TROPICAL RESOURCES
T h e B u l l e t i n o f t h e Ya l e Tr o p i c a l R e s o u r c e s I n s t i t u t e
2010 Volume 29
3
4
8
9
TRI News Updates
The State of Tropical Resource Studies at Yale/F&ES, 2009-2010, Michael R. Dove, TRI Director
A Word from Nathaniel Delafield, Outgoing Program Manager
2009-2010 TRI Fellows’ and Compton Fellows’ Research Sites
I.
10
RE-THINKING BIODIVERSITY IN FOREST AND FIELD
Colonial Maize and Climate: Limits of Agricultural Development for Adaptation in Rift Valley, Kenya
William Collier, MESc 2010
Açaí Branco: Maintaining Agrobiodiversity through a Local Seed System in the Amazon Estuary
Ashley DuVal, MESc 2010
Tropical Native Tree Plantations: An Investigation of Herbivore Damage and Species Selection in
Central Panama
Gillian Paul, MFS 2010
Small-Scale Restoration Efforts Using Mixed-Tree Plantations in the Path of the Tapir Biological Corridor,
Costa Rica
Alvaro Redondo-Brenes (PhD 2010), Alan Chiu, and Sarah Snow
THE CONTINUING EVOLUTION OF INDIGENOUS ENVIRONMENTAL POLITICS
Carry a Big Stick: Performing Indigenous Identity in Panama City
Marian Ahn Thorpe, MESc 2010
Indigenous Perspectives on Oil Exploration Concessions in the Peruvian Amazon
Lauren Baker, PhD candidate
In Search of the True Adivasi: The Politics of Land Rights in Mudumalai Wildlife Sanctuary, India
Roopa Krithivasan, MESc 2010
BALANCING CONSERVATION AND DEVELOPMENT
Retelling the Same Story in a SW Chinese Village: The implementation of environmental and poverty
programs with a common agricultural development plot
Christine Jane Trac, MESc 2010
Community-Based Conservation in Tanzania: Getting the Incentives Right
Eliezeri Sungusia, MESc 2010
Reduced Emissions from Deforestation and Forest Degradation (REDD) in East Kalimantan, Indonesia:
Barriers and Advantages to Project Equitability
Benjamin Blom, MF 2010
THE ‘WASTE’ OF MODERNITY
Medical Waste Management in Kenya: Opportunities for Improvement
Nashaat Mazrui, MEM 2010
E-Waste in Indonesia: The Case of Personal Computers
Fauziah Rochman, MESc 2010
Saltwater Hydroponics Atop Shrimp Farms: Exploring a New Method of Reducing Environmental
Impacts from Shrimp Aquaculture in Tropical Developing Countries
Hui Cheng, MESc 2010
PROBLEMS OF TRANSLATION
Cuban Environmental Paradigms: Contemporary Agriculture and Colonial Forestry
Dana Graef, PhD candidate
United or Divided? Stakeholder Perceptions of One Another and REDD
Katie Hawkes, MEM 2010
Fostering Resilient Communities in Disaster-Prone and Climate-Change Threatened Tropical Coastal
Areas: Views from West Sumatra, Indonesia
Kasey Jacobs, MESc 2010
16
22
27
II.
33
38
45
III.
49
54
59
IV.
66
71
78
V.
86
90
93
Please access the 2010 Bulletin online at environment.yale.edu/tri in order to
download pdfs of the articles.
(SSÄN\YLZ\ZLKPU[OLZLHY[PJSLZHYL[OLH\[OVYZ»V^U\USLZZV[OLY^PZLPUKPJH[LK
Tropical Resources Bulletin 1
Yale Tropical Resources Institute
Mission
The Mission of the Tropical Resources Institute is to support interdisciplinary,
problem–oriented, applied research on practical solutions to the most complex
JOHSSLUNLZ JVUMYVU[PUN [OL THUHNLTLU[ VM [YVWPJHS YLZV\YJLZ ^VYSK^PKL
3HZ[PUN ZVS\[PVUZ ^PSS IL HJOPL]LK [OYV\NO [OL PU[LNYH[PVU VM ZVJPHS HUK
LJVUVTPJ ULLKZ ^P[O LJVSVNPJHS YLHSP[PLZ [OL Z[YLUN[OLUPUN VM SVJHS PUZ[P[\[PVUZ
in collaborative relationships with international networks, the transfer of
RUV^SLKNL HUK ZRPSSZ IL[^LLU SVJHS UH[PVUHS HUK PU[LYUH[PVUHS HJ[VYZ
HUK [OL [YHPUPUN HUK LK\JH[PVU VM H JHKYL VM M\[\YL LU]PYVUTLU[HS SLHKLYZ
;OLWYVISLTZZ\YYV\UKPUN[OLTHUHNLTLU[VM[YVWPJHSYLZV\YJLZHYLYHWPKS`
PUJYLHZPUN PU JVTWSL_P[` ^OPSL KLTHUKZ VU [OVZL YLZV\YJLZ HYL L_WHUKPUN
L_WVULU[PHSS`,TLYNPUNZ[Y\J[\YLZVMNSVIHSLU]PYVUTLU[HSNV]LYUHUJLHUKSVJHS
JVUÅPJ[ZV]LYSHUK\ZLHUKLU]PYVUTLU[HSJVUZLY]H[PVUYLX\PYLUL^Z[YH[LNPLZHUK
leaders who are able to function across a diversity of disciplines and sectors and at
SVJHSHUKNSVIHSZJHSLZ;OL;YVWPJHS9LZV\YJLZ0UZ[P[\[LZLLRZ[V[YHPUZ[\KLU[Z[V
ILSLHKLYZPU[OPZUL^LYHSL]LYHNPUNYLZV\YJLZRUV^SLKNLHUKL_WLY[PZLHTVUN
NV]LYUTLU[ZZJPLU[PZ[Z5.6ZHUKJVTT\UP[PLZ[VWYV]PKL[OLPUMVYTH[PVUHUK
[VVSZ[OPZUL^NLULYH[PVU^PSSYLX\PYL[VLX\P[HIS`HKKYLZZ[OLJOHSSLUNLZHOLHK
2 Volume 29, 2010
TRI News Updates....
Michael Dove named new TRI Director
Michael R. Dove replaced Lisa Curran as Director of TRI in July
2009. Professor Curran left Yale to assume a position at Stanford University.
7YVMLZZVY +V]L )( 5VY[O^LZ[LYU <UP]LYZP[`" 4( 7O+ :[HUMVYK
<UP]LYZP[`PZ[OL4HYNHYL[24\ZZLY7YVMLZZVYVM:VJPHS,JVSVN`7YVMLZZVYVM
(U[OYVWVSVN`*\YH[VYVM(U[OYVWVSVN`PU[OL7LHIVK`4\ZL\TVM5H[\YHS
/PZ[VY`*VJVVYKPUH[VYVM[OLQVPU[KVJ[VYHSKLNYLLWYVNYHTIL[^LLU-,:
HUK[OL+LWHY[TLU[VM(U[OYVWVSVN`HUKTLTILYVM[OLMV\UKPUN:[LLYPUN
*VTTP[[LLVM@HSL»ZUL^*SPTH[LHUK,ULYN`0UZ[P[\[L/PZYLZLHYJOMVJ\ZLZ
on the environmental relations of local communities, especially in South
HUK:V\[OLHZ[(ZPH6]LY[OLWHZ[`LHYZOLOHZZWLU[TVYL[OHUHKVaLU
`LHYZPU[OLÄLSKPU(ZPHJHYY`PUNV\[SVUN[LYTYLZLHYJOVUO\THULJVSVN`
PU)VYULVHUK1H]HKL]LSVWPUNNV]LYUTLU[YLZLHYJOJHWHJP[`PU0UKVULZPH
HUK HK]PZPUN [OL 7HRPZ[HU -VYLZ[ :LY]PJL VU ZVJPHS MVYLZ[Y` WVSPJPLZ
/PZTVZ[YLJLU[IVVRZHYL*VUZLY]PUN5H[\YLPU*\S[\YL!*HZL:[\KPLZMYVT:V\[OLHZ[(ZPHJVLKP[LK^P[O7
:HQPZLHUK(+VVSP[[SL@HSL:V\[OLHZ[(ZPH7YVNYHT,U]PYVUTLU[HS(U[OYVWVSVN`!(/PZ[VYPJHS9LHKLY
JVLKP[LK^P[O**HYWLU[LY)SHJR^LSS:V\[OLHZ[(ZPHU.YHZZSHUKZ!<UKLYZ[HUKPUNH-VSR3HUKZJHWL
LKP[VY 5L^@VYR )V[HUPJHS .HYKLUZ 7YLZZ ;OL )HUHUH;YLL H[ [OL .H[L!;OL /PZ[VY` VM 4HYNPUHS
7LVWSLZ HUK .SVIHS 4HYRL[Z PU )VYULV @HSL <UP]LYZP[` 7YLZZ HUK *VTWSPJH[PUN *VUZLY]H[PVU!
)L`VUK [OL :HJYLK -VYLZ[ JVLKP[LK ^P[O 7, :HQPZL HUK( +VVSP[[SL +\RL <UP]LYZP[` 7YLZZ /L PZ
J\YYLU[S` ^VYRPUN VU H IVVR VU [OL OPZ[VY` VM [OL HU[OYVWVSVNPJHS Z[\K` VM JSPTH[L JOHUNL HUK HUV[OLY
IVVRJVH\[OVYLK^P[O+2HTTLUVU;OL(U[OYVWVSVN`HUK7O`ZPJZVM*VUZLY]H[PVUHUK+L]LSVWTLU[
9LZLHYJO HUK [LHJOPUN PU[LYLZ[Z PUJS\KL [OL HU[OYVWVSVN` VM JSPTH[L JOHUNL HUK [OL J\S[\YHS HUK
WVSP[PJHSHZWLJ[ZVMUH[\YHSOHaHYKZHUKKPZHZ[LYZ"WVSP[PJHSKPTLUZPVUZVMYLZV\YJLKLNYHKH[PVU"PUKPNLUV\Z
LU]PYVUTLU[HSRUV^SLKNL"JVU[LTWVYHY`HUKOPZ[VYPJHSLU]PYVUTLU[HSYLSH[PVUZPU:V\[OHUK:V\[OLHZ[(ZPH"
[OL Z[\K` VM KL]LSVWTLU[HS HUK LU]PYVUTLU[HS PUZ[P[\[PVUZ KPZJV\YZLZ HUK TV]LTLU[Z" HUK [OL ZVJPVSVN`
VMYLZV\YJLYLSH[LKZJPLUJLZ7YVMLZZVY+V]LZP[ZVU[OLHK]PZVY`IVHYKZVM@HSL»Z(NYHYPHU:[\KPLZ7YVNYHT
Council on South Asian Studies, Council on Southeast Asian Studies, and the International Affairs Council.
Michael R. Dove
4HYNHYL[24\ZZLY7YVMLZZVYVM:VJPHS,JVSVN`:JOVVSVM-VYLZ[Y`HUK,U]PYVUTLU[HS:[\KPLZ
Director, Tropical Resources Institute
7YVMLZZVY+LWHY[TLU[VM(U[OYVWVSVN`
*\YH[VY7LHIVK`4\ZL\TVM5H[\YHS/PZ[VY`
Yale University
2YVVU/HSS 7YVZWLJ[:[YLL[
5L^/H]LU*VUULJ[PJ\[
;LSLWOVUL!
-H_! Tropical Resources Bulletin 3
The State of Tropical Resource Studies at Yale/F&ES, 2009-2010
;OL YLZLHYJO JHYYPLK V\[ I` -,: 4HZ[LY»Z HUK +VJ[VYHS Z[\KLU[Z JHU IL ]PL^LK HZ H ZUHWZOV[ VM
J\YYLU[^VYRVU[YVWPJHSYLZV\YJLZ)HZLKVUÄLSK^VYRJHYYPLKV\[^P[OPU[OLWHZ[`LHYZ\WWVY[LKI`;90HUK
*VTW[VU MLSSV^ZOPWZ HUK PUMVYTLK I` [OLPY JV\YZL^VYR HUK YLHKPUN VM [OL SH[LZ[ SP[LYH[\YL [OLPY YLZLHYJO
W\ZOLZ[OLIV\UKHYPLZVMJ\YYLU[RUV^SLKNL;OLPY^VYR[LSSZ\Z^OLYL[OLÄLSKVM[YVWPJHSYLZV\YJLZPZ[VKH`
HUK^OLYLP[ZNVPUNPU[OLULHYM\[\YL:VTLVM[OLILZ[^VYRJHYYPLKV\[V]LY[OLWHZ[`LHYI`-,:Z[\KLU[ZPZ
W\ISPZOLKOLYLKP]PKLKPU[VÄ]LTHPU[OLTLZ!IPVKP]LYZP[`PUKPNLULP[`JVUZLY]H[PVUHUKKL]LSVWTLU[^HZ[L
THUHNLTLU[HUKJOHSSLUNLZVMº[YHUZSH[PVU»
09L[OPURPUNIPVKP]LYZP[`PUÄLSKHUKMVYLZ[
;OLPTWHJ[VMHNYPJ\S[\YHSTVKLYUPaH[PVUHUKOVTVNLUPaH[PVUVU[YVWPJHSIPVKP]LYZP[`PZ[OLWYPTHY`MVJ\Z
of the papers by Collier, DuVal, Paul, and Redondo-Brenes, and it is a secondary focus of most of the other papers
HZ^LSS;OLZLWHWLYZNYHWWSL^P[O[OL[LUZPVUIL[^LLULJVUVTPJKL]LSVWTLU[VU[OLVULOHUKWYVTV[LKI`
TVUVZWLJPÄJJ\S[P]H[PVUVML_V[PJZHUKJVUZLY]H[PVUVU[OLV[OLYOHUKMH]VYPUNKP]LYZLUH[P]LZWLJPLZ(KKPUN
to this tension is the relative lack of research on native species versus exotics. Whereas planned development, even
LJVSVNPJHSYLZ[VYH[PVUVM[LUKPTPUPZOLZIPVKP]LYZP[`THU`JVTT\UP[`IHZLKTHUHNLTLU[Z`Z[LTZHYLZOV^U
[VOH]LPUJYLHZLKP[JYLH[PUNJV\U[LYPU[\P[P]LSPURHNLZPUZVTLJHZLZIL[^LLUJ\S[\YHSHUKUH[\YHSSHUKZJHWLZ
/PZ[VYPJHSYLZLHYJOHUKWLYZWLJ[P]LZWYV]L[VILJLU[YHS[V\UKLYZ[HUKPUNO\THUTHPU[LUHUJLVMIPVKP]LYZP[`
;OL ÄYZ[ WHWLY PU [OPZ ZLJ[PVU I` >PSSPHT *VSSPLY [HRLZ H OPZ[VYPJHS WLYZWLJ[P]L VU JSPTH[L
Z[YLZZ HUK (MYPJHU HNYPJ\S[\YL SVVRPUN PU WHY[PJ\SHY H[ P[Z HNYVIPVKP]LYZP[` 6UL VM [OL TVZ[KPZJ\ZZLK
WYVQLJ[LK KLSL[LYPV\Z LMMLJ[Z VM NSVIHS JSPTH[L JOHUNL PZ VU MVVK JYVW HNYPJ\S[\YL PU (MYPJH T\JO VM
^OPJO PZ THYNPUHSS` WYVK\J[P]L [V ILNPU ^P[O *VSSPLY»Z Z[\K` PU [OL 9PM[=HSSL` 7YV]PUJL VM 2LU`H ZOV^Z
[OH[JSPTH[PJ]HYPHIPSP[`PUWHY[PJ\SHYKYV\NO[PZUV[OPUNUL^[V[OLYLNPVUVYP[ZMHYTLYZUVYPZPSSHK]PZLK
NV]LYUTLU[ WVSPJ` *VSSPLY ZOV^Z [OH[ JVSVUPHS HUK WVZ[JVSVUPHS NV]LYUTLU[ WVSPJPLZ [OH[ WYVTV[LK [OL
TVUVJYVWWPUN VM THPaL HU L_V[PJ OH]L THKL MHYTPUN JVTT\UP[PLZ T\JO TVYL ]\SULYHISL [V KYV\NO[
0UJVU[YHZ[H[YHKP[PVUHSHUKZ[PSSL_PZ[PUNWYHJ[PJLVMOVTLNHYKLUPUN\ZPUNHOPNOS`KP]LYZLTP_VMUH[P]L
KYV\NO[YLZPZ[HU[ JYVWZ PUJYLHZLZ [OL YLZPSPLUJL VM [OL MHYTPUN Z`Z[LT I` ZWYLHKPUN HUK SLZZLUPUN YPZR
;OL UL_[ WHWLY I` (ZOSL` +\=HS ZOLKZ SPNO[ VU O\THU THUHNLTLU[ VM KP]LYZP[` HTVUN UVU
[PTILY MVYLZ[ WYVK\J[Z PU WHY[PJ\SHY [OL UV^NSVIHSS` MHTV\Z HsHP WHST +\=HS Z[\KPLK [OL THUHNLTLU[
WYHJ[PJLZ HUK YVI\Z[ ZLLK L_JOHUNL UL[^VYRZ Z\YYV\UKPUN H SVJHSS` MH]VYLK ]HYPL[` VM [OL WHST
JHSSLK HsHP IYHUJV PU [OL Z[H[L VM (THWm PU UVY[OLYU )YHaPS )YHUJV ^HZ PU[YVK\JLK PU[V OLY Z[\K`
JVTT\UP[` `LHYZ HNV I\[ HJ[P]L ZLSLJ[PVU HUK YLÄULTLU[ VM [OL ]HYPL[` JVU[PU\L [V [OPZ KH` +\=HS»Z
Z[\K` ZOV^Z [OL YVSL [OH[ ZTHSSOVSKLYZ JHU WSH` PU PU[YHZWLJPÄJ JYVW KP]LYZP[` 0[ ZWLJPÄJHSS` ZOV^Z
OV^ PUMVYTHS L_JOHUNL UL[^VYRZ JHU WYVTV[L KVTLZ[PJH[PVU HUK THPU[LUHUJL VM HNYVIPVKP]LYZP[`
;OL[OPYKWHWLYPU[OPZZLJ[PVUI`.PSSPHU7H\SPZHZ[\K`VM[OLYLZPZ[HUJLVMUH[P]L[YLLZ[VPUZLJ[OLYIP]VYLZ
and pests. The use of native tree species in forest restoration projects has been limited by fears of the purportedly
NYLH[LY]\SULYHIPSP[`VMUH[P]LZWLJPLZ[VUH[P]LWLZ[Z0U[OLVY`L_V[PJZWLJPLZHYLZ\WWVZLK[VOH]L[OLHK]HU[HNL
PU[OPZYLNHYK.YV^PUNH^HYLULZZVM[OLSPTP[LKLJVSVNPJHSILULÄ[ZVML_V[PJ[YLLWSHU[H[PVUZPZSLHKPUNZJOVSHYZ
to re-think the native versus exotic calculus, but there has been limited research on this subject to draw on. This
WYVTW[LK7H\S»ZZ[\K`VMOLYIP]VY`HUKSLHM[YHP[ZVMUH[P]L[YLLZPUWSHU[H[PVUZPUJLU[YHS7HUHTH:OLMV\UKSV^
SL]LSZVMOLYIP]VYLKHTHNLHUKPUZLJ[KHTHNL[OH[^HZSHYNLS`HM\UJ[PVUVMWOLUVSVN`HUKZ\JJLZZPVUHSZ[HNL
;OL MV\Y[O HUK ÄUHS WHWLY PU [OPZ ZLJ[PVU I`(S]HYV 9LKVUKV)YLULZ ^OPJO PZ H Z[\K` VM UH[P]L
TP_LKZWLJPLZ[YLLWSHU[H[PVUZPU[OL7H[OVM[OL;HWPY)PVSVNPJHS*VYYPKVYPU*VZ[H9PJHJVU[PU\LZ^P[O[OPZ
[OLTL;OPZZ[\K`^HZHSZVTV[P]H[LKI`PUJYLHZPUNJVUJLYUV]LY[OLLJVSVNPJHSKV^UZPKLVML_V[PJZPUNSL
ZWLJPLZ[YLLWSHU[H[PVUZHUKI`[OLKLHY[OVMYLZLHYJOVU[OLNYV^[OJOHYHJ[LYPZ[PJZVMTP_LKWSHU[H[PVUZVM
native species. Redondo-Brenes shows that the native tree plantation provide better habitat for a more diverse
4 Volume 29, 2010
fauna and can thus play an important tole in environmental conservation as well as economic production.
00;OLJVU[PU\PUNL]VS\[PVUVMPUKPNLUV\ZLU]PYVUTLU[HSWVSP[PJZ
;OLUL_[ZL[VMWHWLYZJVU[HPUZUL^PUZPNO[ZPU[V[OLYVSLVMPUKPNLUV\ZWLVWSLPKLU[P[`HUKRUV^SLKNL
PU[YVWPJHSYLZV\YJLTHUHNLTLU[;OLJVTWSL_P[`HUKTVKLYUºYLPU]LU[PVU»VMPUKPNLUV\ZPKLU[P[`OHZSVUN
been a subject of interest, but the analyses presented here by Marian Ahn Thorpe, Lauren Baker, and Roopa
2YP[OP]HZHUZOV^HTVYLJVTWSPJH[LKWPJ[\YLLTLYNPUN;OLPYWHWLYZZOV^[OH[HZTVKLYUZVJPL[`»ZWLYJLW[PVUZ
VMPUKPNLUV\ZWLVWSLZOH]LJOHUNLK[OL^H`Z[OH[PUKPNLUV\ZWLVWSLWLYJLP]LHUKHY[PJ\SH[L[OLPYV^UPKLU[P[`
OH]LHSZVL]VS]LK;OPZL]VS\[PVUPU]VS]LZWVSP[PJHSYLWVZP[PVUPUN[OH[KVLZUV[ZPTWS`VWWVZLPUKPNLUV\Z
JVTT\UP[PLZ[VTL[YVWVSP[HUZVJPL[`PUHSSJHZLZI\[VM[LULU[HPSZJVSSHIVYH[PVUHUKÄUKPUNVMJVTTVUNYV\UK
4HYPHU;OVYWL»ZWHWLY[OLÄYZ[PU[OPZZL[HKKYLZZLZ[OLJOHSSLUNLVMTVKLYUPaH[PVUHUKKL]LSVWTLU[
[V [OL YPNO[Z VM PUKPNLUV\Z WLVWSLZ HUK [OL L]VS]PUN ^H` [OH[ [OLZL WLVWSLZ HYL HZZLY[PUN [OLPY PKLU[P[` [V
TLL[[OPZJOHSSLUNL;OLJVU[L_[VM;OVYWL»ZZ[\K`PZ[OLVWWVZP[PVUVM[OLPUKPNLUV\Z5NpIL[VTPUPUNHUK
O`KYVLSLJ[YPJKL]LSVWTLU[VU[OLPY[YHKP[PVUHSSHUKZPU7HUHTH;OLZWLJPÄJMVJ\ZVM;OVYWL»ZZ[\K`PZ[OL
JVU[LTWVYHY`YLPU]LU[PVUVMHUPUKPNLUV\ZTHY[PHSHY[MVYTJHSSLKIHSZLYPHHZHZ`TIVSPJWVSP[PJHS[VVSPU[OPZ
VWWVZP[PVU;OL^H`[OH[IHSZLYPHPZZ[HNLKTVJRZ[OLUH[PVUHSZVJPL[`»Z]PL^ZVMUH[P]LWLVWSLZ;OL5NpIL»Z
YLPU]LU[PVUHUKKLWSV`TLU[VM[OPZJ\S[\YHSMVYTYLÅLJ[Z[OLMHJ[[OH[[OLH_PZVMJVU[LZ[VMTVZ[JVUJLYU[V[OLT
OHZZOPM[LKMYVTPU[YH[YPIHSWVSP[PJZ[VUH[PVUHSWVSP[PJZ0[HSZVYLÅLJ[ZHUOPZ[VYPJHSWYVNYLZZPVUMYVTJHWP[\SH[PUN
[V[OLUH[PVUHSZVJPL[`»ZKLYVNH[VY`Z[LYLV[`WLZVM[OLT[VIVSKS`JOHSSLUNPUN[OLPYHJJ\YHJ`HUKH\[OVYP[`
The next paper in this section, by Lauren Baker, addresses the contest between the nation-state and the
WYP]H[LVPSZLJ[VYVU[OLVULOHUKHUKVU[OLV[OLYOHUK[OLPUKPNLUV\ZWLVWSLZVM[OL7LY\]PHU(THaVU;OPZ
PZHUVSKHUKVUNVPUNJVU[LZ[HUKHZHYLÅLJ[PVUVM[OL^H`P[OHZL]VS]LK[OLZ[H[LPZUV^JSHPTPUN[OH[[OL
TL[OVKZVMVPSL_WSVYH[PVUHUKL_WSVP[H[PVU[OH[P[Z\WWVY[ZHYLUL^HUKTVYLILUPNUMVYSVJHSJVTT\UP[PLZHUK
[OLLU]PYVUTLU[[OHU[OLTL[OVKZ\ZLKPU[OLWHZ[0UKPNLUV\ZJVTT\UP[PLZKPZW\[L[OPZHZZLY[PVUVMHIYLHR^P[O
[OLWHZ[OV^L]LYHYN\PUN[OH[Z[H[LLUNHNLTLU[^P[O[OLTYLTHPUZYVV[LKPUHUVSKHUK\U^LSJVTLWH[[LYU
VMZ[YH[LNPJWH`VMMZHUKHSHJRVMHU`YLHSKPHSVN\LVYWHY[PJPWH[VY`KLJPZPVUTHRPUN([[OLYVV[VM[OPZJVU[LZ[
IL[^LLU[OLPUKPNLUV\ZWLVWSLZHUK[OL7LY\]PHUZ[H[LPZHZ[Y\NNSLV]LYZV]LYLPNU[`^OPJOPZL_HJLYIH[LK
I` [OL ¸KV\ISL TV]LTLU[¹ VM VPS L_WSVP[H[PVU! P[ ZPT\S[HULV\ZS` YLWYVK\JLZ HUK \UKLYTPULZ [OL Z[H[L
;OL [OPYK HUK ÄUHS WHWLY PU [OPZ ZLJ[PVU PZ JVUJLYULK ^P[O MVYLZ[^PSKSPML JVUZLY]H[PVU HUK
PUKPNLUV\Z WLVWSL PU 0UKPH 9VVWH 2YP[OP]HZHU»Z Z[\K` MVJ\ZLZ VU [^V YLJLU[ WVSPJ` KL]LSVWTLU[Z PU
5PSNPYP +PZ[YPJ[ PU ;HTPS 5HK\ 0UKPH! [OL LZ[HISPZOTLU[ VM ºJYP[PJHS [PNLY OHIP[H[Z» *;/ HUK [OL WHZZHNL
VM [OL -VYLZ[ 9PNO[Z(J[ -9( Z[YLUN[OLUPUN [OL MVYLZ[ YPNO[Z VM [OL PUKPNLUV\Z [YPIHS HKP]HZP JVTT\UP[PLZ
;OL YLZWVUZL [V *;/ HUK -9( I` [YPIHSZ HUK UVU[YPIHSZ PZ PU THU` YLZWLJ[Z JV\U[LYPU[\P[P]L ^OPJO
ULH[S` JHW[\YLZ [OL JVTWSL_ L]VS]PUN WVSP[PJHS K`UHTPJZ VM PUKPNLUV\Z PKLU[P[` (Z [OL WVSP[PJHS JHWP[HS
VM PUKPNLUV\Z WLVWSLZ OHZ ^H_LK PU 0UKPH [OLPY W\ISPJ PTHNL OHZ \UKLYNVUL HU HIV\[MHJL" I\[ P[ PZ UVU
PUKPNLUV\Z LSP[LZ ^OV OH]L ILLU MVYLTVZ[ PU ZLPaPUN [OL WVSP[PJHS PTWSPJH[PVUZ VM [OPZ >OLYLHZ [OL [YPIHS
JVTT\UP[PLZ OH]L SLNHS MVYLZ[ YPNO[Z UV^ [OL` VM[LU KV UV[ OH]L [OL WVSP[PJHS TLHUZ [V L_WSVP[ [OLT 0U
JVU[YHZ[[OLUVU[YPIHSLSP[LZOH]L[OLTLHUZI\[UV[[OLYPNO[Z;OLZ[HUJLVM[OL[YPIHSWLVWSLZPZM\Y[OLY
JVTWSPJH[LK I` [OLPY [YHKP[PVUHS HSSLNPHUJLZ [V UVU[YPIHS LSP[LZ HUK I` [OLPY UL^MV\UK NYV^PUN MHP[O PU
[OL Z[H[L NV]LYUTLU[ (Z H YLZ\S[ [OL Z[HUJL VM [YPIHSZ [V^HYK [OL *;/ HUK -9( HJ[ PZ VM[LU KL[LYTPULK
less by their own resource-use patterns and more by the stance of their patrons and state representatives.
III. Balancing conservation and development
The issue of sustainable development, the balance between conservation and development,
JVU[PU\LZ [V IL H MVJ\Z VM ZJOVSHYS` PU[LYLZ[ HZ YLÅLJ[LK PU [OYLL VM [OL JVU[YPI\[PVUZ [V [OPZ PZZ\L I`
*OYPZ[PUL ;YHJ ,SPLaLYP :\UN\ZPH HUK )LUQHTPU )SVT )HSHUJPUN [OL LU]PYVUTLU[HS NVVK MVY [OL ^PKLY
ZVJPL[`VU[OLVULOHUKHUKVU[OLV[OLYOHUK[OLLJVUVTPJJVZ[ZHUKILULÄ[ZIVYULI`[OLWYV_PTH[L
O\THUJVTT\UP[PLZJVU[PU\LZ[VILHJOHSSLUNL6ULPTWVY[HU[[OLTLPUJ\YYLU[Z[\KPLZVM[OPZZ\IQLJ[
PZ [OL PUJYLHZPUN YLHSPaH[PVU [OH[ SVJHS JVTT\UP[PLZ HYL UV[ TVUVSP[OPJ ^P[O YLZWLJ[ [V JVUZLY]H[PVU HUK
Tropical Resources Bulletin 5
KL]LSVWTLU[PZZ\LZ(ZLJVUK[OLTLPZ[OH[[OLO\THUHUKLU]PYVUTLU[HSZL[[PUNPZUV[Z[H[PJI\[K`UHTPJ
and therefore the balance between conservation and development must continually be re-examined and
YL^VYRLK (UK H [OPYK [OLTL PZ [OH[ KL]LSVWTLU[ PU[LY]LU[PVUZ KYP]LU I` JSPTH[L JOHUNL JVUJLYUZ HYL
UV[ PTT\UL [V [OL UV^MHTPSPHY ZVJPHS LJVUVTPJ HUK WVSP[PJHS JOHSSLUNLZ [V V[OLY JVUZLY]H[PVU WYVQLJ[Z
;OLÄYZ[JVU[YPI\[PVUPU[OPZZLJ[PVUPZ*OYPZ[PUL;YHJ»ZZ[\K`VM[^VNV]LYUTLU[WYVNYHTZPUZV\[O^LZ[
*OPUHVULHJVUZLY]H[PVUWYVNYHTHUK[OLV[OLYHUHU[PWV]LY[`WYVNYHT;OLÄYZ[PU]VS]LZYLMVYLZ[PUNJYVW
SHUKZ^P[OHZWLJPLZVMTHNUVSPHHUK[OLZLJVUKPU]VS]LZYLWSHJPUNZ\IZPZ[LUJLVYPLU[LKTHPaL^P[OTHYRL[
VYPLU[LKNVVZLILYY`:PUJL[OLIHYRVM[OLTHNUVSPHPZHSZVTHYRL[LK[OL[^VWYVNYHTZ[VNL[OLYYLWYLZLU[
H JVUZPKLYHISL YLVYPLU[H[PVU VM [OL HNYPJ\S[\YHS Z`Z[LT MYVT H Z\IZPZ[LUJL [V H THYRL[ MVJ\Z -VY [OPZ HUK
V[OLY YLHZVUZ THU` MHYTLYZ ^V\SK UV[ NV HSVUN ^P[O [OL [^V WYVNYHTZ I\[ MVY [OL MHJ[ [OH[ NV]LYUTLU[
Z\IZPKPLZ V]LYYPKL [OLPY LJVUVTPJ ZOVY[JVTPUNZ 0U HKKP[PVU [V KLJYLHZPUN [OL LJVSVNPJHS HUK LJVUVTPJ
YLZPSPLUJL VM [OL HNYPJ\S[\YHS JVTT\UP[PLZ [OLZL [^V WYVNYHTZ LMMLJ[P]LS` KL]VS]L T\JO YLZWVUZPIPSP[` MVY
LU]PYVUTLU[HSJVUZLY]H[PVUHUKLJVUVTPJKL]LSVWTLU[VMMVM[OLZOV\SKLYZVMSVJHSNV]LYUTLU[HUKVU[V
Y\YHS OV\ZLOVSKZ 0U [OPZ ZLUZL [OLZL Z[H[L WYVNYHTZ HYL JOHYHJ[LYPZ[PJHSS` TVKLYUPZ[ VY WVZ[TVKLYUPZ[ PU
THRPUN PUJYLHZPUNS` OHYKWYLZZLK ZLNTLU[Z VM [OL Y\YHS WVW\SH[PVU YLZWVUZPISL MVY [OLPY V^U NV]LYUHUJL
;OLZLJVUKZ[\K`OLYLI`,SPLaLYP:\UN\ZPHPZHJVU[YPI\[PVU[V[OLLJVUVTPJZVMJVTT\UP[`IHZLK
UH[\YHSYLZV\YJLTHUHNLTLU[0[MVJ\ZLZVU[OL>PSKSPML4HUHNLTLU[(YLHZ>4(VM;HUaHUPH^OPJO^LYL
PU[YVK\JLKPU [VWYVTV[LIV[O^PSKSPMLJVUZLY]H[PVUHUKJVTT\UP[`LJVUVTPJKL]LSVWTLU[HSVUNZPKL[OL
JV\U[Y`»ZMVYTHSWYV[LJ[LKHYLHZ:\UN\ZPH»ZNVHS^HZ[VJHSJ\SH[L[OLLJVUVTPJJVZ[VM>4([VJVTT\UP[PLZ
\ZPUNJVU[PUNLU[]HS\H[PVUZ\Y]L`Z0M[OPZJVZ[JHUILHJJ\YH[LS`JHSJ\SH[LK[OLUWVSPJ`PU[LY]LU[PVUZJHUMVJ\Z
VUWYV]PKPUNLJVUVTPJILULÄ[Z[OH[L_JLLK[OH[JVZ[ZVHZ[V^PUJVTT\UP[`I\`PU[V[OL>4(:\UN\ZPH
ÄUKZ[OH[[OPZLJVUVTPJJHSJ\S\ZPZJVTWSPJH[LKPUWYHJ[PJLI`[OLMHJ[[OH[JVTT\UP[PLZHYLOL[LYVNLUV\Z^P[O
YLZWLJ[[VJVZ[ZHUKILULÄ[ZHUK[OPZJVTIPULK^P[OSVJHSWVSP[PJHSK`UHTPJZTHRLZILULÄ[ZOHYPUNWYVISLTH[PJ
;OL [OPYK HUK ÄUHS JVU[YPI\[PVU [V [OPZ ZLJ[PVU PZ )LUQHTPU )SVT»Z Z[\K` VM LHYS` WSHUUPUN HUK
PTWSLTLU[H[PVU VM 9,++ PU[LY]LU[PVUZ MYVT ¸9LK\JLK ,TPZZPVUZ MYVT +LMVYLZ[H[PVU HUK +LNYHKH[PVU¹
PU [OL 4HSPUH\ +PZ[YPJ[ VM ,HZ[ 2HSPTHU[HU 0UKVULZPH ;OL ZVJPHS LJVUVTPJ HUK WVSP[PJHS LU]PYVUTLU[
PU 4HSPUH\ PZ UV[ UL\[YHS ^P[O YLZWLJ[ [V Z\JO PU[LY]LU[PVUZ 3HUK YPNO[Z HYL JVU[LZ[LK [OLYL HYL
PU[LY HUK PU[YH]PSSHNL KPMMLYLUJLZ PU PU[LYLZ[ HUK [OLYL HYL L_[YHSVJHS HZ ^LSS HZ SVJHS WYLZZ\YLZ VU
MVYLZ[ YLZV\YJLZ 0M 9,++ WYVNYHTZ HYL \U[OPURPUNS` HWWSPLK PU Z\JO ZP[\H[PVUZ [OL` TH` HJ[\HSS`
L_HJLYIH[L UV[ TP[PNH[L KLMVYLZ[H[PVU HUK KLNYHKH[PVU ;V Z\JJLLK )LU HYN\LZ 9,++ WYVNYHTZ T\Z[
IL L_WSPJP[S` K\HSW\YWVZLK [HYNL[PUN PZZ\LZ VM LX\P[` HUK NV]LYUHUJL HZ ^LSS HZ MVYLZ[ JVUZLY]H[PVU
0=;OLº^HZ[L»VMTVKLYUP[`
;OL UL_[ ZLJ[PVU VM [OPZ PZZ\L KLHSZ ^P[O VUL VM [OL PSSZ VM PUK\Z[YPHSPaH[PVU TVKLYUPaH[PVU HUK
NSVIHSPaH[PVU UHTLS` ^HZ[L HUK PU WHY[PJ\SHY UL^ [`WLZ VM ^HZ[L HUK UL^ WH[[LYUZ VM JPYJ\SH[PVU VM
^HZ[LPU[OL[YVWPJZ;OLHY[PJSLI`5HZOHH[4HaY\PKLHSZ^P[O[OLWYVISLTVM^HZ[LWYVK\JLKI`TLKPJHS
institutions, which is one of the ironic downsides to the upside of modernity. The second contribution to
[OPZ ZLJ[PVU I` -H\aPHO 9VJOTHU VU LSLJ[YVUPJ ^HZ[L VY L^HZ[L YHPZLZ PUJYLHZPUNS` PTWVY[HU[ PZZ\LZ
VM ^HZ[L KPZWVZHS JYVZZPUN [OL NSVIHS 5VY[O HUK :V\[O ;OL ÄUHS HY[PJSL I` /\P *OLUN SVVRZ H[ PZZ\LZ VM
^HZ[LNLULYH[LKI`VULVM[OLTVZ[JVU[YV]LYZPHSUL^\ZLZVMJVHZ[HSSHUKZPU[OL[YVWPJZZOYPTWMHYTPUN
;OLPSS[YLH[TLU[VMTLKPJHS^HZ[LPUSLZZKL]LSVWLKJV\U[YPLZPZHULTLYNPUNNSVIHSWYVISLTHUKP[PZ
[OLZ\IQLJ[VM4HaY\P»ZHUHS`ZPZ>P[O[OLNVHSVMLZ[HISPZOPUNHIHZLSPULVM^HZ[L[YLH[TLU[[OH[JV\SKIL\ZLKMVY
KL]LSVWPUNM\[\YLWVSPJ`ZOLJHYYPLKV\[HX\LZ[PVUUHPYLIHZLKZ\Y]L`VMTLKPJHSMHJPSP[PLZPU5HPYVIP2LU`H
4HaY\PMV\UKTHU`WYVISLTZ^P[O[YLH[TLU[VMTLKPJHS^HZ[L0UHKKP[PVU[VSHJRVMYLJ`JSPUNYLJVYKRLLWPUN
HUKZLNYLNH[PVUVM^HZ[L[`WLZZOLMV\UKUV[HIS`[OH[THU`TLKPJHSMHJPSP[PLZZPTWS`JVU[YHJ[NLULYHS^HZ[L
collectors, who take their waste to public dumps. She also found that even when medical facilities incinerate
^HZ[LVUZP[LP[PZKVUL^P[OV\[WVSS\[PVUJVU[YVSZHUK[OLYLZ\S[HU[HZOPZVM[LUZLU[HNHPU[VW\ISPJK\TWZ
;OL ZLJVUK WHWLY PU [OPZ ZLJ[PVU L_HTPULZ [OL WYVISLT VM HUV[OLY UL^ JH[LNVY` VM ^HZ[L
6 Volume 29, 2010
KPZJHYKLK LSLJ[YVUPJ LX\PWTLU[ OLUJL [OL SHILS º,^HZ[L» -H\aPHO 9VJOTHU L_HTPULK H JVTWSL_
T\S[P[PLYLK Z`Z[LT VM YLJ`JSPUN VM \ZLK WLYZVUHS JVTW\[LYZ PU@VN`HRHY[H *LU[YHS 1H]H ;OL JVTW\[LYZ
MLK PU[V [OPZ YLJ`JSPUN Z`Z[LT JVTL MYVT IV[O 0UKVULZPHU ZV\YJLZ HUK MYVT V]LYZLHZ ,^HZ[L
PU UVY[OLYU PUK\Z[YPHSPaLK JV\U[YPLZ ILJVTLZ H ]HS\HISL YLZV\YJL ^OLU PTWVY[LK PU[V H JV\U[Y`
SPRL 0UKVULZPH )\[ [OPZ LJVUVTPJ ]HS\L PZ VMMZL[ I` OLHS[O JVUJLYUZ YHPZLK I` [OL WYVJLZZPUN VM
,^HZ[L YLWSL[L ^P[O U\TLYV\Z [V_PJ LSLTLU[Z PU [OPZ HZ `L[ \UYLN\SH[LK HUK \UTVUP[VYLK ZLJ[VY
;OL ÄUHS WHWLY OLYL HSZV KLHSZ ^P[O ^HZ[L MYVT HU PUK\Z[Y` LTILKKLK PU [OL NSVIHS LJVUVT`
UHTLS` ZOYPTW MHYTPUN ^OPJO OHZ NYV^U [YLTLUKV\ZS` PU [OL WHZ[ ZL]LYHS KLJHKLZ >OLYLHZ [YHNLKPLZ
SPRL [OL +LJLTILY (ZPHU [Z\UHTP OH]L HSLY[LK \Z [V [OL JVZ[ VM SVZPUN JVHZ[HS ]LNL[H[PVU [VYU \W
MVY ZOYPTW MHYTZ SLZZ H[[LU[PVU OHZ ILLU NP]LU [V [OL MHYTZ» PTWHJ[ VU [OL SVJHS LU]PYVUTLU[ [OYV\NO
WVSS\[PVU/\P*OLUNHYN\LZ[OH[ZOYPTWMHYTPUNPZOLYL[VZ[H`ZV[OLULLKPZ[VTHRLP[ZLU]PYVUTLU[HS
PTWHJ[ HZ ILUPNU HZ WVZZPISL ;V [OH[ LUK ZOL JHYYPLK V\[ JVU[YVSSLK L_WLYPTLU[Z ^P[O HX\HWVUPJZ
KLTVUZ[YH[PUN OV^ J\S[P]H[PVU VM OHSVWO`[LZ PU ZOYPTW WVUKZ JHU ZPNUPÄJHU[S` KLJYLHZL UP[YH[L WVSS\[PVU
=7YVISLTZVMº[YHUZSH[PVU»
(Z H U\TILY VM [OL Z[\KPLZ PU [OPZ PZZ\L ZOV^ PU [OPZ PUJYLHZPUNS` NSVIHSPaLK ^VYSK PZZ\LZ VM
tropical resource-use often involve social, economic, and political relations across different hierarchical
SL]LSZ¶LNSVJHSUH[PVUHSHUKNSVIHSJVTT\UP[PLZ(ZYLZV\YJLZVY[OLWVSPJPLZWLY[HPUPUN[V[OLTJYVZZ
hierarchical levels, problems of translation of concepts not uncommonly arise – and these are the subject
VM [OPZ ÄUHS ZLJ[PVU ( KLÄUPUN L_HTWSL VM Z\JO WYVISLTZ HYL [OL JOHSSLUNLZ WVZLK PU PTWSLTLU[PUN [OL
LHYSPLY TLU[PVULK NSVIHSS` KL]LSVWLK 9,++ ZJOLTLZ PU SVJHS MVYLZ[ JVTT\UP[PLZ PU [OL [YVWPJZ ^OPJO
PZ [OL Z\IQLJ[ VM 2H[PL /H^RLZ» Z[\K` ;OLYL HYL WYVISLTZ VM ZPTWSL PUJVTTLUZ\YHIPSP[` IL[^LLU TVKLYU
Z`Z[LTZ VM WSHUUPUN HUK SVJHS Z`Z[LTZ VM RUV^SLKNL HUK WYHJ[PJL HZ PSS\Z[YH[LK I` 2HZL` 9 1HJVIZ» Z[\K`
VM [OL ZHTL [VWPJ (SS H[[LTW[Z [V PTWSLTLU[ NSVIHS WVSPJPLZ H[ [OL SVJHS SL]LS HYL IHZLK VU WVW\SHY I\[
VM[LU ZLYPV\ZS` ÅH^LK \UKLYZ[HUKPUNZ VM JVTT\UP[` UVUNV]LYUTLU[HS VYNHUPaH[PVU HUK UH[PVUZ[H[L HZ
KVJ\TLU[LK I` /H^RLZ ;YHUZSH[PVU HJYVZZ OPLYHYJOPJHS SL]LSZ PZ HSZV MYLX\LU[S` JVTWSPJH[LK I` 5VY[O
:V\[O WVSP[PJHS K`UHTPJZ HUK IPHZLZ ^OPJO PZ VUL VM [OL [VWPJZ VM +HUH .YHLM»Z JVU[YPI\[PVU .YHLM»Z
study also shows how relationships that cross hierarchical levels can complicate our analytical attempts to
delineate the boundaries to the resource-use systems. A comparative, historical perspective is enormously
OLSWM\S PU \UYH]LSPUN Z\JO JVTWSPJH[PVUZ HZ HSZV KLTVUZ[YH[LK I` ZL]LYHS WHWLYZ LSZL^OLYL PU [OPZ PZZ\L
+HUH.YHLM»ZWHWLYJVTWHYLZ[^VRL`OPZ[VYPJHSTVTLU[ZPU[OLLUNHNLTLU[VM*\IH^P[O[OLNSVIHS
WVSP[PJHSLJVUVTPJZ`Z[LT;OLÄYZ[PZ[OLSH[LLPNO[LLU[OJLU[\Y`JVU[LZ[IL[^LLU[OL:WHUPZONV]LYUTLU[HUK
SVJHSMHYTLYZMVYJVU[YVSVM*\IH»ZJLKHYMVYLZ[Z"HUK[OLZLJVUKPZ[OL^P[OKYH^HSVM[OL:V]PL[<UPVU»ZLJVUVTPJ
Z\IZPKPLZPU[OLLHYS` ZHUK[OLNYLLUPUNVM*\IHUHNYPJ\S[\YLPUYLZWVUZL.YHLM»ZHUHS`ZPZVM[OLZL[^VOPZ[VYPJ
TVTLU[ZPSS\Z[YH[LZ[OLJVU]VS\[LKOPZ[VY`VMLU]PYVUTLU[HSPZT6U[OLVULOHUK[OLJVSVUPHS:WHUPZOWVSPJ`VM
JVUZLY]PUNMVYLZ[ZPU[OLMHJLVMSVJHSWLHZHU[LUJYVHJOTLU[^HZL_[LYUHSS`PTWVZLKHUKHSZVZLSMPU[LYLZ[LK[OL
:WHUPZO^HU[LK[VWYV[LJ[Z\WWSPLZVMJLKHYMVYUH]HS\ZL6U[OLV[OLYOHUK[OLJVU[LTWVYHY`WVSPJ`VMVYNHUPJ
HNYPJ\S[\YLPZUH[PVUHSS`KPYLJ[LKI\[P[PUJVYWVYH[LZNSVIHSLU]PYVUTLU[HSJVUJLW[ZPU[VSVJHSWYHJ[PJL;OPZ
OPZ[VYPJHSHUKT\S[PSL]LSHUHS`ZPZ[O\ZZOV^Z[OH[LU]PYVUTLU[HSPZTJHUHZZ\TLT\S[PWSLX\P[LKPMMLYLU[MHJLZ
;OLZLJVUKWHWLYPU[OPZZLJ[PVUI`2H[PL/H^RLZPZSPRL[OLLHYSPLYKPZJ\ZZLKWHWLYI`)LUQHTPU
Blom, a study of current efforts to implement REDD projects in Indonesia, a country that has been an early and
LU[O\ZPHZ[PJZ\WWVY[LYVM[OPZWYHJ[PJL,]LY`[OPUN[OH[/H^RLZÄUKZVU[OLNYV\UKOV^L]LYJHSSZPU[VX\LZ[PVU
THU`VM[OLWYLTPZLZVMNSVIHS9,++WVSPJ`THRPUN>OLYLHZ9,++WYVQLJ[ZHYLWYLTPZLKVUHOVTVNLULV\Z
local forest community, for example, the reality in Indonesia – which is also attested to by a number of the other
Z[\KPLZPU[OPZ)\SSL[PU¶PZ]LY`KPMMLYLU[0UKVULZPHU5.6Z^OPJOHYLZ\WWVZLK[VWSH`HRL`YVSLPUPTWSLTLU[PUN
9,++WYVQLJ[ZHSZVLUJVTWHZZNYLH[KP]LYZP[`PUHPTZHUKV\[SVVRZ¶L_JLW[MVY[OLMHJ[[OH[[OL`HSSZH`[OH[
[OL`HYL¸\USPRLV[OLY5.6Z¹-PUHSS`[OL9,++WYLTPZLVMHTVUVSP[OPJUVUWHY[PZHULMMLJ[P]LZ[H[LPZHSZV
UV[TL[I`[OLYLHSP[`VM0UKVULZPHUNV]LYUTLU[[VKH`/H^RLZJVUJS\KLZI`VIZLY]PUN[OH[HSSVM[OLHJ[VYZ
PU]VS]LKPUPTWSLTLU[PUN9,++WYVQLJ[ZPU0UKVULZPH[VKH`OH]LKPMMLYLU[]PL^ZVM^OH[9,++WYVQLJ[ZHYL
supposed to be. The only commonality, Hawkes adds, is the salutary one that all of the actors are well-intentioned.
