use and manage the resource, small landholding size of the local communities coupled with large members of family that lead to the need to expand farmland in favor of forest land, high dependencies on the Coffee Forest for livelihoods, the short distance that the local communities had from the Coffee Forest area and problems of institutional connections to actively involve the local community towards the management activities of the resource.

In this regard, Teklu and Thomas (2004) stated that in Ethiopia efforts that made to conserve natural forests in general and coffee forests in particular did not bring significant influence because they fail to consider the interests of the local community by failing to include farmers in decision making process. More recently, the forest cover together with the coffee growth in some parts of Southwest Ethiopia has declined from 71 percent to 48 percent between the years 1973 and 2005 (Wakjira, 2007). This was basically evident, in most cases, where forests are becoming threatened due to the expansion of agricultural land, commercial plantation of coffee and extensive cutting of timber and wood for construction materials and fuels among others. The Finding of the study revealed that majority of the communities in the study area depends on forests and forest products for earning their livelihoods. The extent of dependency on the resources, types of resources used and size of the local community depending on the forest are importantly influence the behavior of the individuals for collective action in forest use and management in the study area. Similarly, Heterogeneity in terms of ethnicity and religion has also negative impact on individuals‟ behavior for collective action to manage coffee forest resources. Landless and people with shortage of farmland resulted from large family size are attempted to encroach into the forest frequently though they are restricted by forest management committee and other stakeholders especially for making their livelihood. The Finding of the study shows that

The Role of Local Institutions in Yayo Coffee Forest Management even though both formal and informal local institutions exist in the study area, lack of strong connection in working towards the management activities of the coffee forest resource affects the management of the resource. Absence of ample farmland, Lack of property rights to use and manage the forest, extractability of the coffee forest mainly for collections of coffee and different spices among others are the major factors which impedes the activities of local institutions in coffee forest management in the study area.

At the local level five informal institutions involve in the use and management of Yayo coffee forest are identified. These include Gada Institution, Iddir (Afooshaa), Dabo, Council of Elders (Jaarsummaa) and Religious institutions. The decisions that informal institutions made especially the Gada Institution and Council of Elders play a very significant role in influencing the activities of individuals participating in the coffee forest use and management mainly on operational level. They also perform an influential role in discouraging illegal forest encroachers and also enforce compliance to the rules governing the forest. The Formal Institutions that actively participate in the coffee forest management activities in the study area are Yayo Woreda Agriculture and Rural Development Office, Yayo Woreda Administration Office, Yayo Woreda Police Office and Kebele Administrations. These government-oriented formal institutions are engaged in performing collective choice activities and defining operational level activities. Therefore, collective choice activities such as alienation and exclusion are defined by formal institutions.

The Finding of the study revealed that, though the formal institutions engaged in the performing of collective choice activities, Informal institutions also performs much in the management and use of the Coffee Forest by enforcing and complaining the rules governing the coffee forest. The finding shows that it was difficult to manage coffee forest in the study area without the connection or collaboration efforts of both formal and informal institutions to bring sound forest resource use and management.

5.2 Recommendations

Based on the Findings of the Study, the following feasible recommendations are forwarded for the concerned bodies actively working in the management activities of Yayo Coffee Forest:

The Role of Local Institutions in Yayo Coffee Forest Management

1. The high dependency of the local community on Coffee Forest resource for earning their day to day life is affecting the resource and hence it is better to create alternative sources of income for the local communities whose livelihoods depend on the forest. 2. The Local Institutions, whether formal or informal, working in the management of Yayo Coffee Forest need to make collaboration with one another in order to achieve the management goals of the Natural Resources in general and Coffee Forest in particular in the study area. 3. The government should be accountable to solve the problems impeding local institutions in the Coffee Forest Management activities such as lack of commitment and strong forest management projects in the study area. 4. The Property rights of Coffee Forest use and management of the local communities should be considered to bring them to actively participate in the activities geared towards Yayo Coffee Forest management. 5. The government should be responsible for granting compensation for the local communities whose plots of Agricultural land remained bounded within the protected forest area. 6. The government needs to build the capacity of the Local Institutions for effective monitoring and governing of the Coffee Forest resource in the study area.

5.3 Issues for further research

This study focused on the Roles of local institutions, both formal and informal, in the management of Yayo coffee forest and tried to identify some major challenges impeding the activities of local institutions in the management of coffee forest resource in the study area. In addition, the study identified some of the characteristics of local communities and coffee forest resource affecting the management of the resource in the study area. However, Yayo Coffee Forest is one of the National Forest Protected Area (NFPA) in Ethiopia where the local communities are not fully allowed to enter into the inner boundary (named as „core zone‟) of the forest to carry out both use and management rights. In this case, it is better if researchers go through and conduct research regarding the sustainability of the forest species especially considering the regeneration of the indigenous tree species. Additionally, it is indispensable to conduct a research on the effectiveness of the local institutions in the sustainable management of Yayo coffee forest and bring recommendations. The other issue that needs more investigation in this area is the socio- economic influence of coffee forest on the local communities and its management methods.

