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Sustainable Livelihood Strategies and Options:
A Case Study of the Upper Minjiang River Basin, China
Prof. Vishwambhar Prasad Sati
Department of Geography and Resource Management
Mizoram University (Central)
Aizawl – 796004, India
Prof. Deng Wei, Director
Institute of Mountain Hazards and Environment
Chinese Academy of Sciences
Chengdu, Sichuan Province
China
Dr. Song Xue-Qian
Chengdu University of Information Technology
Chengdu, China
Prologue
Livelihood strategies can be defined as increased well-being, reduced
vulnerability, improved food security and more sustainable use of natural
resources base. It largely depends on the availability of livelihood assets/capitals
– natural capital, human capital, financial capital, physical capital and social
capital. Vulnerability context – shocks, trends and seasonality; and institutional
and policy context are the other aspects of livelihood strategies. A sustainable
livelihood is a situation, where all these aspects are controlled and they have
great potential to future livelihood sustainability.
Sustainable livelihood study has become a prime issue and concern at the global
level, recently. The world countries are divided into three groups in terms of
sustainable livelihoods. The first group of countries is those, who have attended
sustainable livelihoods at all level, and the people of these countries are self
reliant. The second group belongs to those countries, which are now on the way
to get the livelihood sustainability but, still there are many risks and
vulnerability contexts. The third group of countries is highly vulnerable,
struggling for the two times meal. These countries are passing through the
menace of malnutrition, starvation and food scarcity. Their economic conditions
are worst and the other capitals of livelihoods are also in poor conditions.
We have carried out this study through the case study of the three villages of the
upper Minjiang River basin, Sichuan Province, China. The villages, we have
selected for the case study, have some ideal aspects of livelihood strategies but,
in terms of risks and vulnerability contexts, these villages are highly influenced.
All the livelihood capitals have better future potentials. This study reveals that if
the livelihood capitals are optimally harnessed and risks and vulnerability is
controlled, livelihoods of the people may be sustainable.
2
This study was carried out under the Chinese Academy of Sciences scheme of
Visiting Scholars from the Developing Countries, Project No. 2013FFZA0004
with the collaboration of the Institute of Mountain Hazards and Environment,
Chengdu, China. The authors acknowledge the financial support from CAS and
official support from IMHE.
Vishwambhar Prasad Sati
Deng Wei
Song Xue-Qian
3
Abbreviations and Acronyms
CNY:
Chinese Yuan
HHs:
Households
HL:
Hui Long village
KG:
Kilogram, a unit of measurement
LS:
Le Shi village
MK:
Muka village
Mu:
is a measurement of land in China
NGO:
Nongovernmental organization
PRA:
Participatory rural appraisal
Productivity:
Per ha yield of crops
SLA:
Sustainable livelihood approach
USD:
United States Dollar
4
List of Tables
Table 1: Salient features of the case study villages
Table 2: Number of HHs surveyed in the selected villages
Table 3: Livelihood capitals in the case study villages
Table 4: Typology of horticultural crops in the case study villages
Table 5: Major fruit crops, area, production and productivity
Table 6: Area production and productivity of major vegetables
Table 7: Area, production and productivity of fruits and vegetables
Table 8: Descriptive statistics
Table 9: Changes in agricultural land use before and after 2008
Table 10: Suitability of crops in different altitudes and tourism practices for
sustainable livelihood
Table 11: Livestock population in the case study villages
Table 12: Age group and percentage of total population
Table 13: Village wise family size, literacy rate, workforce and sex ratio
Table 14: Level of education (average of three villages)
Table 15: Nature of migration from the three villages of the study area
Table 16: Major Sources of Income
Table 17: Expenditure on major heads
Table 18: Major assets and their valuation
5
List of Figures
Figure 1: Location map of the upper Minjiang River basin, Sichuan Province,
China
Figure 2: Clockwise from the top (left); Minjiang river flowing in Moa county;
Village MK; Village LS and Village HL
Figure 3: The DFID Sustainable Rural Livelihoods framework (after Carney,
1998)
Figure 4: Clockwise from the top (left) panoramic view of the study villages;
apple orchard; intercropping of fruits and vegetables as cabbage and
pears crops are seen; and fruits are ready to sell on the national high
way in village MK
Figure 5: Diversity, area, production and productivity of fruit crops
Figure 6: Diversity, area, production and productivity of vegetable crops
Figure 7: Agriculture land use change before and after 2008
Figure 8: Water potential, hydropower project and mitigation measures for
landslide
Figure 9: Population composition in the case study villages
Figure 10: Altitude, literacy and sex ratio
Figure 11: Level of education
Figure 12: Per capita income and expenditure
6
Contents
Topics
Page No.
Preface
2
Abbreviations and Acronyms
4
List of Tables
5
List of Figures
6
Introduction to Sustainable Livelihood Approach
8
The Area
10
Methodology
14
Sustainable Livelihood Approach Context: Three Villages of
17
Sichuan Province, China
Application of Sustainable Livelihood Approach
18
Natural capital: Land, Livestock, Water and Forest
20
Human capital: Population, Literacy, Workforce and Migration
41
Financial capital: Income, Expenditure and Assets
47
Physical capital: Building, Connectivity and Development
54
Projects
Social capital: Network, Institutional Support and Associations
54
Vulnerability Context: Natural Hazards
55
Conclusions
56
References
58
Appendices
63
7
Introduction to Sustainable Livelihood Approach
Mountains of the world are economically underdeveloped and geographically
remote. They are very sensitive in terms of livelihood sustainability. The geoenvironmental and socio-economic conditions of mountain regions of the world
are very peculiar in terms of to access sufficient livelihoods. In spite of
possessing huge natural resources reservoir, in the forms of land, water and
forest, the socio-economic conditions of these regions are lagging behind and
the people living in these areas are comparatively poor. This is mainly because
of the high landscape vulnerability and limited access to infrastructural
facilities, as mountain regions are isolated and far away from the mainstream of
development. However, livelihood options are abundant in the forms of huge
ecological services – land, forest and water, which are in fact untapped.
Optimal use of these ecological services can play a significant role in livelihood
sustainability. These suitable conditions further contribute to development of
the region through ecotourism and hydroelectricity generation.
The terms ‘livelihoods’ and ‘livelihood strategies’ have been defined by many
social scientists and economists worldwide. In the very onset, Chambers and
Conway (1992) describe, ‘a livelihood comprises the capabilities, assets (stores,
resources, claims and access) and activities required for a means of living; a
livelihood is sustainable which can cope with and recover from stress and
shocks, maintain or enhance its capabilities and assets, and provide sustainable
livelihood opportunities for the next generation; and which contributes net
benefits to other livelihoods at the local and global levels and in the short and
long-term’. Chambers (1995) further defines it as ‘livelihood is the means of
gaining living.’ A mobile and flexible term, ‘livelihood is a contribution of the
resources used and the activities undertaken in order to live’ (Scoones, 2009).
Land use has been considered as one of the important factors influencing
8
livelihood of the rural people. Cash, savings and credit are the basic indicator
for livelihood assessment. Physical asset comprises of basic infrastructure and
producer goods needed to support livelihoods
‘Livelihood strategy is an activity undertaken by smallholder households to
provide a means of living. A key goal of livelihood strategies is to ensure
household economic and social security’ (Koczberski et al., 2001). Further, the
mixed livelihood strategy is an approach for capturing the diversified means of
raising household (HH) income. Under the livelihood strategies, the rural HHs
always attempts to diversify their sources of income (Ellis, 1998; Barrett et al.,
2001b; Jansen et al., 2006; Tittonell et al., 2010). They adopt survival strategies
depending upon resource endowments, and in the context of the policy and
institutional framework (Mary, et al., 2009). Agricultural intensification, to
achieve livelihood security, is a key livelihood strategy that has been adopted by
the rural HHs (Ellis, 2000; Scoones, 1998). Sustainable livelihood approaches
were developed by many scholars and development agencies (Chambers and
Conway, 1992; Scoones, 1998; Carney 1998, 2002; Ashley and Carney 1999;
Gieryn, 1999).
Livelihood strategies can be defined as increased well-being, reduced
vulnerability, improved food security and more sustainable use of natural
resources base. It largely depends on the availability of livelihood assets/capitals
– natural capital, human capital, financial capital, physical capital and social
capital. Vulnerability context – shocks, trends and seasonality; and institutional
and policy context are the other aspects of livelihood strategies. A sustainable
livelihood is a situation, where all these aspects are controlled and they have
great potential to future livelihood sustainability.