Tropical Resources Bulletin 7
;OLÄUHSWHWLYOLYLI`2HZL`1HJVIZPZHZ[\K`VM[OLJ\YYLU[HUKM\[\YLWYVZWLJ[ZMVYHKHW[H[PVU
[V JSPTH[L JOHUNL HTVUN [OL 4PUHUNRHIH\ VM >LZ[ :\TH[YH 0UKVULZPH 1HJVIZ MV\UK [OH[ ^OLYLHZ [OL
SVJHS NV]LYUTLU[ PU OLY Z[\K` HYLH KPK UV[ L_WSPJP[S` HKKYLZZ Z\JO HKHW[H[PVU [OL` ^LYL ^LSS]LYZLK PU
WYVISLTZ VM HKHW[H[PVU [V LU]PYVUTLU[HS WLY[\YIH[PVU ¶ HZ HYL H U\TILY VM SVJHS 5.6Z .V]LYUTLU[HS
HUK UVUNV]LYUTLU[HS PUZ[P[\[PVUZ HSPRL PU [OPZ YLNPVU JVUJLW[\HSS` S\TW [VNL[OLY JOHSSLUNLZ VM JVHZ[HS
THUHNLTLU[KPZHZ[LYYLZWVUZLHUKJSPTH[LHKHW[H[PVU*HZLZSPRL[OPZJOHSSLUNLZ[OL\[PSP[`HUKWLYOHWZ
HSZV [OL ]HSPKP[` VM [OL ^H` [OH[ [OL NSVIHS JSPTH[L JOHUNL ZJPLUJL HUK WVSPJ` JVTT\UP[` KLÄULZ HUK
IV\UKZ P[Z WYVISLT HYLH 1HJVIZ JVUJS\KLZ ^P[O [OL YLJVTTLUKH[PVU ¶ ^OPJO ILHYZ LTWOHZPaPUN VUS`
ILJH\ZLP[PZZVYLZVS\[LS`PNUVYLKPUT\JOJ\YYLU[WVSPJ`THRPUN¶[OH[LMMVY[Z[VPTWSLTLU[NSVIHSWVSPJPLZ
JVUJLYUPUNJSPTH[LJOHUNLHKHW[H[PVUHUKTP[PNH[PVUZOV\SKILNPU^P[OL_PZ[PUNPUZ[P[\[PVUZHUKWYVNYHTZ
VI. Conclusion
4HU`VM[OLWHWLYZPU[OPZPZZ\LVM;90»Z)\SSL[PUHKKYLZZMHTPSPHYZ\IQLJ[ZI\[[OL`KVZVPU\UMHTPSPHY
^H`Z;OL`YLÅLJ[UL^^H`ZVMHWWYVHJOPUNHUK[OPURPUNHIV\[[OLZLZ\IQLJ[Z"[OL`YLWYLZLU[HUL^NLULYH[PVU
of scholarship on tropical resources. They tell us, for example, that the nature/culture divide is not simple. They
ZOV^\Z[OH[[OLHJ[VYZPUYLZV\YJL\ZLZ`Z[LTZ^OL[OLYSVJHSJVTT\UP[PLZVYUH[PVUZ[H[LZHYLUV[TVUVSP[OPJ"
and that oppositional politics are often complicated by collaboration and cooperation. They demonstrate that
[YVWPJHSYLZV\YJLSHUKZJHWLZWLVWSLZHUK[OLVYPLZHYLUV[Z[H[PJ[OL`HYLL]LYJOHUNPUNL]VS]PUN;OL`HSZV
YLTPUK\Z[OH[[OLYLPZJVU[PU\P[`^P[O[OLWHZ[L]LU^P[OZ\JOZLLTPUNS`UV]LSWOLUVTLUHHZJSPTH[LJOHUNL
(>VYKMYVT5H[OHUPLS+LSHÄLSKV\[NVPUN7YVNYHT4HUHNLY
(Z0ILNPU[OPZSL[[LYMVY[OL;90)\SSL[PUUV^HZV\[NVPUNWYVNYHTTHUHNLY0HTZP[[PUNVUHWSHUL
IV\UKMVY4HKHNHZJHY0HT[PYLKHUKZVTL^OH[ZHKKLULKI`H^LLRVMNVVKI`LZ[V[OL-,:JVTT\UP[`[OH[
OHZ[H\NO[TLZVT\JOZPUJL^LSJVTPUNTLPU;OYV\NOV\[[OLWHZ[[^V`LHYZHZ;907YVNYHT4HUHNLY
0OH]LOHK[OLVWWVY[\UP[`[V^VYR^P[OHNYLH[THU`THZ[LY»ZHUKKVJ[VYHSZ[\KLU[Z0OH]LZLLU[OLPYYLZLHYJO
WYVQLJ[ZL]VS]LMYVTPUP[PHSJVUJLW[\HSPaH[PVU[VZ\JJLZZM\SWYVWVZHS^YP[PUN[V[OLJOHSSLUNLHUKKPZJV]LY`
PUOLYLU[ PU ÄLSKIHZLK YLZLHYJO HUK ÄUHSS` [V HUHS`ZPZ HUK ^YP[L\W HM[LY Z[\KLU[Z YL[\YU MYVT [OL ÄLSK
>H[JOPUN[OLZLYLZLHYJOWYVQLJ[ZL]VS]LOHZILLUPUZWPYPUNHUKOHZOLSWLKTL[OPURHIV\[OV^T`V^U^VYR
PU4HKHNHZJHYÄ[ZPU[V[OLPZZ\LZVM[YVWPJHSJVUZLY]H[PVUHUKYLZLHYJO0OH]LILLU^VYRPUN^P[O]HUPSSHHUK
JSV]LMHYTLYZPUHYLTV[L5VY[OLHZ[LYUYLNPVUVM[OLJV\U[Y`MVYJSVZL[VZP_`LHYZ;OPZ`LHY0HTNVPUNIHJR
[V[OLÄLSK[VLTIHYRVUHUL^WYVQLJ[[OH[ZLLRZ[VSPURSVJHSMHYTPUNUL[^VYRZ^P[OPU[LYUH[PVUHSTHYRL[ZHUK
NLUL[PJIPVSVNPZ[ZZLLRPUN[VKL]LSVWUL^HWWYVHJOLZ[VZ\Z[HPUHISLHNYPJ\S[\YL;OLNVHSVM[OLWYVQLJ[PZ[V
SVVROVSPZ[PJHSS`H[[OLSVUN[LYTZ\Z[HPUHIPSP[`VM[OL]HUPSSHPUK\Z[Y`PU4HKHNHZJHYUV^MHJPUN[OYLH[ZMYVT
JYVWKPZLHZLJOHUNPUNJSPTH[LJVUKP[PVUZHUK]VSH[PSLTHYRL[WYPJLZ0MZ\JJLZZM\S[OLWYVQLJ[^PSSPTWYV]L
THYRL[SPURHNLZIL[^LLULUK\ZLYZVM[OPZZWLJPHS[`WYVK\J[HUK[OLY\YHSSP]LSPOVVKZVMMHYTLYZ[OH[KLWLUK
on the sale of such products to meet their basic needs.
0U [OL JVTWSL_ HNYVMVYLZ[Y` Z`Z[LT ^OLYL ]HUPSSH NYV^Z PU [OPZ YLNPVU JSV]LZ JVMMLL MY\P[ [YLLZ
IYLHKMY\P[HUKUH[P]LZWLJPLZJVTTPUNSLVUZTHSSWSV[Z[VJYLH[LHWSHU[LKMVYLZ[LU]PYVUTLU[^OLYLWLVWSL
HUK]HUPSSH[OYP]LHSVUN^P[OL_[YHVYKPUHY`IPVKP]LYZP[`;OLJVU[YPI\[PVUVMLHJOHNYPJ\S[\YHSZWLJPLZPZ\UPX\L
I\[ PU [OLPY KP]LYZP[` H K`UHTPJ LU]PYVUTLU[ LTLYNLZ MYVT ^OPJO HUPTHS OHIP[H[ LJVZ`Z[LT ZLY]PJLZ HUK
LJVUVTPLZLTHUH[L;OV\NO0SLHYUTVYL^P[OLHJO]PZP[P[ZLLTZ[VTL[OH[[OLYLPZ^PZKVTPU[OPZHWWYVHJO
[VHNYPJ\S[\YLHUKTL[HWOVY"]HUPSSHMHYTPUNPZWHY[[LJOUPJHSL_WLY[PZLWHY[HY[MVYTWHY[TLKP[H[PVU;OL
PU[LUZLMVJ\ZVU[OL]HUPSSH]PULPZUL]LYKLJV\WSLKMYVT[OLZVM[LY]PL^VMHSS[OH[NYV^ZULHYI`3PRL^PZL
environments cannot be decoupled from the communities that depend on them for their livelihoods. My work
PU4HKHNHZJHY^PSSJVU[PU\L[VILPUMVYTLKI`[OLPUZPNO[ZVM;90-LSSV^ZHUKMHJ\S[`HSPRL^OVKLTVUZ[YH[L
[OL]HS\LVMJ\S[P]H[PUNPU[LYKPZJPWSPUHY`HWWYVHJOLZMVY[OLTHU`JOHSSLUNLZMHJPUN[OLNSVIHS[YVWPJZ
0[OHUR+Y4PJOHLS+V]L;90+PYLJ[VYHUK+Y3PZH*\YYHUMVYTLY+PYLJ[VYMVY[OLPYLUJV\YHNLTLU[
N\PKHUJLHUKZ\WWVY[K\YPUNT`[PTLH[@HSL<UP]LYZP[`0OVWL[VRLLWPU[V\JOHUKJHUILYLHJOLKHU`[PTL
H[UH[OHUPLS'-;-[YHKPUNJVT October 2010
8 Volume 29, 2010
2009-2010 TRI Fellows and Compton Fellows
Research Sites
;OLYLZLHYJOWYVQLJ[ZVM[OL;90MLSSV^ZHUK*VTW[VUMLSSV^ZSPZ[LKILSV^HYLMLH[\YLK
in this year’s Bulletin:
Brazil: Ashley DuVal
China: Christine Trac
Costa Rica: Alvaro Redondo-Brenes
Indonesia: )LUQHTPU)SVT2H[PL/H^RLZ
2HZL`1HJVIZ-H\aPHO9VJOTHU
Kenya!>PSS*VSSPLY5HZOHH[4HaY\P
Cuba: +HUH.YHLM
Panama:.PSSPHU7H\S4HYPHU(OU;OVYWL
/H^HPºP<:!/\P*OLUN
Peru: Lauren Baker
India: 9VVWH2YP[OP]HZHU
Tanzania: ,SPLaLYP:\UN\ZPH
5V[L!;OLKLSPULH[PVUVMPU[LYUH[PVUHSIVYKLYZVU[OPZTHWKVLZUV[YLWYLZLU[LUKVYZLTLU[VMHU`WHY[PJ\SHYUH[PVUHSIV\UKHY`
Tropical Resources Bulletin 9
I. RE-THINKING BIODIVERSITY IN FOREST AND FIELD
Colonial Maize and Climate: Limits of Agricultural Development for Adaptation in Rift Valley, Kenya
William Collier, MESc 2010
Introduction
*VUJLYUZ HIV\[ NSVIHS JSPTH[L JOHUNL
OH]LIYV\NO[OLPNO[LULKH[[LU[PVU[V[OLWV[LU[PHSS`
KHUNLYV\Z PTWHJ[Z VM JSPTH[L ]HYPHIPSP[` VU MHYTPUN
systems in Sub-Saharan Africa. Increased variability
PUYHPUMHSSYLZ\S[PUNPUTVYLKYV\NO[HUKÅVVKL]LU[Z
^PSS OH]L KYHZ[PJ PTWHJ[Z VU HNYPJ\S[\YHS WYVK\J[PVU
[OYV\NOV\[ :\I:HOHYHU (MYPJH )VRV L[ HS "
:JOSLURLY HUK 3VILSS 0U 2LU`H [OL 4PUPZ[Y`
VM (NYPJ\S[\YL HU[PJPWH[LZ [OH[ PUJYLHZLZ PU YHPUMHSS
variability and temperature in the Rift Valley will
ULNH[P]LS` PTWHJ[ [OL WYVK\J[PVU H]HPSHIPSP[` HUK
HJJLZZPIPSP[` VM JLYLHS JYVWZ UH[PVU^PKL >HPN^H
;OL JVUZLX\LUJLZ VM [OLZL WYLKPJ[PVUZ ^PSS
ILTVZ[HJ\[LPU[LYTZVMMHTPULHUKMVVKZOVY[HNLZ
PU 2LU`H ^OPSL L_WSVYPUN HS[LYUH[P]L H]LU\LZ
for future development and climate adaptation.
Local populations in the Rift Valley have
adapted to variable climatic conditions over hundreds
VM`LHYZ(]HYPL[`VMPUKPNLUV\ZMHYTPUN[LJOUPX\LZ
HUKJ\S[\YHSWYHJ[PJLZOLSWLK[VTHUHNLYPZRPU[PTLZ
VMJSPTH[PJ\UJLY[HPU[`*VSVUPHSL_WHUZPVUPU2LU`H
YLWSHJLKTHU`VM[OLZLOPZ[VYPJHSJVWPUNTLJOHUPZTZ
^P[OT\JOYPZRPLYTVUVJ\S[\YLTHPaLHUKJHZOJYVW
Z`Z[LTZ;VKH` THU` ZTHSSOVSKLY MHYTLYZ PU 2LU`H
HYLOPNOS`]\SULYHISL[VJSPTH[PJZOVJRZ[OH[KPZY\W[
THPaL J\S[P]H[PVU +\YPUN [OLZL [PTLZ MHYTLYZ [\YU
[OLPYH[[LU[PVUHUKSHIVY[VZTHSSNHYKLUZILZPKL[OLPY
OVTLZ;OLZLOVTLNHYKLUZYLZLTISL[OLPUKPNLUV\Z
*SPTH[L ]HYPHIPSP[` HUK KYV\NO[ OV^L]LY Z`Z[LTZ[OH[ÅV\YPZOLKILMVYLJVSVUPHSLUJYVHJOTLU[
OH]L ILLU YLVJJ\YYPUN JOHYHJ[LYPZ[PJZ VM 2LU`H»Z and they may provide an avenue to adapt to future
climate for hundreds, if not thousands, of years. JOHUNLZPUJSPTH[L[OH[OHZILLUSHYNLS`V]LYSVVRLK
-HTPUL HUK MVVK ZOVY[HNLZ OH]L ILLU PU[PTH[LS` by national policies and research objectives.
^V]LU PU[V [OL SP]LZ VM [OL 2LU`HU WLVWSL ;OLZL
L]LU[Z HYL UV[ VUS` SPURLK [V JSPTH[PJ HJ[P]P[`" :[\K`:P[L
they are also deeply historical and political.
2LU`H OHZ H [V[HS NLVNYHWOPJ HYLH VM
In this article, I examine the recent history HWWYV_PTH[LS`ZXRTJVU[HPUPUNHKP]LYZP[`
VMHNYPJ\S[\YHSKL]LSVWTLU[PU2LU`H[OYV\NOHJHZL VMHNYVLJVSVNPJHSaVULZPUJS\KPUNO\TPKHUKZLTP
Z[\K`VM<HZPU.PZO\+PZ[YPJ[PU9PM[=HSSL`7YV]PUJL O\TPK WSH[LH\Z OPNOSHUK Z[LWWLZ ZLTPHYPK aVULZ
I discuss several historical adaptations to climate HUK HYPK SHUKZ -PN >P[OPU LHJO aVUL L_PZ[Z H
variability embedded within the broader political ZPTPSHYS` KP]LYZL Z\P[L VM SP]LSPOVVK Z[YH[LNPLZ [OH[
LJVUVT` VM 2LU`H 0U KVPUN ZV 0 IYPUN [V X\LZ[PVU coincide with local cultures and environmental
[OLVY[OVKV_]PL^ZKYP]PUNHNYPJ\S[\YHSKL]LSVWTLU[ JVUKP[PVUZ YHUNPUN MYVT ZLKLU[HY` HNYPJ\S[\YL [V
UVTHKPJWHZ[VYHSPZT6]LYVM[OLSHUKPU2LU`H
PZ JVUZPKLYLK HYPK VY ZLTPHYPK YLZ[YPJ[PUN JYVW
William M. Collier is from Free Home, GA. He holds a BS HNYPJ\S[\YL[V[OLJVHZ[HSJLU[YHSHUK^LZ[LYUYLNPVUZ
in Ecology and a Certificate in Environmental Ethics from VM[OLJV\U[Y`(NYPJ\S[\YLPZ[OLZPUNSLTVZ[PTWVY[HU[
the University of Georgia. He received a MESc in Social ZLJ[VYPU[OL2LU`HULJVUVT`HJJV\U[PUNMVYTVYL
Ecology from the Yale School of Forestry and Environ- [OHUVMLJVUVTPJWYVK\J[HUKTVYL[OHU
mental Studies, focusing on agricultural development, VM LTWSV`TLU[ )H[LZ ;OL THQVY Z[HWSL JYVW
climate change, and food security in Sub-Saharan Africa. WYVK\JPUN YLNPVUZ PU [OL JV\U[Y` HYL MV\UK THPUS`
10 Volume 29, 2010
Colonial Maize and Climate in Kenya
Figure 1. Political map
of Kenya. Fieldwork
was conducted in
Moiben Division,
Rift Valley Province,
located northeast of
Eldoret. Map courtesy
of Nations Online
Project.
in the Western Province and the Rift Valley Province,
[OL SH[[LY VM ^OPJO PZ [OL SVJH[PVU VM T` ÄLSK ZP[L
<HZPU .PZO\ PZ SVJH[LK PU [OL 9PM[ =HSSL`
commonly known as the breadbasket of the country,
HUK WYV]PKLZ HU L_JLW[PVUHS SHIVYH[VY` [V HUHS`aL
HNYPJ\S[\YHS KL]LSVWTLU[ PU 2LU`H 0U [OL TVKLYU
2LU`HULJVUVT`TVYL[OHUVM[OLZ[HWSLJLYLHS
JYVWZVMTHPaL^OLH[ZVYNO\THUKTPSSL[JVTLMYVT
[OLYLNPVU;OLMLY[PSL9PM[=HSSL`JVU[HPUZH]HYPL[`VM
HNYVLJVSVNPJHSaVULZJVUZPZ[PUNTHPUS`VMHU\WWLY
OPNOSHUK^OLH[HUKIHYSL`aVULHUKHSV^LYOPNOSHUK
THPaLW`YL[OY\THUKZ\UÅV^LYaVUL<HZPU.PZO\
SPLZ HWWYV_PTH[LS` RT UVY[O^LZ[ VM 5HPYVIP
Interviews with small, medium, and
SHYNLZJHSL MHYTLYZ HZ ^LSS HZ WVSP[PJHS VMÄJPHSZ
LU]PYVUTLU[HS WYVMLZZPVUHSZ HUK NV]LYUTLU[
employees form the basis of the study. Interview
KH[H HYL JVU[L_[\HSPaLK ^P[O HYJOP]HS KVJ\TLU[Z
HUK TPZZPVUHY` TLTVPYZ WLY[HPUPUN [V HNYPJ\S[\YL
HUK JSPTH[L 0U JVYYLZWVUKPUN YLZLHYJO 0 LTWSV`
HNYPJ\S[\YHS HUK TL[LVYVSVNPJHS Z[H[PZ[PJHS HUHS`ZLZ
[V LS\JPKH[L IYVHKLY OPZ[VYPJHS [YLUKZ VM HNYPJ\S[\YHS
development in the Rift Valley.
(NYPJ\S[\YHS+L]LSVWTLU[PU<HZPU.PZO\
Pre-colonial agrarian history
;OL KP]LYZL HNYVLJVSVNPJHS aVULZ PU [OL
Rift Valley have provided fertile soils and favorable
climatic conditions to farmers for thousands of years.
;OL 5HUKP HYL ILSPL]LK [V IL VUL VM [OL LHYSPLZ[
KVTPUHU[ L[OUPJ NYV\WZ PU [OL 9PM[ =HSSL` H[ SLHZ[
ZPUJL [OL TPKZP_[LLU[O JLU[\Y` 2PWRVYPY 5HUKP ^LYL WYPTHYPS` HNYPJ\S[\YHSPZ[Z [OH[ NYL^
tremendous varieties of millets and tubers, a stark
contrast to their famous nomadic contemporaries, the
WHZ[VYHS4HHZHP5HUKPMHYTLYZNYL^THPUS`LSL\ZPUL
HSZVRUV^UHZÄUNLYTPSSL[HUKYHPZLKZTHSSSP]LZ[VJR
Z\JOHZNVH[ZHUKZOLLW2PWRVYPY >OPSL PUKLW[O PUMVYTH[PVU JVUJLYUPUN
cultivation practices is sparse, it is clear that
5HUKP NYL^ H ]HYPL[` VM NYHPUZ MVY MVVK ILLY HUK
[YHKL 2PWRVYPY ;OLYL PZ HSZV L]PKLUJL [OH[
trade in foodstuffs between different tribes in the
Rift Valley was a common practice, especially
K\YPUN [PTLZ VM OLPNO[LULK JSPTH[L ]HYPHIPSP[`
(SVUN ^P[O [YHKP[PVUHS JYVWZ HUK HNYPJ\S[\YHS
[LJOUPX\LZ [YHKL HUK Z[VYHNL VM NYHPU ^LYL OPNOS`
ZWLJPHSPaLK MVYTZ VM YPZR H]LYZPVU K\YPUN [PTLZ VM
Tropical Resources Bulletin 11
William Collier
LU]PYVUTLU[HS OHaHYK VY \UJLY[HPU[` MVY 5HUKP MVY[OLPY(MYPJHUMHYTSHIVYLYZ+\YPUN[OLWLYPVKMYVT
THPaLNYHK\HSS`ILJHTLHZ[HWSLMVVKPU[OL
2LU`HUKPL[^OPJO^HZWYL]PV\ZS`KVTPUH[LKI`[OL
Colonial rule and New World crops
TPSSL[Z[\ILYZSLN\TLZHUKRHSLZJVTTVUS`MV\UK
Western exploration and expansion in PU [YHKP[PVUHS MHYTPUN Z`Z[LTZ 9LW\ISPJ VM 2LU`H
(MYPJH OHK H WYVMV\UK PUÅ\LUJL VU HNYPJ\S[\YHS +\YPUN [OPZ [PTL THPaL J\S[P]H[PVU ZOPM[LK
and economic development. Perhaps one of the [V PUJYLHZLK \UPMVYTP[` HUK Z[HUKHYKPaH[PVU :THSS
SVUNLZ[SHZ[PUN YLSPJZ VM [OPZ LUJYVHJOTLU[ ^HZ [OL MHYTZ^P[OOPNOS`SVJHSPaLK]HYPHIPSP[`^LYLYLWSHJLK
establishment and proliferation of Western cereals ^P[OSHYNLTVUVJ\S[\YLWSHU[H[PVUZ4HPaLHUK^OLH[
HUK JHZO JYVWZ 4HPaL Zea mays H 5L^ >VYSK became substitutes for the traditional varieties of
JLYLHS JYVW ÄYZ[ HWWLHYLK PU ,HZ[ (MYPJH MVSSV^PUN ZVYNO\THUKTPSSL[;OPZL]VS\[PVUMYVTSVJHS]HYPH[PVU
mercantilism and formal colonialism in the sixteenth [VOVTVNLUPaH[PVUPZHKLÄUPUNJOHYHJ[LYPZ[PJVMIV[O
JLU[\Y` ^OLU 7VY[\N\LZL ZL[[SLYZ NYL^ P[ HSVUN [OL THPaL WYVK\J[PVU HUK HNYPJ\S[\YHS KL]LSVWTLU[ PU
:^HOPSPJVHZ[-PN4J*HUU0[ZSV^S`ILJHTL JVSVUPHS:\I:HOHYHU(MYPJH4J*HUU
a staple of the local diet, and by the mid-nineteenth
JLU[\Y` THPaL ^HZ ^LSSLZ[HISPZOLK HZ H WYPUJPWSL Policies for monoculture cash crops
JYVW PU :^HOPSP [YHKL JHYH]HUZ HUK HNYPJ\S[\YHS
+YV\NO[ZHUK[OLYLZ\S[HU[KPZW\[LZV]LYMVVK
Z`Z[LTZ[OYV\NOV\[[OLYLNPVU4J*HUU,HYS` THPaL HNYPJ\S[\YL PU 2LU`H ^HZ JOHYHJ[LYPaLK I` policy, have played a fundamental role in contemporary
OPNOS`SVJHSPaLK]HYPH[PVUPUIYLLKPUNHUKJ\S[P]H[PVU 2LU`HU WVSP[PJZ HUK HNYPJ\S[\YHS KL]LSVWTLU[ )H[LZ
4HPaL ^HZ VYPNPUHSS` PUJVYWVYH[LK PU[V [YHKP[PVUHS 6ULVM[OLLHYSPLZ[JVSVUPHSHNYPJ\S[\YHSWVSPJPLZ
TP_LK WSV[Z HUK Z^PKKLU Z`Z[LTZ 2PWRVYPY PUÅ\LUJPUN THPaL KL]LSVWTLU[ VJJ\YYLK HZ H YLZ\S[
VMHZL]LYLKYV\NO[HUK^PKLZWYLHKMVVKZOVY[HNLPU
In the early part of the twentieth century, 0U [OLJVSVUPHSNV]LYUTLU[\UKLY[VVR
)YP[PZO ZL[[SLYZ Z[HY[LK NYV^PUN THPaL PU SHYNLY TLHZ\YLZ[VPUJYLHZLMVVKZ\WWS`KL]LSVWPUNWVSPJPLZ
X\HU[P[PLZ HUK JVSVUPHS SHUKV^ULYZ \ZLK THPaL H [VZ[PT\SH[LHNYPJ\S[\YHSWYVK\J[PVU;OLNV]LYUTLU[
cheap food source, as the main form of sustenance ¸\UOLZP[H[PUNS` YLJVTTLUKLK [OH[ MHYTLYZ ZOV\SK
Figure 2. Desiccated
maize field, Moiben
Division, Rift Valley,
Kenya. A field of maize
intercropped with beans
is withering due to
insufficient rains. Photo
by William Collier.
12 Volume 29, 2010
Colonial Maize and Climate in Kenya
JVUJLU[YH[L VU [OL NYV^PUN VM THPaL¹ 9LW\ISPJ VM
2LU`H ;OL HYLH \UKLY THPaL WYVK\J[PVU
PUJYLHZLK[VHYLJVYKOPNOI` HUKMVY[OLÄYZ[[PTL
PU[OLHNYHYPHUOPZ[VY`VM2LU`HHKVTPUHU[Z`Z[LTVM
THPaLWYVK\J[PVULTLYNLK-PN9LW\ISPJVM2LU`H
-PM[LLU `LHYZ SH[LY THPaL KL]LSVWTLU[ ^HZ
HNHPU JH[HS`aLK HZ [OL YLZ\S[ VM H ULHYMHTPUL [OH[
VJJ\YYLKPU ;OPZ[PTLOV^L]LY[OLJVSVUPHS
NV]LYUTLU[ X\LZ[PVULK [OL WVSPJPLZ JYLH[LK ZL]LYHS
`LHYZ LHYSPLY;OL +PYLJ[VY VM(NYPJ\S[\YL Z[H[LK ¸[OL
correct policy would be to return at the earliest possible
moment to a reduced production of cereals and an
PUJYLHZL PU SLN\TPUV\Z HUK V[OLY JYVWZ¹ 9LW\ISPJ
VM 2LU`H )\[ K\L [V [OL \YNLUJ` VM [OL
ZP[\H[PVUHUK[OLYLZV\YJLZH]HPSHISL[OLNV]LYUTLU[
JVUJS\KLK[OH[[OLYL^HZ¸UVHS[LYUH[P]L[VNP]PUNHSS
WVZZPISL LUJV\YHNLTLU[ [V [OL WYVK\J[PVU VM THPaL
HUKV[OLYJLYLHSZ¹9LW\ISPJVM2LU`H ;O\Z
HS[OV\NO [OL NV]LYUTLU[ YLJVNUPaLK [OL SPTP[H[PVUZ
[VTVUVJYVWWPUNJLYLHSJYVWZHUKHS[OV\NOP[^HZ
Z\NNLZ[LK [V KL]LSVW V[OLY H]LU\LZ VM HNYPJ\S[\YHS
KL]LSVWTLU[ [OL JVSVUPHS NV]LYUTLU[ JVUJS\KLK
that the only practical option was to develop a
Z`Z[LT VM PUJYLHZLK KLWLUKLUJ` \WVU THPaL
PUX\PYLPU[V[OLZ[H[\ZVMTHPaLPU[OLJV\U[Y`9LW\ISPJ
VM2LU`H ;OLJVTTPZZPVUJVUJLYULK^P[O[OL
M\[\YLVMHNYPJ\S[\YHSWYVK\J[PVUHUKKL]LSVWTLU[PU
PUKLWLUKLU[ 2LU`H X\PJRS` JYP[PJPaLK [OL WYL]PV\Z
JVSVUPHS YLNPTL Z[H[PUN ¸;OL \U^PZKVT VM [OL
WVSPJ` VM TVUVJ\S[\YL HNYPJ\S[\YL OHK UV[ ILJVTL
HWWHYLU[HZVM`L[¹9LW\ISPJVM2LU`H ;OL
UL^S` MVYTLK PUKLWLUKLU[ NV]LYUTLU[ YLJVNUPaLK
[OH[ [OL WYL]PV\Z HNYPJ\S[\YHS KL]LSVWTLU[ WH[O
was unwise. But now, after more than four decades
VM PUKLWLUKLUJL WVSPJPLZ WYVTV[PUN TVUVJ\S[\YL
JLYLHSZ HUK JHZO JYVWZ Z[PSS KVTPUH[L HNYPJ\S[\YHS
KL]LSVWTLU[PU[OL9PM[=HSSL`HUK[OYV\NOV\[2LU`H
Future Climate Adaptation
Homegardens and climate variability
-HYTLYZ PU [OL 9PM[ =HSSL` JVTTVUS` RLLW
ZL]LYHS ZTHSS NHYKLUZ ILZPKL [OLPY OVTLZ ;OLZL
NHYKLUZJVU[HPUH]HYPL[`VMRHSLZSLN\TLZHUK[\ILYZ
[OL JYVWZ [OH[ KVTPUH[LK 2LU`HU MHYTPUN Z`Z[LTZ
ILMVYLLZ[HISPZOTLU[VMJHZOJYVWHNYPJ\S[\YL;OLZL
]LNL[HISLZ HYL PU[LYJYVWWLK HUK NYV^U PU H ]HYPL[`
VMZTHSSWSV[ZHYV\UK[OLOVTLZ[LHKPUJYLHZPUN[OL
0U Q\Z[MV\Y`LHYZHM[LYPUKLWLUKLUJLPU U\[YP[PVUHSIHZLHUKKP]LYZPM`PUN[OLYPZRVMJYVWMHPS\YL
2LU`HHNV]LYUTLU[JVTTPZZPVU^HZLZ[HISPZOLK[V HJYVZZT\S[PWSLWSV[ZHUKJVUÄN\YH[PVUZ)L`VUK[OL
Figure 3. Agricultureforest mosaic in
Moiben Division, Rift
Valley, Kenya. The
agricultural landscape
is dominated by large
tracts of maize and
wheat. A relic of a
colonial plantation is
located in the center
of the valley. Photo by
William Collier.
Tropical Resources Bulletin 13
William Collier
Figure 4. Home
garden in Moiben
Division, Rift Valley,
Kenya. This small
home garden -containing pumpkin,
kales, cassava,
maize, and bananas
-- provides a diverse
source of subsistence
for smallholder
farmers during
drought and climate
variability. Photo by
William Collier.
0UKVULZPHOVTLNHYKLUZPU2LU`HWYV]PKLHUH]LU\L
for farmers to rely on and develop their own resources
despite the transformations of the colonial experience
(Dove 1990).
ZTHSSNYLLUTVZHPJVM]LNL[HISLZ[OLZLOVTLNHYKLUZ
also provide a window into the broader history of
HNYPJ\S[\YLPU2LU`H>LSSHKHW[LK[V[OLJSPTH[PJHUK
environmental conditions, these crops exhibit a variety
VMJOHYHJ[LYPZ[PJZHK]HU[HNLV\ZMVYMHYTLYZ(IV]LHSS
[OL`HYLOLHY[`X\PJRNYV^PUNHUKYLZPZ[HU[[VKYV\NO[
Implications for adaptation
When weather conditions are unfavorable,
MHYTLYZ [OYV\NOV\[ [OL 9PM[ =HSSL` ZOPM[ [OLPY KHPS`
SHIVY ZJOLK\SLZ [V ZWLUK ZPNUPÄJHU[S` TVYL [PTL
^VYRPUN PU [OLZL ZTHSS NHYKLUZ SLH]PUN [OL SHYNLY
SLZZ THUHNLHISL ÄLSKZ VM THPaL HUK ^OLH[ [V ^PS[
MVY MVKKLY ;OLZL NHYKLUZ UV[ VUS` YLWYLZLU[ [OL
J\YYLU[Z\JJLZZHUKZ\Y]P]HSI\[HSZV[OLPUKPNLUV\Z
LU]PYVUTLU[HS RUV^SLKNL WHZZLK KV^U MYVT
WYL]PV\Z NLULYH[PVUZ ;OLZL HNYPJ\S[\YHS Z`Z[LTZ
ÅV\YPZOLK MVY [OV\ZHUKZ VM `LHYZ PU 2LU`H WYPVY [V
JVSVUPHS LUJYVHJOTLU[ HUK [OL RUV^SLKNL ZRPSSZ
HUK [LJOUPX\LZ KL]LSVWLK [V THRL [OLT Z\JJLZZM\S
HYLH[LZ[HTLU[[V[OLPYOLYP[HNL
(Z [OL PTWHJ[Z VM JSPTH[L JOHUNL HYL
anticipated to exacerbate food insecurity, there will
ILHULLK[VIHSHUJLZOVY[[LYTTLHZ\YLZMVYO\UNLY
YLSPLM ^P[O SVUN[LYT Z[YH[LNPLZ MVY HKHW[H[PVU HUK
YLZPSPLUJL 0[ PZ PTWVY[HU[ [V YLJVNUPaL [OL JVTWSL_
economic, environmental, social, and political
JVU[L_[Z VM HNYPJ\S[\YHS KL]LSVWTLU[ HUK MVVK
ZLJ\YP[`PU2LU`H<UKLYZ[HUKPUN[OLOPZ[VYPJHSYVV[Z
VM [YHKP[PVUHS HNYPJ\S[\YL HUK [OL JVU[LTWVYHY`
JVUZLX\LUJLZ VM H TVUVJ\S[\YL HNYPJ\S[\YHS Z`Z[LT
TH` WYV]PKL PUZPNO[Z VU OV^ [V HKHW[ [V M\[\YL
JSPTH[L [OYLH[Z ^OPSL YL]VS\[PVUPaPUN HNYPJ\S[\YL [V
PUJYLHZLMVVKZLJ\YP[`PU2LU`H
(NYVMVYLZ[Y` [LJOUPX\LZ HUK Z`Z[LTZ
Z\JO HZ OVTLNHYKLUZ JHU WYV]PKL H ^PKL YHUNL VM
U\[YP[PVUHSHUKLJVUVTPJILULÄ[Z[V2LU`HUMHYTLYZ
/PZ[VYPJHSS`OVTLNHYKLUZOH]LWYV]LUHK]HU[HNLV\Z
MVYZWYLHKPUNYPZRKP]LYZPM`PUN[OLLJVUVTPJIHZLHUK
WYV]PKPUN PUJYLHZLK ZV\YJLZ VM U\[YP[PVU [V 2LU`HU
MHTPSPLZ -PN :PTPSHY [V ZTHSSOVSKLY MHYTLYZ PU
0U [OL WHZ[ [^V KLJHKLZ HNYPJ\S[\YHS
scientists and policy planners have heralded the
YHWPK HK]HUJLTLU[ VM THPaL HZ H THQVY MVVK JYVW
PU (MYPJH (NYPJ\S[\YHS LJVUVTPZ[Z OH]L ]PL^LK [OL
KVTPUHUJLVMTHPaLPU,HZ[(MYPJHHZHTPYHJSLVM[OL
MYLL THYRL[ 4J*HUU ,]LU 5VILS 3H\YLH[L
5VYTHU )VYSH\N MH[OLY VM (ZPH»Z ^OLH[HUKYPJL
14 Volume 29, 2010
Colonial Maize and Climate in Kenya
IHZLK HNYPJ\S[\YHS .YLLU 9L]VS\[PVU VM [OL Z
HYN\LZ ¸[OL [LJOUVSVNPLZ HUK UL^ JYVW ]HYPL[PLZ [V
SH\UJO (MYPJH»Z V^U .YLLU 9L]VS\[PVU ^P[O THPaL
adoption as its most visible expression, are already
PUL_PZ[LUJL¹4J*HUU)\[JSPTH[LJOHUNL
adaptation initiatives that focus exclusively on new
]HYPL[PLZ VM THPaL HUK PUJYLHZLZ PU UH[PVUHS JYVW
productivity will not solve current and future food
crises. They may very well continue to perpetuate
a system that increases the vulnerability of poor
smallholder farmers.
0U 2LU`H OPZ[VYPJHSS` JVUJLYUZ HIV\[
food supplies have been manipulated to consoliKH[L WVSP[PJHS WV^LY )H[LZ )\[ V]LY [OL SHZ[
JLU[\Y` [OLYL OH]L ILLU ]VPJLZ ^HYUPUN VM WYVISLTZ ^P[O JVSVUPHS HUK JVU[LTWVYHY` HNYPJ\S[\YHS
WVSPJPLZ \YNPUN VMÄJPHSZ HUK WVSPJ`THRLYZ [V TV]L
beyond unwise and vulnerable policies and investTLU[Z ;OLYL OH]L HSZV ILLU ]VPJLZ KLZJYPIPUN [OL
KHPS` Z[Y\NNSLZ [OH[ LTLYNL MYVT H Z`Z[LT VM JVUtinued dependencies. Yet these are merely whisWLYZ MYVT H MHYVMM ]PSSHNL H TLZZHNL PUH\KPISL VU
[OL I\Z[SPUN WH]LK Z[YLL[Z VM KV^U[V^U 5HPYVIP
*\YYLU[ YHPUMHSS ZOVY[HNLZ PU [OL 9PM[=HSSL`
OH]L Z[YHPULK MVVK Z\WWSPLZ [OYV\NOV\[ [OL JV\U[Y`
HMMLJ[PUN TVYL [OHU TPSSPVU WLVWSL VUL X\HY[LY
VM[OL[V[HSWVW\SH[PVU-VVKZLJ\YP[`PZUV[L_WLJ[LK
to improve with the anticipated impacts of climate
JOHUNL )\[ [OL \YNLUJ` VM [OL ZP[\H[PVU HUK [OL
ULLK [V HJ[ ZOV\SK UV[ JSV\K V\Y \UKLYZ[HUKPUN VM
the historical, political, and economic circumstances
PU ^OPJO TPSSPVU WLVWSL HYL O\UNY` HUK TPSSPVU WLVWSL HYL [YHWWLK PU H ZLH VM THPaL
Acknowledgement
;OPZYLZLHYJO^HZTHKLWVZZPISLI`[OLNLULYV\Z
support of the Yale Tropical Resources Institute, the
@HSL 1\IP[a -HTPS` ,UKV^TLU[ HUK [OL @HSL *HYWLU[LY
:WLYY` -\UK :WLJPHS [OHURZ [V [OL MVSSV^PUN WLVWSL HUK
VYNHUPaH[PVUZ! [OL YLZPKLU[Z VM 4VPILU +P]PZPVU 2LU`H"
>PSSPHTZ 2PW[VV )^HTIVJR" +Y 4PJOHLS 9 +V]L" +Y
9VILY[ )HPSPZ" *SPTH[L *OHUNL (KHW[H[PVU PU (MYPJH
9LZLHYJO*LU[LY0+9*"+Y1*5RVTV"+Y,]HUZ2P[\`P"
=PJ[VY6YPUKP"2LU`H4PUPZ[Y`VM(NYPJ\S[\YL"2LU`H4PUPZ[Y`
VM :JPLUJL ;LJOUVSVN` HUK /PNOLY ,K\JH[PVU" 2LU`H
4PUPZ[Y` VM 5H[\YHS 9LZV\YJLZ" 6MÄJL VM [OL 7YLZPKLU[
VM 2LU`H" 2LU`H 4L[LVYVSVNPJHS +LWHY[TLU[" <UP]LYZP[`
VM 5HPYVIP" 4VPILU -HYTLYZ 4HYRL[PUN -LKLYH[PVU
9LMLYLUJLZ
)H[LZ9/)L`VUK[OL4PYHJSLVM[OL4HYRL[!;OL
7VSP[PJHS,JVUVT`VM(NYHYPHU+L]LSVWTLU[PU
2LU`H5L^@VYR5@!*HTIYPKNL<UP]LYZP[`7YLZZ
)VRV405PHUN(5`VUN*=VNLS(.P[OLRV4
4LKHU`)6ZTHU,SHZOH9;HIVHUK7@HUKH
(MYPJH!*SPTH[L*OHUNL!0TWHJ[Z(KHW
[H[PVUHUK=\SULYHIPSP[`*VU[YPI\[PVUVM>VYRPUN
.YV\W00[V[OL-V\Y[O(ZZLZZTLU[9LWVY[VM[OL
0U[LYNV]LYUTLU[HS7HULSVU*SPTH[L*OHUNL
437HYY`6-*HUaPHUP177HS\[PRVM71]HUKLY
3PUKLUHUK*,/HUZVU*HTIYPKNL<2!*HT
IYPKNL<UP]LYZP[`7YLZZW
*VSVU`HUK7YV[LJ[VYH[LVM2LU`H ;OL2LU`H:L[[SL
TLU[/HUKIVVR3VUKVU<2
*VSVU`HUK7YV[LJ[VYH[LVM2LU`H (7SHU[V0U
[LUZPM`[OL+L]LSVWTLU[VM(MYPJHU(NYPJ\S[\YLPU
2LU`H5HPYVIP2LU`H!4PUPZ[Y`VM(NYPJ\S[\YL
+V]L49 9L]PL^(Y[PJSL!:VJPV7VSP[PJHS(ZWLJ[Z
VM/VTL.HYKLUZPU1H]H1V\YUHSVM:V\[OLHZ[(ZPHU
:[\KPLZ!
2PWRVYPY) 7LVWSLVM[OL9PM[=HSSL`!2HSLUQPU
3VUKVU<2!,]HUZ)YV[OLYZ3PTP[LK
4J*HUU1*4HPaLHUK.YHJL!(MYPJH»Z,UJV\U[LY
^P[OH5L^>VYSK*YVW*HTIYPKNL
4(!/HY]HYK<UP]LYZP[`7YLZZ
9LW\ISPJVM2LU`H (5H[PVUHS*HZO*YVWZ7VSPJ`MVY
2LU`H5HPYVIP2LU`H!4PUPZ[Y`VM(NYPJ\S[\YL
9LW\ISPJVM2LU`H 9LWVY[VM[OL4HPaL*VTTPZZPVU
VM0UX\PY`5HPYVIP2LU`H!4PUPZ[Y`VM(NYPJ\S[\YL
:JOSLURLY>HUK+)3VILSS9VI\Z[5LNH[P]L
0TWHJ[ZVM*SPTH[L*OHUNLVU(MYPJHU(NYPJ\S[\YL
,U]PYVUTLU[HS9LZLHYJO3L[[LYZ!
>HPN^H:4 *SPTH[L*OHUNLHUK-VVK:LJ\YP[`
5HPYVIP2LU`H!4PUPZ[Y`VM(NYPJ\S[\YL
Tropical Resources Bulletin 15
Açaí Branco:
Maintaining Agrobiodiversity through a Local Seed System in the Amazon Estuary
Ashley DuVal, MESc 2010
Introduction
Background
0UHY\YHSJVTT\UP[`ZP[\H[LKHSVUNH[YPI\[HY`
[V[OL(THaVUYP]LYPU[OL)YHaPSPHUZ[H[LVM(THWm
HMHYTLYWVPU[LKV\[[^V]HYPL[PLZVM[OLHsHxWHST
(Euterpe oleracea, Mart.), his primary cash crop,
NYV^PUNZPKLI`ZPKL>OPSLOLJHSSLKVULHsHxIYHUJV
HUK[OLV[OLYHsHxWYL[V0Z[Y\NNSLK[VJVTWYLOLUK
the differences between the palms, both laden with
dense clusters of jade fruits. The difference was subtle,
I would learn, and virtually indiscernible to all but
[OLMHYTLYYLZWVUZPISLMVYOHY]LZ[PUN[OLMY\P[VM[OLZL
palms. The oily palm fruits of the common variety
HsHxWYL[V^V\SKÄYZ[YPWLU[VHKLLWZOHKLVMW\YWSL
black, then continue to develop on the tree until the
dark fruits obtained a dusty silver sheen. The fruits
VMHsHxIYHUJVOV^L]LY^V\SKYLTHPUHWHSLZOHKL
VM NYLLU HZ [OL` YPWLULK HUK ^V\SK ÄUHSS` KL]LSVW
H SPNO[ ZPS]LY` NSVZZ V]LY ^OH[ V[OLY^PZL HWWLHYLK
to be an unripe fruit, a difference that was virtually
\UKL[LJ[HISLMYVT[OLNYV\UKTL[LYZILSV^[OLZL
[HSS WHSTZ >P[O UV V[OLY PKLU[PM`PUN MLH[\YLZ [OHU
[OL MY\P[»Z SHJR VM W\YWSL WPNTLU[ [OL PKLU[PÄJH[PVU
VM HsHx IYHUJV ]LYZ\Z \UYPWL HsHx WYL[V YLWYLZLU[Z
H OPNOS` SVJHSPaLK MVYT VM RUV^SLKNL HZ VUS` [OL
OHY]LZ[LY ^OV YLN\SHYS` HZJLUKZ [OL [YLLZ [V JVSSLJ[
[OL MY\P[ PU [OLPY HsHx Z[HUK JHU KLÄUP[P]LS` PKLU[PM`
the variety. Locally valued forest product varieties
Z\JO HZ HsHx IYHUJV JHU VMMLY ]HS\HISL PUZPNO[Z PU[V
the processes of selection, adaptation and diffusion
and the role that small holder producers play in
domestication of crop and forest product resources.
