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SOCIAL CAPITAL AND JOINT FOREST
MANAGEMENT: PEOPLE, FOREST
CONSERVATION AND PARTICIPATORYDEVELOPMENTTHREE CASE STUDIES FROM KARNATAKA, INDIA.
Doctor of Philosophy
in
Political Science
By
Ozmond Roshan DSouza
Supervisor
Prof. Arun Kumar Patnaik
DEPARTMENT OF POLITICAL SCIENCE
SCHOOL OF SOCIAL SCIENCES
UNIVERSITY OF HYDERABAD
HYDERABAD 500046
April- 2009
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SOCIAL CAPITAL AND JOINT FOREST
MANAGEMENT: PEOPLE, FOREST
CONSERVATION AND PARTICIPATORYDEVELOPMENTTHREE CASE STUDIES FROM KARNATAKA, INDIA.
A Thesis submitted to the University of Hyderabad in fulfillment of
the requirement for the award of
Doctor of Philosophyin
Political Science
By
Ozmond Roshan DSouza
Supervisor
Prof. Arun Kumar Patnaik
DEPARTMENT OF POLITICAL SCIENCE
SCHOOL OF SOCIAL SCIENCES
UNIVERSITY OF HYDERABAD
HYDERABAD 500046
April- 2009
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DECLARATIO
I Ozmond Roshan DSouza, Jawaharlal Nehru Doctoral Fellow,
hereby declare that the research work embodied in the present thesis
entitled, SOCIAL CAPITAL AND JOINT FOREST MANAGEMENT:
PEOPLE, FOREST CONSERVATION and PARTICIPATORY
DEVELOPMENT: ThreeCase Studies from Karnataka, India. is an
original research work carried out by me under the supervision of
Prof. Arun Kumar Patnaik, Department of Political Science, for the
award of Doctor of Philosophy in Political Science from the University
of Hyderabad. This dissertation or a part thereof has not been
submitted for the award of research degree or diploma to this or any
other university or institution.
Date: 30-04-2009 Ozmond Roshan DSouza
Place:Hyderabad
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CERTIFICATE
This is to certify that Ozmond Roshan DSouza, Jawaharlal Nehru
Doctoral Fellow, Department of Political Science, has carried out the
research work embodied in the present thesis entitled, SOCIAL
CAPITAL AND JOINT FOREST MANAGEMENT: PEOPLE, FOREST
CONSERVATION and PARTICIPATORY DEVELOPMENT: ThreeCase
Studies from Karnataka, India. for the degree of Doctor of
Philosophy in Political Science under my supervision during the
academic years 2004-2009. This thesis or a part thereof has not been
submitted for the award of any other research degree or diploma to
this or any other University or Institution.
Date: 30-04-2009 (Prof. ARUN KUMAR PATNAIK)
Research Supervisor
(Prof. I Ramabrahmam) DeanHead, Department of Political Science School of Social Sciences
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AcknowledgementsAcknowledgementsAcknowledgementsAcknowledgements
Thanking God the Almighty, I wish to dedicate this thesis to one important person in mylife, whom I always conveniently forget, His Grace the Most Rev. Dr. Ignatius Paul PintoIgnatius Paul PintoIgnatius Paul PintoIgnatius Paul Pinto,
Archbishop Emeritus of Bangalore. He instilled in me the desire for higher education. I will neverbe able to stand up to his expectations.
I will ever remain grateful to His Grace, the Most Rev. Leo Cornelio, SVDLeo Cornelio, SVDLeo Cornelio, SVDLeo Cornelio, SVD, Archbishop ofBhopal, has always been there to help, support and inspire me. Wish also to thank, the Most Rev.Gerald Isaac LoboGerald Isaac LoboGerald Isaac LoboGerald Isaac Lobo, the Bishop of Shimoga. He has been encouraging all through.
Over these last eight years, one person who has influenced and inspired the most is myresearch supervisor Prof. Arun Kumar PatnaikProf. Arun Kumar PatnaikProf. Arun Kumar PatnaikProf. Arun Kumar Patnaik. He has been very friendly, in spite of his positionand the age gap between us. To describe him in a phrase, he has been to me as to any of his
students Friend, Philosopher and Guide in equal proportions and in the true sense. He gave methe total freedom to carry out my research work the way I wanted to. I have never heard him tellme this is wrong. What I have particularly liked about him, the most, in the last eight years isthe way he gets the work done, his way, without discouraging the students. I will always cherishhis modus operandi hmmm, that is ok, good actually, but do this it would look better. Hehas disciplined me personally and academically. Thank you, sir, for all that you have been to meover these last eight years.
I wish to formally thank my mother, Mrs. Mable Alphonsa Rego. Only she knows whatsacrifices she has been making for me over all these years. My sister Rashmi Diana has put me
before herself. For her, me and my education has always been of foremost importance. Thank you,Akshme and I am sorry for the many times, I hurt you. And thanks to my aunt Mrs. MargaritaSerrao for her help and confidence in me.
I wish to formally thank the Jawaharlal Nehru Memorial Fund, Teen Murthi Bhavan,New Delhi for awarding me the Jawaharlal Nehru Memorial Scholarship for Doctoral Studies. Idont know if it would have been possible for me to complete my doctoral thesis in time withoutthe funds support.
I wish to recall Prof. Sudheer Jacob George, he was strict. I failed to see in him a friendlyfigure. Thanks to Prof. Shantha Sinha, the Chairperson, National Commission for the Protectionof Child Rights. She was the one who introduced me to the concept of social capital. Thanks toProf. G Haragopal and Prof G Sudarshanam for teaching me quite a few things in life and for theopportunity to work with them in the Human Rights Programme. I am grateful to Prof. PrakashChandra Sarangi, Registrar and formerly Head, Dept. of Political Science for all that he has been.Thanks to Prof. P. Eashwaraiah, Former Head. He has been very encouraging over the years. Iwish to specially thank Prof. I Ramabrahmam, Head, Dept. of Political Science for all that he hasbeen to me over the years. Sorry, sir, I failed to take your advice seriously and I will regret that forlife.
I would like to thank Dr. N Purendra Prasad and Dr. Manjari Katju, members of myDoctoral Advisory Committee for their encouragement and guidance. Thanks are due to Dr.Prithvi Ram Mudium for being so friendly and ever encouraging. He has been an example for self
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motivation. Thanks also to Prof. Jyothirmaya Sharma, Dr. Vasanthi Srinivasan, Dr. K. Y.Rathnam and Sri. B Chandrashekar Rao for their willingness to help.
Thanks to Prof. Immanuel Ness (Brooklyn College, New York City University) and Prof.Isabelle Milbert (Graduate Institute of International and Development Studies, Geneva) for their
encouragement and willingness to help. Thanks also to Cora and Wouter (WageningenInternational, the Netherlands), Dr. Moira (CIFOR, Indonesia) and Dr. Yiping Lou (INBAR,China) for their encouragement.
Many people have helped me in completing my studies in different ways. I wish to recallthem and thank them personally. First and foremost, Dr. Muni Reddy, Additional Principal ChiefConservator of Forests, Karnataka, for helping me in getting the necessary clearance and order forcarrying out the field-work in Shimoga Forest Circle. To the Deputy Conservators of Forests,Shimoga, Bhadravathi and Sagar Forest Divisions. To Sri I Nagaraj, Assistant Conservators ofForests, Shimoga for his help and interest in my research work. The Range Forest Officers of
Sagar, Aaynoor and Umblebylu have been very cooperative during the course of the field work.Thanks to Sri Krishnamurthi (Sagar Division), Sri Lakshman (Bhadravathi Division), Sri Ramesh(Umblebylu Range Office) and Sri. Hooliyappa and Sri. Kumar (Aaynoor Range Office). Thanksalso to Forest Officers Sri Fernandes (Umblebylu), Sri Gaonkar (Sagar) and Sri Narayana(Sowlanga) and to all the forest watchers and guards associated with the three study villages. Allthese persons have been very helpful.
I wish to thank each of the villagers from Hurli-Thotadakere, Jayanagara-Belalkatte andKanagodu-Nadamanchale, it is their study as much as it is mine. A special thanks to each of theVFC Presidents. They have been extremely cooperative. Thanks also to Anti Manjanna
(Hubbanahalli). He has treated me like one among his family. Pramod, Richard, Roshan Tauro,Johnie, James, Zabiulla, Charles and Abhi and Manjula and Baby (Hurlihalli) helped me incarrying out the household survey in phases. They helped me save a lot of time and of course nevermade me feel lonely.
I wish to thank all my friends, Chougale, Arun Mallik (Maamu), Manoj, Stephen,Chaitanya, Sanjukta and Veeraraju for their love & help in my research work. Thanks also toFrancis (Mestru) and Naveena (Lawyer) for their love and moral support.
To Ashwini Deshpande for all that she has been to me over the last eleven years. For her
love and moral support and above all for her services as language editor. Thank you Ashwini.