9
The present study illustrates options and strategies for livelihood sustainability
in the upper Minjiang River basin, Sichuan Province, China. Unlike the other
mountain regions of the world, the upper reaches of Minjiang river basin are
significantly developed. They are well connected by the road transportation.
Further, the socio-economic status of the people is moderate to high.
Horticultural farming is the main occupation; mainly the temperate fruits are
cultivated. Fruits and vegetables are intercropped. The main objective of this
study is to examine the options and strategies of livelihoods through applying
the sustainable livelihood approaches in the case study villages.
The Area
The three villages – Muka (MK), Le Shi (LS) and Hui Long (HL) are located in
the upper Minjiang River basin, Sichuan Province, China in the three different
locations and altitudes (Figure 1, 2 and Table 2). MK village is located in
Lixian County on the road head and on the right bank of Zagunao River, a
tributary of the Minjiang River at an altitude of 1580 m. The second village LS
is located in the Mao county about 10 km away from Feng Yi town at an
altitude of 1878 m. A perennial stream Yang Wu, a tributary of Minjiang River,
flows from this village. Village HL is located in Mao County about five km
away from Feng Yi town and about 3 km away from the road head, at an
altitude of 2000 m. A small perennial stream ‘Mo’, a tributary of Minjiang
River, flows in this village. Water supply is plenty in all three villages due to
presence of perennial streams.
The economy of mountain regions is largely dependent on the farming of
agricultural and horticultural crops. Above 70% population is directly and
indirectly dependent on the output from the traditionally grown crops to carry
their livelihoods. Meanwhile, the mountain regions have abundant of natural
10
resources base in the forms of water, forest and land, and ecosystem services are
tremendous. The geographical conditions such as climate and panoramic
landscape provide a suitable base for the development of horticultural farming
and tourism. Further, there are many ideal conditions to harness water resource
through construction of micro-level hydropower projects.
Table 1: Salient features of the case study villages
Variables
Villages
MK
LS;
Cluster
of HL;
four villages
Location
Cluster
of
three villages
Lixian county; on the Mao county; on the Mao county; 1.5 km
road head; two km road; 6 km way from away from road and
away from service the
centre (Muka town)
centre 2.5 km way from
service
(Feng Yi town)
service centre (Feng
Yi town)
River Basin
Altitude
Zagunao; tributary of Yang Wu; tributary Mo stream; tributary
Minjiang River
of Minjiang River
of Minjiang River
1580 m (average)
1878 m (average)
2000 m (average)
Coordinates
N31 34’; E103 21’
N 31 38’; E 103 51’
N 31o40’; E 103o52’
Climate
Dry-sub-temperature
Temperate
Temperate
Rainy season
June-July-August
June-July-August
June-July-August
(moderate
(moderate
(moderate
Forest Types
o
o
o
o
variability)
variability)
variability)
Sub-temperate
Temperate
forest: Temperate
forest:
Spruce, Masson pine, Spruce, Masson pine,
Locust
Soil type
Total Area
Brown and alluvial
11540 mu;
Brown
Locust
and Black
mountainous
mountainous
9721 mu;
9150; mu
and
(arable/fallow/Forest) (arable/fallow/Forest) (arable/fallow/Forest)
11
Total
115
households
1,100
(Second 134
biggest village in the
county)
Total
400
6,100
445
Population
Major
Farming (Fruits and Farming
Economic
vegetables)
Activities
tourism
(Mainly Farming
and fruits)
(Mainly
fruits)
Source: Primary collection of data (July 5-9, 2014)
The upper Minjiang River basin has abundance of natural resources – land,
forest and water. Further, the climatic conditions are very feasible for the
production of various horticultural crops. Meanwhile, the landscape is fragile
and slope gradient is high. The whole area is vulnerable to terrestrial and
atmospheric hazards – earthquake and flashfloods. Rural settlements are
sparsely located, mostly in the valleys and on the mid-altitudes. Farming
practices are the mainstay of the populace. In China, more than 615 million
people are dependent on natural resources and on primary occupation for their
livelihoods (Fang et. al., 2014a). However, in the upper Minjiang River basin,
about 60% of rural households are still dependent on agriculture (Fang et. al.,
2014b). Practicing farming is the basic social and economic unit and its
development has a decisive effect on the well-being of society (Chen et al.,
2007). It is also a major source of income in the study area where per capita
income is of average level (Fang et al., 2012).
12
Figure 1: Location map of the upper Minjiang River basin, Sichuan Province,
China
Warm temperate climate, low rainfall and long dry season are the prime
characteristics. Mean annual temperature is 11o C and mean annual precipitation
is 495 mm. Drought is the major factor affecting agriculture (Bao et. al., 2000).
Rain mainly occurs during the summer season mainly in June, July and August
months. This season is hot and moist. December and January are the coldest
months and medium to heavy snow fall occurs during this period of time. The
other months remain dry. The altitude of the case study villages ranges from
1500 m to 2100 m. Impact of surrounding mountain ranges (height 3000 m) on
climatic conditions is enormous. This mountain is called Long Meng, which is
13
very rich in bio-diversity resources. There are ten national level natural reserves
in this mountain. More than 200 hydropower projects are located within 100 km
distance, along the Minjiang River. Each hydropower project is producing from
100 kw to 100 mw electricity. The cumulative effect of these hydropower
projects significantly high than to the large-scale hydropower projects.
Cultivation of fruits; mainly cherry (all varieties), apple, plum, peach, pear,
apricot, grapes (all varieties) and walnut are dominating in the farming systems
and it is the major source of livelihoods in the study villages. Area under fruit
crops is the main farming land use pattern. Bao, et al., (1990a) estimated that
about 3.3 million ha land is under apple cultivation in China, which is half of
the total apple cultivation of the world. Similarly, the Sichuan province accounts
3.5% of the countries production. The study area; Hengduan Mountain and
Maoxian County have about 18% area and 16% yield of apple cultivation in
Sichuan province. In this region, there are 20 apple based intercropping types
were identified by the late 1990s (Bao, et al., 1990b). Pleasant climatic
conditions, mostly during the summer season, attract a large number of tourists
to visit this region. It assists to enhance income and economy of the region. This
study examines the potentials of horticultural farming for livelihood
sustainability in the case studied villages.
Methodology: Field Investigation and Household Level Survey
Qualitative approach was applied to conduct this research. Data were gathered
mainly from the primary sources. Participatory rural appraisal (PRA) method
was adopted and household (HH) level survey and interview of the rural people
was carried out to gather the data for understanding livelihood strategies. As
combination of these methods help to active a more complete understanding of
livelihood strategies (Homewood, 2005 and Ellis, 2000). A structural
14
questionnaire was framed to investigate the various Sustainable Livelihood (SL)
Capitals. Natural capital – land water and forest; human capitals – population,
education and workforce; financial capital comprises – income, expenditure and
assets; physical capital – building, road and infrastructural projects; and lastly
social capital – network and institutional support were widely illustrated.
This study was conducted during the two periods of time: first, on 17th and 18th
June, 2014 and second, from 5th to 9th July, 2014. During the first visit of the
Lixian and Maoxian Counties, we investigated the whole area and finally
selected three villages for the study; one village from Lixian County and two
villages from Maoxian County. The village studies tradition is an important,
empirically-based alternative to other economic analyses of rural situations
(Lipton and Moore 1972). The selection of these villages was based upon the
different socio-economic and geographical indicators such as occupation,
location, distance and altitude. After investigation and selection of the villages,
we conducted in-depth HH level survey. Table 2 shows total number of HHs,
number of HHs we surveyed and percentage of surveyed household.
15
Figure 2: Clockwise from the
t top (left); Minjiang river flowing in Moa
M county;
village MK; village LS and village HL
Table 2: Number of HHs suurveyed in the selected villages
Name of village
Total N
No. of
HHs surveyed
% of total HHs
HH
Hs
MK
115
60
52.2
LS*
1555
65
41.9
HL
1334
55
41
Total
4004
180
44.6
• Village LS is a clusteer of four villages and second biggest villlage in Mao
county. Total numberr of HHs in this village is about 1100. Forr this study,
we have selected onlyy one village with the above-cited informaation.
16
The HH level survey was conducted mainly on farming system, forest,
population, income and expenditure, HHs assets and vulnerability context.
