Decentralization, Forests and Rural Communities
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DECENTRALIZATION, FORESTS AND RURAL COMMUNITIES DECENTRALIZATION, FORESTS AND RURAL COMMUNITIES Policy Outcomes in South and Southeast Asia Editors EDWARD L. WEBB GANESH P. SHIVAKOTI Copyright © Edward L. Webb and Ganesh P. Shivakoti, 2007 All rights reserved. No part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage or retrieval system, without permission in writing from the publisher. First published in 2007 by Sage Publications India Pvt Ltd B1/I1, Mohan Cooperative Industrial Area Mathura Road New Delhi 110 044 www.sagepub.in Sage Publications Inc 2455 Teller Road Thousand Oaks, California 91320 Sage Publications Ltd 1 Oliver’s Yard, 55 City Road London EC1Y 1SP Sage Publications Asia-Pacific Pte Ltd 33 Pekin Street #02-01 Far East Square Singapore 048763 Published by Vivek Mehra for Sage Publications India Pvt Ltd, typeset in 10/12 pt Sanskrit-Palatino by Star Compugraphics Private Limited, Delhi and printed at Chaman Enterprises, New Delhi. Library of Congress Cataloging-in-Publication Data ISBN: 978-0-7619-3548-3 (HB) 978-81-7829-707-1 (India-HB) The Sage Team: Sugata Ghosh, Maneet Singh and Rajib Chatterjee Dedicated to our parents Beatrice L. Webb and the late Clifton R. Webb, Jr., for providing opportunity and unconditional support. The late Mrs. Januka Shivakoti and the late Mr. Nanda Shivakoti, who valued education and rural environment the most. CONTENTS List of Tables 9 List of Figures 12 List of Maps 13 Foreword by Marilyn W. Hoskins 14 Preface by William R. Burch, Jnr 17 Acknowledgments 19 1 Forest Policy as a Changing Context in Asia 21 Edward L. Webb 2 Decentralization and Community-based Forestry: 44 Learning from Experience Arun Agrawal and Elinor Ostrom 3 The Evolution of Forest-Related Institutions in Bhutan: 68 Adaptations of Local People to the Rising State Edward L. Webb and Lam Dorji 4 Integrating Informal with Formal Forest Management 93 Institutions for Sustainable Collective Action in India Rucha Ghate and Deepshikha Mehra 5 Decentralization Policy and Revitalization of 128 Local Institutions for Protected Area Co-management in West Sumatra, Indonesia Yonariza and Ganesh P. Shivakoti 6 Evolution, Impacts and Challenges of Community- 150 based Forestry in Nepal Ambika P. Gautam and Ganesh P. Shivakoti 7 Implications of Leasehold and Community Forestry 177 for Poverty Alleviation Mukunda Karmacharya, Birendra Karna and Elinor Ostrom 8 DECENTRALIZATION, FORESTS AND RURAL COMMUNITIES 8 Disentangling a Complex Web: Forests, People and 209 Decentralization in Nepal Harini Nagendra, Mukunda Karmacharya and Birendra Karna 9 Evolution of Community-based Management and 232 Forest Health in Northern Thailand: Case Study of Nahai and Huai-muang Villages in Sopsai Watershed, Thawangpa District, Nan Province Nitaya Kijtewachakul, Ganesh P. Shivakoti and Edward L. Webb 10 Incentives of the Forest Land Allocation Process: 269 Implications for Forest Management in Nam Dong District, Central Vietnam Ngo Tri Dung and Edward L. Webb 11 Facilitating Decentralized Policies for Sustainable 292 Governance and Management of Forest Resources in Asia Ganesh P. Shivakoti and Elinor Ostrom About the Editors and Contributors 311 Index 316 LIST OF TABLES 1.1 Population Statistics for Six South and Southeast 22 Asian Countries 4.1 Profiles of Three Study Villages, Gadchiroli District, 102 Maharashtra State, India 4.2 Variables and Scores of Multi-criteria Analysis 112 4.3 Performance Matrix Using Institutional Analysis 120 and IAD Framework 5.1 Characteristics of 299 Sampled Households and their 136 Respondents in 11 Villages Surrounding Barisan I Nature Reserve, West Sumatra, Indonesia 5.2 Perceived Presence of Local Forest Guards and Forest 139 Regulations from Sampled Households near Barisan I Nature Reserve 5.3 Perceived Existence of Protected Area, Authority over 142 Protected Areas, and Number of Households Involved in Timber Felling in Barisan I Nature Reserve 6.1 Cover and Change in Cover of Different Land Cover 160 Types across Three Time Periods in Upper Roshi Watershed, Kabhrepalanchok District, Nepal 6.2 Changes in Forested Area between 1976 and 2000 163 for Geographical Spaces in Upper Roshi Watershed that were under the Three Governance Arrangements in 2000 6.3 Comparison of Mean Values of Selected Forest 164 Characteristics between Community and Semi-government Forests of Upper Roshi Watershed, Nepal 6.4 Percentage of Respondents Ranking the Availability 166 of Essential Forest Products at Present (A) and 20 Years Ago (B) in Upper Roshi Watershed, Nepal 10 DECENTRALIZATION, FORESTS AND RURAL COMMUNITIES 6.5 Percentage of Responses Indicating Changes in the 166 Availability of Main Forest Products in 2001 Compared with 20 Years Ago 6.6 The Most Important Alternative Source for Meeting 168 the Forest Product Deficit 7.1 Socio-economic Characteristics of Leasehold Forest 188 Sites in the Middle Hills