A very special thanks to P Sudarshan and Vijayanna (Sociology), Vijay Bhaskar (PoliticalScience). Over the last five years they have treated me like a prince. I will for ever cherish their
fraternal love. Thanks are also due in equal measures to Ravindranna and Sukumaranna (DU).They too have treated me like their younger brother.
I dont know how to thank Arunanna. I have ill-treated him, God knows how manytimes. I badly failed to understand him initially. He has been there with me from the beginning ofmy research, as a senior, as a junior guide, and above all like an elder brother and he will remain so
for ever. Over these six years that I have known him, he has pampered me like nobody has everdone. Thank you Arunanna, now officially, Dr. M Aruna Kumar.
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Dr. K.C. Suresha is so simple in his approach that he expects no special mention. He has
been there, always ready to help, just like a younger brother. A special thanks to Anandgaru. Wehave spent almost every single evening together walking to Gops (now food court) to have chai andchat like there is no tomorrow. Thanks also to M Ren Gupta (Myren Winer) for being there to help
me always. I will specially remember your help in data feeding and analyses. Velpula Rajshekarchipped in to help me with the typing work, when I needed the most.
To my cousin on campus, Nideesh Johny and Anish Dominic (Acchayan) and to manyothers whom I cannot name individually, due to space and time constraints and of course my
forgetfulness. Aravinda (darling), Vikram, Vishwa and Prabhu- thank you all for being there forme. Thanks also to Amrita Vani Raju, my lovely little junior. I will always cherish the many fightswe had over the last three years. I still have to figure out the reasons for the fights!! ParvathiDevi has also been there, very warm and very generous!
My maternal grandmother, Smt. Letitia Cornelio, died in the month of September 2008.She would have been happy to see me submit my thesis. I wish to thank my father Mr. FrancisDSouza, grandpa, and my maternal aunts, Joys, Clotty, Malla, Helen & uncle Sanjay for theirlove, encouragement & support. Then there are my cousins, Shiny, Mishal, Melisa, Andrea,
Allistair, Shannon and Gisel. It is sometimes nice to recall dear departed in the family- They wouldall have been proud of me - Cecilmai, Sobinmai Cellimai and Georgeaab. To all my relatives fortheir prayers, blessings & wishes.
A special thanks to Rev. Fr. Duming Dias, Shimoga. He was there to help and encourageme at the most unexpected of times.To Rev. Fathers Stany DSouza, Franklyn DSouza, Gilbert
Lobo, Paul DCunha, Felix Noronha, Clement DSouza, Veeresh Moras, Stephen Jayard and thelate Rt. Rev. Msgr. K C Abraham and many others who have constantly supported me throughtheir prayers and wishes. To the Very Rev. Fr. Andrew DSouza. He will be very pleased to knowthat I have come this far.
I wish to recall and thank the late Rt. Rev. Msgr. Jerome F Fernandes for everything hedid for me & everything he taught me. To all the teachers at St. Charles High School, Bhadravathi,& Anugraha High School, Ujire, DVS Junior and senior colleges for everything they have done forme. To Sr. Daisy Andrade, and the SMI community at Ujire for their love & affection. To Sr.Margaret Mendonca, Sisters of Charity, Hyderabad. To, each of the Sisters of St. Charles
Borromeo, for their love & interest in my work & spiritual support through their constant prayers.
Heartfelt thanks to the library staff at Indira Gandhi Memorial Library, CESS, NIRD,(Hyderabad), ISEC, CISED and Central Forest Library (Bangalore) and to all the support staff,specially Guptaji, Prakashji and Suresh at the Dept. of Political Science and many others workingin different sections of the University.
-OzmoOzmoOzmoOzmond Roshan DSouzand Roshan DSouzand Roshan DSouzand Roshan DSouza
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CONTENTSCONTENTSCONTENTSCONTENTS
Headings Page
umberI. Introduction
1.1: Introduction
1.2: Significance of the Study
1.3: Statement of the Problem
1.4: Research Questions
1.5: Objectives of Study
1.6: Research Methodology
1.7: Selection of the field
1.8: Shimoga District Profile
1.9: Geography
1.9.1:BriefProfile of the Shimoga (district) Forest Circle1.9.2: Climate
1.9.3: Division Wise Details
1.9.4: Selection and Study of the VFCs
1.9.5: Structure of the thesis
1-18
II. Joint Forest Management: Towards aTheoretical Framework
2.1: Participation
2.1.1: Concept and Definitions2.1.2: Participation and Other Related Aspects
2.1.2A: Participatory Evaluation
2.1.2B: Participatory Rural appraisal
2.1.2C: Participation and Stakeholders
2.1.2 D: Participation and Empowerment
2.1.2 E : Participation in atural Resource Management
2.2: Social Capital2.2.1: Introduction
2.2.2: Origin and Definitions
2.2.3: Critique of Putnams concept of Social Capital2.2.4: General Empirical Studies applying Social Capital
2.2.4A: Studies outside India
2.2.4B: Studies in India
2.3: Joint Forest Management2.3.1: Introduction
2.3.2: Forest Policy in India
2.3.3: Collaborative Forest Management in India
2.3.4: Joint Forest Management in Karnataka
2.3.5: Phases of JFPM project in Karnataka at a Glance
19-117
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2.4: Empirical Studies2.4.1: JFM: Empirical Studies without Social Capital
2.4.2: JFM: Empirical Studies applying Social Capital
2.4.3: Summary of the Chapter/ConclusionIII. Joint Forest Management in Hurlihalli
Introduction
Section I: Household Survey and Quantitative Analysis
Section II: Case Study and Qualitative Analysis
118-170
IV. Joint Forest Management in JayanagaraIntroduction
Section I: Household Survey and Quantitative Analysis
Section II: Case Study and Qualitative Analysis
171-217
V. Joint Forest Management in KanagoduIntroduction
Section I: Household Survey and Quantitative Analysis
Section II: Case Study and Qualitative Analysis
218-272
VI. Conclusion6.1: Introduction6.2: Limitations of the study
6.3: Research Findings/ Outcomes
6.4: Community Participation in the JFPM programme
6.4.1: Household Income (in Indian Rupees) and participation in
the JFPM programme
6.4.2: Social Capital, participation in VFC activities and
performance of JFPM programme
6.5: Research Tools: Household Survey Vs Participatory
Observation
6.6: Suggestions
273-298
References Articles, Books and Journals Government and other documents Websites
299-311
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Abbreviations and Acronyms
ACF Assistant Conservator of ForestsBWF Barbed Wire Trenches
CPT Cattle Proof TrenchesCSO Civil Society OrganizationDCF Deputy Conservator of ForestsDfID/DFID Department for International DevelopmentECM Executive Committee MeetingsEDC Eco-Development CommitteeFDA Forest Development AgencyFGD Focus Group DiscussionGBM General Body MeetingsHa HectaresIGA Income Generation ActivityFPC Forest Protection CommitteeJBIC Japan Bank for International CooperationJFM Joint Forest ManagementJFPM Joint Forest Planning and ManagementKFD Karnataka Forest DepartmentKFDC Karnataka Forest Development CorporationMCM Management Committee MeetingsMoEF
Ministry of Environment and ForestsMPM Mysore Paper MillsNAP National Afforestation ProgrammeNGO Non Governmental OrganizationNRM Natural Resource ManagementNTFP Non Timber Forest ProduceODA Overseas Development AgencyOECF Organization for Economic Cooperation and FriendshipPCCF Principal Chief Conservator of ForestsPRA Participatory Rural AppraisalRFO/FO Range Forest Officer/ Forest Officer
SCAT Social Capital Assessment ToolSDMC School Development and Management CommitteeSHG Self-Help GroupVFC Village Forest CommitteeVFDF Village Forest Development FundWB/IBRD World Bank/International Bank for Reconstruction and
Development
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1
CHAPTER ICHAPTER ICHAPTER ICHAPTER I
INTRODUCTIONINTRODUCTIONINTRODUCTIONINTRODUCTION
1.1: Introduction:
Rising population, growing human needs, expanding developmental activities in
the last century coupled with high levels of man-made pollution, have had a major
impact on the ecology and the natural resources. States, international bodies, and Non-
Government Developmental Organizations having taken note of these developments -
dwindling natural resources and its negative impact on the ecology, have given great
importance to help save the ecology on the one hand and secure natural resources on the
other for future generations without affecting the rate of present development process.
Two major arguments are put forward in this process. First, how are we to reduce the
levels of pollution? Second, how do we judiciously use natural resources: both
exhaustible and non-exhaustible? Two major natural resources are of utmost
importance: water and forests. The gravity of the problem requires massive investment
of manpower and money. Technology would be of little help in this case as only
developed states can invest in the technology. Developing and under-developed states
have to rejuvenate these resources with help from developed countries. Conserving
these two resources without involving people would be out of question due to theenormity of the spread of these resources. In contrast to local, national and international
initiatives in controlling environmental degradation, problems facing environmental
sustainability have not reduced over the years, owing to increasing population and
corresponding developmental activities. Forestry issues are in the forefront of this
environmental crisis, given the fact that deforestation continues to advance in most of
the countries of the world, particularly in the tropical regions.