Farming systems research was encouraged in a range of countries, with the aim
of getting a more integrated, systems perspective on farm problems. Later, agroecosystem analysis (Conway 1985) and rapid and PRA approaches (Chambers
2008) were added to the repertoire, expanding the range of methods and styles
of field engagement. Numerous studies have used HH surveys to determine the
important of forest products to rural communities (Fal Coner, 1994; Townson,
1995; Van Dijk, 1999; Ambrose-Oji, 2003; Brashares et. al., 2004; East et.al.,
2005; Degrande et.al., 2006). Random sampling method was used.
Sustainable Livelihood Approach Context: Three Villages of
Sichuan Province, China
The DFID sustainable rural livelihoods framework (after Carney, 1998)
proposes three variables for livelihood strategies. These variables are livelihood
assets including natural, human, financial, physical and social capitals;
institutional and policy context – public, private and NGO (Non Governmental
Organization) sectors and law, culture, policies and institutions; and
vulnerability context that includes shocks, trends and seasonality. Livelihood
outcomes are more income, increased wellbeing and reduced vulnerability,
improved food security and more sustainable use of natural resources base
(Figure 3). A sustainable livelihood means when income is more than the
expenditure and there is a handsome saving of HHs (Sati, 2014).
17
Figure 3: The DFID Sustaainable Rural Livelihoods framework (affter Carney,
1998)
Application of Sustainaable Livelihood Approach
Scoones (1998) SL approaach defines livelihood assets as livelihood capitals.
The five livelihood capitals – natural, human, financial, physical annd social are
an essential SL approach, were applied in all the three case studdy villages.
Table 3 shows the descriptiion of livelihood capitals and their detaills are given
in the preceding paragraphs..
Table 3: Livelihood capitalss in the case study villages
SL
Types
Capitals
Natural
Villages
MK
Farming
LS
L
Land: 11540
18
Land: 9721
HL
Lan
nd: 9150
Capital
(Land
in Altitude: 1580 m
o
mu)*
1878 m
2000 m
o
Lat. 31 34’N
Lat. 31 40’ N Lat. 31o38’ N
Long. 103o21’ E
Long. 103o52’ Long. 103o51’ E
E
Water
Abundant
Abundant
Abundant
Forest type
Sub-temperate
Temperate
Temperate
Human
Population
249
247
252
Capital
Literacy rate
84.7
82.6
79
Workforce
97
78
91
Land/capita
46.3 (Mu)
39.4 (Mu)
36.3 (Mu)
21717.41
10269.19
33004.34 (CNY)
23865.79
26713.21
14247600 (CNY)
15344600
13096600
Financial Income/capita 21924.13
Capital
(CNY)**
Expenditure/
captia
Average
assets value
Physical
Building
60
65
55
Capital
Road
High
Moderate
Low
Numerous
Numerous
Numerous
Connectivity
Development
Projects
Social
Network
High
Moderate
Low
Capital
Institutional
High
Moderate
Moderate
Very High
High
High
Natural
Natural
vulnerability
vulnerability
Support
Association
Vulnerability
(Moderate)
Context Natural
vulnerability
19
*Mu is a unit of land measurement. 1 Mu is equal to 666.7 sq. m.
**CNY means Chinese Yuan. I USD is equal to 6.2 CNY (July, 2014)
Natural
Capital
Potentials
and
its
Role
in
Livelihood
Sustainability
The Land
Faming is one of the components of land and one of the most important natural
capitals in the case study villages. It plays a significant role in livelihoods.
Average 74.6% people from the three villages are engaged in the farming
practices. The agro-climatic conditions further promote farming practices.
Cultivation of fruits is the main economic activity and it varies according to an
elevation (Table 3). In village MK (1580 m), 13 types of fruits are grown.
Among them three varieties of cherry and two varieties of grapes are famous.
Cherry is the main fruit, is known as economic fruit. During the summer season,
mainly in the month of June, a large number of tourists visit this village, as it is
located on the national highway. This is the time when cherry are ripened and
are sold to tourists. The people from this village also have small shops on the
roadside where the tourist stay and buy the fresh cherry and other fruits (Figure
4). In terms of productivity, cherry has the highest (5000 kg/mu) followed by
grape (1500). Productivity of apple fruit is 520.36 and it is followed by peach
with 467.86. The other fruits in village MK are pomegranates, pear, plum
apricot, walnut and loquat. There productivity is almost equal (average 250).
But, in comparison to the other two villages, area (83.85), production (32787)
and productivity (392) of fruits in village MK is less. Village LS (1878 m) has
only three fruit crops i.e. apple, pear and plum but, the area under fruit crops is
288.9 Mu, production is 475620 kg and productivity is 1646.31. Plum crops
20
dominate in area and production (228.1 and 361420) while productivity is low
(1584.48) than the other two crops. In area, production and productivity, apple
ranks second (58.8, 110200 and 1874.15 respectively). Peer has the highest
productivity (2000) with less area and production. The third village HL has only
two fruit crops grown – plum and pear. Plum is grown in 177.9 mu land with
216500 productions. The average productivity of two fruits is 1646.31. This
interpretation of data shows that although, the diversity in fruit crops is less in
the villages located above 1800 m yet, the area under fruit crops, production and
productivity is high.
Horticultural Diversity and Typology
Horticultural diversity is different in different altitudes. In the low altitudes, it is
higher than to the middle and higher altitudes. Similarly, typology of fruit crops
varies according to variations in altitudes. In village MK, there are 13 fruit crops
grown; dominated by cherry. Cherry fruit has three varieties. These fruits are
grown as intercropping. In other two villages, fruit are grown individually or in
pairs. In village LS four typologies of fruits are found i.e. plum and pear; apple;
plum and apple and walnut. Here plum is dominating crop. Similarly, in village
HL, fruit crops has four typologies – pear; plum; pear and plum and walnut. In
these two villages of high altitudes, walnut is grown randomly and sparse.
Table 4 shows typology of horticultural crops in the case study villages:
Table 4: Typology of horticultural crops in the case study villages
Typology
Villages
MK
Fruit Orchards
LS
Cherry I, II, III, Plum and pear
plum, peach, pear,
21
HL
Pear
apple,
walnut, Apple
grapes
I,
Plum
II,
apricot,
Plum and apple
Pear and Plum
pomegranate,
Walnut
Walnut
N=4
N=3
loquat
N= 13
of Plum dominating
Intercropping
Pear dominating
fruits
Cherry
Dominating
Vegetables
Beans,
cabbage, Celery,
chili, Cabbage,
cabbage I and II, cabbage
celery,
chives,
I, lettuce,
chili, cowpeas,
eggplant,
potato,
soybean
cowpeas, cucumber,
cucumber,
celery,
and
tomato
golden
eggplants, garlic, melon,
green
green
peas, beans,
lettuce,
lettuce,
okra, potato,
radish,
potato, pumpkin, soybean
and
radish, tomato and tomato
water spinach
N= 19
N= 13
N= 6
Intercropping:
Intercropping:
Intercropping:
vegetables
and vegetables
and vegetables
and
fruits; Tomato and fruits; Celery and fruits; Celery and
chili dominating
cabbage
lettuce dominating
dominating
Source: Primary data were gathered and then interpreted by the authors
22
Figure 4: Clockwise from tthe top (left) panoramic view of the study villages;
apple orchard; intercroppingg of fruits and vegetables as cabbage annd pears are
seen; and fruits are ready to sell on the national high way in village MK
M
Area, Production and Productivity
P
of Horticultural Crop
ps
Table 5 shows major fruit crops, area, production of productivity in the case
study villages. Area (in Mu)) is grouped into four groups i.e. <1, 1-100, 10-50 and
>50. In village MK, the low
west area is under peach, pear, grape I, grape
g
II and
cherry III. In village LS, arrea under walnut is the lowest while in village HL,
pear and walnut occupy thee lowest area. The highest area is undeer plum and
apple in village LS and undder Plum in village HL. In village MK, Cherry
C
I and
II, and plum obtain 10-50 area.
a
In terms of production, it is also grouped
g
into
four group i.e., <800, 8000-5000, 5000-10000 and >10000. Pro
oduction is
23
different in the different villages. In village MK, there are six fruits have the
lowest production while villages LS and HL, only one fruit has <800 kg
production. Grape I in village MK and pear and apple in village LS has the
highest production i.e. >1600 kg. Similarly, productivity is categorized into four
types - <500, 500-1000, 1000-1600 and >1600.
