Reconciling Conservation and Development: The Case of Coffee Producers in Bukit Barisan Selatan National Park, Indonesia Yulia Rahma Fitriana S.Hut. (Forestry), M.Sc. (Tropical Agrarian Systems) A thesis submitted for the degree of Doctor of Philosophy at The University of Queensland in 2018 School of Agriculture and Food Sciences Abstract Agricultural land use on the fringe of protected areas has significant impacts on the conservation of wildlife and biodiversity in the core zone. The Bukit Barisan Selatan National Park (BBSNP) in Lampung Province, Indonesia, is a UNESCO World Heritage Site, providing habitat to endangered Sumatran tigers, rhinoceroses, and elephants. The government, conservation NGOs, and the private sector have tried to support the development of villages that border the Park, while increasing control over access to land and natural resources inside the Park. A major concern is that sections of the Park are occupied by thousands of squatters, mainly producing coffee for the international market. The purpose of this research was to explore the feasibility of a reward mechanism for farmers bordering the Park (namely, coffee certification) and to compare this with more conventional coercive measures such as fines and evictions. The research was conducted at multiple scales, from the household to the village and landscape levels. A case-study approach was used with two main cases: (1) coffee certification in West Lampung District and (2) enforcement of exclusion from Park resources in various districts. The research methods included document reviews, observation of farming systems, a livelihood survey of around 700 villagers in 20 villages near the Park boundary, and key informant interviews with village and district officials and Park management. Data were collected in two stages: an initial period of fieldwork in 2008-2010 and a follow-up visit in September 2014. Both qualitative and quantitative analyses were undertaken. Key findings were: (1) despite some positive economic and social impact, coffee certification did not appear to be preventing Park encroachment; (2) enforcement was not implemented uniformly through the Park but targeted in specific zones, and the frequency and intensity of enforcement were not significant predictors of illegal land use; (3) enforcement was more effective when there were established local institutions and support was given by local leaders, but less effective when population pressure on the land was high and encroachment was backed by local elites who did not support Park protection. Policy makers need to find ways to integrate incentives with enforcement as these two are not alternatives but both are needed as minimal requirements. i Declaration by author This thesis is composed of my original work, and contains no material previously published or written by another person except where due reference has been made in the text. I have clearly stated the contribution by others to jointly-authored works that I have included in my thesis. I have clearly stated the contribution of others to my thesis as a whole, including statistical assistance, survey design, data analysis, significant technical procedures, professional editorial advice, financial support and any other original research work used or reported in my thesis. The content of my thesis is the result of work I have carried out since the commencement of my higher degree by research candidature and does not include a substantial part of work that has been submitted to qualify for the award of any other degree or diploma in any university or other tertiary institution. I have clearly stated which parts of my thesis, if any, have been submitted to qualify for another award. I acknowledge that an electronic copy of my thesis must be lodged with the University Library and, subject to the policy and procedures of The University of Queensland, the thesis be made available for research and study in accordance with the Copyright Act 1968 unless a period of embargo has been approved by the Dean of the Graduate School. I acknowledge that copyright of all material contained in my thesis resides with the copyright holder(s) of that material. Where appropriate I have obtained copyright permission from the copyright holder to reproduce material in this thesis and have sought permission from co- authors for any jointly authored works included in the thesis. ii Publications included in this thesis No publications included. Submitted manuscripts included in this thesis No manuscripts submitted for publication. Other publications during candidature Fitriana, Y.R., Cai, H., & Levang, P. (2009). Contribution of illegal coffee plantations to household economies: A case study in the Bukit Barisan Selatan National Park, Indonesia. Poster