Forests, spread over vast areas, with little investment in manpower by the state
in developing countries is within the reach of people who would exploit it for
commercial and domestic purposes without any effective control by state. The forest
cover has reduced enormously over the last three decades. People live in and around
forests all over the world; controlling people who have been dependent on the forests
for their livelihood becomes very difficult for the state at times. In this background, it
was deemed fit that the very same people who would exploit these resources would help
conserve them. Debates after debates took place and models after models were
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2
experimented to find the most effective model for conserving the forest resources - state
involvement, joint initiatives with forest-dependent communities, cooperatives, public-
private partnership, etc. While some experiments failed to produce necessary results,
some succeeded. Successful models were replicated all around the world, with varying
results. The existing model in India, with regard to watershed management or forest
management is similar to models in many developing states in Africa, Asia and Latin
America. In addition to the conservation of natural resources, it promotes active
involvement of people belonging to different sections of the society, whether from
privileged, under privileged or the marginalized sections. The programme also involves
an important component of development - with a bottom-to-top approach instead of the
top-down approach. This gave rise to the debate on participatory development.
Managing and sustaining natural resources has become an important area of
study. Given the fact that environmental degradation has reached an unprecedented
scale, scholars have referred to events ranging from the Earth Summit, to the Stockholm
Conference on environment (1973) to the Rio-de-Janeiro Conference (1992) on the one
hand for conserving the environment to the reasons for its degradation ranging from the
impact of population growth on the depletion of natural resources, referring to Malthus
and echoed by Ehrlich (1968) and Hardin (1968 and 1974).
Over the years, various models of forest conservation were evolved by power
mechanisms (the state, its agencies or the multilateral institutions like the World Bank,
the United Nations Environmental Programme, the Food and Agricultural Organization,
etc,) relating to conservation of forest resources through state initiative. A change of
perspective gained gradual acceptance, in the seventies of the last century, recognizing
the fact that those who know most about the forests are the people living in and around
them. Many other development initiatives1 also witnessed a change from top-down
managerial approach to a bottom-to-top approach. The systems that the indigenous
people and local forest dependent communities have developed over generations have
rich traditions in forest management and conservation based on different parameters
from that of the state.
1 See Gellar, Sheldon, (1985): The Ratched-McMurphy Model Revisited: A Critique of Participatory
Development Models, Strategies and Projects, A Journal of Opinion, Special Issue on AfricanistOpinion, Vol. 14, p. 26.
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The 20thCentury has witnessed the colonial and later state appropriation of and
control of forest resources in many countries through centralized or state-controlled
technocratic management of forests under the garb of scientific forestry promoting
industrial forestry interests, to build development infrastructure or private use resulting
in large scale forest degradation and destruction, displaced people, loss of livelihoods
and cultures. Scientific Forestry, a technical nomenclature for a large scale
monoculture commercial trees scheme, as is observed the world over, ignores multiple
dimensions of the ecosystem (climate, geography, soil condition and quality, demands
and dependence of local communities), which is evident in the state of Karnataka,
where the state forest department and its commercial agency, the Karnataka Forest
Development Corporation (while the former is involved in teak tree plantation, the latter
is involved in plantations ranging from teak to acacia trees.) are involved in large scale
monoculture commercial tree farming, which on the one hand fulfils the objective of
increased forest cover and on the other hand ensures commercial returns after a
specified period.
The model that, on one hand ensures environmental sustainability and on the
other, benefits local communities dependent on forest resources for their livelihood is
Community based Forest Management, with varying modalities depending on
social/cultural/political and environmental diversity of different regions. Joint Forest
Management, an initiative between the state (through Forest Department) and forest
dependent communities and active involvement of NGOs was introduced in the early
nineties of the 20thCentury, which is still at an experimental stage. More than a decade
later, there have been many success stories as well as failures within and among states
in India.
The present study attempts to find solution to forestry crisis through
community/joint management, for it to be effective, a range of problems, external,
internal and intermediary need to be solved. Those problems which are extraneous in
nature are the responsibility of the state as the legal owners of forest resources by
creating necessary basic conditions as facilitators, to ensure effective management by
bringing in a radical change in policies followed over the years through providing
necessary support like simplifying bureaucratic formalities, reducing tax burdens,
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training, research and development and marketing of the forest produce. Communities
must solve internal problems involving questions relating to organization and
administration, and creating conditions for democratic, participatory and transparent
management of these resources. In addition to applying traditional knowledge for
conservation of forest resources, these communities are also required to ensure equitable
participation in decision making by the community as a whole, involving generally the
question of gender but/and particularly in the Indian context, the questions of caste,
region, religion and language and a cohesive mechanism for conflict resolution. The
Non Governmental Organizations (NGOs) involved in such processes as intermediaries
need to have a definite role, recognizing their transitory role of assistance and work
towards transferring their know-how (technical knowledge) as early and as easily as
possible to make these communities independent and responsible for their own
sustainability and development.
Given these general parameters, the present study attempts to explore/explain
various possibilities that help or hinder the success of forest conservation and
management. The study highlights political/social/cultural and economical issues that
are essential for effective community-based management solution. These communities
are organized and succeed through co-ordinated efforts and shared information that in
turn create conditions for effective forest conservation and management through
community initiatives.
1.2: Significance of the Study:
The present study is significant in two aspects. Firstly, the study attempts to be a
part of the small but growing studies on social capital empirically, locating the problems
or otherwise in applying a concept developed through studies in the west to the Indian
conditions. Secondly, in the light of the debate on various ways and means adopted in
forest conservation programmes, the present study attempts to locate the importance of
different levels and forms of participation through the application of the theory of Social
Capital.
1.3: Statement of the Problem:
Participation in a development process is a complex socio-political phenomenon
involving different factors like caste, language, community, religion, etc. in rural areas
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in the Indian context. Understanding the participation process involves understanding
the social dynamics operating in a given society. This is done through the application of
the theory of social capital, which in a nutshell speaks of norms, networks, trust, values,
traditions, etc. that exist in a society and help (when used positively) in contributing to
the development of that society. The study intends to focus on the relationship between
changing social phenomenon and stakeholders participation and its effect on the
economic development in a given society/community. Another challenge is the
understanding of various elements/factors (social or otherwise) (stakes like finances
involved in the programme, social and political status participation can bring, personal
benefits, collective benefits, etc.) influencing peoples participation in various
associations and its implications for developmental activities in the rural areas. Is it due
to the existing social relationships and continuing changes in the local socio-economic
practices or due to the influence of external agencies (NGOs/State or the funding
agencies)?
1.4: Research Questions:
1. What are the factors that influence different people to participate in an
association?
2. Are development and conservation activities correlated?
1.5: Objectives of Study:
To observe the pattern of participation in the Village Forest Committeesoperating under the Joint Forest Management Programme.
To observe the socio-political dynamics operating in the relationshipbetween (bridging social capital) and within (bonding social capital) theaforesaid associations and its effect on the development process in ruralareas.
To observe the influence of external bodies on the functioning of theaforesaid associations and the role they play in the relationship between andamong the major stakeholders (linking social capital).
To assess the operation and functioning of social capital in the Villagecommunities.
1.6: Research Methodology:
In the lookout for research designs that best suit in assessing complex issues and
concepts, social capital included, social science research including economic research,
is employing both quantitative and qualitative methods. Integration of complementary
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methodologies helps in many ways: to enhance confirmation or corroboration of
varying methodologies via triangulation; to elaborate or develop analysis, providing
richer detail; and to initiate new lines of thinking through attention to surprises or
paradoxes (Rossman and Wilson, 1984, 1991).2Survey data generate a broad overview
of the institutional framework that exists in a particular community; institutional
mapping, focus groups and other qualitative techniques provide for a more nuanced
understanding of institutional characteristics such as accountability, collectivity and
transparency.3
Krishna and Shrader (1999)4favoured Social Capital Assessment Tool (SCAT),
a field-tested set of indicators and methodologies that measure levels of cognitive and
structural social capital in communities designated as beneficiaries of development
projects. The SCAT draws on qualitative and quantitative data useful for determining
baseline levels of social capital and monitoring progress over the course of project
implementation, thereby permitting the analysis of the relationships between
development indicators and social capital accumulation.5 The SCAT consists of (1) a
communityprofilewhich integrates participatory qualitative methods with community
survey instruments to assess various dimensions of community-level social capital,
including community assets identification, collective action, solidarity, conflict
resolution, community governance and decision making, institutional networks, and
organizational density (2) a household survey which includes a 39-item battery on
structural social capital and a 21-item battery on cognitive social capital, field tested as
a stand-alone instrument or as one that can be incorporated into ongoing survey
research6(in the present study, it is Joint Forest Planning and Management); and (3) an
organizationalprofile designed to delineate the relationships and networks that exist
2 Krishna, A and Elizabeth Shrader (1999): Social Capital Assessment Tool, paper prepared for the
Conference on Social Capital and Poverty Reduction, The World Bank, Washington, DC, 22-24 June.http://wbln0018.worldbank.org/external/lac/lac.nsf/0/d2d929b5fff4b555852567ee00041ad/$FILE/Drft0623.doc, p 9 (html version).3Krishna, A and Elizabeth Shrader (1999): p 10 (html version).
