Dec Forest Governance in Nepal

371 Pages·2015·5.28 MB·English

by  Biddya Sigdel Baral

Who Benefits? Decentralised Forest Governance through
Community Forestry in Nepal

By
Biddya Sigdel Baral,
Masters Degree in Mathematics, Masters Degree in Social Science

Submitted in total fulfillment of the requirements for the degree of
Doctor of Philosophy
April, 2014

Program in Politics and International Relations
School of Social Science
University of Tasmania
Australia
DECLARATION
This thesis contains no material that has been accepted for degree or diploma by the
University or any other institution, except by way of background information and duly
acknowledged in the thesis, and to the best of the candidate’s knowledge and belief no
material previously published or written by another person except where due
acknowledgement is made in the text of the thesis, nor does the thesis contain any material
that infringes copyright.
..................................
Biddya Sigdel Baral
University of Tasmania
28 April 2014
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STATEMENT ON AUTHORITY OF ACCESS
This thesis may be made available for loan and copying in accordance with the Copyright Act
1968.
...................................
Biddya Sigdel Baral
28 April, 2014
University of Tasmania
Newnham Campus, Launceston,
TAS 7250 Australia
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ABSTRACT
Old fashioned, centralised and bureaucratic systems of natural resources management have
been blamed for the failure to conserve forest resources. Such arrangements are alleged to
result in top-down decision making processes, low levels of community participation, and
lack of transparency. These criticisms have led to claims that the devolution of forest
management to the community will improve resource management and more effectively
deliver sustainable development. The devolution from the state to local communities of
natural resource management access rights has been an important policy tool for forest
management over the last several decades.
This research examines to what extent, and how, decentralized forest governance delivers
enhanced economic, social and environmental benefits. More specifically this study develops
and tests a framework to assess how devolved forest governance performs across the
indicators of participation, transparency, accountability, effectiveness, efficiency, and equity.
A set of policy relevant and locally applicable governance indicators was developed through
a participatory process that involved a large number of stakeholders including CFUG
members and policy makers. To explore this topic, the study combines a single case study of
devolved forest governance in Nepal with a medium-n research design of perceptions of
community forestry operations in nine community forest user groups from three districts
representing three different Nepalese ecological zones. A purposive sampling method was
used to select CFUGs with different characteristics and CFUG members' opinions were
collected using both qualitative and quantitative approaches.
The study reveals that the key elements and indicators of governance are dialectically
interconnected. Governance performance on one element and associated indicators shapes the
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outcome of other elements and indicators. Community forests located in the Middle Hills and
High Mountains regions of Nepal generally perform well across the various governance
indicators used, while a lower level of performance was observed in Terai region. However
the research finds that ecological zone is not a determining factor of good governance;
instead, socio-economic factors are found to shape the success of community forestry
governance and outcomes. In addition, the research reveals that external agencies actually
enhance community forest governance and outcomes as a result of synergy, interaction and
cross-fertilization of knowledge between community forestry participants, government
officials and other stakeholders. It is also the case that the better a community forest is
governed, the more it flourishes and the wealthier it becomes. However, the distribution of
the wealth and capital generated by a community forest remains a concern as the benefits are
not being shared with the wider community.
The research highlights the need to build the capacity of community forest users and,
especially, to empower poor and disadvantaged people to ensure they obtain access to and are
able to utilise the available resources. By developing an innovative framework to assess
governance at local level, this study not only informs us about decentralised community
forestry in Nepal, but the framework can also be utilised to assess community-based natural
resource management initiatives in other developing countries.