4`YLZLHYJOL_WSVYLZ[OLZLLKL_JOHUNLUL[^VYRZHUK
THUHNLTLU[WYHJ[PJLZHZZVJPH[LK^P[O[OLWYVK\J[PVU
HUK KPMM\ZPVU VM HsHx IYHUJV PU [OPZ JVTT\UP[`
;OL YVSL VM HsHx IYHUJV HZZ\TLZ NYLH[LY
ZPNUPÄJHUJL PU [OL JVU[L_[ VM [OL NSVIHS HsHx IVVT
VM [OL SHZ[ `LHYZ ^OPJO OHZ THKL [OL ^VYK HsHx
and its trademark purple color a household term. The
[YHUZP[PVU[OH[HsHxOHZ[HRLUMYVTSVJHSZ[HWSLMVVK[V
PU[LYUH[PVUHSJVTTVKP[`VYºMHZOPVUMY\P[»)YVUKPaPV
ILNHU VUJL HsHx OHK HSYLHK` ILJVTL ^LSS
LZ[HISPZOLKPU[OL\YIHUJLU[LYZVM(THaVUPH-YVT
[OLYLP[WLYTLH[LK[VV[OLY\YIHUJLU[LYZPU)YHaPSPU
[OLMVYTVMHZVYIL[KLZLY[VYLULYN`MVVKL_WVY[LK
PU MYVaLU W\SW HUK TP_LK ^P[O N\HYHUm Z`Y\W HUK
V[OLYMY\P[Z[VZ\WWSLTLU[P[^P[OZ\NHYZHUKJHMMLPUL
^OPSL KPZN\PZPUN P[Z \U\Z\HS LHY[O` ÅH]VY (S[OV\NO
L_WVY[ KLTHUK MVY HsHx PZ X\PJRS` NYV^PUN [OL
SHYNLZ[ KLTHUK MVY HsHx PZ Z[PSS YLNPVUHS ^OLYL [OL
food retains its cultural and dietary importance.
Ashley DuVal is originally from the California Bay Area,
where she graduated with a BS in Conservation and Resource Studies from UC Berkeley. She worked in the East
Bay in urban forestry before coming to FES. Her academic
and research interests at FES included ethnobotany, community management of resources, traditional knowledge
of plant resources and conservation of agrobiodiversity.
She plans to continue pursuing research and work opportunities in documenting and conserving plant diversity.
(sHx IYHUJV PZ ULP[OLY NYV^U UVY THYRL[LK
V\[ZPKL VM [OL (THaVU LZ[\HY` 0[Z WYVK\J[PVU PZ ZV
YLNPVUHS[OH[HsHxWYVK\JLYZPU[OL(THaVUPHUZ[H[L
VM4HYHUOqVYLMLY[VP[HZºHsHxIYHUJVVM7HYm»HUK
]LUKLYZPU[OLHsHxZ[HSSZVM4HJHWmYLWVY[[OH[TVZ[
PZ PTWVY[LK MYVT 7HYm (sHx IYHUJV PZ MYLX\LU[S`
KLZJYPILK HZ ºTVYL KLSPJPV\Z» [OHU HsHx WYL[V ^P[O
H ÅH]VY ZPTPSHY [V ºH]VJHKV ^P[O TPSR» >LPUZ[LPU
-\Y[OLYTVYL P[ PZ JSHPTLK [V SHJR [OL OLH]`
SPUNLYPUNHUKZSLLWPUK\JPUNLMMLJ[Z[OH[HsHxWYL[VPZ
YLUV^ULKMVYPUJS\KPUN[OLJOHYHJ[LYPZ[PJKPZ[LUKLK
ºHsHx ILSS`» HUK PU [OPZ YLNHYK PZ VM[LU YLMLYYLK [V HZ
ºHsHx SP[L» ;OVZL ^OV WYVJLZZ HsHx JSHPT [OH[ [OL
W\SWPZVM[OPJRLYJVUZPZ[LUJ`HZPNUVMOPNOLYX\HSP[`
(personal observation 2009). Many of these claims are
supported by the differences in composition between
HsHxIYHUJVHUKWYL[V(ZP[ZJVSVY^V\SKHWWLHY[V
PUKPJH[L HsHx IYHUJV SHJRZ [OL HU[OVJ`HUPU JVU[LU[
VM P[Z W\YWSL JV\U[LYWHY[ HS[OV\NO P[ OHZ OPNOLY VPS
JVU[LU[9VNLa(sHxIYHUJVHSZVOHZHYLK\JLK
PYVU JVU[LU[ H X\HSP[` ILSPL]LK [V HJJV\U[ MVY P[Z
ability to be mixed with other foods and not cause
PUKPNLZ[PVU0U[OLJVU[L_[VMHZ[HWSLMVVK[OLOPNOLY
KPNLZ[PIPSP[`HUKML^LYKPL[HY`YLZ[YPJ[PVUZHZZVJPH[LK
with more oil and less iron serve an important function.
(sHxIYHUJVOHZILLUUV[LKPU]HYPV\Z^YP[[LU
16 Volume 29, 2010
Açaí Branco: Maintaining Agrobiodiversity in the Amazon Estuary
HJJV\U[Z MVY [OL SHZ[ `LHYZ *HSaH]LYH [OV\NOYHYLS`TLYP[PUNTVYL[OHUHSPULVY[^VHIV\[
P[ZWYLZLUJLPU[OL\YIHUTHYRL[WSHJLZVM[OL(THaVU
LZ[\HY` Z\JO HZ [OL -LPYH KL (sHx HUK P[Z YLSH[P]LS`
OPNOLY WYPJLZ >LPUZ[LPU (aL]LKV )YVUKPaPV :TP[O ?H]PLY L[ HS +LZWP[L P[Z WLYZPZ[LU[ YLNPVUHS KLTHUK HUK SVJHS
PTWVY[HUJLHsHxIYHUJVOHZTLYP[LKSP[[SLVM[OLMVYTHS
Z[\K`VYNLUL[PJPTWYV]LTLU[^VYRHUKIYLLKPUN[OH[
[OLWYLKVTPUH[PUNW\YWSL]HYPL[`OHZILLUYLJLP]PUN
>OPSL,4)9(7([OL)YHaPSPHU(NYPJ\S[\YHS9LZLHYJO
(NLUJ` ILNHU NLUL[PJ L]HS\H[PVUZ VM HsHx IYHUJV
[OL^VYR^HZKPZJVU[PU\LKJP[PUNºSHJRVMPU[LYLZ[VY
H]PHISLTHYRL[»WLYZVUHSJVTT\UPJH[PVU:7HKPSOH
June 2009). To date, no study has been conducted on
[OL THUHNLTLU[ WYVK\J[PVU HUK L_JOHUNL VM HsHx
branco and little remains known about this evasive
]HYPL[`(sHxIYHUJVPZUV[ULJLZZHYPS`HUL^]HYPL[`
PU4HJHWm¶^OPSLHJHxIYHUJVOHZILLUWYLZLU[MVY
HZSVUNHZ[OL\YIHUHsHx]LUKLYZPU[LY]PL^LKJV\SK
remember, it has always been primarily imported
MYVT7HYmILJVTPUNH]HPSHISLVUS`PU[OLTVU[OZ[OH[
JVYYLZWVUK^P[O[OLNYV^PUNZLHZVUVM7HYmWLYZVUHS
JVTT\UPJH[PVU (\N\Z[ +\L [V P[Z L_[YLTL
YHYP[`[OLWYPJPUNOHZHS^H`ZILLUHSP[[SLOPNOLY[OHU
the purple counterpart, and for the last two years
[OL WYPJL VM HsHx IYHUJV PU 4HJHWm YLTHPULK Ä_LK
IL[^LLU9MVYHZHJR^OPSL[OLWYPJLVMWYL[V
IV[[VTLK H[ SLZZ [OHU 9 K\YPUN WLHR ZLHZVU
+LZWP[L P[Z YLNPVUHSS` SPTP[LK THYRL[ [OLYL L_PZ[Z
H Z[YVUN ÄUHUJPHS PUJLU[P]L [V WSHU[ HsHx IYHUJV
0U [OL JVU[L_[ VM [OPZ WHWLY HsHx IYHUJV PZ
explored in the theoretical framework of an informal
seed system. While the formal seed sector represents
[OL ]LY[PJHSS` VYNHUPaLK WYVK\J[PVU HUK KPZ[YPI\[PVU
of approved and tested seeds, with the intention of
PTWYV]PUN`PLSKZIHZLKVUZ[HUKHYKPaLKZWHJPUNHUK
PUW\[Z PUMVYTHS ZLLK Z`Z[LTZ HYL SVJHSS` VYNHUPaLK
IHZLK \WVU [YHKP[PVUHS RUV^SLKNL HUK N\PKLK I`
Figure 1. Açaí Branco Planting Techniques: (a) Seeds of açaí branco are set aside in
buckets to germinate after the pulp has been removed. (b) Seedlings of açaí branco are
separated into plastic bags until they are large enough to transplant in the ground. (c)
Seeds of açaí branco are dumped in a pile to germinate in a sunny environment close to
the house. (d) Seeds of açaí branco are cast onto the forest fl oor and left to germinate.
Tropical Resources Bulletin 17
Ashley DuVal
WYL]HPSPUN THYRL[ MVYJLZ +V\NSHZ 0UMVYTHS
seed systems often perform an important role in the
distribution of new varieties, maintenance of crop
NLUL[PJ KP]LYZP[` HUK PU TLL[PUN SVJHS ULLKZ ;OL
two systems, formal and informal, can be viewed
as complementary, often by necessity (Almekinders
L[ HS (YV\UK [OL ^VYSK HUK WHY[PJ\SHYS` PU
Y\YHSYLNPVUZ[OLMVYTHSZLLKZ`Z[LTYHYLS`Z\YWHZZLZ
VMHMHYTLY»ZZ\WWS`SLH]PUNMHYTLYZ[VKL]LSVW
HSS V[OLY ZLLKZ HUK WSHU[PUN TH[LYPHS /LPZL` >PLYLTH L[ HS (JJVYKPUN [V(STLRPUKLYZ L[
HS [OL [OYLL TVZ[ PTWVY[HU[ JVTWVULU[Z VM
a dynamic seed system for small farmers for small
MHYTLYZ PU KL]LSVWPUN JV\U[YPLZ PUJS\KL ]HYPL[`
use and development, (2) seed production and
Z[VYHNL I` MHYTLYZ \UKLY SVJHS JVUKP[PVUZ HUK ZLLKL_JOHUNLTLJOHUPZTZ;OLZL[OYLLJVTWVULU[Z
will serve as the foundation for an analysis of
HsHx IYHUJV HZ H K`UHTPJ PUMVYTHS ZLLK Z`Z[LT
:P[L:LSLJ[PVU
The community where this study took place is
SVJH[LKPU[OLZ[H[LVM(THWmPU5VY[OLYU)YHaPS
RTMYVT[OLJHWP[HSJP[`VM4HJHWm^OLYLJVTT\UP[`
TLTILYZ [YHUZWVY[ HsHx [V IL ZVSK KH`Z H ^LLR
;OPZ JVTT\UP[` JVUZPZ[Z VM OV\ZLOVSKZ HUK OHZ
a very recent land history and well-documented land
Figure 2. Map of
Açaí Branco Seed
Exchanges
18 Volume 29, 2010
cover transitions since it was converted from ranch
[VWYLKVTPUHU[S`HsHxTHUHNLKHNYVMVYLZ[PU[OLSHZ[
`LHYZ9HMÅLZ-\Y[OLYTVYL[OLJVTT\UP[`
members all maintain secure land tenure, and the
THQVYP[` YLS` \WVU HsHx HZ [OLPY WYPTHY` ZV\YJL VM
PUJVTL [OV\NO VM[LU Z\WWSLTLU[LK ^P[O V[OLY
HJ[P]P[PLZZ\JOHZZOYPTWHUKÄZOPUNVYYL[PYLTLU[HUK
ÄZOPUNWLUZPVUZ
Methods
;OPZ Z[\K` ^HZ JVUK\J[LK \ZPUN H TP_LK
TL[OVKVSVN`HWWYVHJOV]LY[^VÄLSKZLHZVUZPU1\UL
VM HUK (\N\Z[ VM ;OL ÄYZ[ ÄLSK ZLHZVU
consisted of participant observation within a household
K\YPUN [OL WLHR VM HsHx OHY]LZ[PUN VWLYH[PVUZ HUK
informal interviews with a number of community
TLTILYZ^OV^VYRLKPU[OLOHY]LZ[PUNHUK[YHUZWVY[
VM HsHx ;OL MVSSV^PUN `LHY Z[Y\J[\YLK HUK ZLTP
Z[Y\J[\YLK Z\Y]L`Z ^LYL OLSK ^P[O JVTT\UP[`
TLTILYZ HUK \YIHU ]LUKLYZ \ZPUN YHUKVT
W\YWVZP]LHUKZUV^IHSSZHTWSPUN[LJOUPX\es to select
key informants. The outcomes included a social map
KVJ\TLU[PUN ZLLK L_JOHUNLZ IL[^LLU JVTT\UP[`
TLTILYZ HZ ^LSS HZ ^P[O ULPNOIVYPUN JVTT\UP[PLZ
HUK JVTWSL[LK X\LZ[PVUUHPYLZ VU PUKP]PK\HSZ»
WYVK\J[PVU THUHNLTLU[ HUK WYLMLYLUJL KH[H
Açaí Branco: Maintaining Agrobiodiversity in the Amazon Estuary
Results and Discussion
Seed Production and Storage Under Local
Conditions:
;OLKH[HJVSSLJ[LKHUKTHUHNLTLU[WYHJ[PJLZ
VIZLY]LKZ\WWVY[[OLJSHZZPÄJH[PVUVMHsHxIYHUJVHZ
Seed production is said to be more
a dynamic seed system in accordance with the three ZWLJPHSPaLK ^OLU [OL ZLLK PZ WYVK\JLK PU ZLWHYH[L
JVTWVULU[ZLZ[HISPZOLKI`(STLRPUKLYZL[HS WSV[Z(STLRPUKLYZL[HS 0UMVYTHU[ZMYLX\LU[S`
YLWVY[LKWSHU[PUN[OLHsHxIYHUJVPUZ[HUKZZWH[PHSS`
YLTV]LK MYVT HsHx WYL[V [V WYL]LU[ ^OH[ [OL`
Variety Use and Development
ILSPL]LK^HZHYPZRVMJYVZZWVSSPUH[PVU(S[OV\NO[OL
7YLZLUJLHUK\ZLVM[OL]HYPL[`HsHxIYHUJV MHJ[VYZHMMLJ[PUNP[ZL_WYLZZPVUOH]LUV[ILLUZ[\KPLK
^HZ WYL]HSLU[ [OYV\NOV\[ [OL JVTT\UP[` 6\[ VM HsHx IYHUJV KPZWSH`Z [OL WH[[LYUZ VM H YLJLZZP]L [YHP[
[OL OV\ZLOVSKZ Z\Y]L`LK VM YLZWVUKLU[Z MVSSV^PUN 4LUKLSPHU NLUL[PJZ ^P[O VUS` JSHPTLK[OL`OHKWSHU[LKWHSTZVMHsHxIYHUJVPU[OLPY VM WYVNLU` PU [\YU WYVK\JPUN IYHUJV HJJVYKPUN [V
1
HsHx Z[HUKZ VY HJX\PYLK SHUK VU ^OPJO [OL ]HYPL[` a controlled study in the EMBRAPA experimental
had already been planted. Located on a tributary Z[H[PVU WLYZ JVTT 4VJOP\[[P ;V V]LYJVTL
VM [OL UVY[OLYU (THaVU 9P]LY [OL JVTT\UP[` ^HZ [OLZL VKKZ THU` MHYTLYZ YLWVY[LK [V IL WSHU[PUN
Z\IQLJ[LK [V Z[YVUN J\YYLU[Z [OH[ JHY]LK MHY[OLY PU[V VUS`UL^ZLLKZVMHsHxIYHUJV^P[OH^HYLULZZVM[OL
[OL YP]LY IHUR LHJO `LHY VM[LU JHYY`PUN H^H` [YHJ[Z SV^YL[LU[PVUMVY[OPZ[YHP[;OLPU[LUZPÄJH[PVUVM[OPZ
VM [OL TVZ[ PU[LUZP]LS` THUHNLK OVTL NHYKLU HUK ]HYPL[`PZ[OLYLMVYLHNYHK\HSHUKZVTL^OH[PU]PZPISL
Z[HUKZVMHsHxHSVUN^P[OP[;OPY[LLUVM[OLOV\ZLOVSKZ WYVJLZZ JVUZPKLYPUN [OH[ L]LU PU WSHU[PUNZ THKL
J\YYLU[S`OHKHsHxIYHUJV^OPSL[OLOV\ZLOVSKZ[OH[ MYVT HSS HsHx IYHUJV ZLLKSPUNZ \Z\HSS` VUS` HIV\[
KPKUV[OHKSVZ[HSSVM[OLPYHJHxIYHUJV[VOPNOÅVVKZ ^PSSTH[\YL[VL_WYLZZ[OL[YHP[
V]LY [OL SHZ[ `LHYZ [OL TVZ[ YLJLU[ VJJ\YYPUN PU
;OL WSHU[PUN HUK LZ[HISPZOTLU[ VM HsHx
(SSOV\ZLOVSKZ^P[OV\[TH[\YLHsHxIYHUJV IYHUJVMVSSV^LK]LY`KPMMLYLU[THUHNLTLU[WH[O^H`Z
OHKHSYLHK`WSHU[LKZLLKZVYZLLKSPUNZVYOHKZLLKZ
[OL` ^LYL WSHUUPUN [V WSHU[ [OH[ `LHY PU [OL YHPU` [OHU HsHx WYL[V HZ ^LSS ILNPUUPUN ^P[O [OL Z[VYHNL
ZLHZVU 0U [V[HS VM [OL OV\ZLOVSKZ YLWVY[LK VM ZLLKZ HM[LY WYVJLZZPUN [OL W\SW -PN\YL (M[LY
[OH[ [OL` ^LYL Z[PSS HJ[P]LS` WSHU[PUN HsHx IYHUJV PU WYVJLZZPUN[OLW\SWMYVTHsHxWYL[V[OLZLLKZ^LYL
LP[OLY[OLPYX\PU[HSOVTLNHYKLUZTHUHNLKHsHxaHPZ [`WPJHSS`JHZ[H^H`HZSP]LZ[VJRILKKPUNVY[VZ[HIPSPaL
HUKL]LU[OLSHUKOVSKPUNZ\WYP]LYPUWYPTHY`MVYLZ[ T\KK`IHURZ(sHxIYHUJVZLLKZ^LYLYL[HPULKHM[LY
*VU[PU\HSYLÄULTLU[HUKKL]LSVWTLU[VM[OL]HYPL[` WYVJLZZPUN OV^L]LY HUK ^V\SK [`WPJHSS` LP[OLY IL
^HZ KLTVUZ[YH[LK I` ZLLK ZLSLJ[PVU HUK L_JOHUNLZ SLM[[VNLYTPUH[LPUVULVM[OL[LJOUPX\LZKLZJYPILK
[OH[ [VVR WSHJL HTVUNZ[ OV\ZLOVSKZ L]LU ^OLU PU -PN\YL VY ILJVTL PUJVYWVYH[LK PU[V H ZLLK
they already had mature palms. When interviews L_JOHUNLZ`Z[LTHTVUNZ[HUKIL[^LLUJVTT\UP[PLZ
^LYL JVUK\J[LK PU (\N\Z[ [V^HYKZ [OL LUK VM [OL ;OL NLYTPUH[PVU VM HsHx IYHUJV PU I\JRL[Z HUK
HsHx ZLHZVU ZLWHYH[L L_JOHUNL L]LU[Z OHK ILLU WSHZ[PJ IHNZ YLWYLZLU[Z H JSLHY KP]LYNLUJL MYVT
KVJ\TLU[LK MVY Q\Z[ [OPZ ZLHZVU 0U VUL JHZL [OL THUHNLTLU[ VM HsHx WYL[V (Z [OLYL PZ HSYLHK`
]LNL[H[P]L J\[[PUNZ VM HsHx IYHUJV OHK ILLU NPM[LK HI\UKHU[YLNLULYH[PVUVMHsHxWYL[VMYVTMHSSLUMY\P[Z
MYVT/V\ZLOVSK([V/V\ZLOVSK)`LHYZHNV;OPZ ZLLKSPUNZ HYL ZPTWS` [YHUZWSHU[LK PU[V NYV^PUN ZP[LZ
`LHY/V\ZLOVSK(IV\NO[RNVMIYHUJVMY\P[MYVT ^OLYLZWHJLPZH]HPSHISL(sHxIYHUJVPZ[YHUZWSHU[LK
/V\ZLOVSK ) HUK HM[LY WYVJLZZPUN [OL W\SW [V ZLSS into cleared areas, such as sunny banks, where the
to the urban market, the seeds were set aside to be SPNO[LU]PYVUTLU[PUK\JLZLHYSPLYWYVK\J[PVUVMMY\P[Z
NLYTPUH[LK HUK WSHU[LK ^OPSL [OL ZLLKZ VYPNPUH[PUN in the life cycle of the palm. All property owners
MYVT/V\ZLOVSK(»ZV^UHsHxIYHUJV^HZKPZJHYKLK Z\Y]L`LK^P[OSHUKOVSKPUNZPU[OL\USVNNLKWYPTHY`
It was reported by the head of Household A that the MVYLZ[\WYP]LYYLWVY[LKJHZ[PUNZLLKZMYVTHsHxIYHUJV
fruits purchased from Household B had superior to intensify the varietal production under more humid
X\HSP[`W\SW;OPZPZQ\Z[VULL_HTWSLKLTVUZ[YH[PUN and closed canopies, conditions linked with superior
[OL JVU[PU\LK KL]LSVWTLU[ HUK YLÄULTLU[ VM [OL X\HSP[`VM[OLMY\P[W\SW
variety branco, even after the type has saturated the
Seed Exchange Mechanisms of Açaí Branco:
community.
(JJVYKPUN[V(STLRPUKLYZL[HS [OLYLHYL
LZZLU[PHSS`ZV\YJLZMYVT^OPJOHMHYTLYJHUVI[HPU
ZLLK;OLZLPUJS\KLOPZOLYV^UOHY]LZ[V[OLYMHYTLYZ»
Tropical Resources Bulletin 19
Ashley DuVal
OHY]LZ[Z[OLSVJHSNYHPUTHYRL[HUK[OLMVYTHSZLLK
ZLJ[VY:\Y]L`ZYL]LHSLK[OH[[OLÄYZ[[OYLLVM[OLZLHYL
\[PSPaLKPU[OLJHZLVMHsHxIYHUJV^P[O[OLÄYZ[HUK
ZLJVUK ILPUN TVZ[ MYLX\LU[S` YLWVY[LK;OL MV\Y[O
VY MVYTHS ZLLK ZLJ[VY MVY HsHx KLHSZ L_JS\ZP]LS`
^P[O HsHx WYL[V HZ HNYVUVTPZ[Z PU]LZ[ YLZLHYJO HUK
KL]LSVW[V^HYKZL_WHUKPUNWYVK\J[PVUMVYL_WVY[HUK
WYVTV[PVUVM`LHYYV\UKMY\P[PUN;OLZLLKL_JOHUNL
UL[^VYRZ[YHJLKPU[OPZZ[\K`PSS\TPUH[LHUPU[LYLZ[PUN
ZJLUHYPVPU^OPJOHsHxIYHUJVHWWLHYZ[VOH]LILLU
introduced to the community from either one or
[^VVYPNPUHSZV\YJLZHUKPU[OLJV\YZLVM`LHYZ
ZH[\YH[LK[OLJVTT\UP[`SLH]PUNHK`UHTPJWH[[LYU
VMZLSLJ[PVUHUKPU[LUZPÄJH[PVUPUP[Z^HRL-PN\YL
-\Y[OLYTVYL VUL VM [OL [^V PUKP]PK\HSZ JVUÄYTLK
[V OH]L VYPNPUHSS` PU[YVK\JLK HsHx IYHUJV PU[V [OPZ
JVTT\UP[` YLWVY[LKS` HJX\PYLK P[ [OYV\NO \YIHU
JVUULJ[PVUZPU4HJHWm7PULKV=HZX\LaWLYZJVTT
6J[ 0U[OL`LHYZMVSSV^PUN[OLPU[YVK\J[PVU
VM HsHx IYHUJV [OL [^V VYPNPUHS ZLLK ZV\YJLZ OH]L
ILLUWHZZLKIL[^LLUPUKP]PK\HSZHUKKPMM\ZLKPU[V
KPMMLYLU[ JVTT\UP[PLZ HUK TL[YVWVSP[HU HYLHZ ]PH
H[ SLHZ[ \UPX\L L_JOHUNLZ [OV\NO SPRLS` TVYL
-\Y[OLYTVYL ZLLK L_JOHUNL JVU[PU\LZ [V YLTHPU
Z[YVUN L]LU [OV\NO HSS OV\ZLOVSKZ PUJS\KLK OH]L
[OL]HYPL[`PUKPJH[PUN[OH[JVU[PU\LKYLÄULTLU[HUK
ZLSLJ[PVUPZ[HRPUNWSHJL^P[OPU[OLJVTT\UP[`SVUN
HM[LY[OLVYPNPUHSPU[YVK\J[PVU
Conclusion
The results of this study support the role of
informal seed systems in crop domestication and
THPU[LUHUJL VM HNYVIPVKP]LYZP[`;OPZ Z[\K` ZOV^LK
[OH[ PU SLZZ [OHU ÄM[` `LHYZ HU PU[YVK\JLK ]HYPL[`
UV[ VUS` ZH[\YH[LK H JVTT\UP[` [OYV\NO ZVJPHS HUK
MHTPS` UL[^VYRZ VM L_JOHUNL I\[ ^HZ JVU[PU\HSS`
improved upon, selected for, and experimented
with in line with tastes and preferences at the
OV\ZLOVSK HUK SVJHS THYRL[ SL]LS -\Y[OLYTVYL HZ
ZLLKZ VM HsHx IYHUJV ^LYL YLWVY[LKS` KPZWLYZLK HUK
WSHU[LK PU[V [YHJ[Z VM \USVNNLK WYPTHY` MVYLZ[ [OL
JHZL VM HsHx IYHUJV YLWYLZLU[Z H WYVJLZZ PU ^OPJO
HNYVIPVKP]LYZP[` OHZ ILLU [YHUZMLYYLK MYVT \YIHU
THYRL[ [V ÄLSK IHJR [V MVYLZ[ PU]LY[PUN VY WLYOHWZ
JVTWSL[PUN H [YHQLJ[VY` [`WPJHSS` HZJYPILK [V ZLLKZ
\UKLYNVPUNKVTLZ[PJH[PVU;OLYLPZSP[[SLSPRLS`M\[\YL
PU L_WVY[ MVY HsHx IYHUJV 0[ OHZ MV\UK P[Z UPJOL PU
HU LU]PYVUTLU[ ^OLYL P[ PZ WYPaLK MVY P[Z X\HSP[`
JVUZPZ[LUJ` ÅH]VY HUK KPNLZ[PIPSP[` · X\HSP[PLZ [OH[
X\PJRS` SVVZL PTWVY[HUJL PU H NSVIHS THYRL[ I\PS[
\WVUHZ\JJLZZM\SS`WYVTV[LKPTHNLYH[OLY[OHU[HZ[L
VYX\HSP[`>P[OV\[[OLOPNOJVU[LU[VMHU[PV_PKHU[Z
NYLLUHsHxJLHZLZ[VILºHsHx»V\[ZPKLVM[OLHTHaVU
20 Volume 29, 2010
estuary. However, its very presence and proliferation
within communities demonstrates an important fact
· SVJHS ]HS\LZ HUK WYLMLYLUJLZ Z[YVUNS` HMMLJ[ [OL
ZLSLJ[PVUHUKTHUHNLTLU[KLJPZPVUZ[OH[KYP]LJYVW
domestication. The local importance, individual
WYLMLYLUJL HUK OPNOLY WYPJPUN HZZVJPH[LK ^P[O HsHx
IYHUJVHSSHWWLHY[VILMHJ[VYZKYP]PUNWYVK\J[PVU\W
HSILP[[OYV\NOHZSV^HUKPU]PZPISLWYVJLZZ;OLZLLK
L_JOHUNLZ I` ^OPJO HsHx IYHUJV PZ [YHUZTP[[LK HUK
selected between and within communities supports
[OLYVSL[OH[ZTHSSOVSKLYMHYTLYZWSH`PUTHPU[HPUPUN
PU[YHZWLJPÄJ JYVW KP]LYZP[` HZ ^LSS HZ KP]LYZPM`PUN
their economic options, in response to local tastes
and preferences.
Acknowledgements
;OPZ^VYR^HZTHKLWVZZPISLI`ÄUHUJPHSZ\WWVY[
from the Yale Tropical Resources Institute, the Council on
Latin American and Iberian Studies at Yale, the Society
MVY ,JVUVTPJ )V[HU` [OL .HYKLU *S\I VM (TLYPJH [OL
Earth Institute at Columbia University and the Columbia
University Institute for Latin American Studies. I am very
appreciative of the feedback and support provided by
T` HK]PZVYZ 4PN\LS 7PULKV=HZX\La HUK 4HYR (ZO[VU
HZ ^LSS HZ N\PKHUJL HUK JVUZ\S[H[PVU 0 YLJLP]LK MYVT
,K\HYKV )YVUKPaPV 5H[OHU =VN[ *OYPZ[PUL 7HKVJO HUK
*O\JR7L[LYZ0HTL_[YLTLS`NYH[LM\SMVY[OLZ\WWVY[HUK
NLULYVZP[`VM[OLJVTT\UP[PLZ^OLYL0^VYRLKLZWLJPHSS`
the families of Sr. Hillario Vilhena de Sousa and Sr. João
*HULSSHHUKPUWHY[PJ\SHY[OLÄLSKHZZPZ[HUJLMYVT1\JPHUL
Pio, Edwison and Lediane.
9LMLYLUJLZ
(STLRPUKLYZ*14573V\^HHYZ./KL)Y\PQU
3VJHSZLLKZ`Z[LTZHUK[OLPYPTWVY[HUJL
MVYHUPTWYV]LKZLLKZ\WWS`PUKL]LSVWPUN
JV\U[YPLZ,\WO`[PJH!
(aL]LKV19;PWVSVNPHKV:PZ[LTHKL4HULQVKL
(JHPaHPZ5H[P]VZ7YH[PJHUKVWLSVZ9PILPYPUOVZLT
)LSLT,Z[HKVKV7HYH4HZ[LYZ;OLZPZ<-7(
)YVUKPaPV,:;OL(THaVUPHU*HIVJSVHUK[OL
(sHxWHST!MVYLZ[MHYTLYZPU[OLNSVIHSTHYRL[
(K]HUJLZPU,JVUVTPJ)V[HU`=VS\TL5L^
@VYR!;OL5L^@VYR)V[HUPJHS.HYKLU7YLZZ
*HSaH]HYH)). (ZWVZZPIPSPKHKLZKVHsHxaLPYV
UVLZ[\mYPV(THaUPJV)VSL[PTKH-\UKHsqVKL
*PvUJPHZ(NYmYPHZKV7HYm!
*SLTLU[Z*9
HUK[OLSVZZVM(THaVUPHU
JYVWNLUL[PJYLZV\YJLZ0;OLYLSH[PVUIL[^LLU
domestication and human population decline. EcoUVTPJ)V[HU`!
Açaí Branco: Maintaining Agrobiodiversity in the Amazon Estuary
+V\NSHZ1, :\JJLZZM\SZLLKWYVNYHTZ(WSHUUPUN
HUKTHUHNLTLU[N\PKL)V\SKLY!>LZ[]PL^7YLZZ
/LPZL`7LKP[VY (JJLSLYH[PUN[OL[YHUZMLYVM
^OLH[IYLLKPUNNHPUZ[VMHYTLYZ!HZ[\K`VM[OL
dynamics of varietal replacement in Pakistan . Re
search report no . 1, CIMMYT, Mexico.
1HYKPT4(.4VYMVSVNPHLLJVSVNPHKV
HsHPaLPYV,\[LYWLVSLYHJLH4HY[LKHZL[UV]HYPL
KHKLZLZWHKHLIYHUJVLTHTIPLU[LKL]mYaLHKV
LZ[\mYPVHTHaUPJV;LZLKLKV\[VYHKV<UP]LY
ZPKHKL-LKLYHSKV7HYm4\ZL\7HYHLUZL,TxSPV
.VLSKP)LStT7HYm
9HMÅLZ/0U(THaVUPH!HUH[\YHSOPZ[VY`7YPUJL[VU!
Princeton University Press.
9VNLa/(sHx!WYLWHYVJVTWVZPsqVLTLSOVYH
TLU[VKHJVUZLY]HsqV)LStT!,+<-7(
:TP[O51/(THaVUZ^LL[ZLH!SHUKSPMLHUK^H
[LYH[[OLYP]LY»ZTV\[O(\Z[PU!<UP]LYZP[`VM;L_HZ
Press.
Wierema, H ., R . Paulussen and C . Almekinders, 1992.
3VZZPZ[LTHZSVJHSLZKLZLTPSSHZLUSHWLX\LUHWYV
K\JJPVUHNYPJVSH!SVZWHPZLZLU]PHKLKLZHYVSSV0U
Sistemas locales de semillas en Centro-America .
7VULUJPHZKLSZLTPUHYPVLU/VUK\YHZKL
noviembre de 1991, edited by H . Wierema and R .
7H\S\ZZLU0=6;PSI\YN
>LPUZ[LPU:*H\ZLZHUKJVUZLX\LUJLZVMHJHP WHSTTHUHNLTLU[PU[OL(THaVULZ[\HY`)YHaPS
4HZ[LYZ;OLZPZ<UP]LYZP[`VM-SVYPKH.HPULZ]PSSL
?H]PLY35)6SP]LPYH,((86SP]LPYH(3
,_[YH[P]PZTVL4HULQVKV(sHx!H[YH[P]VHTHaUPJV
MH]VYLJLUKVHLJVUVTPJHYLNPVUHS?000,UJVU[YV
3H[PUV(TLYPJHUVKL0UPJPHsqV*PLU[xÄJHL0?
,UJVU[YV3H[PUV(TLYPJHUVKL7}Z.YHK\HsqV¶
<UP]LYZPKHKLKV=HSLKV7HYHxIH
BD)YHaPSPHU(NYPJ\S[\YHS9LZLHYJO*VYWVYH[PVU
Tropical Resources Bulletin 21
Tropical Native Tree Plantations: An Investigation of Herbivore Damage and Species Selection in Central Panama
Gillian Paul, MFS 2010
Introduction
0U [OL 9LW\ISPJ VM 7HUHTH HYV\UK VM
MVYLZ[Z ^LYL SVZ[ IL[^LLU HUK SHYNLS`
K\L[VJVU]LYZPVUPU[VHNYPJ\S[\YLHUKWHZ[\YLSHUKZ
9LJLU[S`THU`VM[OVZLHNYPJ\S[\YHSHUKNYHaPUNHYLHZ
OH]L ILLU HIHUKVULK HSSV^PUN [OL VWWVY[\UP[` MVY
UH[\YHSYLNLULYH[PVUHUKYLMVYLZ[H[PVU6M7HUHTHUPHU
SHUKZ JVU]LY[LK [V [PTILY WSHU[H[PVUZ HU HSHYTPUN
VMZ[HUKZHYLWSHU[LK^P[OL_V[PJ[YLLZ*YH]LUL[
al. 2007). In Latin America as a whole, reforestation
LMMVY[Z MVJ\Z VU [OL WSHU[PUN VM ^LSSRUV^U L_V[PJ
trees of Pinus, Eucalyptus, and Tectona species
,]HUZ HUK ;\YUI\SS ;OLZL L_V[PJ [YLLZ HYL
favorable to plantation foresters because of the ease
VMTHUHNPUNHZ[HUK^P[OZPTWSPÄLKU\YZLY`WYHJ[PJLZ
THUHNLTLU[[LJOUPX\LZHUKOHY]LZ[PUN[PTLZ7PV[[V
(S[OV\NOVM[LULJVUVTPJHSS`WYVÄ[HISL[OLZL
Z`Z[LTZVMMLYML^LYLJVSVNPJHSILULÄ[ZVMYLZ[VYH[PVU
MVYVYNHUPZTZ[OH[KLWLUKVUYLZV\YJLZZ\JOHZMY\P[
nectar, and habitat structure provided by native
species (Hartley 2002).
early in plantation establishment.
6UL IV[[SLULJR [V WSHU[H[PVU MVYLZ[Y` HZ H
means of reforestation can be reduced survivability
HUKWYVK\J[P]P[`VM[OL[YLLZK\L[VOLYIP]VY`5H[P]L
timber trees may be more susceptible to the native
PUZLJ[ OLYIP]VYLZ PU H YLNPVU (KKP[PVUHSS` \USPRL
the detailed recorded literature about pest control
practices of pine, eucalyptus, and teak monocultures,
[OLYLOH]LILLUML^LYYLZLHYJOZ[\KPLZPU]LZ[PNH[PUN
WLZ[JVU[YVSMVYUH[P]L[PTILYWSHU[H[PVUZ)\[[LYÄLSK
(S[OV\NO L_V[PJ ZWLJPLZ JHU OH]L KHTHNPUN
insect outbreaks, native species plantations may be
hard to control for herbivory because there are much
fewer resources available on pest control practices to
N\PKLSHUKV^ULYZHUKMVYLZ[WYHJ[P[PVULYZ
Tree species selection, which can be different
KLWLUKPUN VU [OL WHY[PJ\SHY YLNPVU VM [OL ^VYSK PZ
SPRLS`[VOH]LHZ[YVUNPTWHJ[VU[OL]\SULYHIPSP[`VM
[OLWSHU[H[PVU[VPUZLJ[KHTHNLHUKHMMLJ[[OLZ\JJLZZ
In comparison, native species plantations have of the overall reforestation effort. Some tree species
been demonstrated to better promote biodiversity and have evolved different mechanical and chemical
PTWYV]L ZP[L X\HSP[` 3\NV 0U 7HUHTH HSVUL JOHYHJ[LYPZ[PJZ [V TPUPTPaL PUZLJ[ JVUZ\TW[PVU
there are more than 100 native species valued for [OLYLI` YLK\JPUN [OL Z[YLZZ VM OLYIP]VY` VU [OL
timber and other uses (Wishnie et al. 2007). Scientists photosynthetic abilities of plants (Coley and Barone
HUK YLZLHYJO PUZ[P[\[PVUZ OH]L ILLU PUJYLHZPUN ">OP[LHUK:JV[[9LZLHYJOVU[OLNYV\UK
their study of mixed native species plantations, but is needed to evaluate how adaptations of different
those plantations are still rarely used as a means of species, in the form of leaf traits, affect the resistance
MVYLZ[ YLZ[VYH[PVU -VY T` YLZLHYJO 0 ^HZ L_JP[LK [V VM[OVZL[YLLZ[VPUZLJ[KHTHNL
PU]LZ[PNH[LUH[P]LZWLJPLZWSHU[H[PVUZPU3H[PU(TLYPJH
and evaluate how the selection by humans of tree -VY T` YLZLHYJO 0 HUHS`aLK [OL SLHM HYLH
ZWLJPLZMVYWSHU[PUNYLSH[LZ[V]\SULYHIPSP[`[VKHTHNL KHTHNL MVY UH[P]L [PTILY]HS\L [YLL ZWLJPLZ PU
7HUHTH! Terminalia amazonia, Dalbergia retusa,
Pachira quinata, Tabebuia rosea, and Anacardium
excelsum. These species are valued for their timber
Gillian Paul grew up in Texas and Virginia. She has
PU7HUHTHHUKHYLYLWYLZLU[H[P]LVMHKP]LYZLYHUNL
been working locally and internationally conducting VM MHTPSPLZ SPNO[ [VSLYHUJL HUK NYV^[O OHIP[Z
research in forest health and participating in envi- The objective of this study is to identify if there are
ronmental outreach initiatives. She graduated with differences in the foliar herbivory between these
a Master of Forest Science degree from Yale F&ES native tree species and evaluate how well measured
and hopes to participate in the implementation of leaf traits relate to the susceptibility to insect
conservation projects that advance both scientific KHTHNL )` L]HS\H[PUN [OL SLHM HKHW[H[PVUZ VM [OL
understanding and stewardship of forest resources. native tree species for resistance to herbivory, I seek
22 Volume 29, 2010
Tropical Native Tree Plantations in Central Panama
Photo 1. The rolling hills of the Agua
Salud Plantations of
native tree species in
central Panama
to draw comparisons on the relationship between
the protective mechanisms and the extent of insect
defoliation.
[OLWSHU[;OPZ^HZULJLZZHY`ILJH\ZL[OLZHTWSLZPaL
ULLKLK[VNL[HUHJJ\YH[LL]HS\H[PVUVMSLHMKHTHNL
on the plant would have necessitated the collection
VM H SHYNL WVY[PVU VM [OL WOV[VZ`U[OL[PJ HYLH VM
[OLZLZ`V\UN[YLLZHWSPUNZ(SZVMVYTLHZ\YLTLU[VM
Methods
OLYIP]VY`0SVVRLKH[KPMMLYLU[JH[LNVYPLZVMOLYIP]VY`
My research was conducted in central JOL^PUN ZRLSL[VUPaPUN TPUPUN ZOLS[LY YVSSPUN
7HUHTHH[[OLZP[LVM[OL(N\H:HS\K7YVQLJ[HWYVQLJ[ HUK NHSS YVSSPUN [OH[ NP]L PUZPNO[ PU[V [OL M\UJ[PVUHS
formed as a partnership by the Smithsonian Institution MLLKPUNNYV\WZVMPUZLJ[ZJH\ZPUN[OLSLHMKHTHNL
and Panama Canal Watershed Authority to develop
]PHISLZ[YH[LNPLZMVY[OLYLZ[VYH[PVUVMMVYLZ[SHUKHUK
The second half of my study consisted of
LJVZ`Z[LT ZLY]PJLZ VU KLNYHKLK SHUKZ ;OL [OL JVSSLJ[PVU VM SLH]LZ MVY SLHM [YHP[ HUHS`ZPZ 6U
LZ[HISPZOTLU[VM[OL(N\H:HS\KWSHU[H[PVUWYV]PKLK separate trees in each plot, four leaves from each
an excellent opportunity to compare insect defoliation tree were collected and stored in a cooler to retain
VM SLH]LZ HTVUN UH[P]L [YLL ZWLJPLZ WSHU[LK PU SLHM TVPZ[\YL >P[OPU OV\YZ MYVT JVSSLJ[PVU 0
hectares of previously abandoned pasture. The land [LZ[LK [OL SLH]LZ MVY SLHM [V\NOULZZ H TLHZ\YLTLU[
use history of the land consists of corn, rice, and other VM W\UJ[\YL Z[YLUN[O [OH[ NP]LZ HU PUKPJH[PVU VM [OL
JYVWJ\S[P]H[PVUHZ^LSSHZWHZ[\YLNYHaPUN\U[PSYLJLU[ relative ease at which an insect can penetrate the
SHUKHIHUKVUTLU[#`LHYZHNV
surface of a leaf for consumption.
-YVT4H`\U[PS(\N\Z[ 0JVSSLJ[LKKH[H
VU[OLOLYIP]VY`HUKSLHM[YHP[ZVM`V\UN[YLLZHWSPUNZ
of the timber trees T. amazonia, D. retusa, P. quinata,
T. rosea, and A. excelsum(TVUN[OLOLJ[HYLZVM
TP_LKUH[P]LZWLJPLZVU[OLSHUKZJHWL0^VYRLKPU
I`[YLLZPUNSLZWLJPLZWSV[Z-VY[OLÄYZ[OHSMVMT`
Z[\K`OLYIP]VY`VUH[YLLSL]LS^HZLZ[PTH[LK[OYV\NO
HJVTIPUH[PVUVM[^VMHJ[VYZKPNP[HSHUHS`ZPZVMHYLH
KHTHNLKWLYSLHMHUKHULZ[PTH[LVMSLH]LZKHTHNLK
WLY WSHU[ 0UZ[LHK VM JVSSLJ[PUN SLH]LZ MVY OLYIP]VY`
HUHS`ZPZT`TL[OVKVMKPNP[HSS`TLHZ\YPUNOLYIP]VYL
KHTHNL^HZ\UPX\LS`KLZPNULK[VSL[HSLHMYLTHPUVU
5L_[0TLHZ\YLK[OLMYLZOSLHMHYLH\ZPUNH
KPNP[HSZJHUULY3LHMZHTWSLZ^LYLKYPLKHUK^LPNOLK
[V JHSJ\SH[L ZWLJPÄJ SLHM HYLH :3( :3( MYLZO SLHM
area divided by dry leaf mass (cm2N-1), is known to
KLJYLHZL ^P[O SLHM HNL HZ [OL SLH]LZ OHYKLU K\L [V
[OLOPNOLYKLUZP[`[PZZ\L[OPJRLYSHTPUHHUKZ[YVUNLY
veins associated with low-SLA leaves (Moles and
>LZ[VI` -PUHSS` SLH]LZ ^LYL NYV\UK HUK
TLHZ\YLK MVY JHYIVU HUK UP[YVNLU ]HS\LZ I` TLHUZ
VM [OLYTHS JVTI\Z[PVU 3HYNLY UP[YVNLU HUK ZTHSSLY
*HYIVU!5P[YVNLUYH[PVZZ\NNLZ[TVYLWHSH[HIPSP[`HUK
U\[YP[PVUHS]HS\LVM[OLSLHM[VMLLKPUNPUZLJ[Z
Tropical Resources Bulletin 23
Gillian Paul
Results and Discussion
TH`ILJVUMV\UKPUN[OL[YLUKZPU[OLSLHM[YHP[Z(SZV
MVYM\[\YLZ[\K`L]HS\H[PUN[OLWYLZLUJLVMZLJVUKHY`
6]LYHSS[OLOLYIP]VYLKHTHNL^HZSLZZ[OHU defense mechanisms, or toxic compounds in the
VM[OLSLHMHYLHWLYWSV[MVYLHJOZWLJPLZ;OLZL SLH]LZ ^PSS IL PTWVY[HU[ PU \UKLYZ[HUKPUN [OL SV^
Ä]L ZWLJPLZ ^LYL VYPNPUHSS` JOVZLU ILJH\ZL VM [OLPY levels of herbivory.
]PNVY PU UH[P]L ZWLJPLZ WSHU[H[PVUZ PU V[OLY HYLHZ VM
7HUHTH ]HU )Y\LNLS PU WYLZZ ,]LU [OV\NO SLHM 6UL PU[LYLZ[PUN ÄUKPUN WLYOHWZ TVYL
KHTHNL ^HZ SV^ [OLYL ^LYL ZPNUPÄJHU[ KPMMLYLUJLZ important than leaf traits I measured, was that insect
HTVUN[OLZWLJPLZ-PN;OLKHTHNL[VA. excelsum KHTHNL YLSH[LK [V [OL WOLUVSVN` HUK Z\JJLZZPVUHS
and T. rosea ^HZ ZPNUPÄJHU[S` OPNOLY [OHU [OL V[OLY state in which the species is found in the forest.
ZWLJPLZ^OPSLKHTHNL[VD. retusa and P. quinata was Anacardium excelsum was the only plant with
ZPNUPÄJHU[S`SV^LY[OHU[OLV[OLYZWLJPLZAnacardium L]LYNYLLU SLH]LZ @V\UN SLH]LZ OHK SV^ SL]LSZ VM
excelsum and T. rosea also had more diversity in the OLYIP]VY` HUK OPNOLY [V\NOULZZ ]HS\LZ [OH[ V[OLY
[`WLZVMPUZLJ[KHTHNL[OHUV[OLYZWLJPLZ
species. Mature leaves of this species demonstrated
[OL OPNOLZ[ OLYIP]VY` HUK ]HYPL[` VM KHTHNL [`WLZ
The correlations between leaf traits and ^OPSL HSZV L_OPIP[PUN [OL OPNOLZ[ [V\NOULZZ HUK
OLYIP]VY` PZ KLWPJ[LK PU ÄN\YL *VU[YHY` [V T` [OL SV^LZ[ UP[YVNLU JVUJLU[YH[PVU 3P[LYH[\YL VU A.
O`WV[OLZPZ [OL ZWLJPLZ ^P[O OPNOLY OLYIP]VY` excelsum Z\NNLZ[Z [OH[ SLH]LZ VM [OPZ ZWLJPLZ OH]L
KLTVUZ[YH[LK OPNOLY SLHM [V\NOULZZ HUK SV^LY :3( OPNOLY WOLUVSZ H [`WL VM JOLTPJHS KLMLUZL [OHU
/V^L]LY SLHM [V\NOULZZ ^HZ UV[ MV\UK [V IL H many other species in Panama (Coley et al. 2002).
