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

Lincoln University Digital Thesis Copyright Statement The digital copy of this thesis is protected by the Copyright Act 1994 (New Zealand). This thesis may be consulted by you, provided you comply with the provisions of the Act and the following conditions of use:  you will use the copy only for the purposes of research or private study  you will recognise the author's right to be identified as the author of the thesis and due acknowledgement will be made to the author where appropriate  you will obtain the author's permission before publishing any material from the thesis. The Effects of Social and Institutional Structures on Decision-Making and Benefit Distribution of Community Forestry in Nepal ___________________________________________ A thesis submitted in partial fulfilment of the requirements for the Degree of Doctor of Philosophy at Lincoln University, New Zealand by Bhagwan Dutta Yadav ________________________________________ Lincoln University 2013 Abstract of a thesis submitted in partial fulfilment of the requirements for the Degree of Doctor of Philosophy in Forest Economics The effects of social and institutional structures on decision-making and benefit distribution of community forestry in Nepal by Bhagwan Dutta Yadav Participatory democracy has been an official part of Community Forestry (CF) since 1989 when the main policy document, the Master Plan for the Forestry Sector (MPFS), was introduced in Nepal. However, many problems related to benefit distribution from CF have emerged because of the way decision-making is influenced by the social and institutional structures present at the community level, particularly in terms of dominance by wealthy and caste elite and the inability of poor and disadvantaged households to participate fully in decisions. The purpose of the study is to investigate the potential for poor and disadvantaged households to have positions on the Executive Committee (EC) of the Community Forestry User Group (CFUG), and whether representation of the poor and disadvantaged on the EC has any influence on the distribution of CF products or the formulation of distribution rules. The study used a conceptual approach using elite theory with models that looked at EC decisions based on whether there was a single caste in the CFUG or multiple castes, and whether only rich households were on the EC or whether a mix of rich and poor households were on the EC. Rich and/or high caste individuals, typically identified with EC membership, would interact on the EC either as a consensually integrated elite where there was one caste, or a plural elite where there was a mix of castes. A mix of rich and poor households on the EC was characterised as an organisational elite model, in which the EC organisation provided power and influence to members of the EC, including the poor, thus providing a balance to the dominance by the traditional elite. The study uses CFUG-level data from 31 CFUGs in the Baglung district and household data from 310 households. The results of the study show that while the usual factors associated with wealth and caste are important for selection to EC leadership positions, NGO membership was also an important factor EC leadership positions. The importance of NGO membership is that it means that NGOs and civil organisations are able to strengthen the leadership capabilities of poorer and disadvantaged people or encourage/empower someone to ibe an EC member through training, workshops and study tours. This finding also supports the concept of the organisational elite model. The study also examined the effect of representation of the poor and disadvantaged on the EC by studying the factors that determined the relative distribution of forest products and the rules of distribution. In both cases, the higher the representation of the poor and disadvantage on the EC, the greater the benefits to the poor, both in terms of greater quantities distributed and longer distribution or collection periods. The policy implication of the study is that there is a way to overcome the traditional domination of the EC by the local elite through greater activity of NGOs, CBOs and civil society organisations. These organisations help the poor and underprivileged households to build up capacity to undertake leadership roles and through the organisational elite model become part of the elite decision-making. Keywords: Community forest, Community Forest User Group, Leadership, organisational elites, consensually integrated elites, plural elites, proportion of EC, influences, timber, firewood, fodder, leaf litter. ii Acknowledgements I am greatly indebted to many people who