Approaching facilitated self-‐governance of the forest commons?

250 Pages·2017·1.95 MB·English

by  Clare Barnes

Approaching
 facilitated
 self-­‐governance
 of
 the
 forest
 commons?

On
 the
 roles
 of
 external
 actors
 in
 community
 forest
 management
 in
 India

Clare
 Barnes
Cover
 design
 by
 Wayne
 Robson

Printed
 by
 Gildeprint

ISBN
 978-­‐94-­‐6233-­‐692-­‐6
Approaching
 facilitated
 self-­‐governance

of
 the
 forest
 commons?

On
 the
 roles
 of
 external
 actors
 in

community
 forest
 management
 in
 India

Gefaciliteerd
 zelf-­‐beheer
 van
 de
 'commons'?

De
 rol
 van
 externe
 actoren
 bij

gemeenschappelijk
 bosbeheer
 in
 India

(met
 een
 samenvatting
 in
 het
 Nederlands)

PROEFSCHRIFT

ter
 verkrijging
 van
 de
 graad
 van
 doctor
 aan
 de
 Universiteit
 Utrecht
 op

gezag
 van
 de
 rector
 magnificus,
 prof.dr.
 G.J.
 van
 der
 Zwaan,
 ingevolge

het
 besluit
 van
 het
 college
 voor
 promoties
 in
 het
 openbaar
 te

verdedigen
 op

maandag
 18
 september
 2017
 des
 middags
 te
 12.45
 uur

door

Clare
 Alexandra
 Barnes

geboren
 op
 2
 oktober
 1980

te
 Halifax,
 Verenigd
 Koningrijk
Promotor:
  Prof.
 dr.
 P.P.J.
 Driessen

Copromotor:
  Dr.
 F.S.J.
 van
 Laerhoven
TABLE
 OF
 CONTENTS

Preface
 and
 Acknowledgements
  9

List
 of
 Abbreviations
  13

1.
 Introduction
  15

1.1
 Background
  15

1.2
 Problem
 statement
 and
 dissertation
 objective

  18

1.3
 Community
 Forest
 Management
  19

1.4
 External
 actor
 involvement
 in
 Community
 Forest
 Management
  21

1.5
 Analysing
 CFM
 and
 external
 actor
 involvement
 through
 a
 CPR
 lens
  22

1.6
 International
 Development
 (ID)
 literature
  28

1.7
 Critical
 Institutionalism
 (CI)
 literature
  30

1.8
 Approach
 to
 answering
 the
 central
 research
 question
  31

1.9
 Research
 Strategy
  36

1.10
 Data
 Collection
  37

1.11
 Dissertation
 structure
  39

2.
 Helping
 to
 self-­‐help?
 External
 interventions
 to
 stimulate
 local
 collective
  49

action
 in
 Joint
 Forest
 Management,
 Maharashtra,
 India

2.1
 Introduction
  50

2.2
 Studying
 the
 commons
  51

2.3
 Supporting
 collective
 action
 in
 the
 commons
  53

2.4
 A
 framework
 for
 the
 assessment
 of
 collective
 action
  54

2.5
 Methodology
  56

2.6
 JFM
 background

  63

2.7
 Results
  64

2.8
 Discussion
 and
 Conclusion
  77

3.
  Making
  it
  last?
  Analysing
  the
  role
  of
  NGO
  interventions
  in
  the
  85

development
  of
  institutions
  for
  durable
  collective
  action
  in
  Indian

Community
 Forestry

3.1
 Introduction
  86

3.2
 Literature
 Review
  88

3.3
 Methodology
  95
3.4
 Results
  98

3.5
 Conclusion
 and
 discussion
  105

4.
  Uniting
  forest
  and
  livelihood
  outcomes?
  Analysing
  external
  actor
  111

interventions
 in
 sustainable
 livelihoods
 in
 a
 community
 forest
 management

context

4.1
 Introduction
  112

4.2
 Literature
 Review
  114

4.3
 Ascertaining
 the
 applicability
 of
 the
 analytical
 framework
  125

4.4
 Results
  128

4.5
 Discussion
  136

4.6
 Conclusion
  140

5.
 Advocating
 for
 change?
 How
 a
 civil
 society-­‐led
 coalition
 influences
 the
  149

implementation
 of
 the
 Forest
 Rights
 Act
 in
 India

5.1
 Introduction
  150

5.2
 Background
 to
 Indian
 forest
 governance
 and
 FRA
  152

5.3
 Analytical
 Framework
  153

5.4
 Research
 Design
  160

5.5
 Results
  164

5.6
 Conclusions
 and
 Discussion
  175

6.
 Conclusions
 and
 Reflections
  187

6.1
 Introduction
  187

6.2
 Analysis
 at
 the
 local
 level
  189

6.3
 Analysis
 at
 the
 policy
 level
  196

6.4
 Cross
 level
 findings
  198

6.5
 Addressing
 the
 CPR
 literature
 shortcomings
  199

6.6
 Contributions
 to
 the
 Critical
 Institutionalism
 and
 International
  200

Development
 bodies
 of
 literature

6.7
 Facilitated
 self-­‐governance
 as
 a
 distinct
 mode
 of
 governance
  201

6.8
 Future
 research
 along
 the
 dimensions
 of
 facilitated
 self-­‐governance
  204

6.9
 Reflections
 on
 the
 research
 design
  206

6.10
 Recommendations
 for
 external
 actors
  208
Appendices
  213

Appendix
  1:
  Critical
  enabling
  conditions
  for
  sustainability
  on
  the
  214