Table 5: Major fruit crops, area, production and productivity
Area in Mu
Major Fruits
MK; N= 13
<1
Peach,
LS; N= 4
pear, Walnut
HL; N = 3
Pear, walnut
grape I, Grape II,
Cherry III
1-10
Apple,
apricot, Pear
walnut,
loquat,
Nil
pomegranate
10-50
Cherry I, cherry Nil
-
II, plum
>50
Nil
Plum and apple
Plum
Loquat,
Walnut
Walnut
Production
<800
pomegranate,
peach,
grape
pear,
II
and
cherry III
800-5000
Grape I, walnut, Pear
Pear
apricot and plum
5000-10000
Cherry
I
and Nil
24
Nil
apple,
>10000
Cherry I
Plum and apple
Plum
Productivity
<500
Cherry I, plum, Walnut
apricot,
Walnut
walnut,
loquat,
pomegranate,
peach and pear
500-1000
Cherry
II
and Nil
Nil
II
and Plum
Plum and pear
apple
1000-1600
Grape
Cherry III
>1600
Grape I
Pear and apple
Nil
Source: Primary data were gathered and then interpreted by the authors
Fruit wise detail has also been discussed. In village MK, the highest area is
under cherry I. which is 35.63 followed by cherry II (14) plum (11.93), apple
(9.81) and apricot (4.15). Walnut and loquat have 3 and 2.1 area respectively.
The area under other fruits is comparatively quite low. In terms of production,
cherry first leads with 10390 kg, followed by apple (6692), cherry II (7285) and
plum (3535). Walnut apricot and grape first have 1260, 1140 and 1000
production respectively. The highest productivity has been recorded from grape
first i.e. 5000 followed by grape second and cherry second (1500 each). Other
fruits have less than 1000 productivity. There are thirteen varieties of fruits
grown. Cherry has three varieties and grape has two varieties. In villages HL,
only two types of fruit are grown. They are plum and peach. Area under plum is
the highest i.e. 177.9 with the highest production 216500 kg while, productivity
is 1216.98. Pear has only 1 mu area with 1250 production and productivity. In
25
village LS, three types of fruits are grown such as plum, apple and pear. The
highest area is under plum (228.1) followed by apple (58.8). Pear has only 2 mu
land area. Plum has the highest production (361420) followed by apple (110200
kg). Pear has only 4000 kg production. In terms of productivity, pear has the
highest i.e. 2000 followed by apple (1874.15) and plum (1584.48)
Table 6 shows area, production and productivity of major vegetables in the case
study villages. As, it is shown in the fruit section; grouping of area, production
and productivity was done of the vegetable crops. Area is grouped into four
groups <5, 5-10, 10-20 and >20. Production of crops is grouped as <1000,
1000-10000, 10000-20000 and >20000. Similarly, productivity is grouped from
<1000 to 1000-2000, 2000-10000 to >10000.
Table 6: Area production and productivity of major vegetables
Area in Mu
Major vegetables
MK; N= 19
<5
Beans,
LS; N=
cabbage, Chili,
HL; N = 6
cowpea, Cabbage
cabbage I, cabbage II, cucumber,
celery, chives, cowpea, eggplant,
cucumber,
garlic,
and
tomato
golden
eggplant, melon, green pea,
green-been, radish
and
okra, potato, pumpkin, soybean
water-spinach, lettuce,
radish and chili
5-10
Tomato
Lettuce
and Soybean
tomato
10-20
Nil
Celery and potato
Potato
>20
Nil
Cabbage I
Celery
26
(170.4)
and
lettuce
(143.9)
Production
(Kg)
<1000
eggplant Celery, cabbage I, Cabbage
Cucumber,
and pumpkin
eggplant,
and
golden soybean
melon,
green
beans,
potato,
radish
and
soybean
1000-10000
cabbage, Chili and cowpeas Tomato
Beans,
and
potato
cabbage I, cabbage II,
celery, chili, chives,
cowpeas, garlic green
beans, lettuce, okra,
potato,
radish
and
water spinach
10000-20000
Tomato
Lettuce
and Nil
tomato
>20000
Nil
Nil
Celery and lettuce
Productivity
<1000
Cabbage
cucumber
I
and Celery,
cabbage
chili, Cabbage,
I, and soybean
cowpeas,
cucumber,
eggplant,
beans,
27
potato
green
potato,
radish
and
soybean
1000-2000
Cabbage,
eggplant, Tomato
lettuce,
pumpkin,
Celery and tomato
radish,
2000-10000
Chili, green beans and Golden melon and Lettuce
tomato
>10000
Beans,
lettuce
cabbage
celery,
II, Nil
Nil
chives,
cowpeas, garlic, okra,
potato
and
water
spinach
Source: Primary data were gathered and then interpreted by the authors
Vegetables are grown as intercropping with fruits in all the case study villages.
Diversity in vegetable crops is high in village MK but the area (18.32) and
production (76245) is comparatively less than the other two villages i.e. LS and
HL. Area and production in two villages are 337.6 and 85.75, and 954335 and
39540 respectively. In village MK, the highest area is under tomato (5.3) and its
production is also high i.e. 19125. It is followed by chili (3.1) with 7475
production. There are two types of cabbage grown. Area under cabbage I is 2.7
and production is 1100. All other vegetable crops have <1.1 area. In village LS,
the highest area under vegetable crops is of cabbage (22.15), potato (17) and
celery (15.55), followed by lettuce (8.6), tomato (7.3) and radish (4.95). Chili
grows in 3.4 areas. Other crops are under <1 area. In terms of production, the
highest production is from lettuce (18725) and subsequently, the productivity is
also high (2177.2). Tomato followed in production and productivity i.e. 13600
and 1863, respectively. Meanwhile, the highest productivity is of golden melon
and that is 2500. In village HL, the two vegetable crops have highest area.
28
Celery has 170.4 and lettuce has 143.9 areas under vegetable. The other
vegetables are potato (12), soybean (6) and tomato (2.8). Cabbage has only 0.5
lands under vegetable. Accordingly, the production of lettuce is the highest
(665500) followed by celery (264500). Which shows that highest the area under
crops, highest is the production. These crops have also highest productivity i.e.
4624.7 and 1552.2 respectively. Production of other crops is less. Although,
potato has less production and productivity yet, it has high potential for the
future sustainable development. Soybean is also a promising vegetable for
productivity point of view in future, if utmost care is taken.
Further, table 7 shows area, production and productivity of fruits and vegetables
in all three case study villages as a nutshell (Figure 5&6). Village LS obtains
the highest area under fruits i.e. 288.9 followed by HL 178.9. Village MK has
only 83.51 areas under fruit crops. Similarly, production and productivity of
fruit crops is the highest in village LS i.e., 475620 and 1646.31 respectively. It
is followed by village HL with 217750 productions and 1217.16 productivities.
Village MK has comparatively low production and productivity. Area under
vegetable crops is the highest in village HL (335.6) with highest production
(939335). Village LS follows it in area (85.75) while, village MK has 18.32
areas under vegetable crops. In term of production, it obtains second place while
in productivity, it ranks first (4161.8).
Table 7: Area, production and productivity of fruits and vegetables
Fruits
Name of
Altitude (M)
Area (in Mu)
MK
1580
83.52
32787
392.56
LS
1878
288.9
475620
1646.31
Village
Productivity
(Kg)
29
Production
HL
2000
178.9
217750
1217.16
Vegetables
MK
1580
18.32
76245
4161.8
LS
1878
85.75
39540
461.1
HL
2000
335.6
939335
2799.0
Source: Primary data were gathered and then interpreted by the authors
Figure 5: Diversity, area, production and productivity of fruit crops
Correlations
between
Altitude,
Area,
Production
and
Productivity of Fruits and Vegetables
Correlations of altitude, area, production and productivity of fruit and vegetable
crops were penetrated. Pearson correlation method was used; where correlation
is significant at the 0.05 level (2-tailed). It was hypothesised that higher the
altitude, the number of fruits and vegetable crops (crops diversity) is high. But,
30
the correlation was insignificant. Further, it was hypothesised that higher the
area is production and productivity of fruit crops is high. Correlation was
significant as area, production and productivity of fruit crops was high in the
higher altitude. The village MK is located on the road-head; a large part of
village land has been used for other developmental projects such as for the
constructions of national high way and hydropower project. Therefore, the land
under fruits farming is quite less than the other two villages, located in the
highlands. In the case of vegetables, although the village MK has less area,
production and productivity is high. Altitude and climate are not only the
factors, which affect production and productivity of fruit crops, there are many
other factors, such as access to road and market and availability of man power.