4Mohan, Giles and John Mohan (2002): Placing Social Capital, Progress in Human Geography, Vol.26, No. 2, p 200. Also see page 6 (html version) of Krishna, A and Elizabeth Shrader (1999).5Krishna, A and Elizabeth Shrader (1999): p 6 and pp 7-8. (html version).
6 Structural social capital includes horizontal organizational structure; collective/transparent decision-
making process; accountability of Leaders and practices of collective action and responsibility. Cognitivesocial capital includes values; trust; solidarity; reciprocity; social norms; behaviour and attitudes. Thisdistinction is made by Norman Uphoff. For more details see Norman Uphoff (1999): Understanding
Social Capital: Learning from the Analysis and Experience of Participation, in Social Capital: AMultifaceted Perspective, edited by Partha Dasgupta and Ismail Serageldin, World Bank, WashingtonD.C., p 217.
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among formal and informal institutions, integrating semi-structured interview data with
a scoring system for assessing organizational capacity and sustainability.
The present research is a mixture of quantitative analysis and qualitative and
descriptive study. The conceptual part of the research is covered with review of select
literature; thematic books, journals, articles, institutional reports (Government and
NGOs), research and discussion papers of the World Bank, published and unpublished
papers presented at national and international seminars. This process of literature review
is helpful in locating the gaps in previous studies as also some arguments related to the
present study.
The fieldwork was carried out in two phases.7In the first phase, census method
was followed to carry out household survey of all the members of the VFC through a
structured questionnaire with 92 questions. The questionnaire had three sections. The
first section included the general information of the members of the household. The
second section included questions related to the awareness, participation in the JFPM
programme, engagement of the VFC in and its impact on the conservation and
developmental activities. The third section included questions on social capital
(structural and cognitive) and interpersonal engagements. The questionnaire based on
SCAT was prepared after thorough review of the JFPM policy, and in consultation with
forest officials, NGO leaders involved in JFPM programme and a pilot study in
Hubbanahalli village. Maximum care was taken to ensure that most of the members of
the household were available during the survey.
Ethnographic method was followed in the second phase to observe and record
major incidents in the village that influenced the process of forest conservation and
development. Personal interviews with the members of the VFC who have played a
major role in the JFPM process, NGO activists and forest officials were conducted. The
focus group discussion (FGD), mainly, was held with VFC managing committee
members, landless labourers and members of various associations. The research strategy
7Krishna, A and Elizabeth Shrader (1999): p 12 (html version). Krishna and Shrader suggest that the
household survey is most effective when it follows the completion of the community profile; however,
household interviews may be conducted prior to community interviews, particularly in situations oflimited time or resources.
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focused on the data collection from all direct stakeholders of the programme, indirect or
external stakeholders like the nodal agency/ies (state or central governments), funding
agencies, NGOs, etc. Minutes books of the VFCs were also referred to record the
proceedings of and decisions taken during the general body and managing committee
meetings. The units of analysis in the present study are both the household and the
community, and the variables of interest related to social capital that may be created or
accessed by individuals, households or local level institutions.
1.7: Selection of the field:
Shimoga district of Karnataka state was selected for the field work.
The area marked in dark blue colour in the above map is Shimoga district.
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Table o. 1: District wise Extent of Forest Area in Karnataka during the year 2006-07.
(31-12-2006) Area in Square Kilometres.
Sl.No.
District GeographicalArea
Total ForestArea
% of ForestArea
1 Bangalore (Urban) 219000 122.25 5.50
2 Bangalore (Rural) 581500 1164.85 20.03
3 Belgaum 1341500 2063.20 15.34
4 Bellary 841900 1378.52 16.37
5 Bidar 544800 456.16 8.376 Bijapur 1047500 81.11 0.77
7 Bagalkote 659400 838.93 12.72
8 Chickmagalur 720100 2756.51 38.28
9 Chitradurga 838800 1287.18 15.35
10 Davangere 601800 544.34 9.05
11 Dakshina Kannada 484300 2012.18 33.44
12 Udupi 359800 1720.57 47.82
13 Dharwad 423000 468.52 11.0814 Gadag 465700 333.37 7.16
15 Haveri 485100 432.80 8.92
16 Gulburga 1622400 997.76 6.15
17 Hassan 681400 879.25 12.90
18 Kodagu 410200 2870.99 69.10
19 Kolar 822300 1066.22 12.9720 Mandya 496100 664.61 13.40
21 Mysore 626900 1449.87 23.13
22 Chamrajnagar 568500 2791.46 49.10
23 Raichur 555900 325.57 5.86
24 Koppal 845800 430.60 5.09
25 Shimoga 846500 6631.44 78.3426 Tumkur 1059800 1291.67 12.19
27 Uttara Kannada 1029100 8296.46 80.62
Total 19179100 4356.39 22.61
The above table provides the details of the geographical area of the 27 districts
in Karnataka and the extent of forest cover in each of the districts. The figures in row 25
shows that Shimoga district (78.34%) is the second most densely forested district in the
state of Karnataka only after Uttara Kannada (80.62%).8
Shimoga district was selected based on the details provided in the Table nos.
1and 2. Though Shimoga district has the second highest forest cover, research in
forestry in the district from socio-economic and political perspectives, are limited.
8 For further details see, Tables -1 and 2 on pages 64 and 65, Karnataka Forest Department (2007):
Annual Report-2006-07, Government of Karnataka, Aranya Bhavan, Bangalore.
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Table o. 2. District wise extent of Forest area by legal status during the year
2006-07. (31-12-2006) Area in Square Kilometres.
The above table provides details of the extent of forest cover by legal status for
the year 2006-07. One can observe from the figures in row 25 that though reserved
forests are lesser in extent in Shimoga district than Uttara Kannada, its protected and
unclassified forests form the highest in the whole state.
1.8: Shimoga District Profile:
Shimoga is a district with nature's bounty landscapes dotted with waterfalls,
swaying arecanut and coconut palms and lush paddy fields. The rivers Tungabhadra,
Sharavathi, Varadaand Kumudavathi inundate the luxuriant greens of the region. The
Sahyadriranges, part of the Western Ghats, feed the rivers round the year, and inundate
the fertile alluvial soil. The Sharavathi Hydel Project and Varahi Project provide to a
substantial portion of the state's power needs. Shimoga is known for enchanting natural
Sl.No.
District Reserved
Protected Unclassified Village Private
1 Bangalore (Urban) 24.92 2.74 94.59 -- --2 Bangalore (Rural) 980.51 83.04 101.30 -- --
3 Belgaum 1890-97 10.30 159.60 2.33 --
4 Bellary 947.80 321.69 109.03 -- --
5 Bidar 54.67 124.91 274.98 -- 1.60
6 Bijapur 17.22 0.11 63.78 -- --
7 Bagalkote 790.69 -- 48.24 -- --
8 Chickmagalur 1277.01 348.47 1122.17 8.86 --9 Chitradurga 765.11 72.59 449.48 -- --
10 Davangere 460.94 27.64 55.76 -- --
11 Dakshina Kannada 1311.74 0.15 647.82 -- 52.47
12 Udupi 951.34 16.87 752.36 -- --
13 Dharwad 449.10 2.88 16.54 -- --14 Gadag 320.93 3.56 8.88 -- --
15 Haveri 346.31 9.88 76.61 -- --
16 Gulburga 269.26 230.50 498.00 -- --
17 Hassan 412.13 90.18 376.25 0.69 --
18 Kodagu 1366.94 105.45 1398.60 -- --
19 Kolar 832.79 84.51 145.80 3.12 --
20 Mandya 198.61 20.69 445.31 -- --
21 Mysore 1208.75 5.53 235.59 -- --
22 Chamrajnagar 2698.47 63.88 29.11 -- --
23 Raichur 186.30 41.75 97.52 -- --
24 Koppal 151.71 55.54 223.41 -- --
25 Shimoga 3127.66 1190.99 2305.35 7.44 --
26 Tumkur 780.60 129.24 381.40 0.43 --27 Uttara Kannada 7727.71 542.13 0.44 26.18 --
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scenery of hills, hillocks and green dales, rivers and streams, dense forests, flora and
fauna, forts, temples and historical places, sandalwood and spices.