have helped in this research endeavour. It is almost impossible to acknowledge my gratitude and debts to each and every one of them, but I owe my sincere gratitude and heartfelt thanks to some people who are worthy of mention. First and foremost, my sincere thanks to my supervisor, Associate Professor Dr Hugh H Bigsby, and Co-supervisor, Senior Lecturer Dr Ian Macdonald. I am especially grateful to my supervisors for their sharp insights, constructive comments and tireless guidance throughout the research endeavour. I could not have completed this thesis, without their support, guidance, and encouragement and due diligence. I have learnt greatly from their comments and am grateful for their help. My studies in the Faculty of Commerce have been memorable due to many people, but I must thank Professor Ross Cullen, Head of the Commerce Faculty who produced my research proposal to New Zealand Agricultural and Resource Economics Society (NZARES) that has also recognised my contribution with an award. A special thanks also to Dr Patrick Adwell, Dean of the Commerce Faculty for providing me prompt support and for managing my student visa on the special initiation of my supervisor, Dr Hugh H. Bigsby. I must acknowledge the Community Forest User Group members and DFO, Mr Kedar Nath Dahal, his staff, particularly, Yamnath Pokharel who helped me and participated in my research in Baglung. I would also like to acknowledge with gratitude to DFO, LFP staff, in particular Mr Nirmal Thapa and project coordinator, Mr Vijay Shrestha, Assistant Coordinator, Mr Ramu Subedi and LFP Baglung In-Charge, Mr Lila Paudel. Their help, open-handedness and hospitality made this thesis possible. I am indebted to Mr Bijay Kumar Singh, Professor Dr A. K. Das, Dean of the Institute of Forestry, Nepal, for providing valuable advice on the data collection. I extend my sincere thanks to the Secretary, Ministry of Forest and Soil Conservation, Government of Nepal, the late Dr Damodar Parajuli, Ex Conservator, Mr R.V. Gupta, Regional Director, Mr Ram Paudel, Mr Mohan Dhungel, DFO Mr Braj Kishor Yadav, Shekhar Kumar Yadav, Mr Yogendra Yadav and CDO Panchthar Mr Janardhan Sharma Adhikari and my intimate friend Tek Ghimire and Yog Narayan Singh who encouraged me to undertake this study. I must also thank Mr Dinesh Parajuli, Anil Adhikary Yadav, Nirmala Yadav, and Mr Ram Kumar Yadav, former Minister Ram Chandra Yadav, MP Raj Lal Yadav and Ram Kishor Yadav for their continuous support. My special thanks are also conveyed to Dr Rabindra Kumar, my son, Dr Vinay Adhikari and my childhood colleague, Dr Gyanendra Adhikari who provided enormous health support to my 81 year old iii father while I was in Nepal and back here in New Zealand. He left us and departed for heaven at 3.45 pm on 18 September, 2009. I must acknowledge the Government of New Zealand and Lincoln University for providing me an opportunity to study under domestic fees and for helping in the research field. I would like to express my heartfelt thanks to Dr Bhubanesowor Dhakal for his advice and his wife Urmila Dhakal, for support afforded and their daughters who took care of my son while I was in Nepal collecting the research data. Special thanks to go my friend Dr Jagannath Aryal, Mr Bhoj Raj Khanal and other Nepalese students and office colleagues for their support in numerous ways. I am also grateful to the members of the Nepal-New Zealand Friendship Society, Christchurch, and Mr Peter and Mrs Jill Lemon, Dr Eric Scott and Brenda Lord who contributed one way or another to my study. Finally, I express my hearty thanks to my wife Yamuna Yadav for her tireless support as she worked long hours to manage the family, who shared my anxiety, provided love, endurance, and understanding and gave enormous encouragement throughout the entire duration of my study. My son, Vivek Adhikari, who changed my life by motivating me, this work may answer his frequent questions about why I used the computer all the times at home and went to the office every night and even at weekends. I dedicate this work to my late father, Sukhadev Yadav and mother, Sajo Devi Yadav, who started my academic expedition to this level. iv Acronyms <ul style="display: flex;"><li style="flex:1">AD </li><li style="flex:1">The Anno Domini dating system was devised in 525 by Dionysius Exiguus, </li></ul>who used it to comput<a href="/goto?url=http://en.wikipedia.org/wiki/Computus" target="_blank">e the date </a>of the Christian Easter Festival, <ul style="display: flex;"><li style="flex:1">Above Mean Sea Level </li><li style="flex:1">AMSL </li></ul>CBDD CBNRM CBO Community Based Driven Development Community Based Natural Resource Management Community Based Organisation