ZPNUPÄJHU[WYLKPJ[VYVMPUZLJ[KHTHNLPU[OPZZ[\K`0[ 0[ PZ WVZZPISL [OH[ [OL OPNOLY [V\NOULZZ HUK SV^LY
PZWVZZPISL[OH[[OL[V\NOULZZVM[OLZLZWLJPLZH[[OLPY UP[YVNLUJVU[LU[WYV[LJ[SLH]LZ^OPSL[OL`HYL`V\UN
J\YYLU[ HNL PZ UV[ OPNO LUV\NO [V KL[LY OLYIP]VYLZ HUK\UOHYKLULK;OLOPNOLYYH[LZVMOLYIP]VY`JV\SK
HUK[OLYLI`PZ\UYLSH[LK[V[OLPYWHSH[HIPSP[`;OL*!5 ILILJH\ZL[OPZL]LYNYLLUZWLJPLZOHZSLH]LZL_WVZLK
YH[PVZKLTVUZ[YH[LKHZPNUPÄJHU[WVZP[P]LJVYYLSH[PVU HUKH]HPSHISLMVYLH[PUNMVYSVUNLY[PTL[OHUSLH]LZVM
HUK UP[YVNLU ]HS\LZ L_OPIP[LK H ZPNUPÄJHU[ ULNH[P]L other species.
JVYYLSH[PVU^P[OOLYIP]VY`:PTPSHY[VSLHM[V\NOULZZ
[OPZ ÄUKPUN ¶ [OH[ SLH]LZ ^P[O OPNOLY OLYIP]VY` OHK
Herbivory in the other species relate to the
SV^LYSLHMUP[YVNLU¶^HZKPMMLYLU[MYVTT`WYLKPJ[PVUZ successional state in which those trees are found
The small differences in herbivory between species in the wild. Pachira quinata is a mid-successional
Figure 1. Total Herbivory (standard error bars) for mature and expanding leaves
24 Volume 29, 2010
Tropical Native Tree Plantations in Central Panama
ZWLJPLZNYV^PUN[VJHUVW`KVTPUHUJLPU[OLWLYPVK
between the initial forest and the later mature forest.
The herbivory of P. quinata was relatively low in
JVTWHYPZVU ^P[O [OL V[OLY ZWLJPLZ L]LU [OV\NO P[
L_OPIP[LK[OLSV^LZ[SLHM[V\NOULZZPUIV[OL_WHUKPUN
and mature leaves. More research is needed to
determine the chemical defenses of P. quinata beyond
SLHMUP[YVNLU
;OLOPNOOLYIP]VY`]HS\LZMVYT. rosea and T.
amazonia may be related to the early-successional
OHIP[H[ VM [OVZL ZWLJPLZ )LPUN LHYS` Z\JJLZZPVUHS
[OL` SPRLS` PU]LZ[ [OLPY YLZV\YJLZ PU X\PJR NYV^[O H[
[OLL_WLUZLVMWYV[LJ[PVUHNHPUZ[OLYIP]VYLZ)LJH\ZL
VM [OL OPNO [V\NOULZZ HUK SV^ :3( L_OPIP[LK PU
these species, they may depend primarily on these
TLJOHUPJHS KLMLUZLZ TVYL [OHU LULYN` PU[LUZP]L
secondary chemicals. There were two plots of T. rosea
PU ^OPJO OPNO HTV\U[Z VM YVSSPUN OLYIP]VY` ^LYL
MV\UKVU`V\UNL_WHUKPUNSLH]LZ;OLZLWSV[Z^LYL
not in spatial proximity on the landscape. Therefore,
[OLWYLZLUJLVMYVSSPUNOLYIP]VY`PZSPRLS`K\L[V[^V
ZLWHYH[L PUMLZ[H[PVUZ VM YVSSPUN PUZLJ[Z ZWLJPÄJHSS`
H[[YHJ[LK[V`V\UNT. rosea leaves.
Dalbergia retusa is a late successional,
SLN\TPUV\Z ZWLJPLZ 0U [OL SLHM [YHP[ HUHS`ZPZ D.
retusaL_OPIP[LK[OLOPNOLZ[UP[YVNLUJVU[LU[I\[HSZV
maintained the lowest herbivory in mature leaves.
(S[OV\NOOPNOLYUP[YVNLUJVUJLU[YH[PVUZJHUILTVYL
nutritious to animals, this species clearly demonstrated
H OPNOLY YLZPZ[HUJL [V PUZLJ[ KHTHNL HM[LY SLHM
TH[\YH[PVU3H[LZ\JJLZZPVUHS[YLLZVM[LUNYV^PU[OL
ZOHK`\UKLYZ[VY`^OPSLMHZ[LYNYV^PUNZWLJPLZL_OPIP[
dominance early in forest succession. Their position
in the shady understory can be a favorable habitat
[V OLYIP]VYLZ" [OLYLMVYL P[ PZ \UKLYZ[HUKHISL [OH[D.
retusa would be more adapted to resist herbivory. As
SVUN HZ [OPZ ZOHKL [VSLYHU[ ZWLJPLZ HSZV NYV^Z ^LSS
PU[OLOPNOSPNO[LU]PYVUTLU[VMHIHUKVULKWHZ[\YL
then it is a wise choice for use in a native species
plantation.
Tropical Resources Bulletin 25
Gillian Paul
Conclusions
This research is meant to serve as a resource
MVYMVYLZ[THUHNLYZHUKWYHJ[P[PVULYZJOVVZPUNZWLJPLZ
for tropical forest restoration and plantations. Tropical
forest plantations are important for timber production,
JSLHU^H[LYZ\WWS`JHYIVUZLX\LZ[YH[PVUHUKOHIP[H[
MVYIPVKP]LYZP[`5H[P]LZWLJPLZWSHU[H[PVUZJHUZLY]L
HZ JH[HS`Z[Z MVY MVYLZ[ YLOHIPSP[H[PVU PU KLNYHKLK
[YVWPJHS HYLHZ ^OPSL WYV]PKPUN LU]PYVUTLU[HS HUK
LJVUVTPJILULÄ[Z[V[OLYLNPVU7HYYV[[HL[HS 0UZ[LHK VM YLS`PUN VU H ML^ ^LSS Z[\KPLK L_V[PJ [YLL
ZWLJPLZ MVYLZ[ THUHNLYZ ^VYSK^PKL JHU \ZL [YLL
JOHYHJ[LYPZ[PJZ PU [OLPY JVUZPKLYH[PVUZ MVY ZLSLJ[PUN
[YLLZUH[P]L[V[OLPYV^UYLNPVU
JOHYHJ[LYPZ[PJZHUKMVSPHYU\[YPLU[JVU[LU[VM
tree species at a wet, fertile site and a dry, infertile
ZP[LPU7HUHTH-VYLZ[,JVSVN`HUK4HUHNLTLU[
!
,]HUZ1HUK1>;\YUI\SS7SHU[H[PVU-VYLZ[Y`PU
[OL;YVWPJZYKLK*SHYLUKVU7YLZZ6_MVYK<2
Hartley, M. J. 2002. Rationale and methods for conservPUNIPVKP]LYZP[`PUWSHU[H[PVUMVYLZ[Z-VYLZ[,JVSVN`
HUK4HUHNLTLU[! 3HTI+ 3HYNLZJHSLLJVSVNPJHSYLZ[VYH[PVUVM
KLNYHKLK[YVWPJHSMVYLZ[SHUKZ![OLWV[LU[PHSYVSLVM
[PTILYWSHU[H[PVUZ9LZ[VYH[PVU,JVSVN`! 3\NV(, ;OLHWWHYLU[WHYHKV_VMYLLZ[HISPZOPUN
ZWLJPLZYPJOULZZVUKLNYHKLKSHUKZ^P[O[YLLTVUV
0U [OLPY ÄYZ[ ^L[ ZLHZVU PU [OL NYV\UK [OL J\S[\YLZ-VYLZ[,JVSVN`HUK4HUHNLTLU[ ! native species in this study demonstrated low levels
VMOLYIP]VYLKHTHNL6MJV\YZLM\Y[OLYYLZLHYJO^PSS
ULLK [V KL[LYTPUL PM [OPZ [YLUK JVU[PU\LZ" OV^L]LY
[OPZ ÄUKPUN PZ H NVVK ZPNU MVY [OL ]PHIPSP[` VM UH[P]L
ZWLJPLZWSHU[H[PVUZ-VYZLSLJ[PVUVMZWLJPLZJOVVZPUN
SH[L Z\JJLZZPVUHS ZWLJPLZ [OH[ HYL HSZV SPNO[[VSLYHU[
such as D. retusa, may help reduce the palatability
VM[OLPY[YLLZ[VMLLKPUNPUZLJ[Z-\Y[OLYPU]LZ[PNH[PVU
is needed to evaluate chemical defenses in these
ZWLJPLZIL`VUKSLHMUP[YVNLU
It is my hope that the results of my study can
inspire the use of native species for other plantation
WYVQLJ[Z HUK LUJV\YHNL M\Y[OLY YLZLHYJO HPTLK
H[ WYV]PKPUN MVYLZ[ THUHNLYZ ^P[O PUZPNO[ PU[V [OL
LJVSVNPJHS JVUZPKLYH[PVUZ MVY ZLSLJ[PUN WSHU[H[PVU
species most likely to survive early in plantation
establishment.
9LMLYLUJLZ
)\[[LYÄLSK97 7YVTV[PUNIPVKP]LYZP[`!HK]HUJLZPU
L]HS\H[PUNUH[P]LZWLJPLZMVYYLMVYLZ[H[PVU-VYLZ[
,JVSVN`HUK4HUHNLTLU[!
*VSL`7+HUK1()HYVUL /LYIP]VY`HUKWSHU[
defenses in tropical forests. Annual Review of
,JVSVN`HUK:`Z[LTH[PJZ!
*VSL`7+44HZZH*,3V]LSVJRHUK2>PU[LY
,MMLJ[ZVMLSL]H[LK*6VUMVSPHYJOLTPZ[Y`VM
ZHWSPUNZVMUPULZWLJPLZVM[YVWPJHS[YLL6LJVSVNPH
! *YH]LU++)YHKLU4:(ZO[VU.7)LYS`U4
Wishnie, and D. Dent. 2007. Between and withinZP[LJVTWHYPZVUZVMZ[Y\J[\YHSHUKWO`ZPVSVNPJHS
26 Volume 29, 2010
Moles A., and M. Westoby 2000. Do small leaves expand
MHZ[LY[OHUSHYNLSLH]LZHUKKVZOVY[LYL_WHUZPVU
[PTLZYLK\JLOLYIP]VYLKHTHNL&6PRVZ !
¶
7HYYV[[H1(1>;\YUI\SSHUK51VULZ 0U[YV
K\J[PVUJH[HS`aPUNUH[P]LMVYLZ[YLNLULYH[PVUVU
KLNYHKLK[YVWPJHSSHUKZ-VYLZ[,JVSVN`HUK
4HUHNLTLU[ !
7PV[[V+(TL[HHUHS`ZPZJVTWHYPUN[YLLNYV^[OPU
TVUVJ\S[\YLZHUKTP_LKWSHU[H[PVUZ-VYLZ[,JVSVN`
HUK4HUHNLTLU[!
>OP[L1+HUK5(:JV[[:WLJPÄJSLHMHYLHHUK
UP[YVNLUKPZ[YPI\[PVUPU5L^ALHSHUKMVYLZ[Z!ZWL
JPLZPUKLWLUKLU[S`YLZWVUK[VPU[LYJLW[LKSPNO[ -VYLZ[,JVSVN`HUK4HUHNLTLU[! >PZOUPL4/+/+LU[,4HYPZJHS1+LHNV5
Cedeno, D. Ibarra, R. Condit, and P. M. S. Ashton.
2007. Initial performance and reforestation potential
VM[YVWPJHS[YLLZWLJPLZWSHU[LKHJYVZZHWYLJPW
P[H[PVUNYHKPLU[PU[OL9LW\ISPJVM7HUHTH-VYLZ[
,JVSVN`HUK4HUHNLTLU[! Small-Scale Restoration Efforts Using MixedTree Plantations in the Path of the Tapir Biological Corridor, Costa Rica
Alvaro Redondo-Brenes1, Alan Chiu2, and Sarah Snow3
1
- School of Forestry and Environmental Studies, Yale University 2
- Swarthmore College, PA 3 - Pitzer College, Claremont, CA
Introduction
,]LU[OV\NO[YLLWSHU[H[PVUZHYLLZ[HISPZOLK
^P[O H Z[YVUNLY MVJ\Z VU LJVUVTPJZ [OL` JHU WSH`
an important role in biodiversity conservation. Tree
plantations not only reduce pressure on natural forests
LN [PTILY WYVK\J[PVU I\[ [OL` JHU HSZV WYV]PKL
OHIP[H[MVY^PSKSPMLZWLJPLZHZ^LSSHZYLZ[VYLKLNYHKLK
SHUKZJHWLZHUKZLX\LZ[LYJHYIVU3HTIL[HS"
*HYU\ZL[HS"9LKVUKV)YLULZHUK4VU[HNUPUP
;VWYVTV[LIPVKP]LYZP[`TP_LK[YLLWSHU[H[PVUZ
\ZPUN UH[P]L ZWLJPLZ HYL ILJVTPUN TVYL JVTTVU
PUWYHJ[PJL3HTIL[HS4VZ[TP_LKZWLJPLZ
WSHU[H[PVUZJVUZPZ[VMML^LY[OHUÄ]LKPMMLYLU[ZWLJPLZ
and are established for either short-term cover crops
VYSVUN[LYTWSHU[H[PVUZ4HUZV\YPHUL[HS
:VTLVM[OLHK]HU[HNLZVMTP_LKWSHU[H[PVUZ
include reduced competition due to differences
IL[^LLU U\[YPLU[ HUK YLZV\YJL \W[HRL Z\USPNO[
YLX\PYLTLU[Z KP]LYZPÄJH[PVU VM WYVK\J[Z HZ ^LSS
as increased overall biodiversity of the plantation
.\HYPN\H[H L[ HS " 7PV[[V :VTL
KPZHK]HU[HNLZ PUJS\KL [OL WV[LU[PHS MVY PU[LYZWLJPÄJ
JVTWL[P[PVU[OH[JHUULNH[P]LS`HMMLJ[NYV^[OHUKH
JVTWSL_THUHNLTLU[Z`Z[LT[OH[PZULLKLKILJH\ZL
of different species in the mixture. However, these
HK]HU[HNLZ HUK KPZHK]HU [HNLZ KLWLUK VU [OL
PU[LYHJ[PVUZ IL[^LLU [OL ZWLJPÄJ JOHYHJ[LYPZ[PJZ VM
[OL WSHU[H[PVU ZWLJPLZ 7PV[[V ^OPJO THRLZ
YLZLHYJOPU]LZ[PNH[PUN[OLPU[LYHJ[PVUZIL[^LLUUH[P]L
species in plantations necessary.
Alvaro Redondo-Brenes is originally from Cartago,
Costa Rica. He holds a BSc. in Forestry Engineering
from the Technological Institute of Costa Rica and a
MFS ‘05 and a PhD ‘10 from the Yale School of F&ES.
He is working in Costa Rica. Alan Chiu (Swarthmore
College) and Sarah Snow (Pitzer College) were
tropical ecology students at the Firestone Center for
Restoration Ecology, Costa Rica. Now, both of them
work in the USA.
;OL WYLZLU[ Z[\K` HZZLZZLK NYV^[O WH[[LYUZ
and potential uses of native mixed-tree plantations
LZ[HISPZOLK PU [OL -PYLZ[VUL *LU[LY MVY 9LZ[VYH[PVU
,JVSVN`-*9,*VZ[H9PJH;OL-*9,PZHIPVSVNPJHS
reserve, and an educational and research center that
PZHWHY[VM[OL7H[OVM[OL;HWPY)PVSVNPJHS*VYYPKVY
7;)*;OL7;)*HUOHO\THUKVTPUH[LK
YLNPVUHUKVULVM[OLTVZ[KP]LYZLHYLHZVM[OL7HJPÄJ
rainforest of Central America, is a local initiative that
WYVTV[LZTHUHNPUN[OLSVJHSYLZV\YJLZPUHZ\Z[HPUHISL
manner (Redondo-Brenes 2007b). Information from
[OPZ Z[\K` WYV]PKLZ H IL[[LY \UKLYZ[HUKPUN VM [OL
compatibility between various types of native species
that have been used in restoration efforts. Moreover,
ILJH\ZL [OL -*9, PZ SVJH[LK ^P[OPU H IPVSVNPJHS
corridor, information about the performance of
these tree plantations will be useful for landowners,
THUHNLYZ HUK JVUZLY]H[PVU IPVSVNPZ[Z [V HZZLZZ [OL
use of mixtures for restoration, and/or for conservation
W\YWVZLZLNOHIP[H[JVUULJ[P]P[`VYHJ[PUNHZI\MMLY
aVUL VM MVYLZ[LK YLZLY]LZ PU [OPZ HUK V[OLY YLNPVUZ
^P[OZPTPSHYLJVSVNPJHSJOHYHJ[LYPZ[PJZ
Methods
Study site description
;OL -*9, PZ H OH IPVSVNPJHS YLZLY]L
SVJH[LK PU )HY‚ VM (N\PYYL PU [OL :V\[O^LZ[LYU
YLNPVU VM *VZ[H 9PJH ULHY +VTPUPJHS ILHJO -PN
(UU\HS [LTWLYH[\YL ]HYPLZ MYVT [V ‡*
(UU\HS WYLJPWP[H[PVU PZ HYV\UK T 7YPVY [V
[OL LZ[HISPZOTLU[ VM [OL -*9, [OL WYVWLY[` OHK
been lowland tropical rainforest, which was cleared
IL[^LLU [OL Z HUK Z MVY JH[[SL YHUJOPUN
9LZ[VYH[PVULMMVY[ZILNHUPU [OYV\NOYLMVYLZ[H[PVU
^P[OUH[P]LHUKL_V[PJZWLJPLZIHTIVVHUKHSSV^PUN
UH[\YHSYLNLULYH[PVU[VVJJ\YI`P[ZLSMPUV[OLYWHY[Z
of the property.
*\YYLU[S` [OL -*9, WYVWLY[` PZ KP]PKLK PU[V ]HYPV\Z
abandoned hardwood plantations, banana, peach
Tropical Resources Bulletin 27
Redondo-Brenes, Chiu & Snow
Figure 1. Location of
the Firestone Center
for Restoration Ecology
within the Path of the
Tapir Biological Corridor,
Costa Rica
palm, and bamboo plantations,
HZ ^LSS HZ UH[\YHS YLNLULYH[PUN
forest.
;OL
-*9,
[YLL
plantations were 12 years old at
the time of this study and were
planted with environmental
purposes rather than timber
production. The plantations
assessed
included
the
MVSSV^PUN ZWLJPLZ! Terminalia
amazonia (amarillon), Astronium graveolens (ron
rón), Aspidosperma spruceanum THUNSPSSV HUK
Tabebuia rosea (roble de sabana) (Table 1). Plantation
A is composed of the T. amazonia and A. graveolens
species. Plantation B is the mixed species plantation
of T. amazonia, A. graveolens, and T. rosea. Plantation
C is comprised of T. amazonia and A. spruceanum
species.
H]HPSHISLVU[OLPYNYV^[OJOHYHJ[LYPZ[PJZTHRPUN[OPZ
Z[\K`YLSL]HU[MVYYLMVYLZ[H[PVUWYVNYHTZ(SSVM[OLZL
ZWLJPLZHYLVMOPNO[PTILYX\HSP[`
Plot establishment and data analysis
-V\Y WLYTHULU[ ZHTWSPUN WSV[Z ^LYL
established within each of the three plantations. Every
WSV[ PZ H THKL \W VM WSHU[LK [YLLZ HYYHUNLK PU H
6\[VM[OLMV\YZWLJPLZWSHU[LKT. amazonia [YLLI`[YLLYLJ[HUNSL([LHJOWSV[[OLKPHTL[LY
is the species that has been used most in the country H[IYLHZ[OLPNO[KIOHUK[YLLOLPNO[^LYLJVSSLJ[LK
(Streed et HS!9LKVUKV)YLULZHUK4VU[HNUPUP MVY HSS [YLLZ HUK HU` HKKP[PVUHS [YLLZ YLZ\S[PUN
" 9LKVUKV)YLULZ H" *HS]V L[ HS. 2007). MYVTUH[\YHSYLNLULYH[PVU^P[OPU[OLWSV[^P[OHKIO
/V^L]LY HS[OV\NO [OL V[OLY [OYLL ZWLJPLZ HYL HSZV NYLH[LY[OHUJT(JHSPIYH[LKKPHTL[LYTLHZ\YPUN
PTWVY[HU[ZWLJPLZILPUNWSHU[LKPUZL]LYHSSVJH[PVUZPU [HWL ^HZ \ZLK [V TLHZ\YL [YLL KIO TL[LYZ
Central America, there is limited amount of research HIV]L[OLNYV\UK;YLLOLPNO[^HZJHSJ\SH[LK\ZPUN
Table 1. Descriptions of tree species grown in mixed plantations at the Firestone Center for
Restoration Ecology in the Southwestern Pacific region of Costa Rica
:WLJPLZ
Common
5HTL
Family
5H[P]L+PZ[YPI\[PVU
.YV^[OHUK/HIP[H[
Terminalia
amazonia
Amarillón
Combretaceae
Mexico to South American and Antilles
*HUVW`[YLLMV\UKVUZSVWLZJHUNYV^PU]HYPL[`
VMZVPSZYLNLULYH[LZPUVWLUHYLHZJHUNYV^H[OPNO
altitudes (1100 m).
Astronium
graveolens
Ron rón
Anacardiaceae
Mexico to Bolivia and
)YHaPS
*HUVW`[YLL\Z\HSS`MV\UKPUÅH[VYTVKLYH[LS`ZSVWPUNHYLHZHUK[VSLYH[LZHYHUNLVMZVPSZNYV^Z^LSS
with partial or full shade, often found in dry forests.
Aspidosperma
spruceanum
4HUNSPSSV
Apocynaceae
Southwestern Costa Rica Sub-canopy tree, usually found in humid, well
[V7LY\HUK)YHaPS
drained areas.
Tabebuia rosea
Roble de
sabana
)PNUVUPHJLHL
;YVWPJHSYLNPVUVM*LUtral America
:V\YJL!1PTtULa4HKYPNHSL[HS
28 Volume 29, 2010
Sub-canopy tree, usually found in dry forests, however, spread in humid habitats
Small-Scale Restoration Efforts in Costa Rica
Tree Density (n/ha)
:[HUKHYKKL]PH[PVUUOH :\Y]P]VYZOPW
Plantation A (n = 4)
Terminalia amazonia
110
Astronium graveolens
6[OLYZWLJPLZ
5(
Terminalia amazonia
Astronium graveolens
Tabebuia rosea
6[OLYZWLJPLZ
5(
Terminalia amazonia
71
Aspidosperma spruceanum
210
6[OLYZWLJPLZ
5(
Table 2. Tree density
and survivorship
of four tree species
in three mixedplantations at the
FCRE, Costa Rica
Plantation B (n = 4)
Plantation C (n = 4)
a calibrated clinometer.
(]LYHNL KIO [V[HS OLPNO[ HUK IHZHS HYLH
were calculated for each plot and at the tree level for
each species. Mean annual increments (MAI) of these
]HYPHISLZ^LYLJHSJ\SH[LKV]LY[OL`LHYZVMNYV^[O
I`KP]PKPUN[OLJ\YYLU[]HS\LZI`[OLWSHU[H[PVUHNL
6UL^H`HUHS`ZLZVM]HYPHUJL(56=(^LYL\ZLK[V
KL[LYTPUL[OLZ[H[PZ[PJHSZPNUPÄJHUJLMVYKPMMLYLUJLZPU
KIOOLPNO[HUKIHZHSHYLH0UHKKP[PVU;\RL`»ZWHPY
wise comparisons were used to determine statistically
ZPNUPÄJHU[ KPMMLYLUJLZ ^P[OPU LHJO ]HYPHISL MVY LHJO
WSHU[H[PVUNYV\W
9,:<3;:
Survivorship
Because the tree plantations were abandoned
since establishment, mortality and therefore tree
density is the result of natural selection and competition
ZLSM[OPUUPUN :\Y]P]HS YH[LZ ]HYPLK HTVUN ZWLJPLZ
HUKWSHU[H[PVUZ[`WLZ;HISL;OLZ\Y]P]VYZOPW
PU WSHU[H[PVU * JVU[YHZ[LK ^P[O [OL HUK of the mixtures in A and B, respectively. The species
^P[O[OLOPNOLZ[Z\Y]P]VYZOPW^HZT. rosea, which had
HUV]LYHSSZ\Y]P]VYZOPWVMHUK[OLZWLJPLZ^P[O
the lowest survivorship was A. spruceanum survivorship). However, A. spruceanum may reach
TVY[HSP[` PU [OL JVTPUN `LHYZ ILJH\ZL TVZ[
trees in the mixture with T. amazonia^LYLK`PUNH[
the time of our assessment. The overall survival of T.
amazonia in the three mixtures and A. graveolens in
[^VTP_[\YLZ^LYLHUKYLZWLJ[P]LS`
0U HSS WSHU[H[PVUZ [OLYL ^LYL LPNO[ ZWLJPLZ
MYVT UH[\YHS YLNLULYH[PVU SHYNLY [OHU JT PU
KPHTL[LY NYV^PUN PU IL[^LLU [OL WSHU[LK [YLLZ
PUJYLHZPUN WSHU[ KP]LYZP[` -YVT [OL LPNO[ ZWLJPLZ
UH[\YHSS`YLNLULYH[LKTachigali versicolor is listed as
HULUKHUNLYLK[YLLZWLJPLZPU*VZ[H9PJHLUOHUJPUN
the conservation value of these plantations.
Tree growth
In mixed-tree plantations, performance of
the mixtures varied a lot, and we know little about
P[ LZWLJPHSS` MVY [YVWPJHS UH[PVUZ -VY PUZ[HUJL
WSHU[H[PVUZ ( HUK * OHK [OL SHYNLZ[ ]HS\LZ MVY
KPHTL[LY OLPNO[ HUK IHZHS HYLH ;HISL -PN 7SHU[H[PVU ( OHK [OL OPNOLZ[ V]LYHSS H]LYHNL IHZHS
HYLH HUK 7SHU[H[PVU ) OHK [OL SV^LZ[" I\[ [OLZL
values were not statistically different in between the
[OYLL[`WLZVMWSHU[H[PVUZ-PN
Performance of the species within the
mixtures and across plantations also varied when
JVTWHYPUN[OLMV\YZWLJPLZ6]LYHSST. amazonia had
[OLZPNUPÄJHU[S`OPNOLZ[]HS\LZMVYKPHTL[LYHUK[V[HS
OLPNO[HJYVZZZWLJPLZHUKTP_[\YLZ;HISL-PN
Across all the plantations, T. amazonia was also the
NYLH[LZ[JVU[YPI\[VYMVY[OLV]LYHSSIHZHSHYLHVMLHJO
TP_[\YL;OLV[OLY[OYLLZWLJPLZNLULYHSS`OHKSV^LY
KPHTL[LYHUKOLPNO[H]LYHNLZHUK[OLPYJVU[YPI\[PVU
to basal area in the different mixtures was low in
comparison to T. amazonia. +\L[VP[ZOPNOTVY[HSP[`
A. spruceanum had the lowest input to the stand
IHZHSHYLHHTVUN[OLMV\YZWLJPLZ
Tropical Resources Bulletin 29
Redondo-Brenes, Chiu & Snow
Table 3. Average diameter at breast height (DBH) and average height of four native species planted in three
different mixtures at the Firestone Center for Restoration Ecology, Costa Rica.
Plantation A (n=4)
Terminalia amazonia
Astronium graveolens
Plantation B (n=4)
Terminalia amazonia
Astronium graveolens
Tabebuia rosea
Plantation C (n=4)
Terminalia amazonia
Aspidosperma spruceanum
DBH
(cm)
DBH Growth
(cm/yr)
Height
(m)
Height Growth
(m/yr)
26.7±(0.1)a
9.5±(0.4)b
2.1
0.9
21.7±(0.8)a
8.8±(0.2)b
1.4
0.6
17.9±(1.5) c
11.4±(1.7)bc
6.4±(0.9) b
1.6
0.9
0.5
18.5±(0.7)c
10.5±(1.8)b
5.6±(1.1)b
1.3
0.7
0.4
26.5±(0.6)a
2.2
22.2±(0.5)a
1.5
6.2±(2.2)b
0.5
9.4±(3.2)b
0.6
Means are significantly different when followed by different lower-case letters within the column (p < 0.05).
Discussion
[YLL WSHU[H[PVUZ PU [OL HYLH 3LVWVSK HUK PU
V[OLY YLNPVUZ VM [OL JV\U[Y` 9LKVUKV)YLULZ HUK
Performance of the mixed plantations
4VU[HNUPUP/V^L]LYH[[OLZWLJPLZSL]LS[OL
IHZHSHYLHH]LYHNLZVM[OLT. amazonia were similar to
Data from these mixtures of tree species V[OLYTP_LKWSHU[H[PVUZVMZPTPSHYHNLPU*VZ[H9PJH
provide some relevant new information to the data 9LKVUKV)YLULZ HUK 4VU[HNUPUP " 9LKVUKV
HSYLHK` VI[HPULK PU V[OLY WYVQLJ[Z -VY PUZ[HUJL Brenes 2007a). Terminalia amazonia showed the best
no previous studies have assessed mixtures of T. NYV^[O VM HSS VM [OL ZWLJPLZ HJYVZZ HSS VM [OL TP_LK
amazonia, which is characteristic of wet lowlands, WSHU[H[PVUZ JVYYLZWVUKPUN ^P[O WYL]PV\Z Z[\KPLZ
with three species that are more commonly found [OH[ OH]L ZOV^U [OPZ ZWLJPLZ WLYMVYTPUN ^LSS PU
in dry forest landscapes. This is important because TP_[\YLZ *HYWLU[LY L[ HS " 9LKVUKV)YLULZ
[OL ULLK [V KL]LSVW RUV^SLKNL MVY V[OLY ZWLJPLZ HUK 4VU[HNUPUP 4VYLV]LY JVTWHYPUN ^P[O
TP_[\YLZ L]LU MYVT KPMMLYLU[ YLNPVUZ 6]LYHSS HSS W\YL Z[HUKZ VM ZPTPSHY HNLZ T. amazonia OHK OPNOLY
of the three abandoned mixtures part of this study KPHTL[LY HUK OLPNO[ H]LYHNLZ [OHU WSHU[H[PVUZ MYVT
OHK IHZHS HYLH ]HS\LZ SV^LY [OHU THUHNLK TP_LK 5VY[OLYU*VZ[H9PJH9LKVUKV)YLULZ
Figure 2. Basal area
for three mixedplantations at the
Firestone Center for
Restoration Ecology,
Costa Rica.
30 Volume 29, 2010
Small-Scale Restoration Efforts in Costa Rica
;OL KYHZ[PJ KPMMLYLUJL IL[^LLU [OL NYV^[O
of the T. amazonia and the other species within the
WSHU[H[PVUZ Z\NNLZ[Z [OH[ [OL T. amazonia may have
ILLU V\[JVTWL[PUN [OL V[OLY ZWLJPLZ MVY U\[YPLU[Z
and other resources. However, because A. graveolens,
A. spruceanum and T. rosea, are considered slowNYV^PUNZWLJPLZ1PTLUta4HKYPNHSL[HS[OLZL
ZWLJPLZ TH` IL NYV^PUN H[ H UH[\YHS YH[L @L[ [OL
H]LYHNLKIOMVY[OLA. graveolens at these plantations
was much lower than the values obtained in another
Z[\K`-VYL_HTWSLA. graveolensVUHTP_LK`LHY
VSKWSHU[H[PVUOHKHUH]LYHNLKIOVMJT7PV[[V
L[HSH^OPJOPZOPNOLY[OHU[OLJTH]LYHNL
dbh of the A. graveolens in the 12-year-old plantations
H[[OL-*9,(SZVHUV[OLYZ[\K`VIZLY]LKT. rosea to
OH]LHUH]LYHNLKIOVM JTPUHUVWLUWHZ[\YL
ZL[[PUN 7PV[[V ^OPJO PZ HSZV OPNOLY [OHU [OL
H]LYHNLKIOMYVT[OPZZ[\K`
As a result of these concerns about exotic
monocultures, use of native species on mixed
plantations has been recommended for biodiversity
JVUZLY]H[PVUI`ZL]LYHSH\[OVYZ7HYYV[[HL[HS "
3LVWVSK L[ HS " 3LVWVSK " *HYU\Z L[ HS
" 9LKVUKV)YLULZ HUK 4VU[HNUPUP 0[
has been observed that plantations promote the
YLNLULYH[PVU VM \UKLY Z[VY` ZWLJPLZ I` ZOHKPUN
V\[ NYHZZLZ PUJYLHZPUN U\[YPLU[ YPJOULZZ VM [VWZVPS
HSSV^PUN[OLNYV^[OVMTVYLZLUZP[P]L[YLLZWLJPLZHUK
JYLH[PUN H TPJYVJSPTH[L [OH[ H[[YHJ[Z ZLLK KPZWLYZLYZ
*\ZHJR HUK 4VU[HNUPUP HUK V[OLY ^PSKSPML
ZWLJPLZPUJYLHZPUNV]LYHSSIPVKP]LYZP[`*HYU\ZL[HS
,]LU [OV\NO KH[H MVY [OPZ Z[\K` PZ MYVT H
ZTHSSZJHSLYLZ[VYH[PVUWYVNYHT[OLPUMVYTH[PVUMYVT
these mixed-plantations can be useful for stakeholders
who want to reforest their lands for restoration
W\YWVZLZLP[OLY^P[OPUHIPVSVNPJHSJVYYPKVYVYPUHU`
0UZWP[LVM[OLZSV^NYV^[OVM[OLA. graveolens V[OLY SHUKZJHWL ^P[O ZPTPSHY LJVSVNPJHS MLH[\YLZ ([
and T. rosea, the survivorship of these two species was [OLYLNPVUHSSL]LS[OL7;)*JVUZLY]H[PVULMMVY[ZHYL
OPNO;HISL;OPZZ\NNLZ[Z[OH[KLZWP[L[OLPYPUHIPSP[` ILPUN\UKLY[HRLU[OYV\NOWYP]H[LYLZLY]LZ[OH[HYL
to reach the canopy, they are still able to survive isolated in the landscape (Redondo-Brenes 2007b).
under the canopy formed primarily by T. amazonia. ,P[OLYTP_LKWSHU[H[PVUZVYUH[\YHSYLNLULYH[PVUJHU
Conversely, the A. spruceanumOHK]LY`SV^NYV^[O IL \ZLK [V JVUULJ[ [OLZL MVYLZ[ MYHNTLU[Z H]VPKPUN
HUKOPNOTVY[HSP[`Z\NNLZ[PUN[OH[[OPZZWLJPLZHUKT. SHYNLZJHSLWHZ[\YLSHUKZ[OH[HYLSLZZSPRLS`[VWYV]PKL
amazoniaZOV\SKUV[ILWSHU[LK[VNL[OLYPUTP_[\YLZ a suitable habitat for wildlife.
Mixed plantations for conservation and
restoration purposes
As mentioned above, initially, plantations
OHKILLUJYLH[LK^P[OHZ[YVUNLYMVJ\ZVULJVUVTPJZ
rather than environmental rehabilitation. In fact,
H NYLH[LY LTWOHZPZ OHZ ILLU WSHJLK VU JYLH[PUN
WSHU[H[PVUTVUVJ\S[\YLZTHPUS`JVUZPZ[PUNVML_V[PJ
[YLL ZWLJPLZ [OH[ HYL RUV^U [V OH]L YHWPK NYV^[O
rates (Leopold et al. 2001). Exotic tree species were
often used within hardwood plantations of the past
K\L[V[OLLHZ`H]HPSHIPSP[`VMPUMVYTH[PVUYLNHYKPUN
[OLZWLJPLZ»ULLKZNYV^[OPUMVYTH[PVUHUKZ\JJLZZ
YH[LZ^P[OHWWYV_PTH[LS`VM[OLZWLJPLZ\ZLKMVY
WSHU[H[PVUZILPUNVM[OLPinus and EucalyptusNLULYH
*HYU\Z L[ HS ;OLZL [`WLZ VM ZWLJPLZ ^OLU
WSHU[LKPUSHYNLZJHSLTVUVJ\S[\YLZNLULYHSS`YLX\PYL
ZPTWSL THUHNLTLU[ ZPUJL HSS VM [OL [YLLZ TH[\YL H[
[OL ZHTL [PTL HUK [OL [PTILY PZ VM THYRL[ X\HSP[`
4HUZV\YPHU L[ HS +LZWP[L [OL ILULÄ[Z VM
TVUVJ\S[\YLWSHU[H[PVUZYLZLHYJOZ\NNLZ[Z[OH[[OL`
VUS`WYV]PKLSPTP[LKLJVSVNPJHSILULÄ[ZLZWLJPHSS`PU
YLNHYKZ [V ZLJVUKHY` MVYLZ[ YLNLULYH[PVU HUK TP_LK
WSHU[H[PVUZ*HYU\ZL[HS"9LKVUKV)YLULZHUK
4VU[HNUPUP
Any habitat type other than native forest
that can be suitable habitat for wildlife species
should be considered of interest in restoration and
JVUZLY]H[PVULMMVY[Z-VYPUZ[HUJL[OL7;)*PZOVTL
MVY TVYL [OHU IPYK ZWLJPLZ TVYL [OHU VM
Costa Rica avifauna), and it has been estimated
that tree plantations can provide food sources or
OHIP[H[MVYTVYL[OHUIPYKZWLJPLZPU[OLYLNPVU
4VYLV]LYP[^HZMV\UK[OH[IPYKZWLJPLZ\[PSPaLTVYL
native plantations (T. amazonia¶ZWLJPLZTVYL
than exotic ones (Tectona grandis ¶ [LHR ¶ IPYK
ZWLJPLZ 9LKVUKV)YLULZ HUK 4VU[HNUPUP :PTPSHY YLZ\S[Z ^LYL MV\UK HSZV PU 2LU`H ^OLYL
native plantations provide better habitat to wildlife
[OHU L_V[PJ ZWLJPLZ -HY^PUN L[ HS ;OLYLMVYL
native mixed plantations may play an important
role to biodiversity conservation in the corridor by
PUJYLHZPUN ZWLJPLZ YPJOULZZ H[ [OL SHUKZJHWL SL]LS
PTWYV]PUN JVUULJ[P]P[` HJYVZZ [OL SHUKZJHWL HUK
I\MMLYPUNL_PZ[PUNMVYLZ[MYHNTLU[Z
;OL WYLZLU[ Z[\K` UV[ VUS` Z\TTHYPaLZ
NYV^[OWH[[LYUZVMMV\YZWLJPLZWSHU[PUNVUTP_[\YLZ
but also it provides another perspective of some
LJVSVNPJHS ILULÄ[Z WSHU[H[PVUZ JHU WYV]PKL PU V\Y
J\YYLU[O\THUTVKPÄLKSHUKZJHWLZ
Tropical Resources Bulletin 31
Redondo-Brenes, Chiu & Snow
Acknowledgments
;OLH\[OVYZ^V\SKSPRL[V[OHUR[OL-PYLZ[VUL*LU[LYMVY
9LZ[VYH[PVU ,JVSVN` 7P[aLY *VSSLNL :^HY[OTVYL *VSSLNL
the Tropical Resources Institute at Yale, and the Yale School
VM -VYLZ[Y` HUK ,U]PYVUTLU[HS :[\KPLZ MVY [OLPY Z\WWVY[ [V
carry out this project.
4HUZV\YPHU:+3HTIHUK+.PSTV\Y6]LY
]PL^VM[LJOUPJHSHWWYVHJOLZ[VYLZ[VYPUN[YLLJV]LY
H[[OLZP[LSL]LS0U-VYLZ[9LZ[VYH[PVUPU3HUKZJHWLZ!
)L`VUK7SHU[PUN;YLLZLKP[LKI`:4HUZV\YPHU+
=HSSH\YPHUK5+\KSL`:WYPUNLY5L^@VYR
9LMLYLUJLZ
7HYYV[[H1(1>;\YUI\SSHUK51VULZ *H[HS`a
PUNUH[P]LMVYLZ[YLNLULYH[PVUVUKLNYHKLK[YVWPJHS
SHUKZ-VYLZ[,JVSVN`HUK4HUHNLTLU[ !
Calvo-Alvarado, J.C., D. Arias, and D.A. Richter. 2007.
,HYS`NYV^[OWLYMVYTHUJLVMUH[P]LHUKPU[YVK\JLK
MHZ[NYV^PUN[YLLZWLJPLZPU^L[[VZ\IO\TPK
JSPTH[LZVM[OL:V\[OLYUYLNPVUVM*VZ[H9PJH-VY
LZ[Z,JVSVN`4HUHNLTLU[!
7PV[[V+,=xX\La-4VU[HNUPUPHUK42HUUPULU
4H7\YLHUKTP_LKMVYLZ[WSHU[H[PVUZ^P[O
UH[P]LZWLJPLZVM[OLKY`[YVWPJZVM*VZ[H9PJH!H
JVTWHYPZVUVMNYV^[OHUKWYVK\J[P]P[`-VYLZ[,JVS
VN`HUK4HUHNLTLU[ ! *HYU\Z1417HYYV[[H,)YVJRLYOVMM4(YILa/1HJ
[LS(2YLTLY+3HTI26»/HYHHUK)>HS[LYZ
7SHU[LK-VYLZ[ZHUK)PVKP]LYZP[`1V\YUHSVM
-VYLZ[Y`!
7PV[[V+-4VU[HNUPUP42HUUPULU3<NHSKLHUK,
=PX\LaI-VYLZ[WSHU[H[PVUZPU*VZ[H9PJHHUK
5PJHYHN\H!7LYMVYTHUJLVMZWLJPLZHUKWYLMLYLUJLZ
VMMHYTLYZ1V\YUHSVM:\Z[HPUHISL-VYLZ[Y`! *HYWLU[LY-31+5PJOVSZ9;7YH[[HUK2*@V\UN
4L[OVKZVMMHJPSP[H[PUNYLMVYLZ[H[PVUVM
[YVWPJHSKLNYHKLKSHUK^P[O[OLUH[P]L[PTILY[YLL
;LYTPUHSPHHTHaVUPH-VYLZ[,JVSVN`HUK4HUHNL
TLU[! 7PV[[V+.YV^[OVMUH[P]L[YLLZWLJPLZWSHU[LKPU
VWLUWHZ[\YL`V\UNZLJVUKHY`MVYLZ[HUKTH[\YL
forest in humid tropical Costa Rica. Journal of TropiJHS-VYLZ[:JPLUJL ! *\ZHR+HUK-4VU[HNUPUP;OLYVSLVMUH[P]LZWL
cies plantations in recovery of understory woody
KP]LYZP[`PUKLNYHKLKWHZ[\YLSHUKZVM*VZ[H9PJH
-VYLZ[,JVSVN`HUK4HUHNLTLU[!
-HY^PUN5:HQP[H5HUK2)VOUPUN.HLZL*VU
servation value of forest plantations for birds com
T\UP[PLZPU^LZ[LYU2LU`H-VYLZ[,JVSVN`HUK
4HUHNLTLU[! .\HYPN\H[H4999OLPUNHUZHUK-4VU[HNUPUP
Early woody invasion under tree plantations in
*VZ[H9PJH!PTWSPJH[PVUZMVYMVYLZ[YLZ[VYH[PVU
9LZ[VYH[PVU,JVSVN`!
1PTtULa4HKYPNHS8-9VQHZ9VKYxN\La=9VQHZ*O
HUK39VKYxN\La:;PTILY[YLLZVM*VZ[H
9PJH!,JVSVN`HUK:PS]PJ\S[\YL0UZ[P[\[V5HJPVUHSKL
)PVKP]LYZPKHK05)06/LYLKPH*VZ[H9PJH
3HTI+7+,YZRPULHUK1(7HYYV[[H
9LZ[VYH[PVUVMKLNYHKLK[YVWPJHSMVYLZ[SHUKZJHWLZ
:JPLUJL!
3LVWVSK(*;V^HYKZYLZ[VYH[PVUVMH[YVWPJHS^L[
MVYLZ[PU*VZ[H9PJH!H[LU`LHYYLWVY[,JVSVNPJHS
9LZ[VYH[PVU!
3LVWVSK(*9(UKY\Z(-PURLSKL`HUK+2UV^SLZ
([[LTW[PUNYLZ[VYH[PVUVM^L[[YVWPJHSMVYLZ[Z
PU*VZ[H9PJH-VYLZ[,JVSVN`HUK4HUHNLTLU[!
32 Volume 29, 2010
7PV[[V+(TL[HHUHS`ZPZJVTWHYPUN[YLLNYV^[OPU
TVUVJ\S[\YLZHUKTP_LKWSHU[H[PVUZ-VYLZ[,JVSVN`
HUK4HUHNLTLU[!
9LKVUKV)YLULZ(H.YV^[OJHYIVU
ZLX\LZ[YH[PVUHUKTHUHNLTLU[VMUH[P]L[YLLWSHU
[H[PVUZPUO\TPKYLNPVUZVM*VZ[H9PJH5L^-VYLZ[Z
!
Redondo-Brenes, A. 2007b. Implementation of conserva[PVUHWWYVHJOLZPUO\THUKVTPUH[LKSHUKZJHWLZ!
;OL7H[OVM[OL;HWPY)PVSVNPJHS*VYYPKVYJHZLZ[\K`
*VZ[H9PJH;YVWPJHS9LZV\YJLZ!
9LKVUKV)YLULZ(HUK-4VU[HNUPUP.YV^[O
WYVK\J[P]P[`HIV]LNYV\UKIPVTHZZHUKJHYIVU
ZLX\LZ[YH[PVUVMW\YLHUKTP_LKUH[P]L[YLLWSHU[H
[PVUZPU[OL*HYPIILHUSV^SHUKZVM*VZ[H9PJH-VY
LZ[,JVSVN`HUK4HUHNLTLU[!
9LKVUKV)YLULZ(HUK-4VU[HNUPUP*VU[YPI\
[PVUVMOVTLNHYKLUZHNYVZPS]VWHZ[VYHSZ`Z[LTZHUK
other human-dominated land-use types to the avian
KP]LYZP[`VMHIPVSVNPJHSJVYYPKVYPU*VZ[H9PJH0U
/HUKIVVRVU(NYVMVYLZ[Y`!4HUHNLTLU[7YHJ[PJLZ
HUK,U]PYVUTLU[HS0TWHJ[LKP[LKI`392LSSPTVYL
5V]H7\ISPZOLYZ5L^@VYR
:[YLLK,+5PJOVSZHUK2.HSSH[PU(-PUHUJPHS
Analysis of Small-Scale Tropical Reforestation with
5H[P]L:WLJPLZPU*VZ[H9PJH1V\YUHSVM-VYLZ[Y`
!
II. THE CONTINUING EVOLUTION OF INDIGENOUS ENVIRONMENTAL POLITICS
Carry a Big Stick: Performing Indigenous Identity in Panama City
Marian Ahn Thorpe, MESc 2010
Introduction
0UV[PJLK[OLSVUN^VVKLUWVSLZL]LYHS[PTLZ
V]LY[OLJV\YZLVM[OLTVYUPUN0^HZPU7HUHTH*P[`
7HUHTH H[[LUKPUN H YHSS` VM PUKPNLUV\Z HJ[P]PZ[Z
HUKOHKUV[PJLK[OLWVSLTHRPUNP[Z^H`[OYV\NO[OL
JYV^KPU[OLOHUKZVMHZ[V\[PUKPNLUV\ZTHUPUOPZ
MVY[PLZ;^VKL[HPSZPUWHY[PJ\SHYJH\NO[T`H[[LU[PVU!
one, this was the only pole in the crowd – no one else
OHKIYV\NO[Z\JOHUVIQLJ[HUK[^V[OLV^ULYVM[OL
WVSLZLLTLK]LY`WSLHZLK[VILOVSKPUNP[,]LY`ZV
VM[LU^OLU[OLNH[OLYPUNVMTVZ[S`5NpILHUK5HZV
PUKPNLUV\ZWLVWSL^V\SKJOLLY¸5V[VTPUPUN5V[V
[OLKHTZ¹[OLTHU^V\SKKYVW[OLLUKVM[OL[OPJR
WVSL VU[V [OL JLTLU[ ÅVVY VM [OL WH]PSPVU PU UVPZ`
HNYLLTLU[/L[VVRVI]PV\ZLUQV`TLU[PUOLM[PUN[OL
SVUNJ`SPUKLYPUSL[[PUNP[ZYLZVUHU[[O\KZYPUNV\[PU
YLZWVUZL [V [OL JYV^K»Z JYPLZ *\YPV\Z 0 ^H[JOLK P[
TLHUKLY [OYV\NO [OL NYV\W VM HIV\[ WYV[LZ[LYZ
HUK^VUKLYLKPM[OLVIQLJ[OHKHTLHUPUNVYW\YWVZL
Soon I heard the word “balsería¹ HUK YLHSPaLK [OH[
[OLWVSL^HZWHY[VM[OL5NpIL[YHKP[PVUHSZWVY[;OL
YHSS`NVLYZ^V\SKZVVUIL[YLH[LK[VHKLTVUZ[YH[PVU
of balsería.