This district was ruled by the great Indian dynasties of the Kadambas, Gangas,
Chalukyas, Rastrakutas, Keladi and VijayanagaraKings. Shimoga was established by
the Keladi rulers. It reached its pinnacle during the rule of Shivappa Nayaka around
1600 A.D. Shimoga, as per traditional derivations, the name pertains to Lord Shiva
('Shiva-Mukha'- Face of Shiva, 'Shivana-Moogu'- Nose of Shiva, 'Shivana-Mogge'
- Buds of flowers meant for Shiva). According to the legend, the place had the ashram
of the famous sage 'Durvasa'who was noted for his sharpness of temper. He used to
keep on the oven a pot boiling with sweet herbs. Once, some cowherds, who chanced
upon it, tasted the beverage out of curiosity and called the place 'Sihi- Moge' (Sweet
Pot) which was later called as Shimoga. Some scholars have also recorded that the
name Shimoga was derived from SihiMoghemeaning sweet cucumber. The district was
renamed Shivamogga; a Gazette notification to this effect is yet to be issued.
1.9: Geography:
Shimoga, (274 Kilometres from, Bangalore) is situated in the Malnad region
bounded by Sahyadri ghats at a mean elevation of 640 AMSL in the western-central
part of Karnataka. The district is spread over an area of 1058,000 Hectares (10553
Square Kilometres) and has a forest area of 3, 27,000 Hectares9. Another document puts
it at 4, 97,239.370 Hectares.10It ranks 9th in size among all the districts of the State. It
is located between Longitude - 13o27' and 14o39' North and between Latitude 74o38'
and 76o4' East. The length of the district from East to West is 152.9 Kilometres and
from North to South is 128.8 Kilometres. Shimoga shares its borders with Haveri
district in the North, Davangere in the East, Udupi in the West, Karwar in the North-West and Chickmagalur in the south. The total population of Shimoga district is 16,
39,59511(sixteen lakhs thirty nine thousand five hundred and ninety five).
Shimoga district is rich in flora and fauna, the dense forest and green shrub
jungles are main producers of sandalwood, rosewood, teak and other exotic timber.
9As per the data provided in the website http://shimoga.nic.in
10------- (2003): Shimoga Vrutthada Varshika Varadhi 2003-04(01-04-2003 rindha 31-12-2003 ravarage)
Shimoga Aranya Vruttha, Karnataka Aranya Ilakhe.11
------- (2007):Manorama Year Book, Malaya Manorama, Kottayam. Original Source: 2001 KarnatakaCensus Report
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Mango, Jackfruit, Tamarind, etc., are the other important trees found around the district
with rich yields. The dense forests of the district is home for wild animals like
Elephants, Tigers, Leopards, Wild boars, Bears, Antelopes, Bisons, Porcupines,
Monkeys, wolves, etc. Birds migrate here from all over the world. The eastern part of
district comes under the semi-Malnad (Aremalanadu) zone with plain topography and
occasional chains of hills covered with semi-deciduous vegetation.
Shimoga is a place of origin for riversKali, Gangavathi, Sharavathi andTadadi.
The other major rivers which flow through the district are Tunga, Bhadra andVarada.
The rivers Tunga andBhadra meet at a place called Koodalgi or Koodli in Shimoga.
Agumbe, a small place, around 95 kilometres from Shimoga is known for its highest
rainfall (8000 mm/annum) in south India
1.9.1:BriefProfile of the Shimoga (district) Forest Circle:
Shimoga Revenue District is spread over 10553 Square Kilometres12 (Ten
thousand five hundred and fifty three square kilometres) covering an area of 10, 58,000
(ten lakhs fifty eight thousand) Hectares. Shimoga Forest Circle13 is spread over
approximately 10,727 Sq. Kms., with the whole of revenue district and parts of
Chickmagalur (part of Tarikere taluk) and Davangere (full of Chennagiri and part of
Honalli Taluks) revenue districts.14This was the first forest circle to be established, in
the then princely state of Mysore (now Karnataka) through Government Order No.
G.5034.5- FT.101-27-3 dated 11thNovember 1927. This circle was re-alienated deleting
Chickmagalur and Koppa divisions and covering Bhadravathi, Sagar and Shimoga
territorial divisions and Social Forestry and Shimoga Wild-life divisions under its
jurisdiction vide G.O. No.: FEE20:Apase:2001:Bangalore dated 22-10-2001 with effect
from 01-12-2001. The Forest Circle lies between 12054 to 14037 N attitudes and 740
38 to 760 40 longitudes.
12------- (2007):Manorama Year Book, Malaya Manorama, Kottayam.13Forest Department (2007):Annual Administrative Report 2006-07, Shimoga Forest Circle, Shimoga.14
Forest Circles need not be co-terminus with the boundaries of a Revenue District. Chennagiri and
Honalli Taluks were part of Shimoga revenue district prior to the bifurcation and separation of Davangeredistrict in 1997.
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The five divisions function to achieve the following objectives.
a. Protection of Forests flora and fauna.b. Promoting natural regeneration of species of economic value.c. Afforestation of degraded forests.d. Soil conservation.e. Extraction, sale and supplies of forest produce to general public and
industries.f. Implementation of District sector, State sector and Central sector plan
schemes.
Map depicting Shimoga District and the Forest Cover
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1.9.2: Climate:
The temperature in the circle ranges from 80 Celsius during winter to 400Celsius
during summers with cold weather from November to February, hot weather from
March to May and rainy season from June to October.
The forest circle can be broadly divided into five types. They are
1. Ever green and semi-ever green.2. Moist and dry deciduous.3. Scrub and thorny.4. Un-wooded.5. Grassy blank.
While the geographical area of the forest circle is 10727 Sq. Kms., the forest
cover is 4345.22 Sq. Kms, constituting 40.51% of the total geographical area.
1.9.3: Division Wise Details:
Details of forest areas of the territorial divisions existing in the circle during the
year 200506 under report are as under.
Sl.No.
Division Area Added Area Excluded Area as on 31-03-2007
1. Bhadravathi -- -- 1032.971
2. Sagar 2.996 -- 1217.606
3. Shimoga -- -- 1267.5704. Total -- -- 3518.147.
BhadravathiDivision15with headquarters at Bhadravathi comprises areas of following
three revenue districts.
Sl.
o.
District Taluks Remarks
1. Shimoga i) Full of Bhadravathiii) Parts of Shimoga
Upto River Tunga
2. Chickmagalur iii) Parts of Tarikere
3. Davangere iv) Full of Chennagiriv) Parts of Honalli Chennagiri and Honalli Talukswere part of Shimoga revenuedistrict till 1997.
Forest types in the division vary from moist deciduous to thorny forests and vast
stretches of barren hills in Chennagiri and Tarikere taluks. The division contains the
catchment area of two major rivers, Tunga and Bhadra. The water discharged from the
15 Forest Department (2007): Annual Administrative Report 2006-07, Bhadravathi Forest Division,Bhadravathi.
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forest areas drain through these two rivers. Another important tank Shantisagar
(Sulekere) also entirely depends on the catchment of Kukwada Ubrani and
Rangaiahnagiri state forests. The jurisdiction of the division is spread over 1032.971
Sq. Kms and Range Offices are situated in Bhadravathi, Umblebylu, Lakkavalli,
Ajjampura, Tarikere, Chennagiri and Shantisagar.
Shimoga Division16 with headquarters at Shimoga comprises areas of the
following revenue districts.
Sl.
o.
District Taluks Remarks
1. Shimoga i) Parts of Shimogaii) Full of Thirthalliiii) Parts of Hosanagaraiv) Parts of Shikaripura
2. Davangere v) Parts of Honahalli Honalli Taluk was part ofShimoga revenue district till 1997.
The jurisdiction of Shimoga forest division is spread over 1267.570 Sq. Kms.
With headquarters at Shimoga, it has six ranges - Shankar, Aaynoor, Arasalu
(Ripponpet), Mandagadde, Agumbe and Thirthahalli. Forest type ranges from evergreen
to moist and dry deciduous. Evergreen and semi-evergreen forests are known for
balangi, kiralbhagi, hebbaalasu, dhupa, kaidhupa and other matchwood and plywood
species. Moist and dry deciduous forests are known for teak, rose, jambe, nandi, mathi,
hunalu, hone and other hardwood species apart from sandalwood and bamboos.
Sagardivision17with headquarters at Sagar comprises of the following taluks of
Shimoga revenue district.
Sl.o. District Taluks Remarks
1. Shimoga i) Full of Sagarii) Full of Sorabiii) Parts of Hosanagaraiv) Parts of Shikaripura.
16Forest Department (2007):Annual Administrative Report 2006-07, Shimoga Forest Division, Shimoga.
17Forest Department (2006):Karnataka Aranya Anki Amshagala ota(Kannada), Sagar Forest Division,
Sagar and Forest Department (2007): Annual Administrative Report 2006-07, (Kannada-VaarshikaAdalitha Varadi), Sagar Forest Division, Sagar.