Figure 6: Diversity, area, production and productivity of vegetable crops
31
Table 8: Descriptive statistics
Variables
Fruits; N= 13
Mean
Vegetables; N= 19
Std.
Mean
Deviation
Std.
Deviation
Area (Mu)
183.77
102.77
146.56
167.15
Production
2.42E5
222414.52
3.52E5
509231.88
2473.97
1871.63
(Kg)
Productivity
1085.34 637.18
Source: Primary data were gathered and then interpreted by the authors
Agricultural Land Use Changes before and after 2008
Table 9 (Figure 7) shows land covers change under agricultural land use before
and after 2008. The benchmark of 2008 was especially taken into account
because, in 2008, there was a catastrophic Wenchuan earthquake of >8
intensity. These villages were directly influenced and consequently, a largescale change in cropping pattern was noticed from all three villages. Food crops
have now fully been vanished. There were >80% decrease noticed in food
crops. In village MK, area under fruit crops decreased -24.9%. Similarly, area
under vegetable crops has also been decreased (-18.7%). The region behind
decrease in crops land is that a large part of land has been utilized for
construction of big houses, road and hydropower project. There is also an
increase in forest land (49.3%). Land under fruit crops was increased in both the
highlands villages. The increase percentage is 8.5 in LS and 1.1 in HL. Forest
land has decreased -97.5% in village LS. Similarly, -45.6% lands decreased
under vegetable crops. In the village HL, land has been increased under forest
(30%) and vegetable (4.4%). One point was noticed from all three villages that
land under settlement was increased about 32.1% in MK, 16.5% in LS and
32
19.4% in HL. The region behind this is that the government compensated a
large cash amount to construct a house to each HH after the earthquake. Further,
the government provided bank loan facility without interest for the same
purpose.
Figure 7: Agriculture land use change before and after 2008
Table 9: Changes in agricultural land use before and after 2008
Types
Land cover change (percentage of geographical area)
MK
LS
HL
Food crops
-80.4
-96.5
-81
Fruit crops
-24.9
8.5
1.1
Forestland
49.3
-97.5
30
Vegetable crops
-18.7
-45.6
4.4
33
Barren
-100
-
0
Fallow
662.9
0
-12.3
Source: Primary data were gathered and then interpreted by the authors
Drivers of Sustainable Horticultural Farming
The major driving forces for the sustainable horticultural farming in the upper
Minjiang River basin are geo-environmental conditions that include landscape,
altitude, climate and slope aspects; and management – access to market, water
management, transportation, man power and institutional facilities. All these
drivers are active/positive in the study area. Landscape is fragile. Plantation of
fruits will have a greater impact on the economy and on the restoration of
landscape as the farmers of the region are well acquainted with this fact. The
economy of this region is known as tree economy because of the high level of
production and productivity of fruits. A large area under horticultural farming
will manifest to the livelihood sustainability. Climatic conditions are suitable for
fruits cultivation mainly cherry and peach in the lower altitudes; and plum,
apple and pear in the higher altitudes. Accessibility of market and transportation
facilities is high in village MK, where fruits are easily sold out. In the other two
villages – LS and HL, it is moderate. The foremost and important driver is
institutional support. After the earthquake of 2008, the government support for
the farmers was quite enough and they were enough to carry their livelihoods
sustainably. Water resource management, from drinking water to irrigation, is
noticeable. Both the community people and the government institutions work
together and there is no water scarcity problem throughout the year. Tourism is
other significant factor. The climate is sub-temperate and temperate in these
villages with fresh natural air. During the summer season, the people from the
34
Chengdu lowland visit this area for leisure and they help to enhance the
economy of the people.
Horticulture and Livelihood Sustainability
Horticultural practices – cultivation of fruits and vegetables – are the main
occupation of the populace of the upper Minjiang river basin. Every HH in the
case study villages practice horticultural farming and carry his livelihoods.
Here, production and productivity of horticultural crops are quite high while, it
varies with variations in altitude. Further, suitable agro-climatic conditions
provide a base for horticultural farming. Cultivation of cherry and peach in the
middle altitudes and plum, pear and apple in the high latitude will lead the way
to further development of horticulture. Similarly, tomato in the middle altitudes
and potato in the high altitudes is suitable vegetable crops. Bees and beekeeping in all altitudes in this region has very high potential for further
enhancement. Table 10 projects the suitability of crops in different altitudes and
tourism practices for sustainable livelihoods. As mentioned, Cherry of all
varieties is very suitable fruit crops in village MK (1580 m). The other fruits are
grapes, pomegranates, peach and walnut. In vegetable crops, celery, okra,
tomato, potato, cowpea, beans and chives are suitable. Fruit and vegetable crops
can be grown as intercropping. In this area, tourism is a promising sector for
livelihood sustainability. In village LS (1878), the major fruits crops can be
grown are; plum, apple and pear. In vegetable crops, lettuce, tomato, potato,
golden melon, cowpea, chili, soybean and cabbage can be grown largely. Fruit
crops as separately and vegetable crops as intercropping with fruits can be
practiced. Major fruits in village HL (2000), which can be grown largely, are
plum, pear and apple. In vegetables, lettuce, celery, tomato, potato, cabbage and
35
soybean have the potential to grow substantially and to attend livelihood
sustainability.
Table 10: Suitability of crops in different altitudes and tourism practices for
sustainable livelihood
Villages
Altitude
Suitable crops
(M)
MK
1580
(1) Fruit crops: cherry - all varieties, grapes,
pomegranates, peach and walnut
(2) Vegetable crops: celery, okra, tomato,
potato, garlic, cowpea, beans and chives
(intercropping of fruits and vegetables)
(3) Tourism: is the a promising livelihood
option
LS
1878
(4) Fruit crops: plum, apple, pear and walnut
(5) Vegetable crops: lettuce, tomato, potato,
golden melon, cowpea, chili and cabbage;
soybean has also potential (Separate fruit
orchards;
intercropping
with
vegetable
crops)
(6) Tourism: a secondary livelihood option
HS
2000
(7) Fruit crops: plum, pear, apple and walnut
(8) Vegetable crops: lettuce, celery, tomato,
potato and cabbage; soybean has the
potential
(Separate
fruit
orchards;
intercropping with vegetable crops)
(9) Tourism: a secondary livelihood option
Source: Primary data were gathered and then interpreted by the authors
36
Horticulture and Tourism Development
Tourism is one of the promising sectors of development in the upper Minjiang
river basin. Pleasant climatic conditions mainly during the summer season,
when the other parts of Sichuan province receive hot weather, this region
provides ample base to tourists to visit this area for leisure. This is the time
when the major fruits start ripening. Cherry is the main fruit of this season. The
other fruits are peach, plum, pear, grapes and apple. Village tourism has already
been started in village MK, where every villager has constructed separate
accommodation for the tourists. About 17% HHs have started earning from
tourism. Here 4.6% of the total income is coming from tourism and it has forth
rank in the major sources of income. The ideal location of the village, as it is
located in the national high way, supports market to fruits. The farmers have
shops on the road side near to village and every day they pluck fresh fruits and
sell them on the roadside (Figure 4). Village LS has the ideal location in terms
of tourism practices. Here, temperate climate and panoramic landscape provides
the suitable base for tourism development. The farmers of this village are
willing to develop tourism here. In this village, income from the tourism activity
is 1.2% and it also rank fourth in the total sources of income. Plum, pear and
apple are the dominating crops in this village and their ripening period is also
the summer season. Village HL has yet to start tourism practices. Winter
tourism can also be developed in these villages as around three months during
the winter season, snowfall occurs. Snow skiing has already been developed in
the other parts of the highlands.
37
Livestock Population
Livestock play a significant role in economic development of the region and
carrying livelihoods of the people mostly in the rural area, where economy is
largely dependent on the farming. All these animals listed in the table are the
main food of the people of the case study villages, especially pig. Number of
cattle is very less therefore, milk production is just negligible. However, the
climatic conditions are very suitable for the cattle farming. Cattle farming have
vast potential for livelihood sustainability. It also can lead to milk production.
Bees and bee keeping has high potential in livelihood sustainability. The upper
Minjiang River basin characterizes mostly by temperate climate, is suitable for
growing flowers in throughout year. These flowers are also naturally grown.
Thus, potential of bee keeping is very high in entire region.