Clean Development Mechanism Community Forestry CDM CF CFMP CFUGs CHHE CTVET DANIDA DLGDP DDC Collaborative Forest Management Plan Community Forestry User Groups Caste Hill Hindu Elite Centre for Vocational and Educational Training Danish International Development Agency Decentralised Local Government Development Programme District Development Committee District Forest Office/District Forest Officer Dalit NGO Federation DFO DNGOF <ul style="display: flex;"><li style="flex:1">DoF </li><li style="flex:1">Department of Forest </li></ul><ul style="display: flex;"><li style="flex:1">EC </li><li style="flex:1">Executive Committee </li></ul><ul style="display: flex;"><li style="flex:1">FAO </li><li style="flex:1">Food and Agriculture Organisation </li></ul>Federation of Community Forestry User Group in Nepal Gross Domestic Product FECOFUN GDP <ul style="display: flex;"><li style="flex:1">ha </li><li style="flex:1">Hectare </li></ul>I/NOG IHDP K-BIRD KHARDEP KHDP LFP International/Non-Governmental Organisation Integrated Hill Development Programme Karnali-Bheri Integrated Rural Development Koshi Hill Area Rural Development Programme Koshi Hill Development Programme Livelihood and Forestry Programme Land Resource Mapping Project Metre LRMP mMDGs mm Millennium Development Goals Millimetre v MPFS NAFP NATO NFI Master Plan For Forestry Sector Nepal Australia Forestry Project North Atlantic Treaty Organisation National Forestry Inventory <ul style="display: flex;"><li style="flex:1">NRM </li><li style="flex:1">Natural Resource Management </li></ul>NSCFP NTFPs NUCFP OFMP OLS Nepal Swish Community Forestry Project Non Timber Forest Products Nepal-UK Community Forestry Programme Operational Forest Management Plan Ordinary Least Squares <ul style="display: flex;"><li style="flex:1">OP </li><li style="flex:1">Operation Plan </li></ul>PASRAP PF Poverty Alleviation in Selected Rural Areas of Nepal Panchayat Forest <ul style="display: flex;"><li style="flex:1">PPF </li><li style="flex:1">Panchayat Protected Forest </li></ul>PRMCIP-MS PVSE Nepal Marginalised Community Empowerment Project Poor, Vulnerable and Socially Excluded Reduced Emissions from Deforestation and Forest Degradation Rapti Integrated Rural Development Programme Rasua-Nuwakot Interpreted Rural Development Programme Rural Women Development Centre Rural Water Supply and Sanitation Seti and Mahakali Integrated Rural Development Strengthened Actions for Governance in Utilization of Natural resources Sagarmatha Integrated Rural Development Programme Total Digestible Nutrient REDD RIRDP RNRDIP RWUDUC RWSS S/MIRD SAGUN SIRDP TDN <ul style="display: flex;"><li style="flex:1">UK </li><li style="flex:1">United Kingdom </li></ul>UK-DFID UNICEF USA United Kingdom Department for International Development United Nation Children’s Fund United Stated America <ul style="display: flex;"><li style="flex:1">VDC </li><li style="flex:1">Village Development Committee </li></ul>vi Glossary Bahun (Brahmin), Chhetry, Thakuri and Newar Elite castes used for this research <ul style="display: flex;"><li style="flex:1">Bari </li><li style="flex:1">Cultivated land in hills and mountains occurs mostly on slopes </li></ul>between 15 and 25 degrees <ul style="display: flex;"><li style="flex:1">Bhari </li><li style="flex:1">Head load, on average 40 kg </li></ul><ul style="display: flex;"><li style="flex:1">Birta, Math </li><li style="flex:1">Forest Land particularly in Terai provided by King and Rana </li></ul>rulers to their relatives and closest persons Primarily priests and one of the elite castes Land in hills and mountains occurs mostly on slopes between 20 and 35 degrees Brahmins or Bahun Butyan Char kose jhadi Dalit Dense forests approximately 12 kilometres wide Lower untouchable caste Dharmasastras Jagir The civil and criminal law of the nation Service provided by King and Rana rulers to their nearest persons and relatives particularly in military <ul style="display: flex;"><li style="flex:1">Middle caste </li><li style="flex:1">Janjati </li></ul><ul style="display: flex;"><li style="flex:1">Khet </li><li style="flex:1">Rice land, a cultivated land type. </li></ul>Warriors Populace who live in Terai (Plain area) National legal code Populace who live in hills Partiless political system Kshataryias Madhesi Mulki ain Pahadia Panchyat <ul style="display: flex;"><li style="flex:1">Raj </li><li style="flex:1">State </li></ul>Ropani Shudras Tagadhari Terai Vaishias Varna Unit of land area: 20 Ropani =1 hectare Lower Caste artisans and manual labourers Wearier of the sacred thread Plain area particularly in tropical region in Nepal Businessman Group of people vii Table of Contents <a href="#3_0">Abstract .....................................................................................................................................