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Forest type ranges from evergreen and semi-evergreen in Sagar, Hosanagar and
moist and dry deciduous in Sorab and Shikaripura. The jurisdiction of Sagar forest
division is spread over 1,21,117.76 hectares and an area of 1478.29 Sq. Kms., under
sanctioned working plans. An area to the extent of 2479.12 hectares is under
encroachment as on 31-03-2006. There are a total of ten ranges in the division making it
the largest division in the Shimoga forest circle. The ranges are Sagar, Anandapura,
Hosanagara, Shikaripura, Shiralkoppa, Sorab, Kargal, Ambligola, Anavatti and Nagara.
Catchment areas of three rivers -Kumadvathi, Varadha and Sharvathi fall under this
division.
1.9.4: Selection and Study of the VFCs:
TheAnalyticalModel
Source: World Bank (1998):Incentives for Joint Forest Management in India- Analytical Methodsand Case studies, World Bank Technical Paper No. 394, I, Hill and D. Shields.
VillageModelStructure
Socio-economic
Forest ProtectionCommittee
Forest
Area
Type Degradation
Biological Model
Growing Stock
Incremental growth
Link with Canopy cover
Non-Timber Forest Products
Productivity
Link with Canopy cover
Economic Model
Economic returns
Revenue Sharing
Income anddistributional impact
Enabling Environment
Institutions
Externalinterventions
Internal Management
Conclusion
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The study was based on an adopted and modified model provided by the World
Bank for the study of Joint Forest Management Programme in India. The researcher
adopted parts of the village model from the above diagram.18The role of the economic
impact and the enabling environment was assessed through opinions regarding various
issues through household survey and actual ground realities through the ethnographic
method. Three villages were selected for case studies based on their area, type and level
of degradation. The first, Kanagodu-Nadamanchale represents a village type from
closed forest area. The second, Hurlihalli-Thotadakere represents a village from open
forests and the third,Jayanagara-Belalkatterepresents a village from degraded forests.
One interesting similarity in all the three villages is that they have been named after
different aspects of nature. Kanagodu means forest lands, Thotadakeremeans tank of
the orchards andBelalkattemeans land of the wood apple trees.
The criteria for the selection of these three villages were that:
1. Each of the three VFCs should have been established at least fiveyears prior to 2005 (Five years is one project period) and ideallycontinued funding under the same or any other project so as to assessthe levels and forms of participation over a long period
2. Each of the three VFCs should represent each of the three differentadministrative divisions in Shimoga Forest Circle so as to providerepresentation to these divisions while sampling
3. The households in the village should be ideally in the range of + or one hundred so as to carry out survey through census method.
4. Each of the three villages should have had incidents (at least one)requiring collective action (in the present case it is forest fire) so as toassess forms of participation
1.9.5: Structure of the thesis:
The thesis consists of six chapters in all. The first chapter introduces the reader
to the over all debate on forest conservation, significance and objectives of the study,
statement of the problem, research question/hypotheses, research methodology,
rationale behind the selection of the district, district profile, rationale behind the
selection of the villages and the research model.
The second chapter attempts to provide a theoretical framework for the study.
This chapter discusses three aspects of the study, first the concept of participation,
second the theory of social capital and third, the Joint Forest Management policy.
18 For more details on the model, see World Bank Technical Paper No. 394, pps. ix-xi and 29-38.
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Understanding the concept of participation in the context of Joint Forest Management
policy, which is a community-based programme, is very important as it provides the
reader with an insight into the idea and different aspects of participation. The chapter
continues with the discussion on the theory of social capital and its significance for the
present study and its application to assess participation. This part provides readers with
a review of select empirical studies carried out around the world applying social capital.
The next part of the chapter is a discussion on the policy of Joint Forest Management.
An attempt is made to trace the collaborative arrangement and understanding of the
experiment at a national level and in Karnataka. In the following part, we discuss
empirical studies on JFM without social capital followed by those empirical studies on
JFM that have applied the theory of social capital. The chapter concludes with a
summary of the discussion.
The third, fourth and fifth chapters are discussions on the ground realities that
each of the three chapters deals with in three different villages. The three chapters
contain statistical data of the three villages collected through household survey.
Findings from the field, in relation to forest conservation and participatory
development, in the form of quantitative analysis and descriptive case study form part
of these chapters. The three fieldwork based chapters follow in the alphabetical order.
First, Hurlihalli; second, Jayanagara and third Kanagodu.
The last chapter on conclusion is a summary of all the previous chapters. The
researcher compares the findings from the three different villages in the light of forest
conservation and participatory development and previous studies discussed in the earlier
chapters and final arguments. This chapter also contains a note on the limitations of the
study, some methodological questions and suggestions based on the field study.
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CHAPTER IICHAPTER IICHAPTER IICHAPTER II
TOWARDS A THEORETICAL FRAMEWORK: PARTICIPATION, SOCIAL CAPITAL
AND JOINT FOREST MANAGEMENT
A brief Introduction to the Chapter:
The present chapter attempts to provide a theoretical framework for the study. This
chapter discusses three aspects of the study, first the concept of participation, second the
theory of social capital and third, the Joint Forest Management policy. Understanding the
concept of participation in the context of Joint Forest Management policy, which is a
community based programme, is very important as it provides the reader with an insight into
the idea and different aspects of participation. The chapter continues with the discussion on
the theory of social capital and its significance for the present study and its application to
assess participation. This part provides readers with a review of select empirical studies
carried out around the world applying social capital. The next part of the chapter is a
discussion on the policy of Joint Forest Management. An attempt is made to trace the
collaborative arrangement and understanding the experiment at the national level and in
Karnataka. In the following part, we discuss empirical studies on JFM without social capital
followed by those empirical studies on JFM that have applied the theory of social capital.
The chapter concludes with a summary of the discussion.
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2.1: Participation
Public choice theory assumes that individuals will act out of self interest. This means that they will
be reluctant to participate in collective decision-making because the costs will ordinarily exceed
benefits
Sheldon Gellar1
Participation as a concept has grown over the centuries. Debates on participation have
acquired significance in the past decade due to the need for understanding the local realities
and due to the publicity participation has got from development agencies notably, the
World Bank. Though the modern democracies are seen as a form of political participation,
the term participation in this context signifies involvement of local beneficiaries in the
development programmes and projects. It is very difficult for an outsider (whether
Government or other development agencies) to understand the needs of the local
beneficiaries while implementing development programmes. The project managers view
people as objects and carry out the projects on the provisions of what they can and not
what the people need.2Research experiences have shown that an understanding of the local
realities and needs can be achieved only through the involvement of local people. This has
led to the emergence of the debates and studies on the concept of participation.
Participation is concerned with topics ranging from individual motivation and
ability considerations through leadership and group dynamic issues, to organizational factors
and socio-political structures and processes within and between societies. But different value
systems imply different definitions of participation resulting in a variety of meanings across
investigators. Conception of participation is also shaped by various paradigms which come
from the disciplines of psychology, sociology, economics, political science, etc.3
A responsive civil society is expected to identify local problems that affect the society
and serve as an independent voice in strategic and developmental debates and provide a
constructive forum for exchange of ideas and information between key actors in development
1 See Gellar, Sheldon, (1985): The Ratched-McMurphy Model Revisited: A Critique of Participatory
Development Models, Strategies and Projects,A Journal of Opinion, Special Issue on Africanist Opinion, Vol.14, p. 26.2 See Narayanan, Pradeep (2003): Empowerment through Participation: How Effective Is This Approach?,
Economic and Political Weekly, Vol. 38, No.25, p 2584.
3Dachler, Peter H. and Bernard Wilpert, (1978): Conceptual Dimensions and Boundaries of Participation inOrganizations: A Critical Evaluation,Administrative Science Quarterly, Vol. 23, p. 1.
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and policy processes, aggregate and articulate them so as to have an effective, efficient and
developed State.
The role of civil society is more significant in the present era of political
transformation, when the State and Governance are increasingly viewed as facilitators and
the process of facilitation respectively. Many socio-economic domains, which earlier
belonged to the State, are opening up to the non State actors, like the civil society, which is
emerging as a viable proposition to supplement or refine the functions of the State. It is here
that the civil society needs to engage itself in civic activities through community awareness
and action on pertinent policy issues through civic network.
There is a disagreement among the scholars on the definition, scope, functions, etc.,
of the concept of civil society. It is seen with different views, two very dominant among them
being- one defined in opposition to the State as voluntary associations, community bodies
etc., through which members (individuals) govern themselves, and at times intervene to
curtail the increasing power and authoritarianism of the State. The other being a sociological
notion that civil society is associated with the set of institutions that mediates between the
individual and the State. It is a pattern of structure of relationships among the individuals.
Modern democracy has been instrumental in widening the scope of civil society. In the
context of the study of developmental processes (especially, this research on social capital
and Joint Forest Management), civil society needs to be understood as a community of local
people, who benefit from the developmental programmes of the State and other agencies.