Table 11: Livestock population in the case study villages
Animals
MK
Number
LS
%
Number
HL
%
Number
%
Pig
59
28
131
93
147
89
Rabbit
15
7
-
-
-
-
Chicken
94
44
7
5
18
11
Sheep
39
18
3
2
-
-
Cattle
2
1
-
-
-
-
Duck
5
2
-
-
-
0
Bees
-
-
-
-
214
100
141
100
Total
Source: Primary collection of data
38
80 boxes
165
100
Table 11 presents livestock population in the three case study villages of the
upper Minjiang River basin. There are total six main livestock types. There
number is different in three villages. In village MK, total number of livestock is
214, village LS it is 141 and village HL, total number of animal is 165. In
village LS, only three livestock – pig, chicken and sheep are reared while in
village HL, only two animals – pig and chicken are reared. Pig is common
animal in all the villages. In village MK, it is 28% of the total animals; in LS, it
is 93% and in HL are 89% of the total animals. The other common animals
found in these villages are chicken; 44%, 5% and 11%. Sheep is reared only in
MK and LS villages (18% and 2% respectively). The other animals rabbit, cattle
and duck are only reared in village MK. Bees are also reared in village HL and
there are total 80 boxes of bees noticed in this village.
Water
Water availability is abundant and it is well managed. Village MK is located on
the bank of Zagunao River, village LS on the Yang Wu stream and village HL
on the Mo stream. Every village has a hydropower project. These streams and
power projects supply plenty of water and 24 hours electricity. Although, the
two villages are located on the gentle to steep slopes yet, irrigation system is
well developed.
39
Figure 8: Water potential, hydropower project and mitigation measures for
landslide
Forest
Temperate forest characterizes the forest types in LS and HL villages. The main
forests are spruce, Masson pine and locust. Bamboo trees are also grown and
bamboo shoots are widely used as vegetables. Village MK is located in the
valley, have sub-temperate forests but, the area is limited. These forests are
economically viable and used for making furniture and constructing houses.
During the winter season, these villages receive many spells of snow, forest
woods are used to warm rooms. Non-timber forest products including bamboo
shoots and medicinal plants have a significant role in economic development.
40
Human Capital: Population Size, Literacy Rate and Work Force
Human capital is very important asset in livelihood sustainability context.
Literacy, sex ratio and workforce are the indicators of development. Table 12
shows age group and percentage of total population in all three villages. It
shows that highest population is found in the age group of 15-39 and it is 40%;
followed by age group 40-65 (33% average). About 10% population is
registered >65% age group people. In the rural areas, such percentage of
population >65 years age is a sign of low mortality rate and high medical
facilities. However, this led to the situation of population ageing.
Figure 9: Population composition in the case study villages
41
Table 12: Age group and percentage of total population
Age Group
Percentage of total population
MK
LS
HL
<14
14.5
16.2
20.6
15-39
38.6
42.5
39.3
40-64
34.5
32.8
31.7
>65
12.4
8.4
8.3
Total
100
100
100
Source: Primary collection of data
Table 13 shows average family size is 4, average literacy rate is 82.1,
workforce is 88% (average) and sex ratio is 958 in all three villages. It also
varies village wise. Literacy rate is decreasing with increasing altitude. In
village MK, literacy rate is 84.7, it is 82.6 in village LS and 79 in village HL.
Subsequently, sex ratio is decreasing with increasing altitude. On the other
hand, higher the literacy rates higher the sex ratio. In Village MK, female/1000
male are higher (1008) whereas, in the other villages LS and HL it is 960 and
909 respectively.
42
Figure 10: Altitude, literacy and sex ratio
Table 13: Village wise family size, literacy rate, workforce and sex ratio
Villages
Family Size
Literacy
Workforce
Female/1000
Rate
(%)
male
MK
4
84.7
97
1008
LS
3
82.6
78
960
HL
4
79
91
909
Average
4
82.1
88
958
Source: Primary collection of data
Level of education (average of three villages) is shown in table 14. In terms of
male-female education level, it is almost equal to all levels. However, the
highest percentage of educational level is primary education (34.2%); followed
43
by secondary (30.5%). Tertiary education means under graduation and above
and in this category, only 17.9% people are registered. Because, there are
lacking of the higher education institutions therefore, the people migrate to
Chengdu for higher education. From the higher altitude villages – LS and HL,
the people don’t want to go outside as the out-migration is almost nil from these
villages, only few people go to the nearby towns for daily wages (29% people
from village MK, 14% from village LS and 5% from village HL), during the
off-season. The people >60 years are illiterate and their percentile is 17.9.
Table 14: Level of education (average of three villages)
Education
Primary
Percentage of male
population
Percentage of
female
population
Total
%
33
35.5
34.2
Secondary
35.9
24.9
30.5
Tertiary
17.5
17.2
17.4
None
13.6
22.4
17.9
Total
100
100
100
Source: Primary collection of data
44
Figure 11: Level of education
Migration
The nature of outmigration from the villages is illustrated in table 15. It was
observed from the data that the rate of outmigration is high in the lower
elevation. In village MK, 31% people are out migration, out of the total
population that was surveyed. In LS village, it is 18% and in village HL, it is
only 8%. When we calculate the male and female per cent of migration then, we
find that the number of male migrant is higher than the female migrants in all
the three villages. In village MK, 57% of the total migrants are male, this
number is 73% in village LS and 67% in HL. In terms of education of migrants,
in villages MK and HL, all migrants are literate even their education is above
higher secondary. In village MK, only 2% migrants are illiterate. The table
45
further shows the purpose of migration. There are mainly three purposes of
migration – for education, daily wages and tertiary services. Most of the
migrants from the villages MK and LS out-migrated for daily wages as the
percentages are 61 and 45, respectively. It is seconded by tertiary activities –
30% and 42% respectively. Migration for education from these villages is 9% in
village MK and 13% in village LS. In village HL, migration for education is
43%; for tertiary activities and daily wages, it is 28%. Duration of migration is
mainly daily, as most of the migrants, from all the villages, move to the nearby
towns or cities for education and work on daily basis. In village MK, daily
migration is 91%; in LS, it is 87% and in HL, it is 71%. Few people, mostly
students, are yearly migrants. It is evident from the study that the people from
these villages do not want to leave their native place. The other reason is that
the people are economically sound as they have fertile land and the climatic
conditions are very feasible for the cultivation of horticultural farming.
Table 15: Nature of migration from the three villages of study area
Variables
MK
Total migrants (% 31
LS
HL
18
8
57
73
67
43
27
33
100% literate
98% literate
100% literate
Education-9%,
Education- 13%,
Education- 43%,
of total
population)
Male migrants (%
of total migration)
Female migrants
(% of total
migration)
Education of
migrants
Purpose of
46
Daily wages-
daily wages- 45%
daily wages- 28%
61%, Tertiary
and tertiary
and tertiary
activities- 30%
activities – 42%
activities - 29%
Duration of
Daily- 91%,
Daily – 87%,
Daily- 71%,
migration
yearly- 9%
yearly- 13%
yearly- 29%
migration
Source: Primary collection of data
Financial Capital: Income-Expenditure Analysis
Financial capital plays very significant role in carrying livelihoods sustainably.
In this component of livelihood asset, we analyzed income and expenditure.
Livelihood is sustainable when income is higher than expenditure. As much as
the saving is, livelihood is sustainable at that level. We collected data from the
three villages of the upper Minjiang River basin on income and expenditure of
the total 180 households. Total income of HHs was about 13411144 CNY and
total expenditure was about 20844660. Total balance was -7433516. In terms of
per capita income, it was 21924 CNY in village MK, which is the highest
among the villages. Village LS has 21717 per capita income while, village HL
has only 10269 per capita income. When we convert it with the USD, it is
1630USD. In many developing countries, per capita income is about 1000USD.
It shows that per capita income is higher in the villages located in the lower
altitude. This is also the case with expenditure. The villages located in the lower
altitude, per capita expenditure is high. For example, village MK is located at
the lower elevation has 33004 CNY per capita expenditure, it followed by
village LS which has 23855 per capita expenditure. Village HL is comparatively
located in the higher altitude; its per capita expenditure is 26713. The data show
that expenditure is higher than income and therefore, they do not have saving
and this fact is negative for livelihood sustainability. Meanwhile, when we look
into the asset values of each HHs, it is very high in all three villages.
47
Table 16 and 17 shows major sources of income and expenditure on the major
head in all three villages. Income and expenditure is calculated in percentage
and rank has given to each source and head respectively. In village MK, major
source of income is from the government service (42.7%) followed by the
private services. Income from horticultural practices ranks third with 22.1%. In
this village, tourism plays a vital role in economic development as 4.6% of the
total income is coming from tourism. Meanwhile, tourism practice in this
village is in an initial stage. The other sources of income are pension, trade,
agriculture, artisans, forest products, animal husbandry and farm labour. In
village LS, horticultural farming is the main source of income, obtains about
79.5% of the total income. Income from the private services contributes 12%.