Many scholars have noted that humans are
JVUZ[HU[S` PU]LU[PUN HUK YLPU]LU[PUN [YHKP[PVU PU
VYKLY [V ¸SLNP[PTH[L VY ZHUJ[PM` ZVTL J\YYLU[ YLHSP[`
VY HZWPYH[PVU¹ /HUZVU Balsería is one such
L_HTWSL;OL5NpILWYVUV\UJLK¸5(/IH`¹OH]L
practiced the sport of balseríaMVYNLULYH[PVUZI\[P[Z
J\S[\YHS TLHUPUN ZLLTZ [V OH]L \UKLYNVUL THQVY
ZOPM[Z PU [OL SHZ[ ÄM[` `LHYZ ([ P[Z TVZ[ IHZPJ SL]LS
Marian Thorpe graduated from Brown University,
where she majored in Environmental Studies and
Ethnic Studies. She graduated with a master’s degree
from the Yale School of Forestry and Environmental
Studies, where she enjoyed exploring her interests in
environmental justice, activism, and ethnic identity.
balsería was a competition in which participants
[VVR [\YUZ [OYV^PUN H SVUN IHSZH^VVK WVSL H[ LHJO
V[OLY»ZSLNZ;OL[HYNL[LKWLYZVUZ[VVKPUWSHJLHZ[OL
[OYV^LYJPYJSLKHYV\UKS\UNPUNHUKMLPU[PUN[VJH[JO
[OL [HYNL[ VMMN\HYK;OL [HYNL[ ^HZ UV[ Z\WWVZLK [V
look directly at the thrower, so he had to anticipate
[OL[OYV^I`^H[JOPUNOPZHK]LYZHY`V\[VM[OLJVYULY
VMOPZL`L0MOLMHPSLK[VKVKNL[OLWVSLOLZ\MMLYLK
HUHZ[`IY\PZL;OLTVZ[HNPSLX\PJRLZ[HUKZ[YVUNLZ[
players won the competition in the sense that they
NHPULK ZVJPHS WYLZ[PNL I` WYV]PUN [OLPY WO`ZPJHS
WYV^LZZ@V\UN Balsería also played an important role in
Z[YLUN[OLUPUN YLSH[PVUZOPWZ ^P[OPU HUK IL[^LLU
MHTPS` NYV\WZ ;OL JVTWL[P[PVUZ ^V\SK [HRL WSHJL
^OLUVULMHTPS`PU]P[LKHULPNOIVYPUNMHTPS`[VTLL[
[OLTVUHZWLJPÄLKKH[L\Z\HSS`HIV\[[^VTVU[OZ
PU[OLM\[\YL;OLOVZ[PUNMHTPS`^V\SKZWLUK[OL[^V
PU[LY]LUPUNTVU[OZWYLWHYPUNMVVKHUKKYPURMVY[OLPY
N\LZ[Z THYZOHSSPUN YLZV\YJLZ MYVT L]LY` YLSH[P]L PU
VYKLY [V WYV]PKL MVY [OL L]LU[ ;OL MHTPS`»Z HIPSP[`
[V WYV]PKL MVVK HUK KYPUR MVY O\UKYLKZ VM N\LZ[Z
HMÄYTLK [OLPY NVVK ZVJPHS Z[HUKPUN HUK OLPNO[LULK
[OL MHTPS`»Z Z[H[\Z HZ JVTT\UP[` SLHKLYZ;OL N\LZ[
MHTPS`^HZYLX\PYLK[VYLJPWYVJH[L[OLPU]P[H[PVU[OL
MVSSV^PUN `LHY HUKYLJLP]LK H ZPTPSHYZVJPHS ILULÄ[
MYVT KVPUN ZV @V\UN (U[OYVWVSVNPZ[ 7OPSPW
@V\UN [OLYLMVYL Z\NNLZ[LK [OH[ [OL ZWVY[ WSH`LK HU
PTWVY[HU[ YVSL PU THPU[HPUPUN ZVJPHS [PLZ IL[^LLU
MHTPS`NYV\WZKL[LYTPUPUNZVJPHSOPLYHYJOPLZ^P[OPU
HUK IL[^LLU JVTT\UP[PLZ 6M
JV\YZL@V\UNOHK[VNH[OLY[OPZPUMVYTH[PVUMYVT[OL
Z[VYPLZVMOPZPUMVYTHU[Z"OLUL]LYHJ[\HSS`^P[ULZZLK
a balsería JVTWL[P[PVU ILJH\ZL HU LTLYNLU[ 5NpIL
YLSPNPV\Z TV]LTLU[ RUV^U HZ Mama Tata banned
[OL WYHJ[PJL PU [OL Z @V\UN ^YV[L [OH[ [OL
YLSPNPV\ZNYV\W^OPJOKYL^MYVTHTP_VM*H[OVSPJ
,]HUNLSPJHSHUK[YHKP[PVUHS5NpILILSPLMZHWWHYLU[S`
HYVZLV\[VMJVUJLYUZHIV\[[OLPUJYLHZPUNPUÅ\LUJL
Tropical Resources Bulletin 33
Marian Ahn Thorpe
Figure 1. Demonstrating on the Cinta Costera.
Ngäbe protesters in
Panama City display
banners that condemn
hydroelectric dams and
mining. The banners
read “No to the Chorcha
dam: God sends the
waters to give life” (left)
and “The comarca says
no to dams and no to
mining” (right).
VMTVKLYU7HUHTHUPHUZVJPL[`VU5NpILSPML ;OL YLSPNPV\Z TV]LTLU[ PUZ[Y\J[LK HNHPUZ[ ]PZP[PUN
3H[PUV [V^UZ JVUK\J[PUN ZHSLZ VY W\YJOHZLZ ^P[O
3H[PUVZ HUK YLNPZ[LYPUN IPY[OZ HUK KLH[OZ ^P[O [OL
SVJHSNV]LYUTLU[@V\UN ;OLTV]LTLU[HSZV
proscribed a number of traditional practices, such
as balsería ^OPJO JVTTVUS` PUJS\KLK ÄNO[PUN HUK
[OL WYVK\J[PVU HUK JVUZ\TW[PVU VM HSJVOVS @V\UN
)` [OL [PTL@V\UN HYYP]LK PU 7HUHTH PU [OL
SH[L Z [OL WYHJ[PJL VM balsería had apparently
disappeared. The Mama Tata movement replaced
[OLWYLL_PZ[PUNHZZVJPH[PVUVMbalsería with physical
HIPSP[` HUK ZVJPHS Z[HUKPUN ^P[O H UL^ HZZVJPH[PVU
with sin and vice. More recently, reports from a few
^LIZP[LZ :WPUR " )HSZLYPH HUK *OPJH KL 4HPa
HUKT`L_WLYPLUJLPU7HUHTH*P[`KLTVUZ[YH[L
that balsería OHZ YLLTLYNLK >OPSL 0 JHUUV[ ZWLHR
to balsería»Z PTWVY[HUJL PU V[OLY SVJH[PVUZ ^OLU
WLYMVYTLK PU 7HUHTH *P[` [OL ZWVY[ HNHPU ZOPM[LK
TLHUPUNZHZ5NpILJVTT\UP[PLZWYV[LZ[LK[OLSH[LZ[
^H]L VM TVKLYUP[` [V JYHZO HNHPUZ[ [OLPY YHWPKS`
LYVKPUNSHUKHUKSPMLZ[`SL
I spent the summer of 2009 in a community
JHSSLK :VSV` PU [OL 5NpIL)\NSt Comarca,
YLZLHYJOPUN T` THZ[LY»Z [OLZPZ VU SVJHS HJ[P]PZT
HNHPUZ[ PU[LYUH[PVUHS TPUPUN HUK O`KYVLSLJ[YPJ KHT
projects. A Comarca, 0SLHYULKMYVTT`IHJRNYV\UK
YLZLHYJOPZHUHKTPUPZ[YH[P]LYLNPVUNV]LYULKI`HU
HYLH»Z PUKPNLUV\Z PUOHIP[HU[Z 7HUHTH OHZ Ä]L VM
[OLZL YLNPVUZ PUJS\KPUN [OL 5NpIL)\NSt Comarca,
^OPJO^HZLZ[HISPZOLKPU )VY[HUK@V\UN
34 Volume 29, 2010
;OL5NpIL7HUHTH»ZSHYNLZ[PUKPNLUV\ZNYV\WZOHYL
[OPZ [LYYP[VY` ^P[O [OL )\NSt WYVUV\UJLK ¸IVV
.3(@¹HT\JOZTHSSLY[YPIL^P[OJVTTVUSPUN\PZ[PJ
and cultural roots (Población Indígena " )VY[
HUK@V\UN 3LNHS YLJVNUP[PVU OHZ KVUL SP[[SL
[V HKKYLZZ [OL ÄUHUJPHS OLHS[O HUK LU]PYVUTLU[HS
WYVISLTZ MHJPUN [OL 5NpIL HUK 7HUHTH»Z ZP_ V[OLY
PUKPNLUV\Z NYV\WZ -VY PUZ[HUJL [OL MYHNPSL MVYLZ[
WSV[Z[OL5NpILOH]LJ\S[P]H[LKMVYJLU[\YPLZJHUUV[
Z\Z[HPU [OL YHWPKS` NYV^PUN 5NpIL WVW\SH[PVU ZV
[V Z\WWSLTLU[ [OLPY ZTHSS MHYTZ THU` TLU ÄUK
seasonal work on coffee and banana plantations in
[OL OPNOSHUKZ VM 7HUHTH HUK *VZ[H 9PJH )VY[ HUK
@V\UN:VMHYTVZ[MHTPSPLZPU[OLcomarca are
HISL[VZ\Y]P]LI`WHPYPUNTLHNLYJHZOPUJVTLZMYVT
YLSH[P]LZ ^VYRPUN VU WSHU[H[PVUZ ^P[O Z\IZPZ[LUJL
crops coaxed out of the easily eroded mountain
ZVPSZ )\[ H UL^ ^H]L VM TPUPUN HUK O`KYVLSLJ[YPJ
development threatens to undermine a way of life that
PZZV[PLK[VUH[\YL(JJVYKPUN[VH:LW[LTILY document published by the Panamanian Ministry of
0UK\Z[Y`HUK*VTTLYJL[OLNV]LYUTLU[OHZYLJLP]LK
YLX\LZ[ZMVYL_WSVYH[VY`TPUPUNWLYTP[ZMVYV]LY[^V
million hectares of land since 1990 (Solicitudes de
SVZ4PULYHSLZ4L[mSPJVZ ;OH[PZV]LYVM
[OL JV\U[Y`»Z SHUK HYLH ( THW MYVT [OL 5H[PVUHS
Environmental Authority shows the western province
VM *OPYPX\x HZ H QHNNLK ^OP[L ÄLSK KV[[LK ^P[O ÄM[`
IYPNO[ IS\L YLJ[HUNSLZ LHJO YLJ[HUNSL PUKPJH[PUN
[OL ZP[L VM H WYVWVZLK KHT (5(4 :OV\SK
[OL 5NpIL SVZL [OLPY SHUK HUK ^H[LY [V TPUPUN VY
hydroelectric dams, they would lose their livelihood
Performing Indigenous Identity in Panama City
and the traditions so closely tied to it.
/\UKYLKZVM5NpILHJ[P]PZ[ZHUKV[OLYPUKPNLUV\Z
HUK UVUPUKPNLUV\Z Z\WWVY[LYZ YLZWVUKLK [V [OL
PTWLUKPUN TPUPUN HUK KHT [OYLH[Z PU 6J[VILY VM
I`THYJOPUNMYVT[OL5NpIL)\NStComarca to
7HUHTH*P[`HQV\YUL`VMRPSVTL[LYZLa Marcha
2009).
HWWSPX\tK OLHKIHUKZ HYV\UK IHZLIHSS JHWZ VY
HKQ\Z[PUN ILHKLK JVSSHYZ HYV\UK [OLPY ZOV\SKLYZ
-PNZ ;OL KVUUPUN VM [YHKP[PVUHS YLNHSPH
helped underscore one of the intended purposes of
[OL KLTVUZ[YH[PVU! [OL 5NpIL SLHKLYZOPW ^HZ [Y`PUN
[V WYVTV[L 5NpIL J\S[\YL [V IYVHKLY 7HUHTHUPHU
ZVJPL[`[VIVSZ[LY[OLPYJSHPTZHNHPUZ[[OLNV]LYUTLU[
:JOVSHYZOH]LUV[LK[OH[PUKPNLUV\ZPKLU[P[`HUKP[Z
associated cultural and environmental values are often
tapped as a source of moral authority that validates
[OLWVSP[PJHSJSHPTZVMPUKPNLUV\ZNYV\WZ1\UN"
3P >OLU [OL 5NpIL IYV\NO[ balsería to the
Cinta CosteraPUKV^U[V^U7HUHTH*P[`[OL`ZV\NO[
[V PU]VRL [OPZ TVYHS H\[OVYP[` I` YLPUMVYJPUN [OLPY
J\S[\YHS \UPX\LULZZ [OYV\NO [OLPY OHUK^V]LU OH[Z
beaded collars, and balsería)`WLYMVYTPUNbalsería
VU [OL UH[PVUHS Z[HNL [OL 5NpIL SLHKLYZ [VVR [OL
ZWVY[IL`VUKP[Z[YHKP[PVUHSM\UJ[PVUVMKLÄUPUNZVJPHS
YLSH[PVUZOPWZ HUK NH]L P[ H UL^ W\YWVZL! balsería
ILJHTL H ZPNUPÄLY VM H KPZ[PUJ[P]LS` 5NpIL WVSP[PJHS
and cultural identity.
6UJL PU 7HUHTH *P[` [OL HJ[P]PZ[Z OLSK
H ZLYPLZ VM WYLZZ L]LU[Z PUJS\KPUN H KH` VM J\S[\YHS
demonstrations on the Cinta Costera (“Coastal
)LS[^H`¹ H IYHUKUL^ W\ISPJ WHYR Y\UUPUN [OL
HSVUN [OL VJLHU»Z LKNL VM 7HUHTH *P[`»Z WVZOLZ[
ULPNOIVYOVVK -PN 5L^ ZR`ZJYHWLYZ ZWHYRSLK PU
L]LY`KPYLJ[PVUL_JLW[[VV\YLHZ[^OLYL[OL7HJPÄJ
6JLHUNSPU[LK;OLULJRVMLUVYTV\ZLSLJ[YPJN\P[HY
LTISHaVULK ^P[O ¸/HYK 9VJR *HMt¹ [OY\Z[ P[ZLSM feet in the air over a sidewalk outside a nearby mall.
>OLU0YL[\YULK[V7HUHTHPU6J[VILY[VVIZLY]L[OL
protests, I also observed that the decision to perform
balsería PU [OL OLHY[ VM [OL JHWP[HS JP[`»Z OVTHNL [V
NSVIHSPaH[PVUPTI\LK[OLZWVY[^P[OT\S[PWSLSH`LYZVM
But then the demonstration took on another
TLHUPUNIL`VUK[OL[YHKP[PVUHSJ\S[\YHSZPNUPÄJHUJL TLHUPUN 0 ^H[JOLK [^V HJX\HPU[HUJLZ )LYUHYKV
and Celio, enter the circle and face off. Bernardo held
As the speeches wound down in the pavilion [OL Ä]LMVV[SVUN WVSL SPNO[S` PU OPZ YPNO[ OHUK HUK
on the Cinta Costera, the owner of the balsería pole JPYJSLK*LSPVPUHZLYPLZVMZSV^ZWYPUNPUNZ[LWZ*LSPV
beckoned other men out from under the shade of the ^HP[LKMLL[WSHU[LKRULLZZSPNO[S`ILU[L`LZHUKLHYZ
pavilion into the tropical sun. The crowd followed Z[YHPUPUN[VMVSSV^)LYUHYKV»ZVYIP[HZOLOVWWLKV\[
and encircled the men, who prepared themselves VM*LSPV»ZÄLSKVM]PZPVU:\KKLUS`)LYUHYKVSH\UJOLK
I` W\[[PUN VU [OLPY ILMLH[OLYLK Z[YH^ OH[Z [`PUN [OL WVSL H[ *LSPV»Z SLNZ *LSPV SLHW[ V\[ VM [OL ^H`
Figure 2. Dodging the balsa pole.
Spectators watch
as activists perform balsería at the
Cinta Costera park in
downtown Panama
City
Tropical Resources Bulletin 35
Marian Ahn Thorpe
Figure 3. Lunging
and leaping. Activists
perform balsería at the
Cinta Costera park in
downtown Panama
City. Behind the performers, a protester
carries the flag of the
Ngäbe-Buglé Comarca
(left).
HUK[OLWVSLTPZZLKOP[[PUN[OLNYV\UK^P[OHK\SS
^VVKLU ]PIYH[PVU )LYUHYKV»Z [OYV^ OHK SHUKLK MHY
H^H`"OLTPZZLKVUW\YWVZLILJH\ZL[OPZL]LU[^HZ
Q\Z[HZOV^UV[[OLYLHS[OPUN;OLV[OLYTLU[VVR[OLPY
J\LMYVT)LYUHYKVHUKILNHUUV[Q\Z[KLTVUZ[YH[PUN
I\[WLYMVYTPUN;OLL]LU[X\PJRS`ILJHTLHMHYJLHZ
the actors settled into the comedic potential of their
YVSLZ;OL` WYL[LUKLK [V IL YHNPUN KY\UR ^P[O VUL
THUL]LUNVPUNZVMHYHZ[VZ[\TISLV]LY[VHULHYI`
ÅHNWVSLSLHUZSVWWPS`HNHPUZ[P[HUKWYL[LUK[VYL[JO
6[OLYTLUWYL[LUKLK[VÄNO[/H[ZMLSS[V[OLNYV\UK
ILHKLK JVSSHYZ O\UN HZRL^ Z^LH[ KYPWWLK MYVT
NYPUUPUNIYV^ZHUKJOPUZHUK[OL5NpILZWLJ[H[VYZ
OV^SLKPUKLSPNO[LKYLJVNUP[PVU
>O`^V\SKHNYV\WZLLRPUNWVSP[PJHSSLNP[PTHJ`
WSH` \W ]PJLZ SPRL KY\URLUULZZ HUK ]PVSLUJL&
;OL 5NpIL MHJL H SVUN OPZ[VY` VM KPZJYPTPUH[PVU
PU 7HUHTHUPHU ZVJPL[` PUJS\KPUN HU LUK\YPUN
Z[LYLV[`WL HZ KY\URZ HUK ÄNO[LYZ (U[OYVWVSVNPZ[
7OPSPWWL)V\YNVPZKPZJ\ZZLKYHJPZTHUKKYPURPUNHUK
ÄNO[PUNHTVUNZ[5NpILMVYTLYS`RUV^UHZ.\H`TP
workers on banana plantations in northwestern
7HUHTHPU[OL ZZH`PUN¸0U[YHKP[PVUHS.\H`TP
ZVJPL[` YP[\HSPaLK ÄZ[PJ\MMZ RUV^U HZ balsería (krun)
HUKR\IY\PKPPZHUPTWVY[HU[PUZ[P[\[PVUHSPaLKTLHUZ
VM L_WYLZZPUN PUKP]PK\HS ]HSVY HUK VM JLTLU[PUN
political patterns of leadership within and across
JVTT\UP[PLZ 0U [OL JVU[L_[ VM YV[N\[ SPX\VY HUK
hostile non-Amerindians, however, it becomes a
MVY\TMVYW\ISPJKLNYHKH[PVU:VTL[PTLZ\W[VHOHSM
36 Volume 29, 2010
KVaLU Z[HNNLYPUN `V\UN TLU HS[LYUH[LS` WV\UK VUL
another in the face and fall in the mud in drunken
slow motion with a crowd of non-Amerindians
QLLYPUN[OLTVU¹)V\YNVPZ .P]LU[OPZOPZ[VY`
^O` ^V\SK 5NpIL HJ[P]PZ[Z WHYVK` KY\URLUULZZ
HUKÄNO[PUNPU[OLPYW\ISPJKLTVUZ[YH[PVUVM5NpIL
J\S[\YL&;OLJ\YPV\ZWYLZLUJLVMJVTLKPJMHYJLPU[OL
cultural demonstration pointed to another possible
ZPNUPÄJHUJL [OH[ balsería adopted when performed
on the Cinta Costera. 3PRLHUPUQVRLZOHYLKHTVUNZ[
MYPLUKZ [OL HJ[ VM SH\NOPUN H[ VUL»Z [YHKP[PVUZ PU H
public venue where other viewers do not understand
[OL O\TVY HMÄYTZ NYV\W PKLU[P[` HUK Z[YLUN[OLUZ
[OL IVUKZ IL[^LLU [OVZL ^OV ¸NL[ P[¹;OL HSS\ZPVU
[V RUV^SLKNL HUK L_WLYPLUJLZ IL`VUK [OL NYHZW VM
dominant society also temporarily upends power
YLSH[PVUZ^OLU[OLTLTILYZVM[OLZ\IQ\NH[LKNYV\W
demonstrate their facility with cultural landscapes
from which members of the dominant society are
excluded. Perhaps the balsería performance served
[OPZ M\UJ[PVU! P[ HSSV^LK [OL 5NpIL [V YLZWVUK [V
[OLPYL_JS\ZPVUMYVT7HUHTHUPHUZVJPL[`I`JYLH[PUN
an alternative space in which they had the power to
KLÄULJ\S[\YHSUVYTZHUKZL[[OL[LYTZVMPUJS\ZPVU
or exclusion.
As I watched the balseríaWVSLNYHaL[OLHURSLZ
VM SLHWPUN THU HM[LY SLHWPUN THU 0 YLÅLJ[LK VU
[OL VIQLJ[»Z K`UHTPJ OPZ[VY`;OL WVSL ^HZ WHY[ VM H
J\S[\YHS WYHJ[PJL ^OVZL TLHUPUNZ ZOPM[LK ILJH\ZL
of the Mama Tata YLSPNPV\Z TV]LTLU[ HUK ^OVZL
Performing Indigenous Identity in Panama City
TLHUPUNZ HYL UV^ ZOPM[PUN HNHPU PU YLZWVUZL [V [OL
ULLKZ VM P[Z WYHJ[P[PVULYZ 6U [OL Cinta Costera,
balseríaILJHTLHZ`TIVSVM5NpILWVSP[PJHSJSHPTZH
wooden thumb in the eye of the Panamanian state. It
also became a symbol of power for activists who had
come to Panama City to contest their exclusion from
Panamanian society. Balsería will doubtless continue
[V HKVW[ UL^ TLHUPUNZ HZ [OL 5NpIL H[[LTW[ [V
ULNV[PH[L [OL [LYTZ VM [OLPY YLSH[PVUZOPWZ ^P[O [OL
NV]LYUTLU[HUK7HUHTHUPHUZVJPL[`
Acknowledgments
The author wishes to thank the Tropical Resources
0UZ[P[\[L [OL@HSL (NYHYPHU :[\KPLZ 7YVNYHT HUK [OL@HSL
Center for Latin American and Iberian Studies for their
NLULYV\Z Z\WWVY[ ;OHURZ HSZV [V .VYKVU .LIHSSL HUK
(TP[`+VVSP[[SLH[@HSL:JOVVSVM-VYLZ[Y`HUK,U]PYVUTLU[HS
Studies.
resource politics and the tribal slot. Comparative
:[\KPLZPU:VJPL[`HUK/PZ[VY`! 7VISHJP}UPUKxNLUHWVYZL_VZLN‚UNY\WVHSX\L
WLY[LULJL`LKHK!9LW‚ISPJHKL7HUHTmWVYWYV
]PUJPH BJP[LK(WYPS D
(]HPSHISLMYVTO[[W!^^^JVU[YHSVYPHNVIWHKLJ
(WSPJHJPVULZ76)3(*065F=0=0,5+(]VS\TLU
cuadro7.htm.
:VSPJP[\KLZKLSVZ4PULYHSLZ4L[mSPJVZ 7HUHTH
*P[`!4PUPZ[LYPVKL*VTLYJPVL0UK\Z[YPHZ
Spink, Ben. 2010. BalseríaB)SVND4H` BJP[LK-LIY\HY`D(]HPSHISLMYVT
O[[W!ILUHUKSPZHWHUHTHISVNZWV[JVT balseria.html.
@V\UN7OPSPW+ 5NH^IL![YHKP[PVUHUKJOHUNL
HTVUN[OL>LZ[LYU.\H`TxVM7HUHTH0SSPUVPZ
Z[\KPLZPUHU[OYVWVSVN`UV<YIHUH!<UP]LYZP[`
of Illinois Press.
9LMLYLUJLZ
(5(47YV`LJ[VZ4+37HUHTmB0U[LYHJ[P]LTHWD(5(4
BJP[LK-LIY\HY`(]HPSHISLMYVT
O[[W!THWZLY]LYHUHTNVIWH^LIZP[LTKS]PL^LY
htm.
Balseria and Chica de MaizB)SVND-LIY\HY`
BJP[LK-LIY\HY`D(]HPSHISL
MYVTO[[W!ISVNZIVV[ZUHSSJVTNPNPY[^IHSZLYPHHUK
JOPJOHKLTHPaO[TS
)VY[19HUK7@V\UN;OL5NVILVM>LZ[LYU
7HUHTH0U,UKHUNLYLKWLVWSLZVM3H[PU(TLYPJH!
Z[Y\NNSLZ[VZ\Y]P]LHUK[OYP]LLKP[LKI`:*
:[VUPJO>LZ[WVY[*;!.YLLU^VVK7YLZZ
)V\YNVPZ7 *VUQ\NH[LKVWWYLZZPVU!JSHZZHUK
L[OUPJP[`HTVUN.\H`TPHUK2\UHIHUHUH^VYRLYZ
(TLYPJHU,[OUVSVNPZ[!
/HUZVU( ;OLTHRPUNVM[OL4HVYP!J\S[\YL
PU]LU[PVUHUKP[ZSVNPJ(TLYPJHU(U[OYVWVSVNPZ[ !
1\UN*;OLTVYHSMVYJLVMPUKPNLUV\ZWVSP[PJZ!
JYP[PJHSSPILYHSPZTHUK[OLAHWH[PZ[HZ*VU[LTWV
YHY`WVSP[PJHS[OLVY`*HTIYPKNL"5L^@VYR!
*HTIYPKNL<UP]LYZP[`7YLZZ
3H4HYJOHB>LIZP[LD BJP[LK-LIY\HY`
D(]HPSHISLMYVTO[[W!^^^JHTPUH[HW
HUHTHVYN
3P;(Y[PJ\SH[PUNPUKPNLUV\ZPKLU[P[`PU0UKVULZPH!
Tropical Resources Bulletin 37
Indigenous Perspectives on Oil Exploration Concessions in the Peruvian Amazon
Lauren Baker, PhD candidate
“First we want you to leave our home, then we will invite you to talk”
0U [OL HIV]L X\V[L HU PUKPNLUV\Z SLHKLY
PU [OL 4HKYL KL +PVZ YLNPVU VM 7LY\ QVPULK OPZ
]VPJL ^P[O [OH[ VM V[OLYZ PU [OL 5H[P]L -LKLYH[PVU
VM [OL 9xV 4HKYL KL +PVZ -,5(4(+ [V HZR /\U[
6PS [V ¸KLÄUP[P]LS` ^P[OKYH^ MYVT [OL (THYHRHLYPH
Communal Reserve since you do not have the
PUKPNLUV\Z JVTT\UP[`»Z JVUZLU[¹ (THaVU >H[JO
2009). This is one variation of a perspective held by
THU`PUKPNLUV\ZSLHKLYZPU[OL7LY\]PHU(THaVUPU
YLNHYKZ[VVPSL_WSVYH[PVUHUKL_WSVP[H[PVUJVUJLZZPVUZ
¶UHTLS`[OH[JVTT\UP[PLZZOV\SKOH]LNYLH[LYZH`
HUKHJJVYKPUN[VTHU`HKLÄUP[P]LZH`PU^OL[OLY
and how oil exploration activities proceed in their
communities. In this article, I intend to illuminate
[OPZ WLYZWLJ[P]L HSVUN ^P[O ZL]LYHS V[OLY JVTTVU
[OYLHKZVMJVUJLYUOLSKI`THU`PUKPNLUV\ZWLVWSLZ
YLNHYKPUNYLJLU[VPSL_WSVYH[PVUJVUJLZZPVUZ[OH[OH]L
ILLU LZ[HISPZOLK [OYV\NOV\[ [OL 7LY\]PHU (THaVU
Concerns about oil concessions in the
7LY\]PHU (THaVU HYL UV[ UL^ I\[ OH]L NHPULK
PUJYLHZPUNWYVTPULUJLPUYLJLU[`LHYZNP]LU[OLYHWPK
and recent increase in oil exploration concessions.
6]LY[OLWHZ[Ä]L`LHYZ[OL7LY\]PHUNV]LYUTLU[OHZ
rapidly increased oil exploration concessions in the
7LY\]PHU (THaVU ^P[O JVUJLZZPVUZ UV^ JV]LYPUN
HYV\UK VM [OL 7LY\]PHU (THaVU -PULY L[ HS
\WMYVTHYV\UKPU:LY]PUKP -PN
The promotion of oil has been linked to a
]PZPVU VM KL]LSVWTLU[ H[ [OL UH[PVUHS HUK YLNPVUHS
SL]LS IHZLK \WVU [OL WYP]H[PaH[PVU HUK L_WVY[H[PVU
of natural resources. This vision was made clear, for
example, in the article “El Síndrome del Perro del
Hortelano” written by the Peruvian President, Alan
Lauren Baker is a 2nd year doctoral student at
F&ES focusing on indigenous rights and extractive
industries. Lauren, a southern California native, also
completed a Masters of Environmental Management
at F&ES (2005) and worked for three years at the Center
for International Environmental Law in Washington
D.C. on indigenous and human rights issues.
38 Volume 29, 2010
.HYJPH0U[OPZHY[PJSL7YLZPKLU[.HYJPHZ[H[LZ[OH[¸HU`
Peruvian can look around and see all the riches that
L_PZ[HUK[OH[HYLUV[ILPUNW\[[V]HS\L¯;OLYLHSP[`
is that we should put to use the resources that we are
UV[\[PSPaPUN¯;OPZPZ[OLILZ[IL[MVY[OLM\[\YLHUK
[OLVUS`^H`[OH[^L^PSSHJOPL]LWYVNYLZZ¹.HYJPH
0U[OPZZHTLHY[PJSL.HYJPHHSZVL_WYLZZLKHU
attitude that those that oppose concessions are also
HNHPUZ[UH[PVUHSWYVNYLZZ![OH[[OVZL[OH[ILSPL]L[OH[
“Peruvian petroleum should remain beneath the earth
^OPSL[OL^VYSKWH`Z WLYIHYYLS¯WYLMLY[OH[7LY\
JVU[PU\LZ [V PTWVY[ HUK JVU[PU\LZ NL[[PUN WVVYLY¹
+LZWP[L WYVTPZLZ VM WYVNYLZZ HUK ^LSS
ILPUNTHU`WLVWSLSP]PUNPUHYLHZUL^S`V]LYSHPKI`
concessions have expressed concerns or opposition
[V [OL JVUJLZZPVUZ ( WHY[PJ\SHYS` PTWVY[HU[ NYV\W
VM Z[HRLOVSKLYZ NP]LU [OLPY OPNO WYLZLUJL HUK [OLPY
JSHPTZ VM HUJLZ[YHS YPNO[Z [V SHYNL HYLHZ [OYV\NOV\[
[OL 7LY\]PHU (THaVU HYL [OL THU` PUKPNLUV\Z
communities and federations. AIDESEP (Asociación
Interétnica de Desarrollo de la Selva Peruana), the
WYPTHY` PUKPNLUV\Z MLKLYH[PVU MVY [OL 7LY\]PHU
(THaVUOHZYLWLH[LKS`KLUV\UJLK[OLZ\WLYWVZP[PVU
VM O`KYVJHYIVU ISVJRZ V]LY PUKPNLUV\Z [LYYP[VYPLZ
especially in territorial reserves for the protection of
PZVSH[LK \UJVU[HJ[LK PUKPNLUV\Z WLVWSLZ :LY]PUKP
"(0+,:,7UK6[OLYYLNPVUHSMLKLYH[PVUZOH]L
ZPTPSHYS` VIQLJ[LK [V VPS JVUJLZZPVUZ -VY L_HTWSL
ARPI (Asociación Regional de Pueblos Indígenas
de la Selva Central KLJYPLK [OL Z[H[L»Z ¸HNNYLZZP]L
WVSPJPLZ [V HWWYV]LVPS HUK NHZ JVUJLZZPVUZ PU [OL
(THaVU¹PU¸]PVSH[PVUVM[OLYPNO[[VWYPVYPUMVYTLK
consultation and consent of the ancestral owners
of natural resources and territories” and declared
[OH[ [OL` ¸QVPU [OL UH[PVUHS (THaVUPHU WVZP[PVU VM
AIDESEP to not permit the entrance of petroleum
JVTWHUPLZPU[OL[LYYP[VYPLZVM(THaVUPHUPUKPNLUV\Z
JVTT\UP[PLZ¹ (970 ;OL :O\HY 6YNHUPaH[PVU
VM 4VYVUH 6:/+,4 [OL :OHWYH -LKLYH[PVU VM
4VYVUH-,:/(4HUK[OL0UKPNLUV\Z(ZZVJPH[PVUVM
Morona (AIM) have similarly warned that “we will not
WLYTP[HU`TVYLVPSHJ[P]P[PLZPU[OLaVUL¹(0+,:,7
;OPZPZUV[TLHU[[VPTWS`[OH[HSSJVTT\UP[PLZ
or federations have opposed the concessions. Indeed,
Indigenous Perspectives on oil exploration concessions in the Peruvian Amazon
Figure 1. A map of oil
concessions in Peru.
[Source: PerúPetro]
some communities have been allured by the ample
WYVTPZLZTHKLI`[OLNV]LYUTLU[HUKJVTWHUPLZ
VMILULÄ[ZMVYSVJHSJVTT\UP[PLZ^OPJONLULYHSS`
HYL ULNV[PH[LK IL[^LLU SVJHS JVTT\UP[PLZ HUK
companies in an ad hoc fashion, with the possibility
VM PUJS\KPUN ZOVY[[LYT LTWSV`TLU[ HUKVY
TH[LYPHS ILULÄ[Z 9H[OLY [OL HIV]L YLMLYLUJLZ [V
denouncements are meant to illustrate that many
communities and federations have raised concerns
or opposed oil concessions in their communities.
H^LSSRUV^U7LY\]PHUHU[OYVWVSVNPZ[^OV^VYRZPU[OL
(THaVU HUK H SH^`LY PU [OL 7LY\]PHU 6TI\KZTHU»Z
VMÄJL ^OV MVJ\ZLZ VU JVTWSHPU[Z OH]PUN [V KV ^P[O
PUKPNLUV\Z WLVWSLZ HUK VPS L_WSVYH[PVU JVUJLZZPVUZ 0
also conducted supplemental or shorter interviews with
Z[HMMPUHUHKKP[PVUHSMV\Y5.6ZVYYLZLHYJOPUZ[P[\[LZZLL
;HISLMVYSPZ[VMPUZ[P[\[PVUHSJVU[HJ[Z-PUHSS`K\YPUN
[OPZ [PTL 0 WHY[PJPWH[LK PU ZL]LYHS ZP[L ]PZP[Z PUJS\KPUN
H ZL]LYHS KH` TLL[PUN VM Ä]L *VJHTH PUKPNLUV\Z
communities that had been affected by oil exploitation.
6]LY 1\UL HUK 1\S` 0 ^LU[ [V 7LY\
^P[O[^VVIQLJ[P]LZPUTPUK![VNHPUHJSLHYPKLH
HIV\[ PUKPNLUV\Z WLYZWLJ[P]LZ VU VPS L_WSVYH[PVU
JVUJLZZPVUZ PUJS\KPUN JVUZPKLYH[PVUZ HIV\[
WVZZPISLPTWHJ[ZVYILULÄ[Z"HUK[VTHRLJVU[HJ[Z
HUKSH`[OLNYV\UK^VYRMVYT`KVJ[VYHSKPZZLY[H[PVU
YLZLHYJO ;OPZ I\PS[ \WVU YV\NOS` [OYLL `LHYZ VM
MVSSV^PUNVYV[OLY^PZLLUNHNPUN^P[O[OPZPZZ\LHZH
KVJ[VYHSZ[\KLU[HUKK\YPUNT`^VYRH[[OL*LU[LY
MVY0U[LYUH[PVUHS,U]PYVUTLU[HS3H^PU>HZOPUN[VU
+*+\YPUN[OL[^VTVU[OZVMWYLSPTPUHY`YLZLHYJO
in 2009, I conducted extended semi-structured
PU[LY]PL^Z^P[OPUKPNLUV\ZSLHKLYZPU[^VYLNPVUHS
MLKLYH[PVUZ PU [OL UVY[OLHZ[ (THaVUPHU WYV]PUJL
VM 3VYL[V HU[OYVWVSVNPZ[Z VY SH^`LYZ ^OV OHK
^VYRLK L_[LUZP]LS` ^P[O PUKPNLUV\Z WLVWSLZ PU
Ä]LUVUNV]LYUTLU[HSVYNHUPaH[PVUZHSSVM^OVT
HYL RL` WSH`LYZ H[ [OL UH[PVUHS VY YLNPVUHS SL]LS
^VYRPUNVUPUKPNLUV\ZHUKLU]PYVUTLU[HSPZZ\LZ
Based upon this preliminary research, as well
HZSP[LYH[\YLYL]PL^Z0^HZHISL[VPKLU[PM`MV\YYLJ\YYPUN
[OLTLZ UHTLS` PUKPNLUV\Z JVUJLYUZ YLNHYKPUN! [OL JVUJLZZPVUPUN WYVJLZZ" WVZZPISL PTWHJ[Z MYVT
oil exploration and extraction (and failure to account
MVY [OL YHUNL VM PUKPNLUV\Z ]HS\LZ [V^HYK [OL SHUK"
[OL SLNP[PTHJ` VM [OL JVUJLZZPVUZ TVYL NLULYHSS`
NP]LU PUKPNLUV\Z WYPVY JSHPTZ [V [LYYP[VYPLZ" HUK possible violence or repression. In the sections that
follow, I will touch upon each of these themes in turn,
KYH^PUN \WVU PU[LY]PL^ KH[H HSS PUMVYTHU[Z HYL RLW[
HUVU`TV\Z [V LUZ\YL [OLPY ZHML[` HUK JVUÄKLU[PHSP[`
( ÄYZ[ THQVY KYP]LY VM PUKPNLUV\Z JVUJLYUZ
^HZ YLSH[LK [V [OL JVUJLZZPVUPUN WYVJLZZ 0U HSS VM T`
ZLTPZ[Y\J[\YLKPU[LY]PL^ZPUMVYTHU[ZKLZJYPILKHOPNO
MYLX\LUJ` VM KPZZH[PZMHJ[PVU ^P[O [OL JVUJLZZPVUPUN
process – both the lack of consultation when the
concessions were made to oil companies and what
Tropical Resources Bulletin 39
Lauren Baker
^HZ MYLX\LU[S` KLZJYPILK HZ H ^LHR VY PUHKLX\H[L
consultation at later points in the process, such as
K\YPUN LU]PYVUTLU[HS PTWHJ[ HZZLZZTLU[Z ,0(Z
`V\0^PSS[LSS`V\[OH[0HTNVPUN[VI\PSK
a road, take the petroleum, [etc.] – there,
0»]L JVUZ\S[LK `V\¹ ¯;OL PTWSLTLU[PUN
SLNPZSH[PVU MVY [OL SH^ VU JVUZ\S[H[PVU
YLX\PYLZ[OH[[OL`JHYY`V\[W\ISPJOLHYPUNZ
PU]P[L JVTT\UP[PLZ HUK VYNHUPaH[PVUZ
explain the project, and receive their
JVTTLU[Z,UKVMZ[VY`"UV[OPUNTVYL;OPZ
is how the state understands consultation. In
JVU[YHZ[^OH[KV[OLJVTT\UP[PLZZH`&;OL`
say that for them, consultation is when you
ask us what we think and we try to reach
HU HNYLLTLU[ VU ^OH[ [V KV 0M ^L HYL PU
HNYLLTLU[ [OLU ^L NV MVY^HYK 0M ^L ZH`
UV[OLUP[»ZUV¹
6UL PZZ\L [OH[ PZ PU[LYLZ[PUN PU YLNHYK
[V JVUJLYUZ HIV\[ PUHKLX\H[L WYVJLZZ ^HZ [OH[
JHSSZ MVY IL[[LY JVUZ\S[H[PVU I` THU` PUKPNLUV\Z
SLHKLYZ HUK MLKLYH[PVUZ VM[LU PU]VS]LK PU]VRPUN
[OL Z[H[L»Z VISPNH[PVUZ [V YLZWLJ[ PUKPNLUV\Z YPNO[
[V JVUZ\S[H[PVU KL[HPSLK PU *VU]LU[PVU [OL
¸0UKPNLUV\Z HUK ;YPIHS 7LVWSLZ *VU]LU[PVU¹ VM
[OL 0U[LYUH[PVUHS 3HIVY 6YNHUPaH[PVU ¸036 ¹
^OPJO OHZ [OL ¸VIQLJ[P]L VM HJOPL]PUN HNYLLTLU[
VY JVUZLU[¹"(Y[PJSL HUK PU ZVTL JHZLZ [OL YPNO[
to prior informed consent, as has been endorsed,
MVYL_HTWSLPU[OL<5+LJSHYH[PVUVU[OL9PNO[ZVM
0UKPNLUV\Z7LVWSLZ;OPZPUKPJH[LK[OH[H[SLHZ[ZVTL ( ÄUHS [`WL VM MY\Z[YH[PVU V]LY PUHKLX\H[L
discontent about consultation processes was related consultation included instances when companies either
[V VY Z\WWVY[LK I` PKLHZ HIV\[ PUKPNLUV\Z YPNO[Z ¸KP]PKLHUKJVUX\LY¹VY¸I\`VMM¹ZVTLJVTT\UP[PLZ
VYJVTT\UP[`SLHKLYZ^P[OV\[JVUZ\S[PUN[OL^PKLY
0U HKKP[PVU [OL JVUJLZZPVUPUN WYVJLZZ HSZV community. This type of situation was described
seemed to violate expectations about respect and I` PUMVYTHU[Z PU ZL]LYHS PU[LY]PL^Z -VY L_HTWSL
MHPYULZZ 6UL WYVISLT HWWLHYLK [V IL NYV\UKLK PU HU PUKPNLUV\Z SLHKLY PU [OL -LKLYH[PVU VM 5H[P]L
differently held expectations and interpretations *VTT\UP[PLZ VM [OL *VYYPLU[LZ 9P]LY -,*65(*6
I` [OL Z[H[L HUK PUKPNLUV\Z JVTT\UP[PLZ HIV\[ KLZJYPILK [OL WVZP[PVU VM [OL MLKLYH[PVU [OH[!
^OH[ HKLX\H[L JVUZ\S[H[PVU JVUZPZ[Z VM VY SLHKZ [V
HZ ^HZ KLZJYPILK I` [OL MVSSV^PUN RL` PUMVYTHU[!
“There needs to be prior consultation before
JVUJLZZPVUZ HYL THKL PU [OLPY [LYYP[VYPLZ¯
“Here in Peru, consultation has two
;OL [LUKLUJ` VM [OL NV]LYUTLU[ PZ [V SVVR
interpretations – the interpretation of the
MVY HUK JVU]PUJL VY JVTT\UP[PLZ
NV]LYUTLU[ HUK [OL PU[LYWYL[H[PVU VM
those that are easiest or closest, but the
[OL JVTT\UP[PLZ¯;OL NV]LYUTLU[ ZH`Z
PUKPNLUV\Z WLYZWLJ[P]L YLJVNUPaLZ [OH[
JVUZ\S[H[PVU VJJ\YZ ^OLU! ¸0»]L KLJPKLK
V\Y YPNO[Z HYL JVSSLJ[P]L" HSS VM \Z ULLK [V
[V KV ZVTL[OPUN ZV 0 ^PSS NV HUK PUMVYT
Table 1. Institutional Contacts for Interviews
0UKPNLUV\Z-LKLYH[PVUZ
Institutional Contacts for Extend- Institutional Contacts for Suppleed Semi-Structured Interviews
mental or Shorter Interviews
- Asociación Cocama de
Desarrollo y Conservación
San Pablo de Tipishca
(*6+,*6:7(;
-LKLYHJP}UKL*VT\UPKHKLZ
5H[P]HZKLS9xV*VYYPLU[LZ
-,*65(*6
*LU[YV(THa}UPJVKL
(U[YVWVSVNxH`(WSPJHJP}U
7YmJ[PJH*(((7
- Centro para el Desarrollo del
0UKxNLUH(THa}UPJV*,+0(
- Derechos Ambiente y Recursos
5H[\YHSLZ+(9
0X\P[VZYLNPVUHSVMÄJLVM
+LMLUZVYxHKLS7\LISV[OL
7LY\]PHU6TI\KZTHU»ZVMÄJL
- Red Ambiental Loretana
- Shinai
(U[OYVWVSVNPZ[(SILY[V*OPYPM
40 Volume 29, 2010
- Instituto del Bien Común
9HJPTVZKL<UN\YHO\P
0UZ[P[\[VKL0U]LZ[PNHJPVULZKL
SH(THaVUxH7LY\HUH00(7
- Sociedad Peruana de Derecho
Ambiental (SPDA)
Indigenous perspectives on oil exploration concessions in the Peruvian Amazon
participate. In the Corrientes river there
HYL TVYL [OHU JVTT\UP[PLZ @V\ ULLK
[V JVUZ\S[ HSS I\[ [OPZ KVLZU»[ OHWWLU¹
In another example, an informant described
[OL HUNLY HUK MY\Z[YH[PVU VM PUKPNLUV\Z WLVWSL PU
[OL -LKLYH[PVU VM (N\HY\UHZ *VTT\UP[PLZ VM [OL
+VTPUN\aH 9P]LY -(+ HUK [OL -LKLYH[PVU VM
5H[P]L (N\HY\UHZ *VTT\UP[PLZ VM [OL 5PL]H 9P]LY
-,*65(905VUJL[OLVPSJVTWHU`/VJVSZOV^LK
\WPU[OLPYJVTT\UP[PLZ^P[OHJVU[YHJ[ZPNULKI`H
ML^PUKPNLUV\ZSLHKLYZV]LYH`LHYLHYSPLY>OLU[OL
rest of the federation and the communities “found
V\[[OH[HUHNYLLTLU[OHKILLUZPNULK^P[OV\[HU`
[`WL VM JVUZ\S[H[PVU¯[OL WLVWSL ILJHTL M\YPV\Z
HUK PUZ\S[LK [OLT B[OL JVTWHU` NV]LYUTLU[
VMÄJPHSZ HUK [OL SLHKLYZ [OH[ OHK ZPNULK [OL
HNYLLTLU[D¯HUK ÄUHSS` [OL` [OYL^ [OLT HSS V\[¹
A second major theme raised in many of my
interviews was related to concerns about impacts
from oil exploration and extraction. By way of
JVU[L_[P[PZ^VY[OTLU[PVUPUN[OH[[OLYLOHZILLUHU
LMMVY[I`[OL7LY\]PHUNV]LYUTLU[HUK[OLJVTWHUPLZ
themselves to create a “conceptual break” between
new and old oil exploration and extraction, by
KPZ[PUN\PZOPUN J\YYLU[ VPS L_WSVYH[PVU MYVT WYL]PV\Z
VPSL_[YHJ[PVUPU[OLJV\U[Y`-VYL_HTWSLPUYLNHYKZ
[V TPULYHS YLZV\YJLZ NLULYHSS` 7LY\]PHU 7YLZPKLU[
(SHU .HYJPH OHZ Z[H[LK [OH[ ¸VUS` H [LU[O VM [OLZL
YLZV\YJLZHYLJ\YYLU[S`ILPUNL_WSVP[LKILJH\ZL^L
HYLZ[PSSKPZJ\ZZPUNPMTPULYHSKL]LSVWTLU[KLZ[YV`Z[OL
environment, which is a theme from the last century¯
LU]PYVUTLU[HS WYVISLTZ [VKH` HYL IHZPJHSS` MYVT¯
`LZ[LYKH`¹.HYJPH"LTWOHZPZHKKLK*VTWHUPLZ
OH]LHSZVOPNOSPNO[LK[OLPYWSHUZ[V\ZLSV^LYPTWHJ[
L_WSVYH[PVU HUK L_[YHJ[PVU [LJOUPX\LZ JVTWHYLK [V
those used in the past in Peru, such as reinjection of
formation waters and the use of a new type of seismic
[LZ[PUN[OH[OHZZTHSSLYL_WSVZPVUZHZH^H`[VZPNUHS
that current operations will have minimal impacts.