Participation in such a context can be viewed as the involvement of the local community in
the democratic and developmental activities of the state. Participation in development
process is seen as a tool to include the marginalised sections within the communities to enjoy
the benefits that come with it.
2.1.1: Concept and Definitions:
Participation refers to a process where in the civil society voluntarily engages itself in
activities that are very essential for the socio-economic development of the State and society.
The concept of participation in Political Science and Sociology has occupied a unique
position because it involves the process of collective action. Collective action refers to
action taken by a group either directly or indirectly on its behalf through an organization in
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pursuit of members perceived shared interests. It follows with the logic that people, who
have an interest in common, will act on it. For example: Students will act for better
educational facilities or traders will act together for better economic infrastructure that will
help enhance their profit margins.4This process may include collective bargaining, collective
behaviour and collective representations, despite varied social sections and selfish individual
interests operating within the realm of civil society. Participation occurs at the global,
national, subnational, community and household levels.
Lester W. Milbrath (1965) views participation as a function of individuals influenced
by various factors like stimuli, political setting, personal interests and social positions. He
describes participation as an act of involvement in the affairs of the State. He has discussed
elaborately about the positive and negative influences on and of participation.5
M.V. Pylee (1975) opines that the term participation is associated with the
behavioural school, and though the term has many proponents, it has not been defined. In
broad sense he defines participation as a means of permitting subordinates to take part in the
decision making process and thus to enlist individual creativity and enthusiasm. He draws
his idea on participation from Prof. Richard E. Walton (Prude University) who defines
participation as the influence of subordinates on action taken by their superiors.6
Bengt Abrahamsson (1977) defines participation as the involvement of employees in
decision-making on different levels in an organization. Since decisions can have more or
less wide ramifications, participation can have more or less deep going consequences for the
employees power and responsibility in the running of an organization. For him political
participation refers to involvement in high level goal setting and long term planning.7He
also refers to French et al (1960)8 define participation as a process in which two or more
parties influence each other in making certain plans, policies and decisions. It is restricted to
4See Marshall, Gordon (Ed) (1998): Oxford Dictionary of Sociology, Oxford University Press, New Delhi, p86.5See Milbrath, Lester W. (1965):How and Why do People Get Involved in Politics, Rand MC Nally and Co.,
Chicago, Chapter I Conceptual Problems of Political Participation.6See Pylee, M.V. (1975): Worker Participation in Management- Myth and Reality, N.V. Publications, New
Delhi, p 8.
7 See Abrahamsson, Bengt (1977): Bureaucracy or Participation- The Logic of Organization, SagePublications, Beverly Hills, p 186.8French et al (1960): An Experiment in Participation in a Norwegian Factory,Human Relations, 13: pp 3-10.
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decisions that have further effects on all those making the decisions and on those represented
by them.
According to Robert N. Lehrer9, (1982) participation refers to involvement of the
people in decision making, which affects them. Jack H. Nagel10(1987) defines participation
as actions through which ordinary members of a political system influence or attempt to
influence outcomes. He further attempts to exclude passive psychological attributes such as
knowledge, beliefs, and attitudes from the meaning of participation. Nagels ordinary
members can be any persons except those who perform the activities in question as a
requirement of their principal jobs and his political system is any organised structure of
power, influence and authority.
He states that participation depends on three classes of behaviour.
(a)Psychological Involvement: No individual would like to involve himself in anaction, until and unless it interests him or her in some way or the other.Psychological involvement also depends on various types of influences. Some
people may enjoy following political events and form opinions without engagingin action, while some others may engage themselves in actions. Knowledge,attitudes and information gathered from watching television news, reading news
papers, discussing politics with friends may not influence an individual at once to
engage in action, it requires more than these elements and that is provided bypsychological desires.
(b)Mobilization: Participation of ordinary members also depends heavily on thecapacity of a leader to mobilize the masses to participate in actions like parades,strikes, etc.
(c) Private Goals: Participation of ordinary members in a given action also dependsupon an individual members private or personal goals. The participation in agiven action may increase, if ordinary members feel that their private goals can beachieved through it.
Emmanuel DSilva11
opines that the meaning of participation depends on thecontext in which it is used; its effects range from the coercive to voluntary. On this basis, he
classifies12the concept of participation into the following categories.
9Lehrer, Robert N. (1982):Participative Productivity and Quality of Work Life, Prentice-Hall Inc, New Jersey10
See Nagel, Jack H. (1987):Participation, Prentice Hall Inc, New Jersey, p 1.11
DSilva, Emmanuel (2002): Participation and Empowerment Through Community Institutions: Lessons fromAdilabad District, Andhra Pradesh,Journal of Rural Development, Vol. 21, No.3, pp 369-394.12
Sources: (1) Bass et al (1995) in Hobley, Mary (1996): Participatory Forestry: The Process of Change inIndia and Nepal, Rural Development Forestry Study Guide 3, Rural Development Forestry Network, London
Oversees Development Institute, page 8, and (2) Bird, Pipa (1996): Participatory Forest management: Theory,Practice and the Role of Donor Agencies, Discussion Paper, London Oversees Development Administration.
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(a)Manipulative: In this form participation is only nominal. The representatives ofthe people are on the boards or committees, but without any power.
(b) Passive: Unilateral decisions are taken by the project managers (State or otheragencies) and people are told of what already has been decided, without any scopefor their preferences and any vital information is collected by professional
agencies, which is not shared with the local people.(c)By Consultation: In this form, people participate by being consulted, or by
responding to the questions of the external professional, who define the problems,manage the process of data collection and its analysis. Professional agencies are
placed under no obligation to accept the views of the local people.(d)For Material Gains: Local people may participate in the projects by contributing
or selling their labour for material gains in return. These people though have nostake in the project once it ends.
(e)Functional: This is the kind of participation where in local people may getinvolved in the project in order to meet the objectives of the project. This mayinvolve interaction and shared decision making, though the project authorities
may have already approved the major decisions.(f)Interactive: This type of participation takes place when local people involve
themselves in analysis, development of action plans, and the formation orstrengthening of local institutions. Here participation is seen as a right, and not
just the means for achieving the objectives of the project and it is considered asimportant as the end-result or the out come of the project. This type of
participation with the help of participatory tools and interdisciplinarymethodologies help in increasing awareness and learning among the localcommunity groups. The stake of the local people in maintaining the existingstructures or practices increases as local groups or communities take control overdecisions pertaining the projects that affect them.
(g)Self-mobilization: This type of participation is a result of the initiatives taken bylocal leaders or people themselves to preserve a resource or change an existingsocial system, either independently (on their own) or through the influence ofexternal agencies. These external institutions may associate themselves with localcommunities through financial assistance, technical guidance, but retain controlover how the resources are used. This happens in the case of Self-Help Groups.
Emmanuel argues that though there is a lot of skepticism on its mechanical
application, (which are to some extent healthy and valid) both its practitioners and workers at
the grassroots level are convinced about the contribution of participatory approach in
development discourse. The protagonists are more concerned with the How and not Why
of participation with an attempt to transform passive into an active one. His study in
Adilabad district of Andhra Pradesh provides a case for public participation, which can make
a difference to a Government and/or NGOs initiated programmes.
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Deepa Narayan13 views participation as a voluntary process by which people,
including the disadvantaged [income, gender, ethnicity or education] influence or control the
decisions that affect them. Participation can be exercised through voice and choice.
Marsden and Oakley note that meaningful participation and achieving power (to
influence the decision that effects ones livelihood) are correlated.14Over bureaucratization
and disinterest by Voluntary Organizations to involve people in the implementation of the
programme on the one hand and ignorance on the part of the beneficiaries, poverty and lack
of distributive justice on the other, hinder effective peoples participation.15
Himadri Sinha and Debodar Suar 16define participation in a narrow sense as nominal
membership and in a broad sense as a dynamic process in which, the disadvantaged have
voice and influence in decision making. For the purpose of their study, they view the term
participation from two dimensions17:
(a) Direct Participation: Direct participation includes the involvement ofstakeholders in activities like attending meetings concerning their association,taking active part in meetings, contributing labour, monitoring, patrolling etc.
(b) Indirect Participation: Indirect participation refers to individual membersobedience to rules, bylaws of the organization as well as motivating others to doso, providing moral support to other members of the organization for ensuringequity, justice and transparency.
World Bank, defines participation as a process, through which stakeholders influence
and share control over development initiatives and the decisions and resources, which affect
them.18
The definitions by Jack H. Nagel, Deepa Narayan and the World Bank highlight the
role of (a) psychological involvement, mobilization, and private goals, (b) empowerment and(c) stakeholders respectively in the process of participation.