Tourism is also practiced in this village, rank forth in terms of income. Very
few people are engaged in the governmental services. Income from the other
sources is very less. Horticultural farming is the main occupation of the people
of HL village. Income from it is 82.1% of the total income. Income from the
private sources is 11.2%. Other sources of income have negligible score. It is
very clear from the fact that horticultural faming is the main source of income
of the farmers of the high altitude villages and main occupation of above 90%
people.
Table 16: Major Sources of Income
Sources
MK
Score
LS
Rank
Score
(%)
HL
Rank
(%)
Score
Rank
(%)
Government
Services
42.7
1
0.8
5
2.9
3
Private Services
24.4
2
12
2
11.2
2
Horticulture
22.1
3
79.5
1
82.1
1
48
(Fruits
and
Vegetables)
Tourism
4.6
4
1.2
4
Others
1.7
5
5.7
3
1.1
5
Pension
1.7
6
0.7
6
0.1
8
Trade
2
7
1.0
6
Agriculture
1
8
0.03
9
Artisans
0.4
9
Forest Products
0.1
10
Husbandry
0.01
11
Farm Labour
0.01
12
0.04
7
0.2
7
0.03
8
1.4
4
Animal
Source: Data collected from the primary sources and calculated by the authors
Similarly, data on the major heads of expenditure were gathered from the three
villages. They were analyzed and score and rank of the major expenditure heads
were penetrated. Uniformity in the expenditure on housing repair and decoration
was noticed in all three villages. It is the major proportion of expenditure. In
village MK, 76% of the total expenditure is used in housing repair and
decoration. It is 40.9% in village LS and 52.8% in village HL. In MK village,
expenditure on social purposes ranks second (8.1%). On education and food
commodities, it is almost equal (about 4%). Small amount of expenditure is
made on health purposes. The other heads of expenditure are fuel,
pesticides/fertilizer, insurance, cosmetic and animal feed. In village LS,
expenditure on social purposes scores 14.1% and it ranks second and followed
by expenditure on food commodities and pesticides and fertilizers (ranks third
and fourth). In HL village, expenditure on pesticides and fertilizer ranks second
49
and it scores 10.4% of the total expenditure. It is followed by social purposes
and then food commodities and education. Travelling score is 2.4%.
Figure 12: Per capita income and expenditure
Some conclusions have been derived from this analysis. The first is that the
major expenditure is on house repair and decoration. Each HH of these villages
has big, modern type house (s). They have plenty of furniture and other assets.
Therefore, to maintain them, a large proportion of their income is used for repair
and decoration purposes. In the highland village, the main occupation of the
people is horticultural farming. Therefore, they use much more pesticides and
fertilizers and a major proportion of their income is used for that purpose. Many
of the villagers like to visit big cities of China every year; some proportion of
their income goes to tour purposes. However, expenditure on health and
50
education is comparatively less. It is because of that the health facilities are
almost free and education is free upto the senior secondary level.
Table 17: Expenditure on major heads
Sources
MK
Score
LS
Rank
Score
(%)
HL
Rank
(%)
Score
Rank
(%)
Housing
Repair/Decoration
76
1
40.9
1
52.8
1
Social Purposes
8.1
2
14.1
2
9.0
3
Education
4.3
3
8.8
5
4.7
5
Food Commodities
4.1
4
10.2
3
8.1
4
Cloths
2.3
5
3.0
8
3.2
7
Travelling
1.4
6
5.5
6
2.4
8
Health
1.3
7
3.9
7
3.3
6
Fuels
1.1
8
1.4
10
1.3
11
Pesticides/Fertilizer
0.8
9
9.4
4
10.4
2
Insurance
0.3
10
0.8
11
0.2
12
Cosmetic
0.1
11
0.05
13
0.09
13
Animal Feed
0.03
12
2.2
9
2.3
9
0.1
12
1.9
10
Others
-
Source: Primary collection of data
Major Assets and Their Valuation
Table 18 shows major assets and their valuation in three case study villages.
Primarily, these assets are divided into four categories such as communication,
electronic items, vehicles and decoration items. The highest number of items is
51
from communication from all the villages whereas the highest number of value
items is from vehicles. Number of total main assets in village MK is 564 and
their valuation is 2395700. Similarly it is 472 and 3257150, respectively in
village LS. In village HL, the total number of assets is 446 whereas their
valuation is 2752900. It is very clear from the data that number of asset and
their valuation is high in the villages located in the valleys in comparison to the
villages located in the mid and high altitudes. All three villages have number of
assets in all categories. In terms of communication assets, every HH has a cell
phone. In village MK, the people have number of computers and internet
connections. Similarly, the people of other villages have few computers and
internet connections. Among electronic items, the people have TV, refrigerators,
washing machines, air conditions and almost all HHs have solar panel. In
village MK, every HH has two televisions and a refrigerator and washing
machine. It is surprising to note that at the village level, there are numbers of
cars. We collected data from the 60 HHs in village MK and out of it there are 25
cars and 13 trucks. Similarly, in LS village, this number is 11 and 47
respectively. In village HL, number of cars is 14 and mini trucks are 34. It is
important to note that number of mini trucks are increasing with increasing
heights because, the villages located in the highlands have large area under
horticultural farming and they use the mini trucks to transport the horticultural
products. In village MK, there are other means of transportation available, as it
is located on the national highway; therefore the number of mini trucks in this
village is less. There are number of decoration items in these villages. In a
nutshell, it is noteworthy to say that these villages are very modern and ideal in
terms of economic development and future prospects. Although, these villages
are located in the high risk and vulnerability zones for terrestrial and
atmospheric hazards yet, they maintained livelihood sustainability through using
modern innovation is the farming land and have become self-reliant.
52
Table 18: Major assets and their valuation*
Major Assets
Villages
KM
LS
HL
Communicati Numbe
Valuatio Numbe
Valuatio Numbe
Valuatio
on
n
n
n
rs
rs
rs
Telephone
11
1100
1
100
1
100
Cell-phone
157
62800
178
71200
160
64000
10
500
1
50
4
200
22
33000
3
4500
4
6000
200
97400
183
75850
169
70300
103
154500
51
76500
53
79500
Refrigerator
62
62000
54
54000
51
51000
Washing
53
53000
50
50000
50
50000
Air conditions
17
34000
1
2000
1
2000
Radio
02
200
-
-
-
-
Total
237
303700
156
182500
155
182500
25 1250000
11
550000
14
700000
3
7500
8
20000
Internet
Connection
Computer
Total
Electronic Items
TV
machine
Vehicles
Car
Motorcycle
3
7500
Mini trucks
13
650000
47 2350000
34
1700000
Total
41 1907500
61 2907500
56
2420000
Decoration Items
Watch
11
1100
3
300
1
100
Ornaments
29
58000
22
44000
15
30000
53
Furniture
28
28000
47
47000
50
50000
Total
68
87100
72
91300
66
80100
Grand Total
546 2395700
472 3257150
446 2752900
Source: Primary collection of data
*Average valuation at the current market rate
Physical Capital: Buildings, Road Connectivity and Development
Projects
Physical capital includes buildings – private and public, road connectivity and
number of development projects. They are the indicators of development. Their
availability shows that there are very high opportunities for livelihood
sustainability. The three villages, we studied are located in the different altitudes
and they have different access to road and market. One capital is common in
these villages and that is private houses. Every household has its own modern
furnished house with all accessories. Village MK is located in a national high
way, connecting highlands with lowlands. It has one medium size hydropower
project. There are many development projects carried on and based on it, this
village can be categorized as developed village. Electricity supply and irrigation
facilities are well developed. This is also the case with the other two villages.
Every village has micro-hydropower project. There are many development
projects currently running.
Social capital: Institutional Support and Community Involvement
in Development Processes
The social capital is one of the means of livelihood sustainability. Institutional
support and community involvement in the developmental processes in these
54
villages is very high. This can be observed from the fact that after 2008
earthquake, the reconstruction work of settlements and other developmental
projects was tremendously high and within a short period of four years, this
whole region was reconstructed with using high quality and quantity of
materials. The institutional supports as cash compensation and wages against
the labour were more than sufficient. For reconstruction of houses, the
government paid cash compensation of average about 20,000 CNY to each and
every HH. In addition, bank loan was provided without interest. The community
people have their own agenda in terms of development of the village. All the
developmental works from constructing road inside the village to construction
of canal for irrigation, pipe line for drinking water and other works are done by
the villagers and in lieu of that they get daily wages. The institutionalcommunity network has proven its relevance in the development processes of
these villages.