Keywords:
Decentralisation, good governance, community forestry, community forest user groups,
participation, transparency, accountability, Nepal
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ACKNOWLEDGMENTS
I would like to express my profound gratitude to my principal supervisor Associate Professor Fred Gale for
his insights and substantial comments for shaping this work to completion. I am indebted to him for the
generous allocation of time to read my numerous drafts and constant encouragement while juggling with
family pressure and study. I would like to thank my co-supervisor Dr Joanna Vince for her support. I
would also like to extend my gratitude to Dr Matthew Sussex for his generous support during this study.
My sincere thanks go to academic and administrative staffs of Melbourne School of Land and
Environment, University of Melbourne who hosted me as a visiting fellow during my PhD candidature
particularly, Prof Rodney J Keenan and Dr Sabine Kasel. I also thank to Dr Maheshore Dhakal who acted
a local contact person in Nepal during my fieldwork.
Thanks are also due to:
• I would also like to extend my gratitude to everyone who agreed to be interviewed as part of this study
and who gave so generously of their time particularly members of nine community forest user groups,
• My special thanks go to Kiran Paudyal, Sindhu P Dhungana and Uddhav Sigdel for their help in
sharing ideas and collecting data in Nepal. Several others who provided generous assistance during
field work in Nepal Nirmala Sharma, Dipak Gyanwali, Ajeet Karna, Rabindra Maharjan, Ajaya
Manandhar, Indra P Sapkota, Ramkrishna KC, Shanta Ram Baral, Kalpana Gyanwali, Abimanyu KC,
Radha Wagle, Navaraj Dahal, Durga D Regmi, Juna Budhathoki, Sita KC,
• Staffs of District Forest Offices in Dolakha, Lalitpur and Rupandehi District for supplying various data
and copies of CFUG operational plan and constitutions,
• All academic and administrative staff in the UTAS particularly Cradle Coast Campus, Burnie and
Newhams Campus, Launceston for their support,
• My friends and colleagues studying in Australia and overseas for providing comments and sharing
their knowledge and experience,
• To all those I have otherwise neglected to acknowledge, I offer my apologies and appreciation.
Above all, I am really indebted to my dearest husband Himlal, son Avinab and daughter Alaka for
patiently sharing all my pressure during the course of study. I am also deeply thankful to my family in
Nepal and in abroad for their love, care and moral support for pursuing higher study particularly my mum
Radhadevi who visited Tasmania and always encouraged to complete the thesis on time. Similarly, I would
like to thank to my brothers Uddhav and Kishor and sisters Indira, Sudevi and Laxmi who always
encouraged during my PhD journey and family balance. Finally, I fondly tribute to my late father who
inspired me to do my best in academic and social journey!
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TABLE OF CONTENTS
Declaration................................................................................................................................. i
Statement on Authority of Access .......................................................................................... ii
Abstract ................................................................................................................................... iii
Acknowledgments .................................................................................................................... v
List of Table ........................................................................................................................... xiv
List of Figures ........................................................................................................................ xvi
List of Acronyms .................................................................................................................... xx
Glossary of Nepali terms ................................................................................................... xxiii
Chapter 1: Introduction and Objectives ................................................................................ 1
1.1 Background ...................................................................................................................... 1
1.2 Community-based forestry ............................................................................................... 2
1.3 Decentralisation and forest governance ........................................................................... 3
1.4 Research rationale ............................................................................................................ 4
1.5 Research questions ........................................................................................................... 7
1.6 Argument .......................................................................................................................... 8
1.7 Research design and methods ........................................................................................ 10
1.8 Dissertation structure...................................................................................................... 10
Chapter 2: Decentralised forest governance ....................................................................... 12
2.1 Introduction .................................................................................................................... 12
2.2 Concept of governance ................................................................................................... 13
2.3 Classifying governance .................................................................................................. 18
2.4 Good governance............................................................................................................ 24
2.5 Decentralised governance .............................................................................................. 29
2.6 Environmental and forest governance ............................................................................ 30
2.6.1 Governance versus management ............................................................................. 35
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2.6.2 Forest governance and poverty reduction ................................................................ 36
2.6.3 Millennium development goals and forest resources .............................................. 37
2.7 Principle indicators of good community based forest governance ................................ 38
2.7.1 Rule of law............................................................................................................... 39
2.7. 2 Transparency .......................................................................................................... 40
2.7.3 Accountability ......................................................................................................... 40
2.7.4 Public participation .................................................................................................. 41
2.7.5 Inclusiveness ............................................................................................................ 42
2.7.6 Efficiency ................................................................................................................. 42
2.8 Chapter summary ........................................................................................................... 43
Chapter 3 Community Forestry in Nepal: Background and Context .............................. 45
3.1 Introduction .................................................................................................................... 45
3.2 Geography of Nepal ....................................................................................................... 46
3.3 Demography ................................................................................................................... 48