commons
 and
 their
 hypothetical
 manipulability
 by
 NGOs

Appendix
 2:
 List
 of
 NGOs
 interviewed
 and
 general
 characteristics
  216

Appendix
 3:
 Overview
 of
 questionnaire

  217

Appendix
 4:
 Case
 selection:
 Village
 Profiles
  219

Appendix
  5:
  Operationalization
  of
  the
  outcome
  variable
  and
  data
  220

collection
 methods

Appendix
 6:
 Focus
 group
 data
 collection

  231

Appendix
 7:
 Livelihood
 strategies
  232

Summary
  233

Samenvatting
  241

Curriculum
 Vitae
  249

Preface

PREFACE
 AND
 ACKNOWLEDGEMENTS

The
 path
 to
 this
 dissertation
 on
 community
 forestry
 in
 India
 starts
 not
 so
 obviously
 back
 in

2006
 on
 a
 dusty
 roadside
 in
 rural
 Pursat,
 Cambodia.
 Watching
 locals
 carrying
 bundles
 of

firewood
 whilst
 trucks
 overloaded
 with
 logs
 rumbled
 by,
 chatting
 with
 kids
 about
 how
 you

just
 can’t
 have
 a
 party
 without
 BBQ
 jungle
 rat
 (like
 chicken
 apparently),
 gaining
 a
 small

glimpse
 into
 the
 daily
 struggles
 of
 villagers
 living
 off
 just
 one
 rice
 harvest
 per
 year,
 chatting

with
 volunteers
 and
 staff
 of
 various
 international
 and
 local
 organisations
 working
 in

development,
 mine
 clearance,
 land
 rights
 and
 wildlife
 protection…was
 all
 very
 confusing.

The
 complexity
 of
 both
 the
 local
 situations
 and
 the
 organisations
 involved
 in
 supporting

local
 communities
 was
 overwhelming.
 How
 did
 these
 organisations
 approach
 their
 work

with
 communities
 and
 how
 on
 earth
 did
 they
 know
 whether
 they
 were
 having
 any
 –

positive
 -­‐
 impact?
 Fast-­‐forward
 through
 my
 masters,
 teaching
 and,
 most
 importantly,

coffee
 conversations
 in
 Utrecht
 and
 these
 questions
 found
 their
 way
 into
 this
 dissertation.

So
  the
  word
  Approaching
  in
  the
  dissertation
  title,
  “Approaching
  facilitated
  self-­‐
governance?”
 refers
 to
 how
 such
 organisations,
 and
 also
 state
 actors,
 approach
 their
 work

when
 aiming
 to
 support,
 or
 facilitate,
 community
 forestry.
 When
 communities
 attempt
 to

manage
 their
 forest
 themselves
 –
 known
 as
 community
 forest
 management
 –
 these

outside
  organisations
  and
  individuals
  –
  called
  external
  actors
  here
  -­‐
  often
  present

themselves
 to
 support
 the
 community.
 Which
 approaches,
 strategies
 or
 activities
 do
 they

engage
 in
 when
 intervening
 in
 community
 forest
 management
 and
 when
 influencing

relevant
 policies?
 What
 informs
 these
 approaches,
 strategies
 and
 activities?
 And
 can
 we

say
 anything
 about
 the
 effects
 they
 are
 having?

There
 is
 also
 a
 second,
 conceptual,
 meaning
 implied
 in
 the
 term
 approaching
 in
 the
 title.
 It

refers
 to
 how
 researchers
 can
 make
 sense
 of
 complex
 situations
 in
 which
 external
 actors

present
  themselves
  to
  work
  with
  communities
  in
  a
  community
  forest
  management

setting.
 How
 can
 we
 identify
 and
 analyse
 the
 approaches
 taken
 by
 external
 actors?
 Which

theoretical
 lenses
 and
 frameworks
 can
 we
 use
 to
 inform
 our
 analyses?
 So
 taken
 together,

the
  dissertation
  is
  interested
  in
  the
  approaches
  taken
  by
  external
  actors,
  and
  the

approaches
 taken
 by
 researchers
 to
 analyse
 this
 external
 actor
 involvement
 in
 community

forestry.