Vulnerability Context: Natural and Financial
The geographical location of these three villages is different. MK villages is
located in the flat river terrace, village LS located in the mid-altitude with
moderate to high slope and village HL is located in the high slope gradient. The
natural risk and vulnerability of these villages are slightly varied and increasing
with increasing altitudes. In general, the terrestrial and atmospheric hazards as
earthquake and flashfloods are moderate to high. This region has received a
high intensity earthquake (>8 magnitude) in 2008. Flashfloods are common
during the three months of summer, when high rainfall occurs. In terms of
financial, physical and social vulnerability, the probability is low as there is
sufficient financial support from the government and people are self-sufficient
in carrying their livelihoods.
55
Conclusions
In this paper, we have applied SLA theory into practice. All five capitals of
SLA were discussed with reference to the case study villages. The study villages
have abundant natural resources – land, forest and water. The land resource is
well managed and cultivation of fruits and vegetables is practiced in all three
villages. There is enough and pure water for drinking and irrigation. Forest
diversity is high along with high value of temperate forests. This region is very
rich in medicinal plants and bees and bee-keeping. Literacy rate is high.
Working population is >90%. Number of people >66 years is more than 10%
thus, population is ageing. Income level of people is average and they are able
to carry their livelihood sustainably. Meanwhile per capita expenditure is higher
than income, though; each HH has a large number of valuable assets. The level
of community participation in developmental works and institutional support in
enhancing livelihoods is tremendous. This study suggests that the optimal use of
natural resources – land, forest and water will lead to sustainable livelihoods. It
was penetrated from the study that the farming of horticultural crops
particularly, fruit cultivation is the main occupation of the farmers of this
region; and it has the potentials to enhance livelihood sustainability. The quality
of fruits is high along with high production and productivity. Further, the study
reveals that the agro-climatic conditions provide suitable base for horticultural
farming. The infrastructural facilities such as irrigation, transportation and
market are highly accessible and the farmers can access the market without the
commission agents. The two issues emerged from the study are; the villages are
lacking in cold storages and arable land is comparatively less under horticultural
crops. There is a possibility of extension of arable land in the mountain niches.
If these two problems are solved, the self-sufficiency in livelihood can be
attended and the environment can be restored. Tourism is another potential
sector for the development of this region as the landscape is panoramic and
56
climatic conditions are feasible. Its development at all level will enhance
livelihood sustainability. Bees and bee-keeping is other potential areas for
livelihood sustainability. Horticultural farming particularly, cultivation of plum,
apple, pear, peach and grapes, is best suited to the agro-climate of the region
and there is also possibility of extension of crop fields in the mountain niche.
More emphasis should be given to horticultural farming in a sustainable
manner. Cultivation of given crops will not only enhance livelihoods but also
will restore the fragile ecology of the region. This region provides ecological
services to the lowland areas. If a suitable payment of ecological services is paid
to the local people, livelihood sustainability can be achieved.
57
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62
Appendices
I. Fruits area, production and productivity
Village MK
Fruit Types
Area (Mu)
Production (Kg)
Productivity
(Kg/Mu)
Cherry I
35.63
10390
291.61
14
7285
520.36
Plum
11.93
3535
296.31
Apple
9.81
6692
682.16
Apricot
4.15
1140
274.70
Walnut
3
1260
420.00
Loquat
2.1
180
85.71
Pomegranate
1.4
655
467.86
Peach
0.6
250
416.67
Pear
0.5
100
200.00
Grape I
0.2
1000
5000.00
Grape II
0.1
150
1500.00
Cherry III
0.1
150
1500.00
Cherry II
Village LS
Fruit Types
Area (Mu)
Production (Kg)
Productivity
(Kg/Mu)
Plum
228.1
361420
1584.48
Apple
58.8
110200
1874.15
2
4000
2000
Pear
63
Village HL
Fruit Types
Area (Mu)
Production (Kg)
Productivity
(Kg/Mu)
Plum
Pear
177.9
216500
1216.98
1
1250
1250.00
II. Vegetable area, production and productivity
Village MK
Vegetable types
Area
Production
Productivity
Beans
0.1
1520
15200
Cabbage
1.1
1100
1000
Cabbage I
2.7
1100
407.4
Cabbage II
0.5
6375
12750
0.02
6375
318750
Chili
3.1
7475
2411.3
Chives
0.1
6375
63750
Cow pea
0.1
1100
11000
Cucumber
0.8
220
275
Eggplant
0.2
370
1850
Garlic
0.1
1520
15200
Green been
0.5
1100
2200
Lettuce
1.1
1520
1381.8
Okra
0.2
6375
31875
Potato
0.4
6375
15937.5
Pumpkin
0.4
745
1862.5
Radish
1.1
1100
1000
Celery
64
Tomato
5.3
19125
3608.5
Water spinach
0.5
6375
12750
18.32
76245
4161.8
Total
Village LS
Vegetable types
Celery
Area
Production
Productivity
15.55
670
43.1
3.4
1435
422.1
22.15
900
40.6
Cowpea
4
2010
502.5
Cucumber
1
340
340
Eggplant
1
190
190
Golden melon
0.2
500
2500
Green bean
0.5
20
40
Lettuce
8.6
18725
2177.3
Potato
17
275
16.2
Radish
4.95
825
166.7
Soybean
0.1
50
500
Tomato
7.3
13600
1863
85.75
39540
461.1
Area
Production
Chili
Chinese Cabbage I
Total
Village HL
Vegetable types
Cabbage
Productivity
0.5
35
70
Celery
170.4
264500
1552.2
Lettuce
143.9
665500
4624.7
12
5200
433.3
6
100
16.7
Potato
Soybean
65
Tomato
Total
2.8
4000
1428.6
335.6
939335
2799
III. Diversity in vegetable crops
Vegetable Types
Muka Qiang
Hui Long
Beans
¥
Cabbage
¥
Cabbage I
¥
Cabbage II
¥
Celery
¥
Chili
¥
Chives
¥
Cow pea
¥
¥
Cucumber
¥
¥
Eggplant
¥
¥
Garlic
¥
¥
¥
¥
¥
¥
¥
Golden melon
Green been
¥
Lettuce
¥
Okra
¥
Potato
¥
Pumpkin
¥
Radish
¥
¥
Tomato
¥
Water spinach
¥
Number of crops
19
¥
¥
¥
¥
¥
Soybean
66
Le Shi
¥
¥
¥
¥
6
13
IV. Diversity in fruit crops
Fruit Types
Muka Qiang
Hui Long
Le Shi
Cherry II
¥
Grape II
¥
Cherry III
¥
Cherry I
¥
Apple
¥
Peach
¥
Pomegranate
¥
Grape I
¥
Pear
¥
¥
¥
Plum
¥
¥
¥
Apricot
¥
Walnut
¥
Loquat
¥
Total Number
¥
¥
¥
13 3
3
V. Land use/cover change (Area in mu)
Village MK
Type
Area (Before
Area (After
Cover Change
2008)
2008)
(in %)
Settlement
12.8
16.9
32.1
Food crops
130.10
25.48
-80.4
Fruit crops
101.35
76.08
-24.9
Forestland
87.80
131.10
49.3
Vegetable crops
11.75
9.55
-18.7
2.00
0.00
-100
Barren
67
Fallow
1.40
10.40
662.9
Grassland
0.00
0.00
0
Village LS
Type
Area (Before
Area (After 2008
Cover Change
2008)
(in %)
Settlement
12.1
14.0
16.5
Fruit crops
226.80
246.10
8.5
Forestland
81.50
2.00
-97.5
Fallow
81.10
81.10
0
Vegetable crops
32.90
17.90
-45.6
Food crops
32.10
9.80
-96.5
Barren
0.00
0.00
0
Grassland
0.00
0.00
0
Village HL
Type
Area (Before 2008)
Area (After 2008
Cover Change
(in %)
Settlement
10.9
13.1
19.4
Fruit crops
159.30
161.10
1.1
Forestland
96.00
125.00
30
Vegetable crops
79.20
82.70
4.4
Food crops
72.20
13.50
-81.3
Fallow
48.60
42.60
-12.3
Barren
1.00
1.00
0
0
0
0
Grassland
68
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