The Role of Local Institutions in Yayo Coffee Forest Management

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APPENDICES

A.Questionnaires for Household Head Respondents

Part One: Socio-demographic information of the respondents: 1. Age: A. < 31  B. 31-40  C. 41-50  D. 51-60  E. Above 61  2. Sex: A. Male  B. Female  3. Marital status A. married B. divorced C. widowed 4. Site/Kebele: ______5. Educational background A. Have not attended school  B. Read & write only  C. 1 – 4   D. 5 - 8  E. 9 -12  6. Religion A. protestant  B. Orthodox  C. Muslim  D. waqefata  E.Other 7. Ethnic group A. Oromo  B. Amhara  C. Tigre  D. others  8. Family size A. < 3  B. 4-6  C. 7-9  D. > 9 9. Income per year A. less than 10,000  B. 10,000-20,000  C. 20,000-30,000  D.30,000-40,000  E. 40,000-50,000 F. >50,000 Part Two: Challenges of Local institutions in the management of coffee forest 1. Are the local institutions working in the management of coffee forest free from challenges? A. YES B. NO 2. If your answer for question 1 above is NO, what are the major factors affecting them in the management of coffee forest? a. Large family size that requires large land for agriculture  b. Low income of the community which determine them to involve in the improper use of the resources like illegal logging of the forests  c. Lack of property rights granted to use and manage coffee forest  d. High dependence on the coffee forest for various purposes  e. Small landholding of farmers that led to the need to expand farmland  f. Short distance between residence area and coffee forest area  3. If your answer for question 1 above is yes, reason out? ------

2.1. Landholding Size A. Understanding about climate concepts 1. Do have awareness about the concept of climate? A. YES , aware about it B. NO , don‟t aware about it 2. If your response for question „1‟ above is „yes‟, what is your extent of your awareness? A. Little about it  B. More about it  C. Detail about it 

The Role of Local Institutions in Yayo Coffee Forest Management

3. If your response for question „1‟ is NO, explain your opinion------4. What is the phrase climate change mean to you? It is; A. short term fluctuations of rainfall and temperature  B. drought  C. deforestation  D. changes in the average weather conditions over an extended periods  5. Climate change is a problem happened at; A. local scale  B. world scale  C. not a problem anywhere  D. early to recognize it as a problem  B. Landholding and its implications on yayo coffee forest management 1. What is your landholding size in hectare? A. <0.5 B. 0.5-1.0 C. 1.0-1.5 D. >1.5 2. What are the other alternatives you use to carry out your livelihoods due to small landholding that you have? Explain your idea?------. 3. What are the impacts of your small landholding size in coffee forest use and management? a. decrease your motivation towards coffee forest management b. force you to expand farmlands c. decrease your involvement in decision making process of coffee forest management 2.2. Insecurity of property rights 1. Lack of property rights affects your use and management of coffee forest. a. Strongly agree b. agree c. disagree d. Strongly disagree 2. What are the impacts of insecurity of property rights on coffee forest management? a. create consideration of resource as someone else b. arises conflict between the communities and forest management organizations c. decline the responsibility of local communities in the management of the resource d. decline participation level of the communities in decision making in the management of coffee forest resource e. decrease rule enforcement by the communities in the management of coffee forest 3. Insecurity of property rights affect the use and manage of coffee forest management negatively. A. Strongly agree B. agree C. disagree D. strongly disagree 2.3. Distance between the coffee forest and residence area 1. How often you visit coffee forest per day? A. once a day B. twice a day C. more than two 2. The short distance between your home and coffee forest area determines the frequency that you interact with the coffee forest. A. Strongly agree B. Agree C. Disagree D. Strongly disagree 3. Do you think that the distance between coffee forest and your residence area affects coffee forest management in your area? A. YES B. NO 4. If your response for question 2 above is Yes, in what ways it affects coffee forest management? A. Positively B. Negatively C. Other 4. If your answer for question 1 above is NO, explain your idea briefly? ------

The Role of Local Institutions in Yayo Coffee Forest Management

------5. If your response for question 3 above is „Other‟, explain your ideas briefly? ------Part three: Attributes of the community and coffee forest 1. What is your income in birr per year? A. less than 10,000  B. 10,000-20,000  C. 20,000-30,000  D.30,000-40,000  E. 40,000-50,000 F. >50,000 2. Do you think that your income level affects management of coffee forest in your area? A. YES B. NO 3. If your response for question 2 above is Yes, it affects your behavior of participation in coffee forest management. A. Strongly agree B. Agree C. Disagree D. Strongly disagree 4. If your response to question „3‟ above is „Disagreed‟, clarify your opinion?