Region of Nepal 7.2 Causes and Effects of Conflict in Leasehold Forests 196 of the Middle Hills Region of Nepal 7.3 Socio-economic Characteristics of the Three 197 Community Forest Sites in the Middle Hills Region of Nepal 8.1 Description of Study Forests in East Chitwan, Nepal 216 9.1 Areas under Different Non-forest Land Use in Nahai 237 and Huai-muang Villages, Nan Province, Thailand 9.2 Summary of Biophysical Conditions in Association 238 with Land Use History in Nahai and Huai-muang Villages, Nan Province, Thailand 9.3 Summary of the Existing Community Initiatives in 244 Forest Management and External Recognition across Upland and Lowland Villages, Nan Province, Thailand 9.4 Landholding Documents under Statutory Laws 246 (Title Deeds, Nor-sor 3, Sor-por-kor) for Land Uses, Nan Province, Thailand 9.5 Number of Households and Population in Nahai and 248 Huai-muang Villages, Nan Province, Thailand 9.6 Collective Behaviors, Management Purposes and 253 Initiation of Community-based Forest Management in Nahai and Huai-muang Villages, Nan Province, Thailand 9.7 Basal Area of Tree and Bamboo Species in Forests of 259 Nahai and Huai-muang Villages under Conservation and Utilization Purposes 9.8 Number of Total Tree Species and the Distribution 261 in the Forests of Nahai and Huai-muang Villages under Conservation (C) and Utilization (U) Management Purposes LIST OF TABLES 11 10.1 Key Actors and Required Duties in the Forest 271 Allocation Program of Nam Dong District, Central Vietnam 10.2 Theoretically Possible Contexts for Action Arenas 278 during the Forest Allocation Program in Nam Dong, Thua Thien Hue Province, Central Vietnam 10.3 Incentive Structure for Participation in Degraded 279 Forest Land Allocation for Household Plantation Purposes in Nam Dong District, Central Vietnam 10.4 Incentive Structure for Participation in the Natural 282 Forest Allocation in Nam Dong District, Central Vietnam 11.1 Challenges of Asian Forest Systems 297 11.2 Structural Variables Affecting Intensity of Forest 300 Management in Asia 11.3 Support Structures for Sustainable Forest Governance 302 in Asia 11.4 Variations in Asian Forest Management: Variations 304 in Forest Conditions, Rules in Use and Performances LIST OF FIGURES 6.1 A Simplified Procedure Used in Land Use 158 Mapping and Changes Detection 8.1 Change Classification for East Chitwan (1989–2000) 218 Overlaid with Buffer Zone and Community Forests Boundaries 8.2 Scatter Plot, Date of Initiation of Forest Protection vs 222 Percentage of Deforestation (A) and Regrowth (B) 9.1 Diameter at 1.30 m (dbh) Class Distribution of Trees 255 and Saplings of Forests in Nahai Village under Conservation and Utilization Purposes 9.2 Diameter at 1.30 m (dbh) Class Distribution of Trees 256 and Saplings of Forests in Huai-muang Village under Conservation and Utilization Purposes 9.3 Height–Class Distribution of Trees and Saplings 257 of Forests in Nahai Village under Conservation and Utilization Purposes 9.4 Height–Class Distribution of Trees and Saplings 258 of Forests in Huai-muang Village under Conservation and Utilization Purposes LIST OF MAPS 1.1 Map of Asia Indicating the Study Sites 40 3.1 Map of Bhutan Indicating the 12 Villages of Study 70 4.1 Map of India 97 4.2 Map of Maharashtra State 123 4.3 Map of Gadchiroli District, Maharashtra 124 5.1 Barisan I Nature Reserve, West Sumatra, Indonesia 134 6.1 Location of the Upper Roshi Watershed in 156 Kabhrepalanchok District, Nepal 6.2 Land Use in Upper Roshi Watershed in 1976 161 6.3 Land Use in Upper Roshi Watershed in 2000 162 8.1 Location of the Study Area in East Chitwan, Nepal 213 9.1 Forests Managed by Nahai and Huai-muang Villages 234 in the Sopsai Watershed, Nan Province, Thailand 9.2 Community Forest Management Overlapped with the 236 Forest Restoration Schemes (Planted or Enrichment Forests) of Sopsai Watershed Management Unit (SWMU) and Agricultural Land Use in 2001 FOREWORD ‘Centralize!’ ‘Decentralize!’ ‘No, centralize. We need more control!’, ‘We must decentralize! Centralizing is not working.’ Organizations and agencies around the world have gone through reversing this pendulum swing time and again, in an effort to improve manage- ment or to make their programs more effective and efficient. But they find it difficult to truly know which aspects to control at which level. So when they arrive at one or the other pole, problems and unintended consequences become evident and they swing back. The same is true for the way governments and agencies handle forest and tree resources. Many countries in the past, and even today, have nationalized ownership and management of forestland or even of specific tree species. They often do this with the expect- ation that they will have more control, increased revenue and in some cases longer term sustainability. But there is a multitude of examples of centralizing not reaching these goals and the resource finally becoming so degraded that it is no longer of much interest to the central authority.