</a><a href="#3_0">.</a><a href="#3_0">i </a><a href="#5_0">Acknowledgements ..................................................................................................................iii </a><a href="#7_0">Acronyms..................................................................................................................................</a><a href="#7_0">.</a><a href="#7_0">v </a><a href="#9_0">Glossary ...................................................................................................................................vii </a><a href="#10_0">Table of Contents...................................................................................................................viii </a><a href="#14_0">List of Table</a><a href="#14_0">s</a><a href="#14_0">.</a><a href="#14_0">..........................................................................................................................xii </a><a href="#16_0">List of Figures .......................................................................................................................</a><a href="#16_0">.</a><a href="#16_0">x</a><a href="#16_0">iv </a><a href="#17_0">Chapter 1 INTRODUCTIO</a><a href="#17_0">N</a><a href="#17_0">.</a><a href="#17_0">................................................................................................</a><a href="#17_0">.</a><a href="#17_0">1 </a><a href="#17_1">1.1 Background</a><a href="#17_1"> </a><a href="#17_1">the Research.................................................................................................</a><a href="#17_1">.</a><a href="#17_1">1 </a><a href="#20_0">1.2 Statement</a><a href="#20_0"> </a><a href="#20_0">of the Research Problem .................................................................................</a><a href="#20_0">.</a><a href="#20_0">4 </a><a href="#22_0">1.3 Objectives.........................................................................................................................</a><a href="#22_0">.</a><a href="#22_0">6 </a><a href="#22_1">1.4 Research</a><a href="#22_1"> </a><a href="#22_1">Hypotheses .......................................................................................................</a><a href="#22_1">.</a><a href="#22_1">6 </a><a href="#24_0">Chapter 2 RESOURCE AND ECONOMIC OVERVIEW..................................................</a><a href="#24_0">.</a><a href="#24_0">8 </a><a href="#24_1">2.1 Introductio</a><a href="#24_1">n</a><a href="#24_1">.</a><a href="#24_1">.....................................................................................................................</a><a href="#24_1">.</a><a href="#24_1">8 </a><a href="#24_2">2.2 Socio-economic</a><a href="#24_2"> </a><a href="#24_2">Setting of Nepal.....................................................................................</a><a href="#24_2">.</a><a href="#24_2">8 </a> <a href="#25_0">2.2.1 The</a><a href="#25_0"> </a><a href="#25_0">Mountain Region...........................................................................................</a><a href="#25_0">.</a><a href="#25_0">9 </a><a href="#26_0">2.2.2 The</a><a href="#26_0"> </a><a href="#26_0">Hill Regio</a><a href="#26_0">n</a><a href="#26_0">.</a><a href="#26_0">.................................................................................................</a><a href="#26_0">.</a><a href="#26_0">1</a><a href="#26_0">0 </a><a href="#27_0">2.2.3 The</a><a href="#27_0"> </a><a href="#27_0">Terai Madhesh Regio</a><a href="#27_0">n</a><a href="#27_0">.</a><a href="#27_0">...............................................................................</a><a href="#27_0">.</a><a href="#27_0">1</a><a href="#27_0">1 </a> <a href="#28_0">2.3 Forest</a><a href="#28_0"> </a><a href="#28_0">Resources ............................................................................................................</a><a href="#28_0">.</a><a href="#28_0">1</a><a href="#28_0">2 </a><a href="#29_0">2.4 Poverty</a><a href="#29_0"> </a><a href="#29_0">Settin</a><a href="#29_0">g</a><a href="#29_0">.</a><a href="#29_0">..............................................................................................................</a><a href="#29_0">.</a><a href="#29_0">1</a><a href="#29_0">3 </a><a href="#30_0">2.5 Agriculture</a><a href="#30_0"> </a><a href="#30_0">Milieu..........................................................................................................</a><a href="#30_0">.</a><a href="#30_0">1</a><a href="#30_0">4 </a><a href="#0_0">2.6 The</a><a href="#0_0"> </a><a href="#0_0">History of Forest Management ...............................................................................