Despite assurances of minimal impacts from
“new” oil exploration and extraction, informants in
T` PU[LY]PL^Z JVUZPZ[LU[S` JP[LK [OH[ PUKPNLUV\Z
WLVWSLZ ^LYL IV[O RUV^SLKNLHISL HIV\[ [OL
WYL]PV\Z JVU[HTPUH[PVU HUK SHJR VM ILULÄ[ ZOHYPUN
and were concerned that they would similarly be
OHYTLK PU [OPZ THUULY -PN +\YPUN T` ZP[L
visit to this area I heard many accounts of past and
J\YYLU[ JVU[HTPUH[PVU HUK TPUPTHS ILULÄ[ ZOHYPUN
Concerns about impacts were not only
limited to direct impacts from contamination or lack
VM ILULÄ[ ZOHYPUN I\[ HSZV L_[LUKLK [V JVUJLYUZ
YLSH[LK[VPUKPNLUV\Z]HS\LZ[V^HYK[OLSHUK[OH[HYL
UV[JHW[\YLKI`[OLZ[H[LVYJVTWHUPLZ-VYL_HTWSL
VULPUKPNLUV\ZSLHKLYHUKRL`PUMVYTHU[Z[YLZZLK[OH[!
¸-VY \Z [OL Z\IZVPS¯PZ UV[ VUS` HIV\[
WL[YVSL\T NVSK ZPS]LY¯I\[ P[ HSZV PZ ^OLYL
[OLYL PZ [OL TV[OLY VM [OL SHUK 6\Y TV[OLY
is also there, and the spirits are there in
[OL Z\IZVPS¯[OL IVULZ VM V\Y HUJLZ[VYZ¯
Figure 2. Oil tanker
outside of San José
de Saramuro, Marañon River, Peruvian
Amazon. [Photograph by Lauren
Baker.]
Tropical Resources Bulletin 41
Lauren Baker
[OL \TIPSPJHS JVYKZ VM V\Y JOPSKYLU¯[OL
WSHJL MVY M\[\YL NLULYH[PVUZ ;OPZ ZWPYP[\HS
relationship that unites us with our territory,
^P[O V\Y Z\IZVPS ¶ [OL` KVU»[ JVUZPKLY¹
;OL MYLX\LUJ` ^P[O ^OPJO T` PUMVYTHU[Z
OPNOSPNO[LK[OLZL[`WLZVMJVUJLYUZPUKPJH[L[OH[THU`
PUKPNLUV\Z SLHKLYZ HUK JVTT\UP[PLZ HYL \U^PSSPUN
[V HJJLW[ [OL ¸JVUJLW[\HS IYLHR¹ ILPUN WYVTV[LK
by the state and companies and are concerned
about the myriad possible environmental and social
impacts, and at least some are skeptical that the state
VY JVTWHUPLZ \UKLYZ[HUK HUK YLZWLJ[ PUKPNLUV\Z
values toward and connection to their lands and
territories (values that are not captured in EIAs).
A third, notable trend was that for many
PUKPNLUV\ZWLVWSLZ[OLSLNP[PTHJ`VM[OLJVUJLZZPVUZ
^HZ X\LZ[PVULK H[ H M\UKHTLU[HS SL]LS NP]LU [OL
JSHPTZ VM WYPVY HUK WYPVYP[` JVU[YVS I` PUKPNLUV\Z
WLVWSLZ [V [OLPY [LYYP[VYPLZ -VY L_HTWSL PU VUL
of my interviews with a well-respected Peruvian
HU[OYVWVSVNPZ[ OL Z[YLZZLK [OH[ H JLU[YHS WVPU[ [V
\UKLYZ[HUK HIV\[ PUKPNLUV\Z JVTT\UP[PLZ PU 7LY\
PZ [OH[ [OLZL WLVWSLZ ¸OH]L YPNO[Z [OH[ HYL WYPVY [V
[OVZLVM[OL:[H[L¹NP]LU[OH[[OL`HYLVYPNPUHS[V[OL
area (“por el hecho de ser originarios”). The same
PKLH^HZYLWLH[LKPUV[OLYPU[LY]PL^Z-VYL_HTWSL
PU VUL PU[LY]PL^ ^P[O HU PUKPNLUV\Z SLHKLY ZOL
UV[LK[OH[¸[OLZ[H[LPZYLJLU[S`JYLH[LKHZHZ[H[L¯
we have lived here much before the state was created,”
HZQ\Z[PÄJH[PVUMVYYPNO[ZIHZLK\WVUHUJLZ[YHSJSHPTZ
0UHUV[OLYPU[LY]PL^^P[OHU5.6IHZLK(THaVUPHU
PUKPNLUV\Z L_WLY[ 0 ^HZ [VSK HIV\[ [OL Z[Y\NNSLZ VM
[OL4H[ZtZWLVWSLZ[VKLMLUK[OLPY[LYYP[VY`MYVTVPS
HUK MVYLZ[Y` JVUJLZZPVUZ ;OLZL JVTT\UP[PLZ
YLWYLZLU[LKI`[OLPYPUKPNLUV\ZMLKLYH[PVUKLJSHYLK
in 2000 that they would close their territory to any
JVUJLZZPVUZ MYVT [OL NV]LYUTLU[ H WVZP[PVU [V
^OPJO [OL` OH]L OLSK ÄYT KLZWP[L [OL JVU[PU\PUN
Z[H[L JSHPTZ [V [OLPY [LYYP[VY` PUJS\KPUN MVY VPS
exploration. My informant also noted that while
[OL4H[ZtZHYLRUV^SLKNLHISLHIV\[Z[H[LJSHPTZ[V
YLZV\YJLZ[OH[[OL`KVUV[HJJLW[Z\JOJSHPTZNP]LU
[OH[ [OL` HYL ÄYT [OH[ [OPZ PZ 4H[ZtZ» [LYYP[VY` ¸los
Matsés tienen bien grabado en sus cabezas que todo
Figure 3. Post-Bagua conflict banner, indicating solidarity with national indigenous federation,
AIDESEP, and former president of that federation Alberto Pizango, who fled the country and was
granted political asylum in Nicaragua after being targeted for arrest under charges that included
sedition and inciting rebellion. Banner text (excerpt): “Alberto Pizango: The people are with you.
Long live peaceful struggles! For the defense of the rights of indigenous peoples and their territories.”
[Photograph by Lauren Baker.]
42 Volume 29, 2010
Indigenous perspectives on oil exploration concessions in the Peruvian Amazon
esto es territorio Matsés”) that they continue to defend
[OYV\NOTVUP[VYPUNJYL^Z¸rondas de vigilancia”) and
proclamations to close their territories to extraction.
[OH[ HYL IV[O WYLZZPUN HUK YPWL MVY M\Y[OLY Z[\K`
( MV\Y[O HUK ÄUHS PZZ\L [OH[ HYVZL PU THU`
interviews related to concerns about violence and
repression. This was particularly evident with the
)HN\HJVUÅPJ[MYVT[OPZZ\TTLY>P[OPU[^VKH`ZVM
my arrival in Peru there was a major confrontation
IL[^LLUWVSPJLHUKPUKPNLUV\ZWYV[LZ[LYZPU[OLUVY[O
VM[OLJV\U[Y`YLZ\S[PUNPU[OLKLH[OZVMV]LYWVSPJL
VMÄJLYZ HUK PUKPNLUV\Z WLVWSL ;OPZ ^HZ MVSSV^LK
by a rapid crackdown on leaders in the national
PUKPNLUV\ZMLKLYH[PVUTHU`VM^OVT^LYL[HYNL[LK
MVY HYYLZ[ \UKLY JOHYNLZ VM PUJP[PUN YPV[ZYLILSSPVU
JVUZWPYHJ`ZLKP[PVUHUKJYPTLZHNHPUZ[W\ISPJWLHJL
HUK[YHUX\PSP[`;OL)HN\HJVUÅPJ[HSZVYLZVUH[LK^P[O
V[OLYZP[\H[PVUZPU[OLUVY[OLYU7LY\]PHU(THaVU[OH[
I was told about in interviews, such as an incident in
(UKVHZMVSSV^PUNHUPUKPNLUV\ZWYV[LZ[[OH[YLZ\S[LKPU
[OLKLH[OVMHWVSPJLVMÄJLYHUKJVTT\UP[`TLTILY
;OLZL[`WLZVMJVUÅPJ[ZHUK[OLPYHM[LYTH[OJLY[HPUS`
YHPZLK H^HYLULZZ HIV\[ [OL ]VSH[PSP[` Z\YYV\UKPUN
PUKPNLUV\ZWYV[LZ[PU7LY\HUKTHU`VMT`PUMVYTHU[Z
KLZJYPILK MLHYZ VM HKKP[PVUHS TPSP[HYPaH[PVU VY M\[\YL
YLWYLZZPVU VM PUKPNLUV\Z JVTT\UP[PLZ VY SLHKLYZ
0^V\SKSPRL[V[OHUR[OLNLULYV\ZZ\WWVY[VM[OL
;YVWPJHS 9LZV\YJLZ 0UZ[P[\[L *VJH *VSH >VYSK -\UK HUK
(NYHYPHU:[\KPLZ7YVNYHT[VM\UK[OPZYLZLHYJO;OHURZHSZV
[VJVSSLHN\LZHUKMYPLUKZPU7LY\HUK>HZOPUN[VU+*[OH[
OH]LPUVUL^H`VYHUV[OLYOLSWLKT`[OPURPUNHUKYLZLHYJO
VU [OPZ [VWPJ PUJS\KPUN(UKYL^ 4PSSLY 4H[[ -PULY *HYSVZ
Soria, Percy Summers, Hernan Coronado, Alberto Chirif
HUK(SMVUZV 3VWLa([@HSL 0 ^V\SK SPRL [V HJRUV^SLKNL
the academic support of my co-advisors, Michael Dove
and Robert Bailis, as well as additional faculty support
MYVT+V\N9VNLYZ3PII`>VVKHUK(TP[`+VVSP[[SLHUK
additional thanks for comments on previous versions of this
WHWLYMYVTWLLYZPU4PJOHLS+V]L»Z-HSS :VJPL[`HUK
,U]PYVUTLU[JSHZZHUK[OL:VJPHS,JVSVN`KVJ[VYHSSHI
4`ÄUKPUNZOH]LJVUÄYTLK[OH[PUKPNLUV\Z
WLVWSLZPU[OL7LY\]PHU(THaVUOH]LTHU`JVUJLYUZ
about the recent oil exploration concessions in their
[LYYP[VYPLZ YHUNPUN MYVT JVUJLYUZ YLNHYKPUN [OL
JVUJLZZPVUPUN WYVJLZZ WVZZPISL KPYLJ[ HUK PUKPYLJ[
impacts, the possibility of violence and repression,
HUKMVYTHU`HX\LZ[PVUPUNVM[OLSLNP[PTHJ`VM[OL
JVUJLZZPVUZ[OLTZLS]LZ9H[OLY[OHUILPUNHJJLW[LK
HZHULJLZZP[`MVYUH[PVUHSWYVNYLZZ[OLJVUJLZZPVUZ
have both revealed and provoked tensions between
[OL Z[H[L HUK THU` PUKPNLUV\Z JVTT\UP[PLZ
There are also early indications that oil exploration
JVUJLZZPVUZ PU [OL 7LY\]PHU (THaVU HYL MLLKPUN
PU[V^OH[NLVNYHWOLY4PJOHLS>H[[ZOHZ[LYTLK[OL
“double-movement,” in which concessions for natural
YLZV\YJLZWYV]PKLIV[OH¸JLU[YHSPaPUNMVYJL[OH[THRLZ
the state more visible” but simultaneously “discredit
[OLZ[H[LHUKP[ZMVYTZVMNV]LYUHUJL¹>H[[Z
;OL [`WLZ VM JVUJLYUZ PKLU[PÄLK HIV]L LZWLJPHSS`
[OVZL [OH[ JHSS PU[V X\LZ[PVU [OL Z[H[L»Z JSHPTZ H[ H
fundamental level, indicate that this is not a situation
[OH[^PSSILLHZPS`YLZVS]LK[OYV\NO[LJOUPJHSÄ_LZVY
UVTPUHSULNV[PH[PVU>OH[YLTHPUZ[VILKL[LYTPULK
PZOV^[OLZL[LUZPVUZIL[^LLUZ[H[LHUKPUKPNLUV\Z
claims to resources in the same territories can or will
IL HKKYLZZLK HUK [OL YVSL VM UH[PVUHS HUK YLNPVUHS
PUKPNLUV\ZTV]LTLU[ZPUHZZLY[PUNJSHPTZ¶X\LZ[PVUZ
Acknowledgements
9LMLYLUJLZ
AIDESEP (Inter-Ethnic Association for the Development of
[OL7LY\]PHU(THaVU6J[VILY
¸0UKPNLUV\ZVYNHUPaH[PVUZHUUV\UJLTLHZ\YLZPM
Talisman oil company does not abandon Block
¹O[[W!^^^HTHaVU^H[JOVYNUL^ZYVVT
]PL^FUL^ZWOW&PK$PU,UNSPZO"O[[W!^^^
HPKLZLWVYNWLPUKL_WOW&JVKUV[H$ PU:WHU
ish).
AIDESEP (Inter-Ethnic Association for the Development
VM[OL7LY\]PHU(THaVU5K¸7YVNYHTHKL;LYYP
[VYPV9LJ\YZVZ5H[\YHSLZ`+LYLJOVZ/\THUVZ¹
O[[W!^^^HPKLZLWVYNWLPUKL_WOW&JVKUV[H$ (THaVU>H[JO 5V]LTILY7YLZZ9LSLHZL!
¸0UKPNLUV\ZWLVWSLZLUK\S[PTH[\T[V9H`/\U[!º.L[
`V\YVPSJVTWHU`V\[VMV\YWYV[LJ[LKHYLHZ»¹ O[[W!HTHaVU^H[JOVYNUL^ZYVVT]PL^F
UL^ZWOW&PK$ (970(ZVJPHJP}U9LNPVUHSKL7\LISVZ0UKxNLUHZKLSH
:LS]H*LU[YHS1\UL¸9H[PÄJHJP}UKL
posición frente a las concesiones y actividades de
Empresas Multinacionales en territorio de pueblos
PUKxNLUH(9(>(2:LS]H*LU[YHS7LY‚¹O[[W!
^^^HPKLZLWVYNWLPUKL_WOW&JVKUV[H$
-PULY4*51LURPUZ:37PTT)2LHULHUK*9VZZ
6PSHUKNHZWYVQLJ[ZPU[OL^LZ[LYU(THaVU!
[OYLH[Z[V^PSKLYULZZIPVKP]LYZP[`HUK0UKPNLUV\Z
7LVWSLZ73V:65,!L KVP!QV\YUHS
WVUL .HYJxH7tYLa(6J[VILY¸,S:xUKYVTLKLS7LYYV
del Hortelano.” El Comercio, Perú.
Tropical Resources Bulletin 43
Lauren Baker
:LY]PUKP(WYPS¸65<!+LU\UJPHUZ\WLYWVZPJP}U
KLSV[LZKLOPKYVJHYI\YVZZVIYLmYLHZWYV[LNPKHZ
`[LYYP[VYPVZPUKxNLUHZ¹O[[W!^^^ZLY]PUKPVYN
HJ[\HSPKHK :LY]PUKP 1\S`¸7LY‚!º,ZMHSZVX\LSVZW\LISVZ
HTHa}UPJVZ[PLULUºKLTHZPHKVZ»[LYYP[VYPVZ»HÄYTH
LZWLJPHSPZ[H¹O[[W!^^^ZLY]PUKPVYNHJ[\HSP
KHK
<UP[LK5H[PVUZ+LJSHYH[PVUVU[OL9PNO[ZVM0UKPNLUV\Z
7LVWSLZ(9,: (KVW[LKI`[OL.LULYHS
(ZZLTIS`:LW[LTILY
>H[[Z4=PVSLU[LU]PYVUTLU[Z!WL[YVSL\TJVUÅPJ[
HUK[OLWVSP[PJHSLJVSVN`VMY\SLPU[OL5PNLY+LS[H
5PNLYPH0U3PILYH[PVU,JVSVNPLZ!,U]PYVUTLU[
Development, Social Movements, edited by R. Peet
HUK4>H[[Z5L^@VYR!9V\[SLKNL
44 Volume 29, 2010
In Search of the True Adivasi:
The Politics of Land Rights in Mudumalai Wildlife Sanctuary, India
Roopa Krithivasan, MESc 2010
>OVPZH;YPIHS&>OVOHZYPNO[Z[VSP]L\ZL
HUK WYV[LJ[ [OL MVYLZ[ HUK ^OV KVLZU»[& ;V ^OVT
PZ [OL;YPIHS HSSPLK HUK ^OVT KVLZ ZOLOL VWWVZL&
6I]PV\ZS`UVULVM[OLZLX\LZ[PVUZPZHUZ^LYHISLVY
H[ SLHZ[ ^PSS UV[ IL TL[ ^P[O H ZPUNSL HUZ^LY ^OLU
posed to the multiple players involved in what is
UV^ [OL YH[OLY TLZZ` ZP[\H[PVU VM SHUK YPNO[Z MVYLZ[
access, and conservation in the buffer areas of
Mudumalai Wildlife Sanctuary (MWLS) of southern
0UKPH"MVY[OH[TH[[LYP[TH`UV[L]LUTLL[^P[O[OL
same response from the same person in different
JVU[L_[Z ;OL ZP[\H[PVU H[ 4\K\THSHP Z\YYV\UKPUN
^PSKSPML JVUZLY]H[PVU HUK YLZPKLU[Z» YPNO[Z OPUNLZ
[V H SHYNL L_[LU[ VU [OL ^H`Z PU ^OPJO [OL PKLH VM
¸[YPIHS¹ VY(KP]HZP PZ JVUZ[Y\J[LK HUK UH]PNH[LK PU
relation to the “natural” environment and humanoccupied landscape. This has become especially
PTWVY[HU[PU[OLMHJLVM[OL-VYLZ[9PNO[Z(J[VM
-9(^OPJOWYVTPZLZNYLH[LYH\[VUVT`HUKHJJLZZ
[V (KP]HZP JVTT\UP[PLZ HUK V[OLY NYV\WZ [OH[ OH]L
traditionally used forests and their products for their
SP]LSPOVVKZ;OLPZZ\LVM(KP]HZPPKLU[P[`HUKLX\HSS`
importantly of non-Adivasi identity - becomes crucial
PU\UKLYZ[HUKPUN[OLJVTWSPJH[PVUZ[OH[JHUHUK^PSS
WYLZLU[[OLTZLS]LZPU[OLPTWSLTLU[H[PVUVM[OL-9(
both at this site and elsewhere in India.
;VJVTWSPJH[LTH[[LYZPU[OLWYVJLZZ
[V KLJSHYL 4\K\THSHP HZ H *YP[PJHS ;PNLY /HIP[H[
(CTH) was also initiated. This expansion essentially
WYVWVZLK [V PUJYLHZL [OL IV\UKHYPLZ VM [OL L_PZ[PUN
4>3: [V PUJS\KL TVYL OHIP[H[ MVY [PNLYZ;OPZ UL^
HYLH^V\SK[OLUOH]LKLZPNUH[LK¸I\MMLYaVULZ¹^OLYL
SPTP[LK O\THU \ZL PZ WLYTP[[LK HUK ¸JVYL aVULZ¹
where access is restricted. This re-evaluation and
Roopa Krithivasan is from Mumbai, India. Her
research interests include social ecology, conflicts at
human-wildlife interfaces, and land rights struggles
in ecologically sensitive areas. She plans to pursue
a career in international conservation and social
justice.
YLHSSV[TLU[ VM SHUK HUK SHUK\ZLZ SHYNLS` ^P[OV\[
the involvement or consent of affected communities,
OHZILLUHUHKKP[PVUHSJH\ZLVMKPZHNYLLTLU[^OLYL
political and community identities have come into
play. This study is primarily concerned with what
[OL PTWSLTLU[H[PVU VM [OL *;/ HUK -9( ^PSS TLHU
MVYPUKPNLUV\ZSHUKYPNO[ZHUKPUKPYLJ[S`HIV\[^OH[
this means for the success of conservation efforts. The
LJVSVN` VM [PNLY JVUZLY]H[PVU PZ UV[ T` THPU [VWPJ"
however, the success of conservation efforts will be
impacted by human attitudes, values and behaviors.
+LZJYPW[PVU VM Z[\K` HYLH HUK ÄLSK
work:
4\K\THSHPPZZP[\H[LKPU[OL5PSNPYPKPZ[YPJ[VM;HTPS
5HK\0UKPH0[PZVMOPZ[VYPJHSPTWVY[HUJLHZVULVM[OL
LHYSPLZ[LZ[HISPZOLKWYV[LJ[LKHYLHZPU0UKPHPU "
LJVSVNPJHSS` PTWVY[HU[ HZ WHY[ VM H MVYLZ[LK JVYYPKVY
HSVUN ^P[O >`HUHHK 5HNHYOVSL )HKPW\Y HUK
:H[`HTHUNHSHTMVYLZ[ZQVPUPUN[OLIPVKP]LYZL,HZ[LYU
HUK>LZ[LYU .OH[Z" HUK J\S[\YHSS` PTWVY[HU[ HZ [OL
OVTLVMÄ]L(KP]HZPJVTT\UP[PLZHUKHZ[OLQ\UJ[PVU
VM[OYLLSPUN\PZ[PJHSS`KPZ[PUJ[Z[H[LZ^P[OSHYNL4\ZSPT
and Christian populations in addition to Hindus.
-VY[OYLLHUKHOHSMTVU[OZMYVT4H`[V(\N\Z[
0JVUK\J[LKL[OUVNYHWOPJYLZLHYJOPU[OL:PN\Y
7SH[LH\HKQHJLU[[V4>3:;OPZYLNPVUVYPNPUHSS`SH`
V\[ZPKL[OLIV\UKHYPLZVM4>3:"OV^L]LYPU
4\K\THSHP ^HZ UV[PÄLK HZ H *;/ HUK :PN\Y ^HZ
included in the buffer area. Around the same time,
HUL^SLNPZSH[P]LTLHZ\YLRUV^UHZ[OL-VYLZ[9PNO[Z
(J[-9(JHTLPU[VILPUN^OPJOWYVTPZLK[VJVU]LY[
KLMHJ[VSHUKYPNO[ZPUMVYLZ[LKHYLHZPU[VSLNHSSHUK
[P[SLZ MVY (KP]HZPZ" TVZ[ UVU[YPIHSZ HYL UV[ LSPNPISL
Both of these measures, as I will discuss
SH[LY OH]L ILLU OPNOS` JVU[YV]LYZPHS H[ [OL JLU[YHS
NV]LYUTLU[ SL]LS (KP]HZP YPNO[Z HJ[P]PZ[Z HYN\L [OH[
the forest department is notorious for its history of
WVVYS` THUHNLK JVUZLY]H[PVU WYVQLJ[Z HUK MVY P[Z
TPZ[YLH[TLU[VMTHYNPUHSPaLKJVTT\UP[PLZHUK[OH[
the CTH is just another excuse to appropriate yet
TVYLSHUKHUKKPZWSHJL`L[TVYLWLVWSL6U[OLV[OLY
Tropical Resources Bulletin 45
Roopa Krithivasan
OHUKJVUZLY]H[PVUPZ[ZHYN\LK[OH[[\YUPUNV]LYMVYLZ[ VU MVYLZ[ \ZL ¶ H QVI WYL]PV\ZS` SLM[ [V [OL -VYLZ[
SHUK[V(KP]HZPZ[OV\NO[OL-9(^V\SKVUS`SLHK[V Department. The buffer area of Mudumalai CTH is a
more destruction of forests, either directly by Adivasis, [`WLVMMVYLZ[[V^OPJO-9(PZHWWSPJHISL"[OLJVYLPZUV[
or because lands would be turned over to developers.
>OH[PZPTWVY[HU[[VUV[LPZ[OH[^OPSL:PN\Y
;OLW\YWVZLVMT`YLZLHYJO^HZ[VPU]LZ[PNH[L has a mixed population, the majority of which is
OV^ [OLZL [^V OPNOS` W\ISPJPaLK HUK JVU[YV]LYZPHS non-tribal, only adivasis (and a handful of nonTLHZ\YLZ^LYLILPUNKLIH[LKHUKKPZJ\ZZLKI`[OVZL tribals who have lived on the same plot of land for
SP]PUN PU HYLHZ [OH[ ^V\SK IL HMMLJ[LK I` [OL *;/ V]LY [OYLL NLULYH[PVUZ HYL LSPNPISL 6[OLY NYV\WZ
HUK -9( HUK [OL JH\ZLZ MVY JVUÅPJ[ Z\YYV\UKPUN are not. While many non-tribal farmers and livestock
[OLZL PZZ\LZ :WLJPÄJHSS` 0 ^HZ PU[LYLZ[LK PU V^ULYZ PU [OL HYLH V^U SHUK H SHYNL WVY[PVU OH]L
\UKLYZ[HUKPUNWLVWSL»ZYLHZVUPUNILOPUKZ\WWVY[PUN leases to land owned by the state which could,
VY VWWVZPUN [OL *;/ VY -9( 0 O`WV[OLZPaLK [OH[ PU [OLVY` IL [HRLU H^H` MYVT [OLT" THU` MLHY
CTH may be opposed by residents based on concerns that this will be the case if the CTH is declared.
HIV\[ LSL]H[LK SL]LSZ VM JVUÅPJ[ ^P[O ^PSKSPML HUK
K\L [V TPZ[Y\Z[ VM [OL -VYLZ[ +LWHY[TLU[ 0 HSZV *YP[PJHS;PNLY/HIP[H[ZHYLHSZVHUL^KL]LSVWTLU[
O`WV[OLZPaLK[OH[(KP]HZPZ^V\SKILOPNOS`PUMH]VY PU0UKPHMVSSV^PUN[OLSVJHSL_[PYWH[PVUVM[PNLYZMYVT
VM [OL -9( I\[ [OH[ UVU[YPIHS YLZPKLU[Z ^V\SK UV[ :HYPZRH;PNLY:HUJ[\HY`PU*;/ZILSVUN[V[OL
4` YLZLHYJO Z\NNLZ[Z Z\YWYPZPUNS` KPMMLYLU[ [YLUKZ TVZ[ Z[YPUNLU[ JH[LNVY` VM ¸MVYLZ[ SHUK¹ JVU[YVSSLK
I`[OL-VYLZ[+LWHY[TLU[JVUZPZ[PUNVMHUPU]PVSH[L
I interviewed over 120 people, about half of ¸JVYL¹ aVUL MYLL VM O\THU WYLZLUJL HUK HJ[P]P[`"
[OLTILSVUNPUN[V[OL0Y\SHHUK1LU\2\Y\TIH(KP]HZP and a “buffer” where certain activities, such as
[YPILZVM:PN\YHUK[OLYLTHPUPUNILSVUNPUN[VUVU JVUZ[Y\J[PUNUL^I\PSKPUNZ^V\SKILJ\Y[HPSLKI\[
tribal communities. These included the politically HWHY[ MYVT [OH[ THQVY SP]LSPOVVKZ Z\JO HZ MHYTPUN
^LSSVYNHUPaLK SHYNLSHUKV^ULYZ WYPTHYPS` MHYTLYZ OLYKPUNL[J^V\SKILHSSV^LK[VJVU[PU\LHZILMVYL
^P[O V]LY HJYLZ VM SHUK HUK [V\YPZT SVKNLZ
tourist vehicle drivers, local politicians, and
forest department workers. Most interviews were 7LYJLW[PVUZ[V^HYKZMVYLZ[ZHUK
VI[HPULK [OYV\NO ZUV^IHSS ZHTWSPUN 0U HKKP[PVU ^PSKSPML!
0 H[[LUKLK H U\TILY VM MHTPS` NH[OLYPUNZ YLSPNPV\Z
JLSLIYH[PVUZ HUK HJJVTWHUPLK NYV\WZ VM WLVWSL 4`VYPNPUHSO`WV[OLZLZHZZ\TLK[OH[WLVWSLZ»
in their places of work, as a participatory observer. H[[P[\KLZ [V^HYKZ [OL *;/ HUK -9( PU WHY[PJ\SHY
^V\SK IL Z[YVUNS` PUÅ\LUJLK I` [OLPY H[[P[\KLZ
[V^HYKZMVYLZ[ZHUK^PSKSPML0HZZ\TLKÄYZ[VMHSS[OH[
Critical Tiger Habitat and the Forest [OLKLJSHYH[PVUVM[OL*;/TPNO[YLWYLZLU[[VZVTL
H OLPNO[LULK JVUJLYU HIV\[ JVUÅPJ[ ^P[O ^PSKSPML
9PNO[Z(J[!HIYPLMPU[YVK\J[PVU
WHY[PJ\SHYS`[PNLYZI\[HSZVLSLWOHU[ZKLLYHUK^PSK
WPNZ 0 MV\UK [OPZ [V IL [OL JHZL VUS` UVTPUHSS`
;OL :JOLK\SLK;YPILZ HUK 6[OLY;YHKP[PVUHS (ULJKV[LZ ^P[O -VYLZ[ +LWHY[TLU[ LTWSV`LLZ
-VYLZ[ +^LSSLYZ 9LJVNUP[PVU VM -VYLZ[ 9PNO[Z (J[ WSH`PUNHSHYNLS`ULNH[P]LYVSLYHUNPUNMYVTZ[VYPLZ
-9( H[[LTW[Z [V ¸YLJVNUPaL HUK ]LZ[ [OL of mild corruption, to serious violence and coercion
MVYLZ[ YPNO[Z HUK VJJ\WH[PVU PU MVYLZ[ SHUK PU MVYLZ[ -- were fairly common. Without a doubt, obvious
K^LSSPUN:JOLK\SLK;YPILZHUKV[OLY[YHKP[PVUHSMVYLZ[ L_HNNLYH[PVUZ VM [OL -VYLZ[ +LWHY[TLU[»Z HJ[P]P[PLZ
K^LSSLYZ ^OV OH]L ILLU YLZPKPUN PU Z\JO MVYLZ[Z MVY HSZVL_PZ[([HU\TILYVMWVSP[PJHSYHSSPLZÅ`LYZ^LYL
NLULYH[PVUZI\[^OVZLYPNO[ZJV\SKUV[ILYLJVYKLK¹ OHUKLK V\[ KLZJYPIPUN [OL WYVJLZZ I` ^OPJO [OL
;OLYL HYL [^V RPUKZ VM YPNO[Z HJJVYKLK I` [OL -9( -VYLZ[+LWHY[TLU[^HZZLJYL[P]LS`YLSVJH[PUNKVaLUZ
The most publicly known and controversial of these VM [PNLYZ [V 4\K\THSHP ^P[OV\[ Z\MÄJPLU[ ^PSK WYL`
HYL[P[SLYPNO[ZMVYJ\S[P]H[LKSHUK,ZZLU[PHSS`(KP]HZPZ H]HPSHISL;OYV\NOZ\JOKVJ\TLU[ZHUKHU\TILYVM
JHUVI[HPUSLNHSYPNO[ZMVYSHUK^OPJO[OL`OH]LSP]LK discussions with locals, particularly non-tribals, it was
on and cultivated, but on which they were historically L]PKLU[ [OH[ LZWLJPHSS` HTVUN UVU[YPIHSZ [OL *;/
JVUZPKLYLK ¸LUJYVHJOLYZ¹ VY ¸ZX\H[[LYZ¹ ;OL -9( YLWYLZLU[LK UV[ H NYLH[LY [OYLH[ MYVT ^PSKSPML I\[ H
HSZVJVU[HPUZJSH\ZLZVUJVTT\UP[`THUHNLTLU[MVY NYLH[LY [OYLH[ VM LSL]H[LK -VYLZ[ +LWHY[TLU[ JVU[YVS
forest use and development, and entails the formation V]LYMVYLZ[ZHUK^PSKSPML0^PSSKPZJ\ZZSH[LY[OV\NO[OH[
VM]PSSHNLJVTT\UP[PLZ[VTHRLKLJPZPVUZJVSSLJ[P]LS` [OPZVWPUPVUPZUV[ZOHYLKI`THU`(KP]HZPZPU:PN\Y
46 Volume 29, 2010
In Search of the True Adivasi
(KPZJ\ZZPVUVM(KP]HZPHUKUVU[YPIHS
identities
ZHTLYPNO[ZHZ(KP]HZPZ"ZPTPSHYS`PM[OL*;/^PSSIYPUN
in funds for development of Adivasi livelihoods, non(KP]HZPJVTT\UP[PLZZOV\SKHSZVILULÄ[
As discussed earlier, the historical viewpoint on
¸(KP]HZPJ\S[\YL¹OHZILLUV]LY^OLSTPUNS`ULNH[P]L
WHY[PJ\SHYS`PUYLSH[PVU[VMVYLZ[Z![YPIHSZHYLHIQLJ[S`
poor, and therefore destructive of forests. More
YLJLU[S`OV^L]LY[OLYLOHZILLUHW\ZOILNPUUPUN
^P[O 5.6Z HUK L_[LUKPUN PU[V NV]LYUTLU[ [V
YLJVNUPaL[OLYPNO[ZVM(KP]HZPJVTT\UP[PLZ;OLYLOHZ
HSZVILLUHTV]L[VJOHUNL[OLKPZJV\YZLZ\YYV\UKPUN
[YPIHSZ MYVT H ULNH[P]L PTHNL VM HU \ULK\JH[LK
IHJR^HYKZ JVTT\UP[` [V VUL VM H WLVWSL SP]PUN PU
OHYTVU` ^P[O UH[\YL;OPZ YLWYLZLU[Z H ZLH JOHUNL
PU ZVJPHS UVYTZ" 4\K\THSHP PZ UV^ H[ H JYVZZYVHKZ
where most individuals of non-Tribal communities
hold their past prejudices towards Adivasis, yet
understand that in the face of new norms of political
JVYYLJ[ULZZ[OL`[VVT\Z[H[SLHZ[V\[^HYKS`JOHUNL
their stance towards Adivasis.
Ironically, and importantly, non-Adivasi landV^ULYZ^OVHYLUV[LSPNPISL\UKLY[OL-9(ZLLTTVYL
supportive of it than do landless Adivasis, whom it is
Z\WWVZLK[VILULÄ[;OPZHWWLHYZ[VILILJH\ZLUVU
Adivasis feel that they should be treated to the same
HK]HU[HNLZ HZ (KP]HZPZ I\[ HSZV OH]L [OL WVSP[PJHS
JSV\[ [V LUZ\YL [OH[ [OLPY PULSPNPIPSP[` PZ V]LYSVVRLK
;O\Z [OL ZP[\H[PVU PZ Z\JO! (KP]HZPZ OH]L [OL SLNHS
YPNO[Z I\[ VM[LU UV[ [OL TLHUZ ^OPSL UVU(KP]HZPZ
OH]LUV[[OLSLNHSYPNO[ZI\[[OLVM[LUWVSP[PJHSTLHUZ
HUK^PSS[VILUKP[[V[OLPYHK]HU[HNL
More importantly, non-tribals are aware of
the political implications of the new tribal identity,
HUK OV^ P[ [YHUZSH[LZ PU[V WVSPJ` HUK NV]LYUTLU[
HJ[PVU ;OL` YLJVNUPaL [OH[ [OL -9( PZ H TV]L
NHYULYLK[V^HYKZWYVTV[PUN[OLPU[LYLZ[ZVM(KP]HZPZ"
H[ [OL ZHTL [PTL -VYLZ[ +LWHY[TLU[Z [OYV\NOV\[
the country – which have historically been known
MVY [OLPY TPZ[YLH[TLU[ VM THYNPUHSPaLK JVTT\UP[PLZ
¶OH]LZ[HY[LK[VVMMLYHU\TILYVMILULÄ[Z[VMVYLZ[
K^LSSPUN(KP]HZPNYV\WZ;O\ZUVU[YPIHSZOH]LMV\UK
P[HK]HU[HNLV\ZL]LUULJLZZHY`[VHSPNU[OLTZLS]LZ
with, or even identify themselves as, Adivasis.
;OPZPZKVULPUVULVM[^V^H`Z!ÄYZ[HUVU
Adivasi may claim that he or she has been historically
allied with the Adivasis, and is therefore just like them.
;OLHYN\TLU[PZVM[LUZPTPSHY[V[OPZ!¸L]LY`VUL^PSS
HNYLL[OH[[OL(KP]HZPZOH]LILLUOLYLMVYO\UKYLKZ
of years. However, they have worked for us and with
us for hundreds of years. Therefore, we are just the
same as the Adivasis” (V. Matthews, local politician*).
;OH[PZJSHPTZVMPUKPNLULP[`OPZ[VYPJHSYLSH[PVUZOPWZ
^P[O[OLSHUKHUKWLVWSLHYL\ZLKHZHYN\TLU[ZMVY
tribalness. Secondly, non-tribals may claim that they
J\YYLU[S`SP]L¸Q\Z[SPRL(KP]HZPZ¹![OL`OH]LSP[[SLSHUK
are dependent on the rain for their harvests and on
the forests for their fuelwood, but are at the same
time just as protective of the forests as Adivasis are
Z\WWVZLK[VIL.V]PUKHUSHUKLKMHYTLY
The elusive “Adivasi opinion”
>OPSLUVU[YPIHSZHUK[OL-VYLZ[+LWHY[TLU[
OH]L ]LY` \UJVTWSPJH[LK HUZ^LYZ [V ^OH[ KLÄULZ
Adivasis, and what their opinions are, in truth
Adivasis represent themselves and their opinions in
PUKP]PK\HSZYHUNPUNMYVT[OVZL^OVHYLZ[PSSWYPTHYPS`
MVYLZ[WYVK\JLNH[OLYLYZHUKKLWLUK[VHSHYNLL_[LU[
VU NV]LYUTLU[ ^LSMHYL [V TLL[ [OLPY U\[YP[PVUHS
needs, to those who are well-educated, own farmland
HUKWYVWLY[`HUKOH]LJOPSKYLUZ[\K`PUNPUJVSSLNLZ
in nearby cities. Most lie somewhere in the middle of
[OPZYHUNL![OL`J\S[P]H[LI\[KVUV[V^UHML^HJYLZ
of land, are partially dependant on welfare (or “ration
cards” which they are entitled to on the basis of their
Scheduled Tribe status), and have access to local
schools for their children.
;OLYLHYL]HY`PUNSL]LSZVMVYNHUPaH[PVUHTVUNZ[
the Adivasi communities. Irulas have an Association,
^OPJO[OV\NO]LY`^LSSVYNHUPaLKPUJLY[HPUHZWLJ[Z
[OL`HYLYLZWVUZPISLMVYWSHUUPUNHUKJVVYKPUH[PUNH
[OYLLKH`LSHIVYH[LYLSPNPV\ZMLZ[P]HSL]LY``LHY^OPJO
IYPUNZ PU ]PZP[VYZ MYVT HSS V]LY [OL YLNPVU [OLYL PZ
SP[[SLJVUZLUZ\ZHTVUN[OLTPU[OLTH[[LYVM[OL-9(
1LU\2\Y\TIHZVU[OLV[OLYOHUKYLWYLZLU[HT\JO
ZTHSSLYWVY[PVUVM[OLWVW\SH[PVU"[OL`VM[LU]VPJL[OL
JVTWSHPU[[OH[HZVULVM[OLTVZ[THYNPUHSPaLK5PSNPYP
Adivasi communities, with relatively small numbers,
they had little or no reason to become involved in
WVSP[PJHS PZZ\LZ Z\YYV\UKPUN [OL -9( VY *;/ ^OLYL
their voices would not be heard even if they had a
Z[YVUNWVZP[PVUVUP[
>P[OYLZWLJ[[V[OL*;/HUK-9(TVZ[(KP]HZPZ
ZOV^SLZZJVUJLYUMVY[OLJOHUNLZPUWVSPJ`[OHUKV
;OLYLMVYL[OLZLJVTT\UP[PLZ^PSSHYN\L[OH[ other communities. This partly may be attributed to
PM[OL-9(PZPTWSLTLU[LK[OL`ZOV\SKILNP]LU[OL [OLMHJ[[OH[[OL`OH]LMVYH[SLHZ[[OLWHZ[Ä]LVYZP_
Tropical Resources Bulletin 47
Roopa Krithivasan
`LHYZ LUQV`LK PUJYLHZPUNS` WVZP[P]L YLSH[PVUZ ^P[O
[OLNV]LYUTLU["TVZ[YLJLU[S`HSSZJOLK\SL[YPILZPU
[OL 5PSNPYPZ ^LYL ZVTL VM [OL ÄYZ[ ILULÄJPHYPLZ VM H
NV]LYUTLU[ZJOLTL[VIYPUNMYLL37.NHZ[LSL]PZPVU
ZL[ZHUKRNZVMYPJLPU[VL]LY`OVTL:\JOTLHZ\YLZ
OH]LNVULHSVUN^H`PUWYVTV[PUNWVZP[P]LYLSH[PVUZ
^P[O [OL NV]LYUTLU[ H[ SHYNL >OPSL (KP]HZPZ SPRL
TVZ[V[OLYJVTT\UP[PLZHYLZRLW[PJHSHZ[V[OLSVUN
[LYTYLSH[PVUZ^P[O[OLNV]LYUTLU[^OPJOJVUZ[HU[S`
\UKLYNVLZ\WOLH]HSZ[OLNLULYHS[YLUKHWWLHYZ[VIL
JH\[PV\ZS` NYV^PUN MHP[O PU NV]LYUTLU[ THJOPULY`
;OPZ PUJS\KLZ JH\[PV\Z I\[ NYV^PUN [Y\Z[ PU [OL
OPZ[VYPJHSS`YL]PSLK-VYLZ[+LWHY[TLU[^OPJOOHZHSZV
PU [OL WHZ[ KLJHKL WYV]PKLK LSLWOHU[WYVVM MLUJPUN
around whole Adivasi hamlets, and has heavily
Z\IZPKPaLKHNYPJ\S[\YHSPUW\[Z
At the same time, a handful of Adivasi
individuals have had positive relationships with nonAdivasis. Many have worked for the same non-tribal
MHTPSPLZ MVY NLULYH[PVUZ THPUS` HZ MHYTSHIVYLYZ VY
JH[[SLOLYKLYZ6[OLYZOH]LILULÄ[LKMYVT[OLYLJLU[
NYV^[OVMOV[LSZHUK[YH]LSSVKNLZPU[OLHYLH^OPJO
provide employment. Very few of these jobs are
WLYTHULU[HUK]LY`ML^WYV]PKLZ\MÄJPLU[PUJVTL[V
TLL[HSS[OLÄUHUJPHSULLKZVMHMHTPS`@L[[OPZPZZ[PSS
an improvement over past insecurity.
+\L [V [OLZL ]HYPLK VM[LU JVUÅPJ[PUN
HSSPHUJLZ OLSK I` (KP]HZPZ [OL` HYL PU H \UPX\L
VM[LU \UJVTMVY[HISL WVZP[PVU ]PZn]PZ [OL -9( HUK
*;/ 6U [OL VUL OHUK ZVTL PUKP]PK\HSZ HYL MHPYS`
secure in their belief that these policies will most
SPRLS` UV[ OH]L H ULNH[P]L PTWHJ[ VU [OLT HZ [OL
MVYLZ[ KLWHY[TLU[»Z L[OPJ ZOPM[Z [V^HYKZ WYV(KP]HZP
activities. At the same time, some have had mostly
positive associations with non-Adivasi communities.
As these non-adivasi communities have vociferously
opposed the CTH, Adivasis are in the often
\UJVTMVY[HISLWVZP[PVUVM¸[HRPUNZPKLZ¹IL[^LLU[OL
-VYLZ[ +LWHY[TLU[ HUK UVU(KP]HZP PUKP]PK\HSZ HUK
politicians. Thus some Adivasis often will take part
in anti-CTH demonstrations, and express the opinion
that non-Adivasis should also be included in the
-9( 6[OLYZ ^PSS JH\[PV\ZS` [HRL [OL L_HJ[ VWWVZP[L
view. Additionally, the Adivasi communities are not
WHY[PJ\SHYS`^LSSVYNHUPaLKWVSP[PJHSS`4HU`HYLUV[
SP[LYH[L [OV\NO TVZ[ HYL Å\LU[ PU [OYLL SHUN\HNLZ
VULVM^OPJOPZHU(KP]HZPSHUN\HNL^P[OUVZJYPW[
HUK[O\ZSVJHSUL^ZKVLZUV[HS^H`ZYLHJO[OLTÄYZ[
OHUK;OLPYWYPTHY`TVKLVMPUMVYTH[PVUPZ[OYV\NO
their local leaders (usually these are non-Adivasi),
VY [V H SLZZLY L_[LU[ [OYV\NO TPKSL]LS MVYLZ[
KLWHY[TLU[ VMÄJLYZ ^OV YLN\SHYS` OVSK TLL[PUNZ PU
48 Volume 29, 2010
]PSSHNLZ6U[OLV[OLYOHUK(KP]HZPPUKP]PK\HSZ^OV
OH]L OHK WHY[PJ\SHYS` ULNH[P]L L_WLYPLUJLZ ^P[O [OL
forest department, or with non-Adivasis, react in the
opposite way. In short, Adivasi attitudes are based
UV[VU[OLPYMLLSPUNZVU[OLZLWVSPJPLZI\[IHZLKVU
their attitudes towards the politically and socially
KVTPUHU[NYV\WZ[OH[Z\WWVY[VYVWWVZL[OLWVSPJPLZ
Conclusions and Implications:
([ [OL JLU[LY VM [OL *;/ PZ [OL LJVSVNPJHS
JVUJLYU V]LY [PNLY JVUZLY]H[PVU" [V TVZ[ UVU
[YPIHSZ P[ YLWYLZLU[Z HU PUJYLHZPUN OVSK VM [OL MVYLZ[
KLWHY[TLU[ 6U [OL V[OLY OHUK [OL KLWHY[TLU[
OHK ZLLU PUJYLHZPUN MH]VY HTVUN (KP]HZPZ ^OV
nevertheless also form opinions based on their
HZZVJPH[PVUZ ^P[O UVU[YPIHS NYV\WZ ^OV VWWVZL [OL
*;/;OLZLUVU[YPIHSZYLJVNUPaL[OLPTWVY[HUJLVM
the Adivasi identity in current politics, and attempt to
\ZLP[[V[OLPYHK]HU[HNLWHY[PJ\SHYS`PUVI[HPUPUNYPNO[Z
\UKLY [OL -9( >LHR WVSP[PJHS VYNHUPaH[PVU HTVUN
(KP]HZPZ TLHUZ [OH[ H JVUZLUZ\Z VU *;/ HUK -9(
will be reached slowly, at best. While this indecision
[V[HRLHZ[YVUNZ[HUJLPZZLLUI`THU`PU[OL-VYLZ[
+LWHY[TLU[ HUK PU [OL 5VU[YPIHS JVTT\UP[` HZ
indecisiveness, or a “typical” tribal tendency towards
SHJRVMJVUJLYU0^V\SKHYN\L[OH[[OPZHJ[\HSS`Z[LTZ
MYVTHSHYNLU\TILYVMZ[YVUNVWPUPVUZL_PZ[PUN^P[OPU
^OH[ PZ VM[LU WLYJLP]LK HZ H OVTVNLUV\Z ¸[YPIHS¹
NYV\W;OLZL VWPUPVUZ HYL IHZLK WYPTHYPS` VU [OLPY
WHZ[HZZVJPH[PVUZ^P[OWVSP[PJHSS`WV^LYM\SNYV\WZ[OL
-VYLZ[+LWHY[TLU[VYUVU[YPIHSJVTT\UP[PLZ;OPZPZ
UV[ULJLZZHYPS`HZPNUVMZ\IQ\NH[PVU[V[^VWV^LYM\S
HUKTHUPW\SH[P]LNYV\WZI\[HJHSJ\SH[LKWVZP[PVU[V
improve their chances of a favorable outcome.