presented on “Diversitas OSC2 (Biodiversity and society: Understanding connections adapting to change)”, Cape Town, South Africa, 15-16 October, 2009. Fitriana, Y.R., & Levang, P. (2009). Coffee certification: an incentive to protect or deforest the National Park? A case study at Bukit Barisan Selatan National Park, Sumatera, Indonesia. Oral presentation on “Engaging Southeast Asia: Centres and Peripheries” at University of British Columbia, Vancouver, Canada, 15-17 October, 2009. Fitriana, Y.R., & Levang, P. (2010), When local practices oppose conservation policies: the role of local elites in preventing encroachments in National Parks. Oral presentation on “Taking stock of smallholder and community forestry: Where do we go from here?” in Montpellier, France, 24-26 March, 2010. Fitriana, Y.R., & Levang, P. (2010). Why partnership doesn’t work in National Park Management? A case study in Bukit Barisan Selatan National Park, Sumatera, Indonesia. Oral presentation at the 2010 International Meeting of the Association for Tropical Biology and Conservation (ATBC), “Tropical biodiversity: surviving the food, energy and climate crisis”, in Bali, Indonesia, 19-23 July 2010. Fitriana, Y.R., & Levang, P. (2010). Carrots and sermons don’t work without a baton: Economic incentives fail to protect the Bukit Barisan Selatan National Park in Indonesia from encroachers. Oral presentation at XXIII International Union of Forest Research Organization Worlds Congress 2010, in Seoul, South Korea, 23-28 August 2010. iii Contributions by others to the thesis Dr Jean-Christophe Castella, as former principal supervisor in The Paul Valéry Montpellier 3 University, France, contributed to the initial writing plan and revising early drafts of the thesis. Dr Patrice Levang, as former co-supervisor in The Paul Valéry Montpellier 3 University, France, contributed to the conception and design of the project, preliminary analysis and interpretation of research data, technical support during the first phase of fieldwork (2009- 2010) with CIFOR and IRD, and also as a co-author in conference presentations. Statement of parts of the thesis submitted to qualify for the award of another degree The thesis plan, the first phase of data collection in 2009 and 2010, and some preliminary analysis and conference presentations were undertaken while enrolled in the PhD program in The Paul Valéry Montpellier 3 University. However, no part of the thesis was submitted for the award of any degree at The Paul Valéry Montpellier 3 or any other university. The candidate withdrew from The Paul Valéry Montpellier 3 in 2011 and enrolled in the PhD program in the School of Agriculture and Food Sciences, The University of Queensland, in July 2014, with approval to build on the work already commenced at The Paul Valéry Montpellier 3 University. Research Involving Human or Animal Subjects The main data collection involving questionnaire surveys of rural households and interviews with key informants in villages, government agencies, and the private sector, and the plans for data analysis, were conducted while enrolled in the School of Geography and Land Use Planning, Doctoral School of Territories, Time, Societies and Development, in The Paul Valéry Montpellier 3 University. Ethical approval was obtained and oversight maintained according to the procedures of that university as part of the supervisory process under the direction of Dr Patrice Levang and Dr Jean-Christophe Castella, and of the Centre for International Forest Research (CIFOR) as the host institution during fieldwork. As advised by the Human Ethics Coordinator in the Office of Research Ethics at The University of Queensland, Dr Michael Tse, the thesis research did not require additional ethical approval through the UQ process as the data collection and analysis were conceived and implemented through The Paul Valéry Montpellier 3 University before enrolling at UQ. iv Acknowledgements Ever since I was a young girl, I have always been inspired by my father, who taught me how to chase my dreams with passion whilst being the best I can be in the process. In pursuit of my goals, I have studied abroad, away from my family. Many sacrifices have been made and I have been blessed with a helpful and supportive network, continuously motivating me throughout this journey. Receiving my Doctorate is my dream and the completion of this thesis marks the light setting on the horizon. I would like to take this opportunity to acknowledge the people who have contributed to making this thesis a reality. Firstly, to Rob Cramb, it has been a great honour to have you as my principal thesis supervisor. I am grateful for your tireless support and dedication, throughout this entire process, from synthesising and writing until