13See Narayan, Deepa (1995): The Contribution of Peoples Participation Evidences from 121 Rural WaterSupply Projects, Environmentally Sustainable Development, Occasional Paper Series No.1, World Bank,Washington, D.C., p 7.14 As cited in Bajpai, P.K. (1998), p.816; Original Source: Marsden, D and P. Oakley, (1982): RadicalCommunity Development in the Third World in M.G. Craig, et. al (eds.) , pp.153-163.15
Bajpai, P.K. (1998): p. 821.16Sinha, Himadri and Dabodar Suar (2003): Forest and People: Understanding the Institutional Governance,Social Identity and Peoples Participation in Indian Forest Management, Journal of Rural Development, Vol.22, No.04, pp 425-426.
17Similar distinction is made by Peter and Bernard. Dachler, Peter H. and Bernard Wilpert, (1978): pp.10-12.18Participation Learning Group Final Report, The World Bank Participation Source Book. It can be reached athttp:// www.worldbank.org/wbi/sourcebook/sb0100.htm
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Milbrath (1965) classifies participation under the following categories19.
(a)Active participation and Inactive participation: Milbrath argues that some peoplemay engage in an activity with greater frequency or regularity than others. Some
others may be essentially passive respondents. There is a clear distinction betweenvoting and non-voting, attending and non-attending, contributing and non-contributing, etc.
(b) Overt participation and Covert participation: Certain actions take place in fullpublic view with exposure to the possibility of criticism and acclamation, whilecertain actions essentially take place in private. He states that there is a difference
between discussing politics with friends in a private home and discussing thesame in a public function or through public media, like radio, TV, Newspapers,etc.
(c)Autonomous participation and Compliant participation: This distinction is basedon internal versus external influences on an individuals actions. An autonomous
participation is one in which, an individual responds to an inner or generalenvironmental stimulus (awareness that an election campaign is in progress). Acompliant participation is one in which, an individual acts so as to avoidcompliance (paying tax, maintaining public order etc.). Though both the acts of
participation can be passive in nature, and hence indistinct, there is a differencebetween the two that the former may or may not bring returns, but the latter isseen as the route of least cost or greatest reward.
(d)Approaching participation and Avoiding participation: Approaching behaviourfeatures a positive relation between the actor and object, while avoiding behaviourfeatures a negative relation between the actor and object. Approaching
participation characterizes attraction; in contrast, avoiding participationcharacterizes repulsion.
(e)Episodic participation and Continuous participation: Some political actions likevoting, party campaigning, etc. take place only at some specified time and itessentially has an interval, such acts are categorized as episodic participation.Some other political actions like membership of a party, holding office, meeting
politicians, etc take place at any time and continue for extended periods of time.Such acts are categorized as continuous participation.
(f)Inputs participation and Outtakes participation: Certain acts constitute inputs tothe political system (voting, campaigning, etc.), while others constitute outtakesor withdrawals from the system (services, public order, conflict resolution, justice,
etc).(g)Expressive participation and Instrumental participation: Expressive political
action focuses on symbolic manipulation; mere engagement in the behaviour issatisfying or drive-reducing. Instrumental participation refers to actions oriented
primarily towards manipulating and changing things.(h)Verbal participation and on-verbal participation: Political acts which make use
of verbal symbols like (talking about politics, writing letters, making speeches,etc.) are categorized as verbal participation, while certain actions like (marchingin parades, participating in agitations, etc) are categorized as non-verbal
participation.
19See Milbrath (1965): pp 9-13.
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(i) Social participation and on-social participation: Though all political acts entailsome minimal kind of social interaction, differentiation can be made on the basisof the levels of social interactions needed. Campaigning in public needs moresocial interaction than voting, joining a party, making financial contribution, etc.While the former can be categorized as social participation the latter can be
categorized as non-social participation.
Classification of participation into different categories like the above ones can be
made in any organization that involves peoples participation. This classification is based on
the degree of participation.
According to Peter and Bernard20there are four major dimensions of participation:
1. The social theories underlying participation which represent the basis for thevalues and assumptions of the designers and implementers of participatorysocial arrangements in organizations as well as the goals and objectives in
participation.2. The properties of participatory systems, i.e., the structures and processes along
which different participatory schemes may vary.3. The contextual boundaries within which participation occurs and which limit
or enhance thepotential of participatory social systems.4. The outcomes of participation, which are the functions of the first three
dimensions.
Peter and Bernard opine that access to participation in decision is a major component
of participatory decision making arrangement21 and that one cannot ignore the content and
number of decisions, the complexity of decisions and its importance to participants, as also
the determinants and consequences of different decision attributes.22
Uphoff, Cohen and Goldsmith23 speak of participation in four areas (a) design; (b)
implementation; (c) evaluation; and (d) benefits. Most government and donor agencies are
concerned basically with getting people to participate to implement projects.Researchers are of the shared opinion that the pre-condition of peoples participation
for success of developmental programmes to be effective needs to have an inbuilt mechanism
20Dachler, Peter H. and Bernard Wilpert, (1978): Conceptual Dimensions and Boundaries of Participation in
Organizations: A Critical Evaluation,Administrative Science Quarterly, Vol. 23, p. 3.21
Dachler, Peter H. and Bernard Wilpert, (1978): p. 14.22
Dachler, Peter H. and Bernard Wilpert, (1978): p 17
23Uphof, Norman T., John M. Cohen and Arthur A Goldsmith, (1979): Feasibility and Application of RuralDevelopment Participation: A State of the Art Paper, Cornell University Rural Development Committee, Ithaca,New York, January.
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to involve people in their (development programme) conceptualization, planning,
implementation, monitoring and management of resources.24
Participation being a multidimensional concept and a dynamic process has different
levels. Samuel Paul25 (1987) distinguishes between different levels of participation,
categorizes them into four, all of which may co-exist in a developmental project. The first
two categories present ways to exercise influence and the other two categories present ways
to exercise control.
(a)Information Sharing: Information sharing may take place between the projectmanagers and the local beneficiaries in order to facilitate collective action. Thisinformation sharing may be a one-way process in the sense that it comes from thetop to the clients or beneficiaries on the uses of the project and their outcomes. It
may be one-way in the other sense that project managers gather local informationfrom the local beneficiaries.
(b)Consultation: In the second level of participation, the project managers not onlycollect information from or pass the same to the local beneficiaries but also paveway for a two-way flow of information through the seeking of the opinions of thelocal beneficiaries regarding the project. This may be helpful in developing better
policies and designs based on the preferences, desires and tastes of the localbeneficiaries.
(c)Decision Making: The first two levels do not necessarily lead to increased localcapacity or empowerment of local people and institutions though it may have acertain effect on the project and its outcomes. Participation at the decision makinglevel refers to involvement of different actors at different stages of the project,with regard to policy objectives, project design, implementation and maintenance.A local community may decide to participate in a project and the means of goingabout over the project may be decided jointly by the local community and the
project managers.(d)Initiating Action: At the forth level, this category represents a high level of
participation over and above the decision making process. Once the localcommunity is empowered, it is likely that it becomes pro-active, and initiates anddisplays confidence for under taking actions to solve problems other than thosedefined by the project. The fourth category is different from the first three
categories in the sense that in the first three levels the local beneficiariesparticipate merely through carrying out the task assigned by the project managers.But in the fourth level the local beneficiaries also take part in planning theassignment.
Many researchers make an attempt to find the answer for questions like why and how
does participation occur? Or what makes people participate? Deepa Narayan (1995: 9)
24 Bajpai, P.K. (1998): Participation in Development- A Critical Analysis, Indian Journal of Public
Administration, Vol. 44, No. 04, p. 816.
25As cited in Deepa Narayan (1995: pp 7-8). To refer to the original work see Paul, Samuel (1987): CommunityParticipation in Development Projects: The World Bank Experience, World Bank Discussion Paper No. 6,Washington, D.C.
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explains why participation is required. In her view participation involves financial, social,
and psychological costs as well as benefits. Local clients or beneficiaries are likely to
participate, when the benefits of the projects over weigh their costs.
She further notes that participation helps achieve four main objectives.
(a)Project Effectiveness: Project effectiveness depends on the degree to which thestated project objectives are achieved. The involvement of the beneficiaries orlocal clients directly or indirectly may result in a better match between what users(local beneficiaries) want and what the project managers offer.
(b)Project Efficiency: Project efficiency is the measurement of relationship betweena given output and its cost and inputs. Greater project efficiency may result from,
participatory decision making, which allows more timely beneficiary inputs andsynchronization of agency and client inputs. Discussion, consultation and
information sharing among the project managers and the local beneficiaries helpproduce more consensus regarding the goals and means and more clarity about theroles, authority and ownership. Moreover consensus and clarity reduce conflictand delays, resulting in smoother implementation and lower overall costs.
(c)Empowerment: Activities that involve increased access and control over resourcesand to acquisition of new skills and confidence in order to enable people toinitiate action on their own behalf and acquire leadership skills is an activity ofempowerment (a political concept that means more equitable sharing [orredistribution] of power and resources with those who previously lacked power)26.
(d)Equity: Participation helps in more equitable distribution of the benefits ofdevelopment, which was previously captured' by those already better off.
On the question of who participates? Deepa Narayan (1995) opines that participa