3.4 Structure of Nepalese Society ........................................................................................ 49
3.5 Forest Types of Nepal .................................................................................................... 53
3.6 History of Forest Management and Policy in Nepal ...... Error! Bookmark not defined.
3.6.1 Era of forest privatisation (before 1951) ................................................................. 59
3.6.2 Era of forest nationalisation (1951 – 1976) ............................................................. 60
3.6.3 Era of decentralization and community participation (1976 onward) ..................... 61
3.7 Rationale behind Community Participation in Forestry ................................................. 68
3.8 Institutional Arrangements to Implement CF in Nepal .................................................. 69
3.9 Evolution of Other Community-based Forestry Modalities Nepal ................................ 71
3.9.1 Leasehold forestry ................................................................................................... 74
3.9.2 Collaborative forest management ............................................................................ 74
3.9.3 Community-based watershed management ............................................................. 75
3.9.4 Integrated conservation and development ............................................................... 76
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3.9.5 Protected area buffer zone forestry .......................................................................... 77
3.10 Political Economy of Nepalese Forestry Sector ........................................................... 78
3.11 Social, Economic, and Environmental Benefits of CF................................................. 81
3.11.1 CF empowers local communities .......................................................................... 83
3.11.2 CF provides basic forest goods to local communities ........................................... 83
3.11.3 CF provide environmental benefits to local, regional and global communities .... 84
3.11.4 CF provides economic benefits to local communities ........................................... 84
3.11.5 CF helps local community development ............................................................... 85
3.11.6 CF promotes women empowerment ...................................................................... 86
3.11.7 Forests are better managed under CF than government management ................... 87
3.11.8 CF promotes institutional development ................................................................. 87
3.11.9 CF promotes good forest governance .................................................................... 88
3.11.10 CF helps overall sustainable development .......................................................... 89
3.12 Good forest governance in the Nepalese context ......................................................... 90
3.13 Some Challenges Associated with CF ......................................................................... 92
3. 14 Conclusion ................................................................................................................... 93
Chapter 4: Research Approach, Conceptual Framework, Analytical Framework, and
Methodology ........................................................................................................................... 95
4.1 Background .................................................................................................................... 95
4.2 Conceptual underpinnings of forest governance ............................................................ 96
4.2.1 Theory of the commons ........................................................................................... 99
4.2.2 Feminist institutionalism ....................................................................................... 101
4.2.3 Decentralization ..................................................................................................... 103
4.3 Methodological framework .......................................................................................... 105
4.3.1 WRI’s Governance of Forests (GFI) Framework .................................................. 106
4.3.2 World Bank Framework ........................................................................................ 108
4.3.3 FAO/PROFOR Framework ................................................................................... 110
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4.3.4 Review of other frameworks ................................................................................. 111
4.4 Study area and community forests ............................................................................... 114
4.5 Description of the study Districts ................................................................................. 118
4.5.1 Dolakha District – High Mountain ........................................................................ 118
4.5.2 Lalitpur District – Middle Hills ............................................................................. 121
4.5.3. Rupandehi District – Terai ................................................................................... 124
4.6 Data collection.............................................................................................................. 127
4.6.1 The data sources .................................................................................................... 127
4.4.2 Primary data ........................................................................................................... 127
4.6.3 Secondary data ....................................................................................................... 134
4.7 Field visit for data collection ........................................................................................ 134
4.8 Data analysis ................................................................................................................ 135
4.8.1 Data checking and entry ........................................................................................ 135
4.8.2 Quantitative Data Analysis .................................................................................... 136
4.8.3 Qualitative Data Analysis ...................................................................................... 136
4.9 Ethics approval and confidentiality .............................................................................. 137
4.10 Chapter summary ....................................................................................................... 138
Chapter 5: Assessing decentralised community based forest governance – Participation
and Transparency ................................................................................................................ 140
5.1 Introduction .................................................................................................................. 140
5.2 Household characteristics ............................................................................................. 140
5.2.1 Gender of the Household Head ............................................................................. 141
5.2.2 The Wellbeing Ranking ......................................................................................... 141
5.2.3 Caste Group Composition ..................................................................................... 142
5.2.4 Income Sources...................................................................................................... 143
5.3 Elements of Governance: Participation ........................................................................ 144
5.3.1. Women’s Participation in Community Forestry ................................................... 145
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