Adivasis are in a powerful position to determine
[OLJV\YZLVM*;/HUK-9(HUK[OL`HYLUV[\UH^HYL
VMP[;OL-9(PZILJVTPUNHTVYL^PKLS`\UKLYZ[VVK
SH^I`(KP]HZPJVTT\UP[PLZ"PUSHYNLWHY[K\L[V[OL
LMMVY[ZVMHZTHSSOHUKM\SVM5.6Z^OPJOOH]LILLU
involved in tribal livelihoods for over a decade. If
PTWSLTLU[LKJVYYLJ[S`HUKPMPUJYLHZPUNPTWVY[HUJL
PZNP]LU[VJVTT\UP[`YPNO[ZHUKUV[Q\Z[[VPUKP]PK\HS
(KP]HZP YPNO[Z [OL -9( JV\SK WYV]L [V IL HU PKLHS
TLHUZ[OYV\NO^OPJO[VTHUHNLMVYLZ[YLZV\YJLZPU
buffer areas. Similarly, increased transparency on
[OLWHY[VM[OL-VYLZ[+LWHY[TLU[^P[OYLNHYKZ[VP[Z
plans for the CTH, and their active inclusion of all
JVTT\UP[PLZ^OVZ[HUK[VILHMMLJ[LKI`P[^PSSNVH
SVUN^H`PUIV[OLUZ\YPUNHULX\P[HISLV\[JVTLMVY
the human residents, as well as a better chance for the
Z\Y]P]HSVM[OL[PNLYHUKV[OLYPTWVY[HU[4\K\THSHP
fauna.
III. BALANCING CONSERVATION AND DEVELOPMENT
Retelling the Same Story in a SW Chinese Village:
The implementation of environment and poverty programs with a common agricultural development plot
Christine Jane Trac, MESc 2010
“The climate here is very particular, it isn’t hospitable for growing rice or wheat. For as long as I’ve been around
we’ve all grown corn; even when my mother was a young girl, they grew corn.” - =PSSHNLY PU *HV_P\ *\U
Introduction
(JJVYKPUN [V L]LU [OL LSKLZ[ MHYTLYZ»
YLJVSSLJ[PVUZ [OL HNYPJ\S[\YHS ÄLSKZ [OH[ KLJVYH[L
the mountain slopes in Caoxiu Cun have always
NYV^UJVYU-VYNLULYH[PVUZMHYT^VYROHZYL]VS]LK
HYV\UK[OLWSHU[PUNVMJVYUPUZWYPUNHUKP[ZOHY]LZ[
PU H\[\TU" \U[PS YLJLU[S` [OPZ JYVW OHZ KPJ[H[LK [OL
WH[[LYU VM HNYHYPHU SHUK \ZL HYV\UK [OPZ YLNPVU VM
:V\[O^LZ[*OPUH0U*HV_P\*\UJ\U$]PSSHNL[OL
UL^S` HKVW[LK WYHJ[PJL VM WSHU[PUN THNUVSPH [YLLZ
HUK NVVZLILYY` ]PULZ [OH[ OHZ LTLYNLK PU [OL WHZ[
decade tells a tale of two recent state projects that are
ZLLTPUNS`UL^I\[HJ[\HSS`MHTPSPHYTVKLSZ
:[H[LWYVNYHTZPU[OLUHTLVMLU]PYVUTLU[HS
protection and poverty alleviation in the recent
KLJHKL OH]L LMMLJ[LK JOHUNL PU ]PSSHNLZ HJYVZZ [OL
nation. In Caoxiu Cun, the displacement of corn is
[LSSPUN VM [OLZL LMMVY[Z ;OL JOHUNLZ ]PZPISL VU [OL
NYV\UK KV TVYL [OHU Q\Z[ KLZJYPIL [OL OV\ZLOVSKZ
[OH[ HYL JOHUNPUN [OLPY WSHU[PUN JOVPJLZ [OL` HSZV
YLÅLJ[[OLWVSP[PJZVM[OLJLU[YHSNV]LYUTLU[PU[OLZL
social and environmental efforts.
^P[OHUHJJV\U[VM[^VWYVNYHTZLUJV\YHNPUNJOHUNL
PUHNYPJ\S[\YHSWYHJ[PJLZPU[OPZWHY[PJ\SHY]PSSHNL;OPZ
HJJV\U[I\PSKZMYVTKH[HJVSSLJ[LKPUHUL[OUVNYHWOPJ
Z[\K` JVUK\J[LK PU *HV_P\ *\U MYVT 1\UL [OYV\NO
December of 2009. With this information, I discuss the
YVSLVM[OLZLWYVNYHTZPUHS[LYPUN[OLOV\ZLOVSKHUK
Y\YHSHNYPJ\S[\YL0HYN\L[OH[WYVNYHTZ[HYNL[PUNY\YHS
MHYTSHUK HWWS` H JVTTVU Z[YH[LN` ¶ KL]VS\[PVU VM
responsibility onto households – to achieve improved
LMÄJPLUJ`HUK\S[PTH[LS`[VKPYLJ[[OL[YHUZMVYTH[PVU
VM Z\IZPZ[LUJL MHYTSHUK [V ÄLSKZ VM JHZO JYVWZ H
[YHQLJ[VY` [OH[ YLZVUH[LZ ^P[O TVKLYU HNYPJ\S[\YHS
development.
9LJLU[/PZ[VY`VM7LHZHU[
Agriculture in Caoxiu Cun
-YVT [OL YLKPZ[YPI\[PVU VM ML\KHS SHUK [V
WLHZHU[ OV\ZLOVSKZ HUK [OLU [V P[Z JVSSLJ[P]PaH[PVU
[OLSHUKYPNO[ZVM*OPULZLWLHZHU[ZZOPM[LKKYHTH[PJHSS`
under the formidable leadership of Chairman Mao
)\[ KLZWP[L [OL [\T\S[\V\Z JOHUNLZ
0U[OPZHY[PJSL0ÄYZ[WYLZLU[HYLJLU[OPZ[VY`VM the cultivation of farmland in Caoxiu Cun remained
WLHZHU[HNYPJ\S[\YLPU*HV_P\*\UHUK[OLU0MVSSV^ YLSH[P]LS` Z[HISL >OPSL ]PSSHNLZ HJYVZZ [OL JV\U[Y`
H]PKS` WSHU[LK NYHPUZ HUK Z[YV]L MVY WYLWVZ[LYV\ZS`
OPNO`PLSKZ[VTLL[UH[PVUHSKLTHUKZ:OHWPYV
the cultivation of corn in Caoxiu Cun endured.
Christine Jane Trac is from Olympia, Washington. She
graduated from the University of Washington with
a BS in Environmental and Conservation Biology
and from Yale F&ES with a Master of Environmental
Science degree. Her research interests are broadly
focused on the social implications of conservation
programs and policies.
Corn was the staple food crop for collective
JVUZ\TW[PVU PU [OPZ ]PSSHNL \U[PS +LUN ?PHVWPUN
VWLULK *OPUH \W [V LJVUVTPJ YLMVYT [OH[
JH[HS`aLK H JOHUNL YLHJOPUN V\[ [V L]LU [OL Y\YHS
landscapes of the nation. In local narratives told by
*HV_P\LSKLYZ+LUNPZYLZWVUZPISLMVY^OLUHUK^O`
SPMLPTWYV]LK(YV\UK[OLSH[L ZHUKLHYS` Z
Tropical Resources Bulletin 49
Christine Jane Trac
Figure 1. Planted
houpu.
land was reallocated to individual households,
MHYTLYZ ILNHU YHPZPUN WPNZ MHTPSPLZ JV\SK HMMVYK [V
eat rice, and a new variety of hybrid corn, suitable for
MLLKPUNSP]LZ[VJR^HZPU[YVK\JLK[V[OLÄLSKZ6]LY
the years, as households increased the number of
WPNZYHPZLKHJVUNY\V\ZPUJYLHZLPU[OLJ\S[P]H[PVUVM
hybrid corn continued until households seeded most
of their land with it. In the recent history of Caoxiu
*\U JVYU OHY]LZ[Z ZOPM[LK MYVT MLLKPUN WLHZHU[
TV\[OZ[VMLLKPUN[OLPYSP]LZ[VJR"^P[O[OPZ[YHUZP[PVU
WLVWSL NYHK\HSS` WOHZLK V\[ JVYU MYVT [OLPY KPL[Z
HUK NHPULK LUV\NO HJJLZZ [V JHZO [V THRL YPJL
purchased-at-market the staple food. Hybrid corn has
ILLUM\UKHTLU[HS[V[OLOV\ZLOVSKMVYZ\WWVY[PUNH
livestock sector that in turn has proved important to
the nutrition and economy of the household.
implementation in Caoxiu Cun.
Grain-for-Green (also known as the Sloping
Land Conversion Program)
.YHPUMVY.YLLU ^HZ JVUJLP]LK HM[LY
JH[HZ[YVWOPJÅVVKZOP[*OPUHPU[OLZ\TTLYVM *VUZPZ[LU[ ^P[O [OL ILSPLMZ [OH[ KLMVYLZ[H[PVU HSVUN
[OL \WWLY YLHJOLZ VM *OPUH»Z THQVY YP]LY Z`Z[LTZ PZ
[V ISHTL MVY [OL KV^UZ[YLHT KPZHZ[LYZ [OL WYVNYHT
MVJ\ZLZWYLKVTPUHU[S`VU[OLJVU]LYZPVUVMTHYNPUHS
JYVWSHUKPUVYKLY[VYLMVYLZ[*OPUH»Z^LZ[LYUWYV]PUJLZ
AO\ L[ HS 0U PTWSLTLU[H[PVU VM [OL
.YHPUMVY.YLLU WYVNYHT YLHJOLK *HV_P\ *\U HUK
all households became immediate participants. To
LUJV\YHNLWHY[PJPWH[PVU[OLWYVNYHTZ\IZPaLZMHYTLYZ
:P[\H[PUN-VYLZ[Y`HUK7V]LY[`>P[OPU ^P[OJHZOZ\IZPKPLZ94)T\HWWYV_PTH[LS`
T\"T\$OLJ[HYLHUKMYLL[YLLZLLKSPUNZ;OL
the Farm
conditions of the subsidies, however, are dependent
;OPZ YLJLU[ OPZ[VY` VM HNYPJ\S[\YL YLJV\U[Z upon how the land is converted.
HULUK\YPUNZ[VY`VMJVYUJ\S[P]H[PVUM\UKHTLU[HS[V
>OLU .YHPUMVY.YLLU ^HZ ÄYZ[ PU[YVK\JLK
subsistence and market mechanisms of the households PU*HV_P\*\U0U[OLWHZ[[LU`LHYZ]PZPISLJOHUNLZ [V *HV_P\ ZLLKSPUNZ VM R\KPUNJOH Ilex latifolia), a
to cropland that correspond to a reduction in corn bitter tea tree, were distributed free to participants,
HUK PUJYLHZL PU WSHU[PUN VM [YLLZ HUK ]PULZ YLÅLJ[ OV^L]LYYLWVY[LKKPMÄJ\S[`^P[OZ\JJLZZM\SWSHU[PUN
[OL PUÅ\LU[PHS PTWYPU[ VM [^V PU[LYLZ[PUN LMMVY[Z PU VM [OL ZWLJPLZ YLZ\S[LK PU ]PSSHNL^PKL HNYLLTLU[ [V
[OPZ ]PSSHNL ;OL ÄYZ[ PZ H THZZP]L Z[H[LZWVUZVYLK instead independently purchase and plant houpu
JVUZLY]H[PVUZL[HZPKLWYVNYHT[VYL[\YUJYVWSHUK[V (4HNUPMVSPH VMÄJPUHSPZ /V\W\ PZ H THNUVSPH [YLL
MVYLZ[SHUK<JOPKHL[HS"[OLZLJVUKHWV]LY[` JVTTVUS` J\S[P]H[LK MVY P[Z TLKPJPUHS IHYR -PN\YL
HSSL]PH[PVU WYVNYHT KL]V[LK [V LZ[HISPZOPUN H YV\[L )`KLÄUP[PVUVM[OL:[H[L-VYLZ[Y`(KTPUPZ[YH[PVU
MVY JHZO NLULYH[PVU 0U [OL MVSSV^PUN WHYHNYHWOZ 0 OV\W\ Z[HUKZ X\HSPM` HZ ºLJVUVTPJ MVYLZ[» @L[
WYV]PKLTVYLKLZJYPW[PVUVM[OLZLWYVNYHTZHUK[OLPY [OLZL WSHU[PUNZ PU *HV_P\ ^LYL YLJVNUPaLK HZ
50 Volume 29, 2010
The Implementation of Environmental and Povery Programs in a SW Chinese Village
ºLJVSVNPJHSMVYLZ[»NYHU[PUNOV\ZLOVSKZHULPNO[`LHY ;OL JVYL JVTWVULU[ VM [OL WYVNYHT ¶ LZZLU[PHSS`
MVY LJVSVNPJHS YH[OLY [OHU Ä]L`LHY MVY LJVUVTPJ [OL WHY[ [OH[ PZ L_WLJ[LK [V IYPUN OV\ZLOVSKZ V\[
of poverty and to the fruition of wealth – invests
Z\IZPK`WLYPVKHZZ[PW\SH[LKI`[OLWYVNYHT
PU OV\ZLOVSK J\S[P]H[PVU VM H MY\P[PUN JHZO JYVW
(ZPKLMYVT[OL]HS\LNP]LUI`[OLNV]LYUTLU[ NVVZLILYY` Actinidia chinensis). Prior to the
Z\IZPK`OV\W\HSZVZLSSZ^LSSH[THYRL[[OV\NO[OL PU[YVK\J[PVU VM [OPZ WYVNYHT ZVTL OV\ZLOVSKZ OHK
IHYR PZ OHY]LZ[LK VUS` HM[LY `LHYZ VM NYV^[O 0U HSYLHK` WSHU[LK NVVZLILYY` ]PULZ HM[LY ZLLPUN [OL
P[ ^HZ W\YJOHZLK I` TPKKSLTLU MVY 94) Z\JJLZZVMHULPNOIVYPUN]PSSHNL[OH[WSHU[LK[OLZHTL
QPU SI HUK MYVT L_WLYPLUJL [OL ]PSSHNLYZ OH]L ]HYPL[`VMNVVZLILYY`-PN\YL5VULOV^L]LYOHK
found the rate has stayed fairly stable, unlike that YPZRLK Z\WWSHU[PUN HSS VM [OLPY JVYU HUK J\S[P]H[PUN
VM[OLR\KPUNJOH[LHSLH]LZ0[PZMVY[OPZYLHZVU[OH[ [OH[ JYVWSHUK ^P[O H UL^ MY\P[ JVTTVKP[`" H[ SLHZ[
ILMVYL .YHPUMVY.YLLU ILNHU PU *HV_P\ H OHUKM\S UV[ \U[PS [OL WV]LY[` HSSL]PH[PVU WYVNYHT Z\WWVY[LK
of households already cultivated houpu. They used to [OPZ OV\ZLOVSK KLJPZPVU )` 6J[VILY L]LY`
plant houpu mainly on peripheral areas just outside OV\ZLOVSK^HZLUNHNLKPU[OLWSHU[PUNVMNVVZLILYY`
[OLPYJYVWSHUK"I\[UV^YV^ZHUKYV^ZVM[OPZUH[P]L ZLLKSPUNZVU[OLPYYLJLU[S`OHY]LZ[LKJVYUÄLSKZ;OL
species take up considerable tracts of cropland once WHY[PJPWH[PVU^HZPTTLKPH[L)V_LZVMSPX\PKMLY[PSPaLY
YLZLY]LK MVY JVYU -PN\YL ;OL PTTLKPH[L LMMLJ[Z ^LYL KPZ[YPI\[LK H[ ÄYZ[ [OLU ZLLKSPUNZ H JV\WSL VM
VM[OPZSHUKJVU]LYZPVUWYVNYHT^LYLVI]PV\Z¶SLZZ days later, and by the end of the week, the farmers
corn, more trees. Every household participated in the OHKWSHU[LKHSS[OLZLLKSPUNZ[OL`OHKILLUHSSVJH[LK
SHUK JVU]LYZPVU [OH[ ^V\SK \S[PTH[LS` NYHU[ [OLT H +\YPUN [OL ÄYZ[ [OYLL `LHYZ [OL NVVZLILYY` ]PULZ
ZL]LU[`Ä]L `LHY SLHZL [V [OPZ UL^S` MVYLZ[LK SHUK JHU IL PU[LYJYVWWLK HTVUN JVYU I\[ [OL WYVNYHT
Households converted substantial fractions of their stipulates that after three years the land must be fully
JYVWSHUK^OPJOOHZNYHU[LK[OLTTVYLZLJ\YL[LU\YL KLKPJH[LK [V WSHU[PUN VUS` NVVZLILYY` ]PULZ *VYU
must be abandoned, and livestock will have to (1)
over it.
be raised from corn product purchased in town, and/
or (2) decrease in number. Even the households of
Poverty Alleviation
=PSSHNL.YV\W[OH[WYL]PV\ZS`JSHPTLK[OLLSL]H[PVU
0U SH[L Z\TTLY ?PJHV ^HZ THYRLK and conditions of their cropland would not support
as a model site for poverty alleviation by the local [OL ZLSLJ[LK ZWLJPLZ VM NVVZLILYY` WHY[VVR PU [OL
NV]LYUTLU[ HUK JV\U[`SL]LS )\YLH\ VM -PUHUJL WSHU[PUN;OPZ ^PKLZWYLHK PU]VS]LTLU[ L]LU HTPKZ[
Figure 2. Household
farmland in June.
Alternating rows of
corn and potato (left)
and rapeseed (right).
Houpu occupies the
peripheral farmland
in the back near the
edge of the private
household forest.
Tropical Resources Bulletin 51
Christine Jane Trac
ZRLW[PJPZT TPNO[ IL L_WSHPULK I` VUL ]PSSHNLY;OPZ
]PSSHNLYL_WSHPUZ[OH[WSHU[PUNNVVZLILYYPLZPZPUMHJ[
PSSVNPJHS[OH[P[PZVUS`HNVVKJYVWPM[OL`HYLHISL[V
ZLSSHSSVMP[:PUJLP[PZU»[ZVTL[OPUN[OH[JHUILZ[VYLK
MVYSVUNWLYPVKZVM[PTLP[PZU»[WHY[PJ\SHYS`\ZLM\SMVY
[OL OV\ZLOVSK )\[ ZPUJL [OL` T\Z[ WSHU[ [V NL[ [OL
WYVNYHTZ\IZPK`[OL`HSSWSHU[
9L[LSSPUN[OL:HTL:[VY`VM
Agricultural Development
Employing a common strategy
;V H SHYNL L_[LU[ [OL PTWSLTLU[H[PVU VM
.YHPUMVY.YLLU HUK WV]LY[` HSSL]PH[PVU PU *HV_P\
Cun has worked to shape households in a fashion
ZPTPSHY[V[OLHNYPJ\S[\YHSHUKSHUKYLMVYTZILNPUUPUN
PU ;V PUJYLHZL WYVK\J[P]P[` HUK LMÄJPLUJ`
VM [OL OV\ZLOVSK [OL YLMVYTZ MVJ\ZLK NYLH[S` VU
KLJLU[YHSPaH[PVU VM WYVWLY[` YPNO[Z HUK N\HYHU[LLPUN
land tenure.
)` KL]VS]PUN YLZWVUZPIPSP[` MVY YLMVYLZ[H[PVU
VU[VOV\ZLOVSKZ.YHPUMVY.YLLUKPZ[PUJ[S`KP]LYNLZ
MYVT JVU]LU[PVUHS LMMVY[Z [OH[ [LUK [V LUNHNL PU
community-level interactions for shared environmental
Z[L^HYKZOPW;OLZOPM[PUNVMºMVYLZ[SHUK»VU[VMHYTSHUK
has made individual households accountable for the
V\[JVTLZ"M\Y[OLY[OLPKLHVMHULJVUVTPJMVYLZ[OHZ
THKL P[ HK]HU[HNLV\Z [V [OPUR VM JYVWSHUK[\YULK
MVYLZ[PULJVUVTPJHSS`LMÄJPLU[[LYTZ>OH[PZTVYL
MVYLZ[PUN[OLSHUKL_[LUKZMVYLZ[SLHZLZ[VHNYPJ\S[\YHS
SHUK NP]PUN OV\ZLOVSKZ TVYL ZLJ\YL [LU\YL VU
[OLPY MHYTSHUK;OL WV]LY[` HSSL]PH[PVU WYVNYHT OHZ
M\Y[OLYLK LJVUVTPJ [YLH[TLU[ VM [OL HNYPJ\S[\YHS
ZLJ[VYI`WYVTV[PUNM\SSJVTTVKP[`WYVK\J[PVUV]LY
OV\ZLOVSKZ\IZPZ[LUJLKLTHUKZ)V[OWYVNYHTZOH]L
made cropland into a space that is economically
WYVK\J[P]L ¶ Z\WWVY[PUN TVUL[HY` ]HS\H[PVU VM SHUK
WYVK\J[P]P[` YH[OLY [OHU [OL PU[LUKLK LJVSVNPJHS
health of the land or the security of the household. The
THNUVSPH[YLLZHUKNVVZLILYY`]PULZVMIV[OWYVNYHTZ
HYL MV\UK LUJYVHJOPUN [OL OV\ZLOVSK HNYPJ\S[\YHS
ZLJ[VY H ZLJ[VY [OH[ OHZ ILLU [YLH[LK HZ ZVTL[OPUN
[OH[JHUILTHKLWYVK\J[P]LHUKLMÄJPLU[)`THRPUN
the household dependent on the cultivation of houpu
HUKNVVZLILYYPLZ[OLZL[^VWYVNYHTZOH]LLMMLJ[P]LS`
devolved responsibility onto the household. With that,
the successful cultivation of these cash crops appears
TVYL TLHUPUNM\S MVY HNYPJ\S[\YHS KL]LSVWTLU[ [OHU
for forest conservation or poverty alleviation.
*VTTVU ^P[O HNYPJ\S[\YHS YLMVYT [OL
[^V WYVNYHTZ OH]L HSS VM [OL JOHYHJ[LYPZ[PJZ VM H
NV]LYUTLU[ ZJOLTL [OH[ JYLH[LZ [OL TVKLYU ZLSM
YLSPHU[ PUKP]PK\HS ;YPHU[PHÄSSV\ HUK 5PLSZLU Moreover, it simultaneously drives peasants to selfTHUHNL *OPUH»Z MVYLZ[Z HUK WV]LY[` :\IZPKPLZ PU
HNYPJ\S[\YHS KL]LSVWTLU[ PU [OL WHZ[ KLJHKL OH]L
JVTL [V YLWSHJL H SVUNOLSK HNYPJ\S[\YHS [H_ Z`Z[LT
to relieve the stress on household economy, and as
Figure 3. Gooseberry
harvest in the neighboring village. Successful
cultivation of gooseberries in this village
pushed the efforts to introduce gooseberry vine
plantations to Caoxiu
Village.
52 Volume 29, 2010
The Implementation of Environmental and Poverty Programs in a SW Chinese Village
ZLLU ^P[O .YHPUMVY.YLLU HUK WV]LY[` HSSL]PH[PVU
WYVNYHTZ Z\IZPKPLZ HYL N\PKPUN H WHY[PJ\SHY ZVY[ VM
SHUK \ZL 4HRPUN JSLHYS` LJVUVTPJ JVU[YPI\[PVUZ
[V KPYLJ[ [OL HNYPJ\S[\YHS ZLJ[VY VM OV\ZLOVSKZ
[OL NV]LYUTLU[ KLTVUZ[YH[LZ P[Z JVU]PJ[PVU [OH[
HNYPJ\S[\YHS KL]LSVWTLU[ PZ JVYL [V ZVJPHS HUK
LJVUVTPJ KL]LSVWTLU[ ?\ L[ HS /V^L]LY
[OPZ ZHTL HWWSPJH[PVU VM HNYPJ\S[\YHS KL]LSVWTLU[
PU .YHPUMVY.YLLU YLWYLZLU[Z JHZO JYVW J\S[P]H[PVU
rather than reforestation, and thus this environmental
LMMVY[ HWWLHYZ VUS` [V IL H JVU]LUPLU[ KPZN\PZL MVY
KL]LSVWTLU[,ZJVIHY Supporting the Subsistence base
(S[OV\NO [OL ZOPM[ [V O`IYPK JVYU PU *HV_P\
*\UTHYRZHNYPJ\S[\YHSYLMVYTHUKYLÅLJ[ZHJOHUNL
PU*OPUH»ZWVSP[PJHSJSPTH[L[OLJ\S[P]H[PVUVMJVYUYLNHYKSLZZVM[OL]HYPL[`PZYLWYLZLU[H[P]LVMJVUZPZ[LU[
Z\IZPZ[LUJL WYHJ[PJLZ;OV\NO O`IYPK JVYU YLWSHJLK
[OL M\UKHTLU[HS MVVK WYVK\J[ NYV^U MVY OV\ZLOVSK
JVUZ\TW[PVUPU[OLZP[MVZ[LYLKHUV[OLYMVVKWYVKuct now central to these peasant households – pork.
Pork is valuable because it not only offers a source
of protein but, additionally, a source of cash cultiva[PVU VM O`IYPK JVYU MVY YHPZPUN SP]LZ[VJR OHZ JVU[YPI\[LKNYLH[S`[V[OLTP_LKZ\IZPZ[LUJLJOHYHJ[LYVM[OL
OV\ZLOVSK0[OHZKVULZVI`ZPT\S[HULV\ZS`LUNHNPUN[OLOV\ZLOVSKPU[OLTHYRL[ZLJ[VYHUKZ\WWVY[PUN
a subsistence sector. With corn the household never
renders itself completely vulnerable to risk. With the
PU[YVK\J[PVUVMOV\W\[OYV\NO.YHPUMVY.YLLUHUK
NVVZLILYY`[OYV\NOWV]LY[`HSSL]PH[PVU[OLKPZWSHJLTLU[ VM JVYU OHZ YLÅLJ[LK H JSLHY TV]LTLU[ MYVT
Z\IZPZ[LUJL WYHJ[PJLZ [V^HYKZ THYRL[ LUNHNLTLU[
The role of subsidies has been to displace any perJLP]LKYPZRPUZ\WWSHU[PUNJVYU^P[OMVYLZ[SHUKVYMY\P[
WYVK\J[PVUPUVYKLY[VN\PKL[OLOV\ZLOVSKMHYT[V
TVYLLJVUVTPJHSWYHJ[PJLZ)\[HJJVYKPUN[V5L[[PUN
[OLOV\ZLOVSKTH`IL[OLTVZ[LU]PYVUTLU[HSS`LMÄJPLU[HUKJVUZPKLYH[L\UP[;OLYLMVYLPU[OL
interest of environmental conservation we should,
perhaps, support the subsistence sector and not allow
the capitalist scheme to extend to all ends. This chalSLUNLZ ^OL[OLY HNYPJ\S[\YHS KL]LSVWTLU[ TL[OVKZ
can effectively direct environmental or social efforts
PU[OLTVZ[ILULÄJPHSKPYLJ[PVU4H`IL^LZOV\SKIL
SVVRPUN[V[OLZ\IZPZ[LUJLZLJ[VYYH[OLY[OHU[OLTHYket, to address social concerns such as poverty and
environmental concerns such of forest restoration.
Conclusion
In this paper, I have attempted to reveal how
*OPUH»ZTVKLYUHWWYVHJO[VLU]PYVUTLU[HSHUKWV]LY[`WYVNYHTZYLZVUH[L^P[OZPTWSLHNYPJ\S[\YHSKL]LSVWTLU[HUKOV^[OPZZ[YH[LN`OHZPTWSPJH[PVUZMVY[OL
OV\ZLOVSK HUK [OL LU]PYVUTLU[;OV\NO [OPZ WHWLY
introduces more issues than can be expounded on in
KLW[O0OVWL[OH[P[LUJV\YHNLZZVTLJVU[LTWSH[PVU
VU[OLWLHZHU[OV\ZLOVSKHUKP[ZHNLUJ`PUPUÅ\LUJPUNZVJPHSLJVUVTPJHNYPJ\S[\YHSHUKLU]PYVUTLU[HS
JOHUNL^OH[L]LYSHILS[OLWYVNYHTTH`OH]L
Acknowledgements
;OL KH[H WYLZLU[LK PU [OPZ WHWLY LTLYNLK MYVT
HUV[OLYZ[\K`T`4HZ[LY»ZYLZLHYJOWYVQLJ[¸9\YHS,ULYN`
+L]LSVWTLU[ HZ H ;VVS MVY -VYLZ[ *VUZLY]H[PVU¹ ;OL
opportunity to conduct this project was made possible by
[OL NLULYV\Z Z\WWVY[ VM [OL ;YVWPJHS 9LZV\YJLZ 0UZ[P[\[L
@HSL*V\UJPSVU,HZ[(ZPHU:[\KPLZ@HSL*,(:*OHYSLZ2HV
9LZLHYJO-\UK@HSL-,:*HYWLU[LY:WLYY`9LZLHYJO-\UK
HUK@HSL-,:3LP[ULY-\UK0^V\SKHSZVSPRL[VHJRUV^SLKNL
my advisors, Carol Carpenter and William Burch, for their
PUJYLKPISLN\PKHUJLHUKZ\WWVY[-PUHSS`[OHUR`V\[V[OL
;90)\SSL[PUMVSRZMVYHSSV^PUNTL[VWYLZLU[T`^VYR
9LMLYLUJLZ
,ZJVIHY( ,UJV\U[LYPUN+L]LSVWTLU[!;OL4HRPUN
HUK<UTHRPUNVM[OL;OPYK>VYSK7YPUJL[VU!
Princeton University Press.
5L[[PUN94 :THSSOVSKLYOV\ZLOVSKLYZMYLLOVSK
LYZ!^O`[OLMHTPS`MHYT^VYRZ^LSS^VYSK^PKL0U
;OL/V\ZLOVSK,JVUVT`!9LJVUZPKLYPUN[OL+V
mestic Mode of Production, edited by R. R. Wilk.
)V\SKLY!>LZ[]PL^7YLZZ
:OHWPYV14HV»Z>HY(NHPUZ[5H[\YL!7VSP[PJZHUK
the Environment in Revolutionary China. CamIYPKNL!*HTIYPKNL<UP]LYZP[`7YLZZ
;YPHU[HÄSSV\Z7HUK495PLSZLU7VSPJPUN,TWV^
LYTLU[!;OL4HRPUNVM*HWHISL:\IQLJ[Z/PZ[VY`VM
[OL/\THU:JPLUJLZ!
<JOPKH,1;?\HUK:9VaLSSL.YHPUMVY.YLLU!
*VZ[,MMLJ[P]LULZZHUK:\Z[HPUHIPSP[`VM*OPUH»Z
*VUZLY]H[PVU:L[(ZPKL7YVNYHT3HUK,JVUVTPJZ
!
?\A.4;)LUUL[[9;HVHUK1;?\*OPUH»Z
:SVWPUN3HUK*VU]LYZPVU7YVNYHT-V\Y@LHYZ6U!
*\YYLU[:P[\H[PVUHUK7LUKPUN0ZZ\LZ0U[LYUH[PVUHS
-VYLZ[Y`9L]PL^!
AO\*89;H`SVYHUK-.\VXPUN*OPUH»Z^VVK
THYRL[[YHKLHUK[OLLU]PYVUTLU[>>-HUK
Science Press, USA.
Tropical Resources Bulletin 53
Community-Based Conservation in Tanzania: Getting the Incentives Right Eliezeri Sungusia, MESc 2010
Introduction
5L[^VYRZ VM WYV[LJ[LK HYLHZ 7(Z YLTHPU
[OL ZPUNSL TVZ[ KVTPUHU[ HWWYVHJO MVY JVUZLY]PUN
biodiversity in the tropics (Bruner et al. 2001). In
;HUaHUPH 7(Z VJJ\W` HIV\[ VM [OL JV\U[Y`»Z
SHUKJV]LY>7;.LULYHSS`7(ZOH]LKVULH
NVVKQVIVMZ\Z[HPUPUNT\JOVM[OLL_PZ[PUN^PSKSPML
populations. However, the effectiveness of these
HYLHZ PZ PUJYLHZPUNS` ILPUN X\LZ[PVULK ILJH\ZL
VM [OL MVSSV^PUN MHJ[VYZ! LZ[HISPZOTLU[ VM TVZ[
7(Z PNUVYLK ZWLJPLZ ZWH[PHS K`UHTPJZ HUK O\THU
LUJYVHJOTLU[ .HZ[VU L[ HS " 7(Z L_PZ[ HZ
habitat patches with human settlements between
[OLT .YVVT L[ HS " HUK NYV^PUN O\THU
WVW\SH[PVUHUKLUZ\PUNWYLZZ\YLVU7(Z.YVVTL[HS
;OLZLPZZ\LZJYLH[LJOHSSLUNLZMVYIV[O^PSKSPML
and conservationists, and the latter has recently
YLHSPaLK [OH[ L]PJ[PVU VM [OL O\THU WVW\SH[PVU HZ
HUHWWYVHJOMVYSHUKJVUZLY]H[PVUJVTLZ^P[OO\NL
social costs and therefore is unfeasible.
[OL((HUK[OLNV]LYUTLU[
;OL WVSPJ` HJRUV^SLKNLZ O\NL VWWVY[\UP[`
JVZ[Z[OLILULÄ[ZMYVTHS[LYUH[P]LSHUK\ZLZZ\JOHZ
HNYPJ\S[\YL HZZVJPH[LK ^P[O LZ[HISPZOTLU[ VM>4(
4HU` >4( HYL HNYPJ\S[\YHSS` THYNPUHS I\[ V[OLYZ
HYL VU OPNOS` WYVK\J[P]L SHUK 0[ MVSSV^Z [OH[ MVY
WMA to make economic sense to landholders, inter
HSPHP[ZILULÄ[ZT\Z[L_JLLKJVZ[Z;OPZTLHUZ[OH[
]PSSHNLYZT\Z[ILWHPK[VJVUZLY]L^PSKSPMLOHIP[H[:V
MHY [OL HTV\U[ VM WH`TLU[ L_WLJ[LK I` ]PSSHNLYZ PZ
\URUV^U*VUJ\YYLU[S`[OLYLPZHNYV^PUNZLUZL[OH[
*VTT\UP[`IHZLK >PSKSPML 4HUHNLTLU[ *>4 VM
which WMA is a part, has failed to deliver both to the
LU]PYVUTLU[HUKJVTT\UP[PLZ)SHPRPL5LSZVU
HUK(NYH^HS ;OL JH]LH[ PZ [OH[ JVTT\UP[PLZ
T\Z[ YLJLP]L [OL WH`TLU[ [OL` L_WLJ[ ÄYZ[ MVY [OL
LJVSVNPJHSLMMLJ[P]LULZZNVHS[VILYLHSPaLK
In an effort to determine the amount of payment
L_WLJ[LK
I` ]PSSHNLYZ MVY [OL MVYTH[PVU VM >4( 0
>PSKSPML4HUHNLTLU[(YLHZ!([>OH[
JVUK\J[LK JVU[PUNLU[ ]HS\H[PVU Z\Y]L`Z PU ]PSSHNLZ
Cost?
MVYTPUN [^V >4(Z K\YPUN [OL Z\TTLY VM ;VJYLH[LHYLM\NLMVY^PSKSPMLV\[ZPKLVM[OL7(Z The focus was to estimate the amount of payment/
HUK[VVWLU^PSKSPMLJVYYPKVYZ>PSKSPML4HUHNLTLU[ JVTWLUZH[PVUHU[PJPWH[LKI`]PSSHNLYZHUKHZZLZZ[OL
(YLH WVSPJ` ^HZ PU[YVK\JLK PU;HUaHUPH PU 0[ PUÅ\LUJPUNMHJ[VYZ0U[OPZWHWLY0^PSSKPZJ\ZZ[OLSH[[LY
^HZKLZPNULK[VLUJV\YHNL[OLPU]VS]LTLU[VMSVJHS
JVTT\UP[PLZ [OYV\NO [OL LZ[HISPZOTLU[ VM ZVJHSSLK +LZJYPW[PVUVM[OL:[\K`(YLH
>PSKSPML 4HUHNLTLU[ (YLHZ >4( >4( HYL
UVYTHSS`LZ[HISPZOLKVUI\MMLYaVULZVML_PZ[PUNWHYRZ 0JVUK\J[LK[OPZZ[\K`PU[OL0KVKP7H^HNHHUK
HUK HSVUN ^PSKSPML JVYYPKVYZ;OL VIQLJ[P]L VM>4( 0RVUH>4(IVYKLYPUN9\HOHHUK:LYLUNL[P5H[PVUHS
PZ[^VMVSK!^PSKSPMLJVUZLY]H[PVUHUKY\YHSLJVUVTPJ 7HYRZYLZWLJ[P]LS`;OL0KVKP7H^HNH>4(^OPJOPZ
KL]LSVWTLU[ :VUNVY^H >4( PZ LZ[HISPZOLK THUHNLKI`[OL4)6407([1](\[OVYPaLK(ZZVJPH[PVU
HUK THUHNLK I` ]PSSHNLYZ [OYV\NO HU (\[OVYPaLK PZ SVJH[LK PU [OL 0YPUNH 9LNPVU HUK JV]LYZ HU HYLH
(ZZVJPH[PVU((;OLYL]LU\LNLULYH[LKMYVT^PSKSPML VM RT2 HUK PU]VS]LZ ]PSSHNLZ ;OL 0RVUH
\[PSPaH[PVUTHPUS`[YVWO`O\U[PUNPZZOHYLKIL[^LLU >4( ^OPJO PZ THUHNLK I` [OL 1</0>(026[2]
(\[OVYPaLK(ZZVJPH[PVUPZSVJH[LKPU[OL4HYHYLNPVU
HUK PU]VS]LZ ]PSSHNLZ 0RVUH >4( MHSSZ ZX\HYLS`
Eliezeri Sungusia graduated with a Bachelor of Sci^P[OPU[OLJVYYPKVY\ZLKI`^PSKLILLZ[ZK\YPUN[OLPY
ence degree from Sokoine University of Agriculture in NYLH[TPNYH[PVUIL[^LLU[OL:LYLUNL[P5H[PVUHS7HYR
2004. He worked for the Wildlife Division of the Gov- PU;HUaHUPHHUK[OL4HHZHP4HYH9LZLY]LPU2LU`H
ernment of Tanzania and WWF. At Yale, he focused on
Environmental and Resource Economics. Eliezeri reInhabitants of the two areas are farmers and
turned to Tanzania to apply the knowledge and skills SP]LZ[VJR RLLWLYZ ;OL H]LYHNL SHUKOVSKPUN PZ acquired at Yale in advancing conservation efforts. OLJ[HYLZ(NYPJ\S[\YLPZTHPUS`YHPUMLKHUK[OLYLJLU[
54 Volume 29, 2010
Community-Based Conservation in Tanzania
Z[\K`]PSSHNLTHRPUNH[V[HSVMZP_Z\Y]L`LK]PSSHNLZ
0U0RVUH>4(TLTILY]PSSHNLZMHSSPU[V[^V^HYKZ
of Ikoma and Makundusi. I randomly selected one
Z[\K`]PSSHNLMYVTLHJO^HYKTHRPUNH[V[HSVM[^V
Z\Y]L`LK ]PSSHNLZ 0U [V[HS 0 THUHNLK [V JVUK\J[
PU[LY]PL^Z;OL WSHU ^HZ [V MVJ\Z VU OLHKZ VM
household (husband and wife) but in many cases, it
^HZU»[WVZZPISL[VTLL[^P[OIV[OOLHKZVMHMHTPS`
Methods
In those cases, I interviewed the available head of
0\ZLK[OL*VU[PUNLU[=HS\H[PVU4L[OVK*=4 household.
[VKL[LYTPULMHJ[VYZPUÅ\LUJPUNPUKP]PK\HS»Z>;7MVY
UV>4(VU[OL]PSSHNLSHUK;OPZTL[OVK^PSSWYV- Elicitation Format
]PKLPUZPNO[VU[OLTHNUP[\KLVMPUJLU[P]LZYLX\PYLK
[V[YPNNLYILOH]PVYHSYLZWVUZLMYVT[OL]PSSHNLYZ-VY 0\ZLKHJSVZLKLUKLKKV\ISLIV\UKLKX\LZconvenience, I have divided this section into three [PVUZ MVYTH[ [V LSPJP[ YLZWVUKLU[»Z ^PSSPUNULZZ [V
WHY[Z![OL*VU[PUNLU[=HS\H[PVU4L[OVK[OLL_- WH` MVY JOHUNL MYVT>4( [V UV>4(;OL ]HS\HWLYPTLU[HSKLZPNUHUK[OLLSPJP[H[PVUMVYTH[;OL [PVU X\LZ[PVU ^HZ KLZPNULK [V WYV]VRL YLZWVUKLU[Z
three parts are described in turn.
[V^LPNOJVZ[ZHUKILULÄ[ZVMKVPUN^P[OV\[>4(
The enumerator read the valuation scenario and
JSLHYS` PUMVYTLK [OL YLZWVUKLU[ [OH[ NVPUN IHJR [V
Contingent Valuation Method (CVM)
no WMA would cost his or her household a certain
*=4PZHZ\Y]L`HWWYVHJOMYLX\LU[S`\ZLKPUUVU HTV\U[ VM TVUL` ;OL ]HS\H[PVU X\LZ[PVU ^PSSPUNmarket valuation studies to determine what people ULZZ [V WH` X\LZ[PVU ^HZ WYLJLKLK ^P[O ZL]LYHS
^V\SKIL^PSSPUN[VWH`>;7MVYHZWLJPÄLKJOHUNL X\LZ[PVUZHPTLKH[LUZ\YPUN[OH[[OLYLZWVUKLU[\UPU X\HSP[` HUKVY X\HU[P[` VM H NVVK ILPUN ]HS\LK KLYZ[VVK[OLHZWLJ[ZVM]HS\H[PVUX\LZ[PVUZHUKJVS*HYZVUL[HS*=Z\Y]L`ZJYLH[LHO`WV[OL[PJHS SLJ[PUN YLZWVUKLU[»Z ZVJPVLJVUVTPJ JOHYHJ[LYPZ[PJZ
THYRL[ MVY [OL LU]PYVUTLU[HS NVVKZ HUK ZLY]PJLZ
otherwise not traded in the market. Respondents are Results and Discussion
[OLUHZRLK[VZ[H[L[OLPY>;7VY>PSSPUNULZZ[V(JJLW[
>;( MVY [OL NVVK PU X\LZ[PVU /HULTHUU .LULYHSS`VMYLZWVUKLU[ZU$ OV\ZLOVSKZ
4VZ[ YLZLHYJOLYZ WYLMLY HZRPUN >;7 HZ VWWVZLK [V Z[YVUNS`Z\WWVY[>4(:VTLYLZWVUKLU[ZJP[LKKPYLJ[
WTA as the former appears to be more plausible to ILULÄ[ZLNLTWSV`TLU[[OL`OH]LYLJLP]LKHZ[OL
YLZWVUKLU[Z *HYZVU L[ HS *VTTVUS` \ZLK YLHZVUMVY[OLPYZ[YVUNZ\WWVY[VM>4(;OLTHQVYP[`
*= X\LZ[PVUZ MVYTH[Z HYL VWLULUKLK HUK JSVZLK JP[LK HU[PJPWH[LK ILULÄ[Z PU [OL M\[\YL HZ H YLHZVU
LUKLKX\LZ[PVUZ)H[LTHUL[HS
*SVZLKLUKLK MVY[OLPYYLZWVUZL6UL^V\SKL_WLJ[[OLWLYJLU[HNL
format, in particular double-bounded format, has VM YLZWVUKLU[Z ^OV Z[YVUNS` Z\WWVY[ >4( [V [HSS`
ILLUKLTVUZ[YH[LK[VPTWYV]LZ[H[PZ[PJHSLMÄJPLUJ`VM with those who feel better off in the presence of
CV valuation and therefore most CV studies use this >4( )\[ VUS` VM YLZWVUKLU[Z YLWVY[LK [OH[
TL[OVK/HULTHUUL[HS +LZWP[LP[ZÅL_PIPSP[` they were better off. The optimistic respondents
and ability to estimate total value (Carson et al. who are currently worse off can be a reason for this
*=4PZYPML^P[OJVU[YV]LYZ`*YP[PJPZTZYHUNL KPZJYLWHUJ`;OLTLZZHNLOLYLZLLTZ[VIL[OH[UV[
from inconsistency of CV with economic theories to everyone in the community is happy with WMA on
TL[OVKVSVNPJHS0UHU\[ZOLSS*=PZLTIH[[SLK^P[O [OLPY]PSSHNLSHUK;OLML^HNHPUZ[>4(TH`HJ[\HSS`
O`WV[OL[PJHS HUK Z[YH[LNPJ IPHZLZ -VY KL[HPSZ ZLL IL ]LY` PUÅ\LU[PHS PU H JVTT\UP[` HUK KLZ[Y\J[P]L
*HYZVUL[HSHUK/H\ZTHU VM ^PSKSPML YLZV\YJLZ ^OPJO M\Y[OLY QLVWHYKPaLZ
JVTWYVTPZLZ [OL Z\JJLZZ VM >4( >P[O YLNHYK [V
[OL >;7 X\LZ[PVU VUS` ZHPK [OL` ^V\SK IL
Experimental Design
YLHK` [V WH` MVY H JOHUNL [V UV >4( 6UL PZZ\L
0U [OL 0KVKP7H^HNH >4( Z[\K` ]PSSHNLZ that should be noted clearly is that the majority of
MHSS PU ZP_ ^HYKZ 0 LTWSV`LK JS\Z[LY ZHTWSPUN [V [OVZL^OVZ[YVUNS`Z\WWVY[LK>4(KPKZV^P[O[OL
JS\Z[LY]PSSHNLZI`^HYKZ;OPZ^HZKVULW\YWVZLS`[V condition that some issues need to be addressed,
TPUPTPaL[OLJVZ[[PTLHUKTVUL`VM]PZP[PUNLHJO PUJS\KPUN JYVW KHTHNLZ HUK ILULÄ[ ZOHYPUN *YVW
VM[OL]PSSHNLZMVYTPUN[OL0KVKP7H^HNH>4(0U KHTHNLILULÄ[ZOHYPUNZJOLTLHUKHUU\HSPUJVTL
LHJO^HYKYHUKVTZHTWSPUN^HZ\ZLK[VZLSLJ[VUL PUÅ\LUJL VU PUKP]PK\HS»Z Z[H[LK >;7 HYL KPZJ\ZZLK
ZOVY[HNLVMYHPUMHSSOHZYLZ\S[LKPU]LY`SV^OHY]LZ[Z
HUK MVVK PUZLJ\YP[` ^HZ H [OYLH[ PU THU` ]PSSHNLZ
*VTT\UP[PLZPU]PSSHNLZMVYTPUN0RVUH>4(HYL^LSS
RUV^UMVY]PTVYVZPUN\SHYRPTVYV¶ZTVRLKNHTL
meat. In almost every home I visited, I was invited for
a lunch that included kimoro.