So
 why
 India?
 Enter
 Frank,
 stage
 right.
 After
 approaching
 Frank
 with
 an
 unsuitably
 vague

idea
 of
 writing
 my
 masters
 dissertation
 on
 ‘something
 to
 do
 with
 rural
 development
 and

9
NGOs’
 he
 linked
 me
 up
 with
 Rucha
 in
 Nagpur,
 Maharashtra
 who
 could
 host
 me
 for
 a
 few

months.
 So
 my
 first
 trip
 to
 India
 was
 a
 happy
 accident…and
 a
 sequence
 of
 happy
 accidents

led
 me
 to
 chance
 encounters
 with
 many
 inspiring
 and
 generous
 people
 in
 different
 parts

of
 India.
 I’m
 sure
 most
 of
 these
 people
 won’t
 have
 realised
 at
 the
 time
 how
 helpful
 our

discussions
 would
 be
 for
 figuring
 out
 a
 tiny
 piece
 of
 the
 puzzle.
 They
 also
 made
 clear
 to
 me

how
 much
 more
 there
 was
 to
 try
 to
 understand
 and
 how
 many
 more
 voices
 there
 were
 to

be
  heard.
  Some
  of
  the
  people
  who
  have
  helped
  me
  greatly
  include
  all
  the
  forest

community
 members
 I
 have
 spoken
 with
 in
 Maharashtra,
 Andhra
 Pradesh
 and
 Odisha,

who
 gave
 so
 much
 of
 their
 time
 to
 answer
 my
 many
 questions,
 share
 aspects
 of
 their
 lives

with
 me,
 and
 expertly
 guide
 me
 through
 their
 forest.
 I
 am
 also
 indebted
 to
 all
 the
 people

who
 advised
 me
 on
 logistics
 and
 contacts,
 were
 concerned
 about
 my
 comfort
 or
 safety,

showed
 curiosity
 in
 my
 work,
 translated
 for
 me,
 shared
 opinions,
 ignored
 my
 social
 faux

pas,
 fed
 me
 and
 fed
 me
 some
 more.
 And
 to
 Nida
 in
 Nagpur
 a
 special
 thanks
 for
 teaching

me
 ‘bas’
 (enough)
 for
 when
 I
 really
 couldn’t
 eat
 any
 more.

To
 all
 the
 ‘external
 actors’
 I
 spoke
 to
 over
 the
 years,
 I
 owe
 you
 a
 great
 deal
 for
 your

frankness,
 generosity
 of
 time
 and
 patience
 in
 explaining
 your
 work
 and
 perspectives
 to

me.
 Community
 forestry
 in
 India
 is
 a
 contentious
 topic
 and
 I
 appreciate
 all
 the
 insights
 into

the
 different
 points
 of
 view
 I
 was
 lucky
 enough
 to
 gain.
 Special
 thanks
 to
 Tushar
 bhai
 for

his
 many
 introductions,
 in
 depth
 discussions
 and
 support
 with
 the
 reflection
 workshop
 in

Bhubaneswar,
 Manohar
 bhai
 for
 his
 passionate
 discussion
 of
 wider
 development
 issues,

Shankar
 ji
 for
 the
 most
 memorable
 afternoon
 of
 political
 insights
 whilst
 dodging
 traffic

racing
 round
 Delhi,
 Subhani
 Sir
 and
 family
 for
 their
 wonderful
 hospitality
 and
 explanations

of
 Hindi
 soaps
 and
 Ravi
 ji
 and
 Banu
 ji
 for
 letting
 me
 stay
 to
 ‘recharge’.

I
 am
 also
 extremely
 grateful
 to
 all
 those
 on
 the
 academic
 side
 who
 have
 been
 influential
 in

developing
 my
 thinking
 on
 approaches
 to
 rural
 issues
 in
 India,
 and
 have
 been
 so
 generous

in
 sharing
 their
 contacts
 with
 me.
 Rucha
 Ghate
 and
 everyone
 at
 SHODH
 really
 took
 me

under
  their
  wing
  and
  gave
  me
  my
  first
  introduction
  to
  state
  officials
  and
  NGOs
  in

Maharashtra.
 Dropping
 Forrest
 Fleischman’s
 name
 opened
 many
 doors
 from
 Dehradun
 to

Hyderabad
 (thanks
 Forrest!),
 Gopinath
 Reddy
 was
 always
 ready
 to
 offer
 expert
 words
 of

advice,
 and
 talks
 with
 Nitin
 Rai
 were
 extremely
 encouraging.

In
 the
 field
 I
 have
 been
 so
 lucky
 to
 meet
 amazing
 people
 prepared
 to
 support
 me
 in
 data

collection,
 translations,
 logistics
 and
 navigating
 social,
 cultural
 and
 organizational
 norms.

We’ve
 shared
 many
 intense
 discussions
 and
 laughs
 along
 the
 way
 too.
 I’m
 so
 grateful
 that

my
 path
 brought
 me
 to
 Pranay,
 Parinita,
 Doreen,
 Priyanka,
 Lakshman
 and
 Baskar.
 I
 was

10