</a><a href="#0_0">.</a><a href="#0_0">1</a><a href="#0_0">6 </a><a href="#0_1">2.7 Social</a><a href="#0_1"> </a><a href="#0_1">Structure of Nepal ...............................................................................................</a><a href="#0_1">.</a><a href="#0_1">2</a><a href="#0_1">2 </a><a href="#0_2">2.8 CFUG</a><a href="#0_2"> </a><a href="#0_2">Organisation</a><a href="#0_2">s</a><a href="#0_2">.</a><a href="#0_2">.....................................................................................................</a><a href="#0_2">.</a><a href="#0_2">2</a><a href="#0_2">3 </a><a href="#0_3">2.9 Contributions</a><a href="#0_3"> </a><a href="#0_3">from Other Studie</a><a href="#0_3">s</a><a href="#0_3">.</a><a href="#0_3">.................................................................................</a><a href="#0_3">.</a><a href="#0_3">2</a><a href="#0_3">5 </a><a href="#0_4">2.10 Conclusions</a><a href="#0_4"> </a><a href="#0_4">about Resources and the Economic Setting ..............................................</a><a href="#0_4">.</a><a href="#0_4">2</a><a href="#0_4">6 </a><a href="#0_5">Chapter 3 LITERATURE REVIEW AND ANALYTICAL FRAMEWORK.................</a><a href="#0_5">.</a><a href="#0_5">2</a><a href="#0_5">9 </a><a href="#0_6">3.1 Introductio</a><a href="#0_6">n</a><a href="#0_6">.</a><a href="#0_6">...................................................................................................................</a><a href="#0_6">.</a><a href="#0_6">2</a><a href="#0_6">9 </a><a href="#0_7">3.2 </a><a href="#0_7">People’s Participation</a><a href="#0_7">.....................................................................................................</a><a href="#0_7">.</a><a href="#0_7">3</a><a href="#0_7">0 </a> <a href="#0_8">3.2.1 Forestry</a><a href="#0_8"> </a><a href="#0_8">Development Programmes Towards Sustainable Livelihoods and </a> <a href="#0_8">Poverty Alleviation ............................................................................................</a><a href="#0_8">.</a><a href="#0_8">3</a><a href="#0_8">1 </a> <a href="#0_9">3.3 Models</a><a href="#0_9"> </a><a href="#0_9">of Elite Behaviour .............................................................................................</a><a href="#0_9">.</a><a href="#0_9">3</a><a href="#0_9">2 </a><a href="#0_10">3.4 Caste</a><a href="#0_10"> </a><a href="#0_10">and Wealth as an Elite in Nepal ...........................................................................</a><a href="#0_10">.</a><a href="#0_10">3</a><a href="#0_10">4 </a><a href="#0_11">3.5 Models</a><a href="#0_11"> </a><a href="#0_11">of Elite...............................................................................................................</a><a href="#0_11">.</a><a href="#0_11">3</a><a href="#0_11">8 </a> <a href="#0_12">3.5.1 Consensually</a><a href="#0_12"> </a><a href="#0_12">Integrated Elite Model .................................................................</a><a href="#0_12">.</a><a href="#0_12">4</a><a href="#0_12">0 </a><a href="#0_13">3.5.2 Plural</a><a href="#0_13"> </a><a href="#0_13">Elite Model ..............................................................................................</a><a href="#0_13">.</a><a href="#0_13">4</a><a href="#0_13">2 </a><a href="#0_14">3.5.3 Power</a><a href="#0_14"> </a><a href="#0_14">Elite Model..............................................................................................</a><a href="#0_14">.</a><a href="#0_14">4</a><a href="#0_14">4 </a><a href="#0_15">3.5.4 Ruling</a><a href="#0_15"> </a><a href="#0_15">Class Elite Model ...................................................................................</a><a href="#0_15">.</a><a href="#0_15">4</a><a href="#0_15">6 </a><a href="#0_16">3.5.5 Organisational</a><a href="#0_16"> </a><a href="#0_16">Elite Model ................................................................................</a><a href="#0_16">.</a><a href="#0_16">4</a><a href="#0_16">7 </a> <a href="#0_17">3.6 Conclusions</a><a href="#0_17"> </a><a href="#0_17">from the Review of Elite Models ..............................................................</a><a href="#0_17">.</a><a href="#0_17">4</a><a href="#0_17">9 </a><a href="#0_18">3.7 Conceptual</a><a href="#0_18"> </a><a href="#0_18">Mode</a><a href="#0_18">l</a><a href="#0_18">.</a><a href="#0_18">.........................................................................................................</a><a href="#0_18">.</a><a href="#0_18">5</a><a href="#0_18">0 </a>

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