5. Do you think that dependence on the coffee forest is affected by your income? A. Yes B. NO 6. Do you think that the small agricultural landholding size affects your income and management of coffee forest in your area? A. Yes B. NO 7. Do you depend on coffee forest? A.YES B. NO 8. If your response for question „7‟ above is yes, why you depend on coffee forest? A. Collection of wild coffee B. House construction materials C. Fuel wood collection D. Collection of different spices E. Honey production 9. Do you think that heterogeneity among the local communities potentially affect the management of coffee forest in your area? A. YES B. NO

10. Is the coffee forest accessible for the local community? A. YES B. NO 11. If your response for question „10‟ above is „yes‟, why do they extract the coffee forest in your area? A. Weak management activities by the local institutions  B. Lack of awareness about significance of coffee forest management  C. Lack of diverse occupation  D. Collection of medicinal plants  E. Pasturing  F. Others , specify------

12. If your answer for question 11 above is NO, why do you think impossible to encroach into coffee forest area?

The Role of Local Institutions in Yayo Coffee Forest Management

______13. Do you think that coffee forest management projects are necessarily manages the coffee forest in your area? A. Yes B. NO 14. If your response for question „13‟ above is yes, write the justifications as much as you can? ______

15. If your response for question „13‟is NO, explain your justifications? ------

16. Do you think that your educational level have a role in the management of coffee forest in your area? A Yes  B. No 

17. If your answer for the above question is yes, educational level is positively related with coffee forest management. A. I strongly agree  B. I agree  C. I disagree  D. I strongly disagree

18. If your response for question 16 is NO, explain your opinion briefly

______19. Do you think that heterogeneity among the local community has a role in the management of yayo coffee forest? A. Yes B. NO 20. If your answer for the above question is yes, mention the reasons; ______21. If your response to question „19‟ above is NO, explain your idea? ------

Part Four: The role of local institutions in yayo coffee forest management 4.1.The presence or absence of local institutions 1. Are there local institutions working in the management of coffee forest in your area? A. YES B. NO 2. If your answer for question 1 above is yes, what types of local institutions are they? A. formal B. informal C. both 3. If your answer for question 1 above is NO, why they absent in your area?

The Role of Local Institutions in Yayo Coffee Forest Management

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4. What are the major formal institutions working in the management of Yayo Coffee Forest? Mention as much as you know? 5. ------6. What are the major roles of these local institutions in the management of yayo coffee forest? Describe as much as you can?

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7. These local institutions play a significant role in the coffee forest management. A. I strongly agree B. I agree C. I disagree D. I strongly disagree 8. In what ways these local institutions involve to manage yayo coffee forest? ______7. Is there a connection between formal and informal local institutions in your area? A.YES B. No 8. The presence of connection between formal and informal local institutions has a great contribution in the management of coffee forest resource. A. I strongly agree B.I agree C. I disagree D. I strongly disagree 9. I f your response for question „8‟ above is agreed, elaborate your reasons------10. If your response to question „8‟ above is disagreed, describe your reasons------

The Role of Local Institutions in Yayo Coffee Forest Management

B Interview guidelines for Data Collection

Dear interviewee, the primary purpose of this questions are solely required for gathering data appropriate for investigating the roles of local institutions in the management of yayo coffee forest to conduct research for the partial fulfillment for master‟s degree in Geography and Environmental Studies in Adama Science and Technology University.

Therefore, your patience and quality of data affects this study and hence you are expected to respond in responsible manner. Thank you for your patience and cooperation!

1 For the Formal Institutions 1 What is your position in this office? ______2 For how many years you worked at this position? ______3 What are the roles of this office regarding yayo coffee forest use and management? 4 Do this office work in collaboration with other organizations on the management of yayo coffee forest? 5 How your office work against the problems encountered coffee forest management in yayo woreda? 6 Are there informal institutions working in the management of yayo coffee forest separately or in collaboration with other institutions? 7 How these informal institutions bring change towards the use and management of coffee forest? 8 In what ways the formal institutions work to encourage the activities of informal institutions towards coffee forest management? 9 What are the actions that this organization is performing to make the connections between local institutions (formal and informal) strong towards yayo coffee forest management? If any?

2 For Informal Institutions 1 What is your role in this informal institution? 2 Is this informal institution play a role in yayo coffee forest management activities? 3 In what ways you think this institution contribute in the management activities of coffee forest? 4 Is there connection between this institution and other formal institutions in the activities performed in the management of coffee forest? 5 What are the problems resulted if institutions lack inter-connections towards coffee forest management? 6 Is there an informal ways of conflict resolution in your area? If yes, what are they and how?

The Role of Local Institutions in Yayo Coffee Forest Management

C Focus Group Discussion Guidelines

Dear discussants, the purpose of this group discussion is to explore your ideas, opinions and feelings as well as to get data appropriate for conducting study on the roles of local institutions in the management of yayo coffee forest in the partial fulfillment for the requirement for master‟s degree in Geography and Environmental Studies at Adama Science and Technology University. Thank you for your patience and collaboration! 1 Are you the member, participant and beneficiaries of informal institutions like Dabo, Idir and Jaarsa biyya (Council of elders)? 2 What are the uses of being the member of these institutions? 3 Do you accept the decisions made by the leader of these institutions? 4 What is the roles played by these institutions in the use and management of yayo coffee forest? 5 Are the majority of populations in your area depend on coffee forest? 6 Why the local communities in your area depend on coffee forest? 7 What are the products they get from the coffee forest? 8 How you describe the relationship between income and coffee forest dependences? 9 Do these products affect the motivation of the community to manage coffee forest? 10 In what ways they affect motivation to manage the coffee forest?