ORD PhD Thesis

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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



171-217

V. Joint Forest Management in KanagoduIntroduction



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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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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14

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

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