Tropical Resources Bulletin 55
Eliezeri Sungusia
ILSV^ 6[OLY PUÅ\LUJPUN MHJ[VYZ I\[ UV[ KPZJ\ZZLK
WMA appear to exacerbate the problem
OLYL PUJS\KL LK\JH[PVU SL]LS HNL YLSH[PVUZOPWZ VM JYVW KHTHNL I` LSLWOHU[Z (IV\[ VM
with WMA leaders, and major economic activity. respondents claimed more incidences of crop
KHTHNL HM[LY >4( [OHU ILMVYL >4( >4(
LUOHUJLZWYV[LJ[PVUVM^PSKSPML;OPZNP]LZLSLWOHU[Z
Crop damage
TVYLMYLLKVT[VLU[LY]PSSHNLSHUKHUKKLZ[YV`JYVWZ
0[»Z ]PY[\HSS` PTWVZZPISL [V JVU[HPU (MYPJHU and property. When elephants destroy a two-acre
elephants (Loxodonta africana) within the boundaries corn farm owned by a family, it means that family
of dry national parks and reserves when they can PZ NVPUN [V Z\MMLY ZLYPV\Z ZOVY[HNLZ VM MVVK \U[PS
smell ripe corn, rice paddies, watermelons, or water [OL UL_[ OHY]LZ[ 0UKLLK P[»Z ULHYS` PTWVZZPISL [V
VU MHYTZ IVYKLYPUN WYV[LJ[LK HYLHZ ;O\Z P[»Z UV[ JVU]PUJLHMHTPS`[OH[LSLWOHU[ZHYLHNVVK[OPUN[V
Z\YWYPZPUN [OH[ VM (MYPJHU LSLWOHU[»Z YHUNL SPLZ conserve and therefore they should support WMA.
outside of formal protected areas (Hoare 1999). Crop Income
KHTHNL TVZ[S` I` LSLWOHU[Z PZ [OL THQVY JH\ZL
VM HUNLY HTVUN ]PSSHNLYZ 0[ Z[HUKZ V\[ HZ H KLHS
There has been discussion in the literature
IYLHRLY VU [OL YLSH[PVUZOPW IL[^LLU ]PSSHNLYZ HUK HIV\[PUJVTLLSHZ[PJP[`PL[OLJOHUNLPUKLTHUKMVY
^PSKSPML PUJS\KPUN ^PSKSPML H\[OVYP[PLZ 0U ;HUaHUPH LU]PYVUTLU[HS X\HSP[` K\L [V JOHUNL PU PUJVTL VM
UV JVTWLUZH[PVU PZ VMMLYLK MVY JYVW KHTHNL VY LU]PYVUTLU[HSPTWYV]LTLU[Z4J-HKKLUHUK3LVUHYK
human loss caused by wildlife. However, the HYN\LK[OH[PUJVTLLSHZ[PJP[`T\Z[ILH[SLHZ[
NV]LYUTLU[ VMMLYZ ZVTL HTV\U[ HZ H JVUZVSH[PVU VYNYLH[LY[OHUVULILJH\ZLLU]PYVUTLU[HSWYV[LJ[PVU
for a loss of life, livestock, crops, or injury caused PZ H S\_\Y` NVVK;OL ULNH[P]L PUJVTL LSHZ[PJP[` VM
I`KHUNLYV\ZHUPTHSZ+\L[VZLYPV\Z\UKLYM\UKPUN environmental improvements is also possible (see
HUK L_JLZZP]L YLK [HWL THU` ]PJ[PTZ KVU»[ L]LU /HULTHUU HUK 2YPZ[YVT HUK 9PLYH receive the already paltry compensation available. for more details). This means that respondents with
Figure 1. A family posing for a photo in Makundusi village, Serengeti District in
Tanzania. Human population growth in villages around wildlife-rich areas is a major challenge to conservation.
56 Volume 29, 2010
Community-Based Conservation in Tanzania
YLSH[P]LS` OPNO PUJVTL HYL L_WLJ[LK [V Z[H[L OPNOLY
WTP than those with relatively low income. This view
is somewhat supported by this study in which a unit
PUJYLHZLPUYLZWVUKLU[»ZHUU\HSPUJVTLPZWYLKPJ[LK
[VOH]LUVLMMLJ[VU[OLPUKP]PK\HS»ZYLZWVUZL[V>;7
X\LZ[PVU)\[K\L[VSPTP[LKLJVUVTPJVWWVY[\UP[PLZ
SV^PUJVTLMHTPSPLZTH`IL^PSSPUN[VWH`TVYLMVY
H WYVWVZLK JOHUNL PM [OH[ ^V\SK TLHU PUJYLHZLK
HJJLZZ [V ^PSKSPML YLZV\YJLZ 5V[^P[OZ[HUKPUN [OL
V]LYYPKPUN MHJ[VY ZLLTZ [V IL [OL SVZZLZ PUJ\YYLK
by an individual that are associated with wildlife.
)LULÄ[ZOHYPUN
>4(JHUIL[OV\NO[VMHZHULU[LYWYPZL[OH[
PZZ\WWVZLK[VNLULYH[LYL]LU\L[OYV\NOZ\Z[HPUHISL
\[PSPaH[PVUVM^PSKSPML(JJVYKPUN[V>4(9LN\SH[PVUZ
[OL NLULYH[LK YL]LU\L ZOV\SK IL Z\IQLJ[LK
[V H ILULÄ[ ZOHYPUN MVYT\SH ;OL .V]LYUTLU[ ^PSS
determine the formula from time to time. IRA (2007)
LZ[HISPZOLK [OH[ VUS` VM [OL YL]LU\L YLTHPUZ
^P[O >4( [V IL ZOHYLK HTVUN TLTILY ]PSSHNLZ
;OLYLZ[NVLZ[V[OLJLU[YHSNV]LYUTLU[;OPZILULÄ[
ZOHYPUNZJOLTLPUMH]VYVM[OLNV]LYUTLU[^LHRLUZ
[OL PUJLU[P]L HUK THRLZ ]PSSHNLYZ MLLS JOLH[LK
)LULÄ[ ZOHYPUN HTVUN TLTILY ]PSSHNLZ MVYTPUN
a particular WMA is a contentious area as well.
)V[O 0RVUH HUK 0KVKP7H^HNH >4( JVUZ[P[\[PVUZ
KPJ[H[L [OH[ YL]LU\L ZOHSS IL ZOHYLK LX\HSS` HTVUN
TLTILY]PSSHNLZ*VUMYVU[H[PVUZHYPZLILJH\ZLZVTL
]PSSHNLZ JVUZPKLY [OLTZLS]LZ TVYL LUKV^LK [OHU
V[OLY]PSSHNLZHUK[OLYLMVYLTVYLKLZLY]PUNVMHSPVU
ZOHYL VM [OL YL]LU\L ( NVVK L_HTWSL PZ 9VIHUKH
]PSSHNL H TLTILY VM 0RVUH >4( (SS YLZWVUKLU[Z
MYVT [OPZ ]PSSHNL ^HU[ [OL ILULÄ[ ZOHYPUN MVYT\SH
reviewed in their favor. Robanda claims to be the
TVZ[ LUKV^LK VM [OL Ä]L ]PSSHNLZ MVYTPUN 0RVUH
WMA and thus attractive to investors. Respondents
lamented that Robanda used to make money before
QVPUPUN>4( K\L [V H NVVK U\TILY VM PU]LZ[VYZ PU
[OL]PSSHNL;OLYL]LU\LT\Z[UV^ILLX\HSS`KP]PKLK
HTVUN Ä]L TLTILY ]PSSHNLZ [O\Z LYVKPUN [OL NVVK
TVUL` VUJL LUQV`LK I` [OPZ ZPUNSL ]PSSHNL (Z H
YLZ\S[ W\SSPUN V\[ VM>4( PZ OPNO VU [OLPY HNLUKH
I\[SLNHSO\YKSLZHYLJ\YYLU[S`[VVOPNO[VV]LYJVTL
Conclusion and Policy Implications
The debate on whether we should conserve
IPVKP]LYZP[`MVYP[ZV^UZHRL4J*H\SL`VYMVY
O\THUP[`»ZZHRL)HS]HULYHL[HSPZHYLSL]HU[
one. But one should not underestimate the power of
the latter, namely the power of economic incentives
[VJOHUNLILOH]PVY[V^HYKUH[\YL-VYWVVY]PSSHNLYZ
[OLL_WLJ[H[PVU[OH[[OL`TH`L[OPJHSS`ILVISPNLK[V
JVUZLY]LIPVKP]LYZP[`PZHUV]LYZPTWSPÄJH[PVUH[ILZ[
>4( PZ VUL VM [OL LMMVY[Z YLJVNUPaPUN [OL WV^LY
of economic incentives to achieve conservation
NVHSZ ;OL JVYULYZ[VUL VM >4( WVSPJ` SPRL V[OLY
*VTT\UP[`IHZLK >PSKSPML 4HUHNLTLU[ ZJOLTLZ
PZ¸[OLYPNO[[VTHUHNL\ZLKPZWVZLVMHUKILULÄ[
from wildlife resources” (Taylor 2009). The major
JH]LH[PZ[OH[[OLILULÄ[ZOV\SKILSHYNLLUV\NO[V
VMMZL[ [OL JVZ[Z PUJ\YYLK I` SHUKOVSKLYZ ]PSSHNLYZ
.L[[PUN [OL PUJLU[P]LZ ILULÄ[Z YPNO[ YLX\PYLZ PU[LY
HSPH\UKLYZ[HUKPUNVM[OLPU[LYWSH`IL[^LLUKPMMLYLU[
MHJ[VYZHUK]PSSHNLY»ZVWPUPVUZ[V^HYK>4(HUK[OL
compensation expectations. These factors include
I\[ HYL UV[ SPTP[LK [V JYVW KHTHNL I` ^PSKSPML
SL]LS VM LK\JH[PVU SL]LS VM PUJVTL ILULÄ[ ZOHYPUN
formula, and opportunity cost of WMA to individual
]PSSHNLZ ( ]PJ[PT VM JYVW KHTHNL I` LSLWOHU[Z
L_WLJ[Z JVTWLUZH[PVU MVY [OL SVZZ PUJ\YYLK ,X\HSS`
ZVH]PSSHNLKVLZU»[L_WLJ[HKLJSPULPUPUJVTLHM[LY
QVPUPUN>4(LN9VIHUKH]PSSHNL6[OLY^PZLOV^
JV\SK]PSSHNLYZILL_WLJ[LK[VSP]LPUOHYTVU`^P[O
UH[\YL&
Also of relevance to policy is the need to look
H[>4(ZHUK]PSSHNLZHZOL[LYVNLULV\ZPUZ[P[\[PVUZ
Whenever possible, policies should account for
]HYPH[PVUPUJOHYHJ[LYPZ[PJZHTVUNHUK^P[OPU>4(Z
;OL HTV\U[ VM WH`TLU[ HU[PJPWH[LK I` ]PSSHNLYZ PU
Ikona WMA may not be the same as that anticipated
I`]PSSHNLYZPU0KVKP7H^HNH>4(>P[OPU>4([OL
amount of compensation anticipated by Makundusi
HUK 9VIHUKH ]PSSHNLYZ 0RVUH >4( HUK 0[\U\UK\
HUK 4HWVNVYV ]PSSHNLYZ 0KVKP7H^HNH >4( TH`
UV[IL[OLZHTL,TIYHJPUNZ\JOPZZ\LZH[HSSWOHZLZ
of policy formation and implementation may be a
^H`MVY^HYKPUNL[[PUN[OLPUJLU[P]LZYPNO[
Acknowledgements
0[OHUR7YVM9VILY[4LUKLSZVOUMVYHK]PZPUN[OPZ
study and TRI Bulletin editors for their helpful comTLU[Z VU H WYL]PV\Z KYHM[ 0 [OHUR *VTW[VU -V\UKHtion and Yale Tropical Resources Institute (TRI) for fundPUN [OL Z[\K` ;OL JVVWLYH[PVU VM ]PSSHNLYZ PU [OL Z[\K`
area and everyone else who contributed to the sucJLZZ VM [OPZ Z[\K` PZ OPNOS` HWWYLJPH[LK ;OHUR `V\
9LMLYLUJLZ
)HS]HULYH7.*+HPS`79,OYSPJO;/9PJRL[[Z:(
)HPSL`:2HYR*2YLTLUHUK/7LYLPYH
*VUZLY]PUNIPVKP]LYZP[`HUKLJVZ`Z[LTZLY]PJLZ
:JPLUJL !
Tropical Resources Bulletin 57
Eliezeri Sungusia
)H[LTHU"010/3HUNMVYK"HUK19HZIHZO
>PSSPUNULZZ[VWH`X\LZ[PVUMVYTH[LMMLJ[ZPU*VU
[PUNLU[=HS\H[PVUZ[\KPLZ0U=HS\PUN,U]PYVUTLU[HS
7YLMLYLUJLZ!;OLVY`HUK7YHJ[PJLVM[OL*VU[PUNLU[
=HS\H[PVU4L[OVKPU[OL<:,<HUK+L]LSVWPUN
*V\U[YPLZLKP[LKI`01)H[LTHUHUK2.>PSSPZ
6_MVYK<UP]LYZP[`7YLZZ! )SHPRPL70ZZTHSSYLHSS`ILH\[PM\S&*VTT\UP[`
IHZLKUH[\YHSYLZV\YJLTHUHNLTLU[PU4HSH^PHUK
)V[Z^HUH>VYSK+L]LSVWTLU[! )Y\ULY(.9,.\SSPZVU9,9PJLHUK.()KH
-VUZLJH,MMLJ[P]LULZZVMWHYRZPUWYV[LJ[PUN
[YVWPJHSIPVKP]LYZP[`:JPLUJL !
*HYZVU9;5,-SVYLZHUK5-4LHKL
*VU[PUNLU[]HS\H[PVU!JVU[YV]LYZPLZHUKL]PKLUJL
,U]PYVUTLU[HS9LZV\YJL,JVUVTPJZ !
*HYZVU9;9*4P[JOLSS4/HULTHUU912VWW:
7YLZZLYHUK7(9\\K*VU[PUNLU[]HS\H[PVU
HUKSVZ[WHZZP]L\ZL!KHTHNLZMYVT[OL,__VU
=HSKLaVPSZWPSS,U]PYVUTLU[HS9LZV\YJL
,JVUVTPJZ!
.HZ[VU212*OHYTHU:-1HJRZVU79(YTZ^VY[O
()VUU9()YPLYZ*:8*HSSHNOHU9*H[JO
WVSL1/VWRPUZ>,2\UPU13H[OHT76WKHT
9:[VULTHU+(:[YV\KHUK9;YH[[;OL
LJVSVNPJHSLMMLJ[P]LULZZVMWYV[LJ[LKHYLHZ!;OL
<UP[LK2PUNKVT)PVSVNPJHS*VUZLY]H[PVU!
.YVVT41.24LMMLHUK*9VUHSK*HYYVSS
7YPUJPWSLZVMJVUZLY]H[PVUIPVSVN`YKLKP[PVU
Sinauer Associates, Inc.
/HULTHUU413VVTPZHUK)2HUUPULU :[H[PZ[PJHSLMÄJPLUJ`VMKV\ISLIV\UKLKKPJOV[VTV\Z
JOVPJLJVU[PUNLU[]HS\H[PVU(TLYPJHU1V\YUHSVM
(NYPJ\S[\YHS,JVUVTPJZ!
/HULTHUU>4 >PSSPUNULZZ[VWH`HUK
^PSSPUNULZZ[VHJJLW[OV^T\JOJHU[OL`KPMMLY
(TLYPJHU,JVUVTPJ9L]PL^!
Hanemann, W. M. 1999. The economic theory of WTP
HUK>;(0U=HS\PUN,U]PYVUTLU[HS7YLMLYLUJLZ!
;OLVY`HUK7YHJ[PJLVM[OL*VU[PUNLU[=HS\H[PVU
4L[OVKPU[OL<:,<HUK+L]LSVWPUN*V\U[YPLZ
LKP[LKI`01)H[LTHUHUK2.>PSSPZ6_MVYK
<UP]LYZP[`7YLZZ! /H\ZTHU1(LK *VU[PUNLU[=HS\H[PVU!(
*YP[PJHS(ZZLZZTLU[(TZ[LYKHT!5VY[O/VSSHUK
Hoare, R. E. 1999. Determinants of human-elephant
JVUÅPJ[PUHSHUK\ZLTVZHPJ1V\YUHSVM(WWSPLK
,JVSVN`! 58 Volume 29, 2010
09((ZZLZZTLU[HUK,]HS\H[PVUVM>PSKSPML4HUHNL
TLU[(YLHZPU;HUaHUPH(YLWVY[WYLWHYLKMVY
[OL4PUPZ[Y`VM5H[\YHS9LZV\YJLZHUK;V\YPZT
<UP[LK9LW\ISPJVM;HUaHUPH0UZ[P[\[LVM9LZV\YJL
(ZZLZZTLU[<UP]LYZP[`VM+HYLZ:HSHHTO[[W!
^^^[UYMVYNUVKL!(JJLZZLKVU 2YPZ[YVT)HUK79PLYH 0Z[OLPUJVTLLSHZ[PJP[`VM
LU]PYVUTLU[HSPTWYV]LTLU[ZSLZZ[OHUVUL&
,U]PYVUTLU[HS9LZV\YJL,JVUVTPJZ!
4J*H\SL`+1:LSSPUNV\[VUUH[\YL5H[\YL!
5LSZVU-HUK((NYH^HS7H[YVUHNLVYWHY[PJPWH
[PVU&*VTT\UP[`IHZLKUH[\YHSYLZV\YJL
THUHNLTLU[YLMVYTPUZ\I:HOHYHU(MYPJH
*VYY\W[PVUWLYJLW[PVUZPUKL_+L]LSVWTLU[
HUK*OHUNL !
:VUNVY^H(5
*VTT\UP[`IHZLK^PSKSPMLTHU
HNLTLU[*>4PU;HUaHUPH!HYL[OLJVTT\U
P[PLZPU[LYLZ[LK&>VYSK+L]LSVWTLU[! 2079.
Taylor, R. 2009. Community based natural resource
THUHNLTLU[PUAPTIHI^L![OLL_WLYPLUJLVM
*(47-09,)PVKP]LYZP[`HUK*VUZLY]H[PVU!
5V[LZ
BD 4)6407( PZ HU HJYVU`T HUK SP[LYHSS` TLHUZ
¸:\Z[HPUHISL<[PSPaH[PVUVM5H[\YHS9LZV\YJLZPU0KVKPHUK
7H^HNH+P]PZPVUZ¹
BD 1</0>(026 PZ HU HJYVU`T HUK SP[LYHSS` TLHUZ ¸;OL
Society for Wildlife Conservation in Ikona”.
Reduced Emissions from Deforestation and Forest Degradation (REDD) in East Kalimantan, Indonesia: Barriers and Advantages to Project Equitability
Benjamin Blom, MF 2010
9,++PU0UKVULZPHHUK[OL9VSLVM
Communities
NV]LYUTLU[Z HUK I\ZPULZZLZ JVU[YVS SHYNL [YHJ[Z VM
land in the tropics, which may serve to make REDD
WYVQLJ[ZVUNV]LYUTLU[HUKI\ZPULZZJVU[YVSSLKSHUK
more cost effective than small, community-based
;OL0U[LYNV]LYUTLU[HS7HULSVU*SPTH[L*OHUNL WYVQLJ[Z :L`TV\Y ;OPYKS` KL]LSVWPUN HUK
(IPCC) claims that tropical deforestation accounts for PTWSLTLU[PUN Z\JJLZZM\S JVTT\UP[`IHZLK 9,++
VMHUU\HSNSVIHSJHYIVUKPV_PKLLTPZZPVUZ07** WYVQLJ[Z JHU IL L_[YLTLS` KPMÄJ\S[ HUK JVTWSL_
2007). REDD (Reduced Emissions from Deforestation (Blom, Sunderland, and Murdiyarso 2010).
HUK -VYLZ[ +LNYHKH[PVU H MYHTL^VYR [V PTWYV]L
[YVWPJHSMVYLZ[THUHNLTLU[HUKJVUZLY]H[PVUMVY[OL Research Objective
W\YWVZLZVMJSPTH[LJOHUNLTP[PNH[PVUOHZ[OLYLMVYL
LTLYNLK HZ H THQVY JVTWVULU[ VM NSVIHS JSPTH[L +\YPUN[OLZ\TTLYVM 0JVUK\J[LKYLZLHYJO
JOHUNLKPZJ\ZZPVUZ0UKVULZPHILJH\ZLVM[OLL_[LU[ on REDD in Indonesia. The objective of this research
HUK JHYIVU KLUZP[` VM P[Z MVYLZ[Z HZ ^LSS HZ P[Z OPNO was to identify, in a representative context, the likely
YH[LZVMKLMVYLZ[H[PVUPZHTHQVYLTP[[LYVMNYLLUOV\ZL IHYYPLYZ[VHUKHK]HU[HNLZVM[OLPUJS\ZPVUVMMVYLZ[
NHZLTPZZPVUZ[V[OLH[TVZWOLYL7,(*,(ZH dependent communities in the implementation and
YLZ\S[ 0UKVULZPH OHZ YLJLP]LK ZPNUPÄJHU[ H[[LU[PVU KLZPNUVM9,++
MVY [OL WV[LU[PHS \ZL VM P[Z MVYLZ[Z MVY NSVIHS JSPTH[L
JOHUNLTP[PNH[PVU
:[\K`:P[L
9,++OHZ[OLWV[LU[PHS[VWYV]PKLZPNUPÄJHU[
ILULÄ[Z [V MVYLZ[K^LSSPUN JVTT\UP[PLZ )YV^U
:L`TV\Y HUK 7LZRL[[ " 3\[[YLSS :JOYLJRLUILYN
and Peskett 2007). Despite this potential, some
YLZLHYJOLYZOH]LPKLU[PÄLKHTHQVY[YHKLVMMIL[^LLU
LMÄJPLUJ`HUKLX\P[`PU[OLM\[\YLMVY9,++*OOH[YL
HUK(NYH^HS ":L`TV\Y7YVQLJ[Z[OH[^VYR
PU[PTH[LS`^P[OI\ZPULZZHUKNV]LYUTLU[PU[LYLZ[ZH[
[OLL_WLUZLVMMVYLZ[K^LSSPUNJVTT\UP[PLZ^PSSSPRLS`
OH]LHNYLH[LYLMÄJPLUJ`PU[LYTZVMJHYIVUJVUZLY]LK
per dollar spent. This is true in many contexts for
YLHZVUZ -PYZ[S` MVYLZ[K^LSSPUN JVTT\UP[PLZ PU
many countries of the tropics have poor land tenure
HUKSHUKTHUHNLTLU[JSHPTZ)V`K.\[PLYYLaHUK
*OHUN " 3HTIPU HUK .LPZ[ :LJVUKS`
Benjamin Blom graduated with a Master of
Forestry degree from F&ES in May 2010. His
interests include forest policy, management and
conservation. He is now working for the Bureau
of Land Management in Colorado as part of the
Presidential Management Fellowship program.
;OLZ[\K`ZP[LMVYT`ÄLSKYLZLHYJOPU0UKVULZPH
^HZ 4HSPUH\ KPZ[YPJ[ SVJH[LK PU ,HZ[ 2HSPTHU[HU
WYV]PUJLVU[OLPZSHUKVM)VYULV-PN\YL4HSPUH\
KPZ[YPJ[PZPUOHIP[LKI`H[SLHZ[L[OUPJNYV\WZTVZ[
VM ^OVT JSHPT PUKPNLUV\Z L[OUPJP[` 4VLSPVUV HUK
3PTILYN +LZWP[L ^PKLZWYLHK KLMVYLZ[H[PVU
[OYV\NOV\[ )VYULV V]LY [OL WHZ[ VY TVYL `LHYZ
VM 4HSPUH\ e TPSSPVU OLJ[HYLZ YLTHPUZ
MVYLZ[LK4HSPUH\+PZ[YPJ[.V]LYUTLU[
Pressure currently exists for deforestation in
Malinau, particularly for the establishment of oil palm
and Acacia mangium plantations (Sandker, Suwarno,
HUK *HTWILSS (Z H YLZ\S[ 4HSPUH\»Z MVYLZ[Z
OH]LYLJLP]LKH[[LU[PVUMVY9,++WPSV[WYVQLJ[6UL
carbon project developer has attempted to move
forward with a REDD project in a tract of primary
MVYLZ[ Z[YHKKSPUN [OL ^H[LYZOLKZ VM [OL 4HSPUH\ HUK
4LU[HYHUN YP]LYZ .SVIHS ,JVYLZJ\L -PN\YL
;OPZMVYLZ[PZYLMLYYLK[VHZ3VUN2L[YVRWYV[LJ[LK
MVYLZ[I`[OL4HSPUH\KPZ[YPJ[NV]LYUTLU[
Much
has
been
written
about
the
Tropical Resources Bulletin 59
Benjamin Blom
Figure 1. Location
of East Kalimantan
and Malinau
district (shown by
arrow within East
Kalimantan) in
Southeast Asia and
Indonesia.
JVUZLX\LUJLZVM[OLWYVJLZZVMKLJLU[YHSPaH[PVU[OH[
VJJ\YYLKPU0UKVULZPHMVSSV^PUN[OLMHSSVM[OL:\OHY[V
KPJ[H[VYPHS YLNPTL PU 4J*HY[O` " 3HYZVU
" 4VLSPVUV >VSSLUILYN HUK 3PTILYN -VSSV^PUN KLJLU[YHSPaH[PVU KPZ[YPJ[ NV]LYUTLU[Z
PUJS\KPUN [OL 4HSPUH\ +PZ[YPJ[ .V]LYUTLU[ ^LYL
NP]LU[OLH\[OVYP[`[VNYHU[MVYLZ[JVUJLZZPVUZJHSSLK
0772HUKJVTWHUPLZ^LYLYLX\PYLK[VULNV[PH[L[LYTZ
with local communities prior to the start of forest
VWLYH[PVUZ :PUJL KLJLU[YHSPaH[PVU SVJHS L[OUPJP[PLZ
have come to occupy many positions of power. The
J\YYLU[ KPZ[YPI\[PVU VM WV^LY HTVUN L[OUPJP[PLZ PZ
SHYNLS`HWYVK\J[VMJVSVUPHSLYHWVSPJPLZ^OLYLPU[OL
Dutch favored some ethnicities (i.e. the Merap) over
V[OLYZ PL 7\UHU 4VLSPVUV HUK 3PTILYN +LZWP[L[OLMHJ[[OH[THU`PUKPNLUV\ZL[OUPJP[PLZHYL
OPNOS`YLWYLZLU[LK[OLKPZ[YPJ[NV]LYUTLU[JVU[PU\LZ
[VIL\UYLZWVUZP]L[V[OLULLKZVMSVJHSPUKPNLUV\Z
communities (Rhee 2009).
2, Table 1). The total number of community interviews
^HZ0H[[LTW[LK[VPU[LY]PL^TLUHUK^VTLU
]PSSHNLSLHKLYZHUKV[OLYYLZPKLU[ZHZ^LSSHZHTP_
of ethnicities.
Constraints/Barriers to
Equitable REDD
Land Tenure Disputes
0U [OL KPZ[YPJ[ NV]LYUTLU[ VMÄJPHSZ YLMLY [V
[OL Z[\K` ZP[L HZ 3VUN 2L[YVR HUK JVUZPKLY [OL HYLH
[VIL\UKLYKPZ[YPJ[NV]LYUTLU[JVU[YVS/V^L]LYH[
[OLSVJHSSL]LS[OLUHTL3VUN2L[YVRPZ\URUV^UHUK
]PSSHNLYZILSPL]LPUKP]PK\HSJVTT\UP[PLZJVU[YVS[OPZ
HYLH*VTT\UP[PLZ\ZL[OPZHYLHMVYO\U[PUNHUK[OL
collection of rattan, wood resins, medicine, and food.
+LZWP[L [OL PTWVY[HUJL VM HJJLZZ [V 3VUN 2L[YVR
for local communities, the Minister of the Malinau
+LWHY[TLU[ VM -VYLZ[Y` JSHPTLK [OH[ HJJLZZ [V [OL
Methods
ZP[LHYLH^V\SKILYLZ[YPJ[LKMVYHU`[OPUNV[OLY[OHU
I conducted interviews in Bahasa Indonesia LJV[V\YPZTPM9,++^LYL[VILNPUPU[OLHYLH([[OL
^P[O]PSSHNLYLZPKLU[ZHZ^LSSHZPU[LY]PL^ZPUHTP_ ZHTL [PTL THU` ]PSSHNLYZ JVUZPKLY [OLPY JVU[PU\LK
VM)HOHZH0UKVULZPHHUK,UNSPZO^P[OTPUPZ[LYZPU[OL access to forest products from the primary forest a
4HSPUH\+PZ[YPJ[.V]LYUTLU[HUK^VYRLYZMVY9,++ deal breaker in their decision to support REDD.
PTWSLTLU[PUNVYNHUPaH[PVUZ=PSSHNLPU[LY]PL^Z^LYL
JVUK\J[LK PU ]PSSHNLZ [OH[ Z\YYV\UK THUHNL HUK 3HUK [LU\YL JVUÅPJ[Z IL[^LLU ULPNOIVYPUN
JSHPTWHY[ZVM[OL3VUN2L[YVR7YV[LJ[LK(YLH-PN\YL ]PSSHNLZ HYL HUV[OLY WV[LU[PHS ZV\YJL VM JVUÅPJ[ [OH[
60 Volume 29, 2010
Reduced Emissions from Deforestation and Forest Degradation (REDD) in East Kalimantan
Figure 2. Study site within Malinau district, East Kalimantan. White dots mark villages where interviews
were conducted at community level, except for the white dot to the upper right which marks the location
of the district capital, Malinau City. The area outlined in black is approximately the extent of the primary
forests of Long Ketrok. This area has been identified as a potential REDD site and is currently managed
and claimed by all five communities, in addition to at least two other villages.
could be exacerbated by REDD. Incompatibility
between customary land tenure and the tenure systems
\ZLK I` [OL NV]LYUTLU[ PZ H THQVY ZV\YJL VM [OLZL
JVUÅPJ[Z:JV[[ 5V^OLYLPZ[OPZTVYLL]PKLU[
[OHU PU [OL KPZW\[LZ Z\YYV\UKPUN [OL SHUK JSHPTZ VM
:L[\SHUN:L[\SHUNPZHYLSH[P]LUL^JVTLY[V[OL3VUN
2L[YVR HYLH HUK L_WHUKLK P[Z IV\UKHYPLZ [OYV\NO
HNYLLTLU[Z THKL ^P[O [OL KPZ[YPJ[ NV]LYUTLU[ UV[
^P[O [OL V[OLY ]PSSHNLZ PU [OL HYLH ;OLYLMVYL P[Z
JSHPT[V[OPZHYLHPZJVUZPKLYLK[VILPSSLNP[PTH[LI`
ULPNOIVYPUN ]PSSHNLZ ;OPZ SHUK [LU\YL JVUÅPJ[ ^HZ
MYLX\LU[S` IYV\NO[ \W K\YPUN PU[LY]PL^Z SHYNLS` V\[
VMMY\Z[YH[PVU^P[O:L[\SHUN»ZYHWPKL_WHUZPVUHUK^P[O
[OL WLYJLW[PVU [OH[ V\[ZPKLYZ *0-69 PU WHY[PJ\SHY
facilitated this expansion. Despite the possibility for
JVUÅPJ[L_HJLYIH[PVU[OL4PUPZ[LYVM[OL+LWHY[TLU[
VM[OL,U]PYVUTLU[PU4HSPUH\WYLKPJ[LK[OH[:L[\SHUN
would receive more REDD compensation than other
]PSSHNLZ
Compensation Distribution Problems
Within Villages
>OPSL WYVISLTZ HYPZPUN MYVT JVTWLUZH[PVU
KPZ[YPI\[PVUIL[^LLU]PSSHNLZJV\SKHJ[HZHIHYYPLY[V
LMMLJ[P]L HUK LX\P[HISL 9,++ PU 3VUN 2L[YVR JVTWLUZH[PVU WYVISLTZ ^P[OPU ]PSSHNLZ JV\SK IL LX\HSS` WYVISLTH[PJ 4HU` ]PSSHNL YLZPKLU[Z PU :LU[HIHU
HUK:L[HYHWJSHPTLK[V^VYY`HIV\[JVUÅPJ[ZHYPZPUN
^P[OPU[OLPY]PSSHNLZV]LY[OLKPZ[YPI\[PVUVMJVTWLUZH[PVUMYVT9,++5V[Z\YWYPZPUNS`[OLZL]PSSHNLZHYL
HSZV]PSSHNLZ^OLYLTHQVYPU[YH]PSSHNLJVUÅPJ[ZL_PZ[
IL[^LLUL[OUPJP[PLZHUKIL[^LLU]PSSHNLSLHKLYZHUK
UVUSLHKLYZ ;HISL 0U[YH]PSSHNL KPZ[Y\Z[ PZ SHYNLS`
the result of experience with compensation from
ZTHSS SVNNPUN JVUJLZZPVUZ 0U ]PSSHNLZ [OH[ YLJLP]LK
SVNNPUN YL]LU\LZ JVTWLUZH[PVU TPZOHUKSPUN ^HZ
^PKLZWYLHK 3PTILYN 0U :L[HYHW KPZ[Y\Z[ HUK
QLHSV\Z` HTVUN L[OUPJP[PLZ ^HZ ZV ^PKLZWYLHK [OH[
Tropical Resources Bulletin 61
Benjamin Blom
Table 1. Data showing the demographics, livelihoods, accessibility and measures of likelihood
of future conflict for the fi ve villages where interviews were conducted during my fi eldwork.
Village name
Paking
7\UHU:L[HYHW
:LU[HIHUHUK
3VUN2LUPWL
:L[HYHW
:L[\SHUN
Year established
&
1909
209
U\TILYVM MHTPSPLZ
2001 Population
2001 Area (km )
5\TILYVM
villages in
village area
1
1
1
Access
4L[HYHUN9P]LY
Malinau River
Road
Malinau River
Road
Travel distance
MYVTKPZ[YPJ[
capital (hours)
1
Major
ethnicities
Mixed
Punan
Abai, Lundaye,
7\UHU2LU`HO
3\UKH`L2Lnyah, Punan
2LU`HO
Eco-tourism
Z\WWVY[MYVT
district
Yes
5V
5V
5V
Yes
4HQVYZV\YJLZVM (NYPJ\S[\YL[PTber revenues
income
(NYPJ\S[\YL
(NYPJ\S[\YL
(NYPJ\S[\YL
(NYPJ\S[\YL,JV
Tourism, Conservation
Eco-tourism,
Future addi[PVUHSZV\YJLZVM timber
income
6PS7HST(JHJPH 6PS7HSTWSHU[HTHUNP\TWSHU[H- tions
tions
6PS7HST(JHJPHTHUNP\T
plantations
Bottled water
2
*\YYLU[3HUK
*VUÅPJ[Z
5VUL
Setarap
:L[\SHUN
Setulan, Punan
Setarap
Setarap, Punan
Setarap, Sentaban
Current intra]PSSHNLJVUÅPJ[
5V
5V
Yes
Yes
5V
Previous IPPK
Concession?
Yes
Yes
Yes
Yes
5V
the majority of Punan residents decided to start their
V^U ]PSSHNL VU [OL V[OLY ZPKL VM [OL 4HSPUH\ 9P]LY
[VZ[YLUN[OLU[OLPYJSHPTZ[V[YHKP[PVUHSSHUK0SSMLLSPUNZ YLNHYKPUN [OPZ KPZW\[L HYL Z[PSS WYL]HSLU[ PU [OL
]PSSHNLVM7\UHU:L[HYHW0M]PSSHNLZHYLNP]LUHTHQVY
WHY[PJPWH[VY`YVSLPU9,++[OLUNV]LYUTLU[VMÄJPHSZ
HUKPTWSLTLU[PUNVYNHUPaH[PVUZ^PSSSPRLS`JOVVZL[V
KLHS L_JS\ZP]LS` ^P[O ]PSSHNL SLHKLYZ MVY [OL ZHRL VM
NYLH[LYLMÄJPLUJ`=PSSHNLSLHKLYZT\Z[OHUKSLJVTpensation transparently and fairly in order to prevent
PU[YH]PSSHNLJVUÅPJ[
62 Volume 29, 2010
Deforestation rates are not the result of
decisions made at the village level
Community participation in natural resource
THUHNLTLU[ OHZ UL]LY ILLU PUZ[P[\[PVUHSPaLK PU
0UKVULZPH ILJH\ZL 0UKVULZPH»Z [VWKV^U HWWYVHJO
[V MVYLZ[ THUHNLTLU[ PZ UV[ JVTWH[PISL ^P[O
JVTT\UP[`IHZLK YLZV\YJL THUHNLTLU[ 5HUHUN
HUK0UV\L0UVYKLYMVYJVTT\UP[PLZ[VTHUHNL
[OLPYV^UMVYLZ[Z[OL`T\Z[OH]L[OLKLJPZPVUTHRPUN
WV^LY[VKVZV+LZWP[LH[[LTW[ZH[KLJLU[YHSPaH[PVU
[OL0UKVULZPHUUH[PVUHSNV]LYUTLU[YL[HPULKJVU[YVS
V]LYWHY[PJ\SHYS`WYVÄ[HISLPUK\Z[YPLZHUK0UKVULZPH»Z
Reduced Emissions from Deforestation and Forest Degradation (REDD) in East Kalimantan
KLJLU[YHSPaH[PVU OHZ HS^H`Z ILLU JOHYHJ[LYPaLK I`
PUZ[P[\[PVUHS V]LYSHW HUK JVUM\ZPVU 3HYZVU Therefore, unless the entire system of top-down
MVYLZ[ THUHNLTLU[ PZ YLJVUÄN\YLK KLJPZPVUZ [OH[
KL[LYTPUL SHUK \ZL HUK THUHNLTLU[ V]LY SHYNL
scales will continue to be determined without the
PUW\[ VM JVTT\UP[PLZ 9LZPKLU[Z PU 7HRPUN ]PSSHNL
claimed that they believed that REDD could happen,
I\[ [OH[ P[ ^HZ [OL NV]LYUTLU[ HUK JVTWHUPLZ [OH[
J\[ [OL MVYLZ[ UV[ [OL ]PSSHNLYZ 5LHYS` HSS ]PSSHNLYZ
PU[LY]PL^LKJSHPTLK[OH[[OL]PSSHNL^V\SKUV[JSLHY
their primary forest even if REDD does not happen.
;OPZZ\NNLZ[Z[OH[H[SLHZ[PUP[PHSS`[OLTVZ[LMMLJ[P]L
HUK LMÄJPLU[ KLZ[PUH[PVU MVY 9,++ M\UKPUN TH`
IL [OL KPZ[YPJ[ NV]LYUTLU[ VY JVTWHUPLZ UV[ [OL
]PSSHNLYZ [OLTZLS]LZ /V^L]LY [OLZL JVTWHU` HUK
NV]LYUTLU[MVJ\ZLK WYVQLJ[Z YHPZL PZZ\LZ YLNHYKPUN
WYVQLJ[LX\P[HIPSP[`HUKNV]LYUHUJLZLL*VUJS\ZPVUZ
section).
In this case, REDD would be similar to national timber
HUKTPUPUNJVUJLZZPVUZ[OH[I`WHZZ[OLYPNO[ZVMSVJHS
JVTT\UP[PLZMVY[OLZHRLVMNYLH[LYWYVQLJ[LMÄJPLUJ`
Is Pro-business/government REDD really
LMÄJPLU[&
Without community support, REDD projects
would be vulnerable to project disruption by
uncompensated communities.
As one Setarap
YLZPKLU[ JSHPTLK ¸0 KVU»[ ^VYY` HIV\[ V\Y ]PSSHNL
UV[ YLJLP]PUN JVTWLUZH[PVU ILJH\ZL PM ^L KV UV[
receive compensation the project will not work. We
will end the project.” This situation could lead to
OPNOLYLUMVYJLTLU[HUKTVUP[VYPUNJVZ[Z[OH[YLK\JL
LMÄJPLUJ`VY[VJVTWSL[LWYVQLJ[MHPS\YL
-YVTHKL]LSVWTLU[WLYZWLJ[P]L[OLPUJS\ZPVU
of communities could serve to actually increase
LMÄJPLUJ` 4VZ[ ]PSSHNL YLZPKLU[Z JSHPTLK [OH[
[OL` ^V\SK SPRL [OLPY ]PSSHNL [V IL JVTWLUZH[LK
Advantages to Involving
with development projects, instead of monetary
Communities in REDD
JVTWLUZH[PVU ;OL TVZ[ JVTTVU Z\NNLZ[PVUZ
were to compensation in the form of medical or
Establishment of a Future Constituency for LK\JH[PVUHSZ\WWSPLZVYI\PSKPUNZ(UPUJS\ZP]L9,++
project could promote community development
Conservation
HJYVZZT\S[PWSLZLJ[VYZ^OPSLHSZVZLY]PUN[VLUZ\YL
0U[LY]PL^LKYLZPKLU[ZPUL]LY`]PSSHNL]HS\LK local support for REDD.
the conservation of forest for a variety of reasons,
PUJS\KPUN [OL WYV]PZPVU VM MVYLZ[ WYVK\J[Z YLNPVUHS Conclusions
climate moderation and the preservation of cultural
PKLU[P[` 0U THU` PUZ[HUJLZ ]PSSHNLYZ ^LYL OPNOS`
The way in which Reduced Emissions from
supportive of initiatives to conserve forest and preferred +LMVYLZ[H[PVU HUK -VYLZ[ +LNYHKH[PVU 9,++ PZ
compensation for conservation to compensation for implemented as an institution in relation to previously
SVNNPUN TPUPUN VY WSHU[H[PVUZ 6UL WHY[PJ\SHYS` L_PZ[PUN PUZ[P[\[PVUZ ^PSS SPRLS` OH]L H THQVY PTWHJ[
pro-conservation advocate in Sentaban, when asked VUP[ZL]LU[\HSZ\JJLZZ;OLNV]LYUHUJLZP[\H[PVUPU
HIV\[OLYL_WLJ[H[PVUZYLNHYKPUNJVTWLUZH[PVUZHPK 4HSPUH\ PZ JOHYHJ[LYPaLK I` PUZ[P[\[PVUHS JVUM\ZPVU
¸0 KVU»[ ^VYY` VY JHYL HIV\[ JVTWLUZH[PVU 0 ^HU[ JVYY\W[PVUHUKKPZ[Y\Z[H[L]LY`SL]LSVMNV]LYUTLU[;V
[OLMVYLZ[MVYT`NYHUKJOPSKYLU¹(YLZPKLU[VM7\UHU ZPTWS`NYHM[9,++VU[VJ\YYLU[S`L_PZ[PUNPUZ[P[\[PVUZ
:L[HYHWJSHPTLK¸=PSSHNLZ[OH[OH]LMVYLZ[HYLJVVSLY will probably have very little impact on forest
7LVWSLPU]PSSHNLZ[OH[OH]LSVZ[[OLPYMVYLZ[HYLZPJR¹
THUHNLTLU[ WYHJ[PJLZ 0U MHJ[ Z\JO H TV]L JV\SK
L]LUZLY]L[VL_HJLYIH[LJ\YYLU[JVUÅPJ[ZJVYY\W[PVU
;OL 3VUN 2L[YVR HYLH PZ VUL YLNPVU ^OLYL HUKYLZV\YJLL_WYVWYPH[PVU6U[OLV[OLYOHUK9,++
9,++JV\SKIL\ZLK[VNHPUHSVUN[LYTZ\WWVY[P]L could be a transformative institution that promotes
constituency for forest conservation. Indeed, many of NVVKNV]LYUHUJLHUKJYVZZZLJ[VYJVSSHIVYH[PVU;OL
[OLZL ]PSSHNLZ JSHPT [OH[ [OL` OH]L ILLU JVUZLY]PUN ability of REDD to do so is dependent on the ability
MVYLZ[ MVY JLU[\YPLZ ;OL 2LU`HO WLVWSL VM :L[\SHUN of implementers to draw on lessons from previous
YLMLY [V [OLPY Z`Z[LT VM JVUZLY]H[PVU HZ ;HUL 6SLU attempts at institutional transformation (Cashore et al.
and claim that this system has a history that dates "3L]PU4J+LYTV[[HUK*HZOVYL
IHJR[OYV\NO[OLPYVYHS[YHKP[PVU-PN\YL0^HUHUK
3PTILYN 0M9,++^LYL[VILKVUL^P[OV\[[OL
As mentioned previously in this article, a
participation and compensation of forest-dependent [YHKLVMM IL[^LLU LMÄJPLUJ` HUK LX\P[` PU 9,++
communities, REDD and conservation could come to will likely be an important characteristic of REDD
be viewed as another form of resource appropriation. :L`TV\Y"*OOH[YLHUK(NYH^HS :VTL
Tropical Resources Bulletin 63
Benjamin Blom
YLZLHYJOLYZPUJS\KPUNT`ZLSMILSPL]L[OH[[OLYLPZH
TVYHS VISPNH[PVU MVY 9,++ [V ZPNUPÄJHU[S` PTWYV]L
[OL SP]LZ VM MVYLZ[K^LSSPUN JVTT\UP[PLZ )YV^U
:L`TV\Y HUK 7LZRL[[ " 3\[[YLSS :JOYLJRLUILYN
and Peskett 2007). If REDD is to be implemented in
H^H`[OH[PNUVYLZ[OL^HYUPUNZHUKYLX\PYLTLU[ZVM
local communities then REDD is probably not worth
PTWSLTLU[PUNH[HSS
)YV^U+-:L`TV\YHUK3LV7LZRL[[/V^KV
^LHJOPL]L9,++JVILULÄ[ZHUKH]VPKKVPUN
OHYT&0U4V]PUNHOLHK^P[O9,++LKP[LKI`
((UNLSZLU)VNVY!*0-69
*HZOVYL).YHLTL(\SK:)LYUZ[LPUHUK*
4JKLYTV[[*HU5VUZ[H[L.V]LYUHUJL
º9H[JOL[<W»NSVIHS,U]PYVUTLU[HS:[HUKHYKZ&
3LZZVUZMYVT[OL-VYLZ[:LJ[VY9,*0,3
*OOH[YL(ZO^PUPHUK((NYH^HS ;YHKLVMMZHUK
Z`ULYNPLZIL[^LLUJHYIVUZ[VYHNLHUKSP]LSPOVVK
ILULÄ[ZMYVTMVYLZ[JVTTVUZ7YVJLLKPUNZVM[OL
5H[PVUHS(JHKLT`VM:JPLUJLZ!
.SVIHS,JVYLZJ\L 4HUHNPUN,JVZ`Z[LTZ.SVIHS
,JV9LZJ\L3[KBJP[LK1\UL D
(]HPSHISLMYVT<93!O[[W!^^^LJVYLZJ\LJVT
07***SPTH[LJOHUNL![OLWO`ZPJHSZJPLUJL
basis - summary for policymakers, contribution of
^VYRPUNNYV\W0[V[OLMV\Y[OHZZLZZTLU[YLWVY[VM
[OLPU[LYNV]LYUTLU[HSWHULSVUJSPTH[LJOHUNL
LKP[LKI`07**!0U[LYNV]LYUTLU[HS7HULSVU*SPTH[L
*OHUNL07**
0^HU9HTZLZHUK.VK^PU3PTILYN ;HUL»6SLU
HZHUHS[LYUH[P]LMVYMVYLZ[THUHNLTLU[!M\Y[OLY
KL]LSVWTLU[ZPU:L[\SHUN]PSSHNL,HZ[2HSPTHU[HU
In The decentralization of forest governance;
WVSP[PJZLJVUVTPJZHUK[OLÄNO[MVYJVU[YVSVM
forests in Indonesian Borneo, edited by M. Moelio
UV,>VSSLUILYNHUK.3PTILYN3VUKVU!
Earthscan.
Figure 3. 4 meter (>13 feet) DBH Dipterocarp
tree (Shorea meranti spp.) in Setulang’s Tane
Olen forest, which forms part of Long Ketrok
Protected Forest.
9LMLYLUJLZ
Blom, Benjamin, Terry Sunderland, and D. Murdiyarso.
.L[[PUN9,++[V^VYRSVJHSS`!SLZZVUZSLHYULK
MYVT0U[LNYH[LK*VUZLY]H[PVUHUK+L]LSVWTLU[
Projects. Environmental Science and Policy Volume
PUWYLZZ
)V`K,4.\[PLYYLaHUK4*OHUN:THSSZJHSL
MVYLZ[JHYIVUWYVQLJ[Z!HKHW[PUN*+4[VSV^PUJVTL
JVTT\UP[PLZ.SVIHS,U]PYVUTLU[HS*OHUNL!
64 Volume 29, 2010
3HTIPU,-HUK/1.LPZ[;OLSHUKTHUHNLYZ
^OVOH]LSVZ[JVU[YVSVM[OLPYSHUK\ZL!PTWSPJH[PVUZ
MVYZ\Z[HPUHIPSP[`;YVWPJHS,JVSVN`!
3HYZVU(4+LTVJYH[PJKLJLU[YHSPaH[PVUPU[OL
forestry sector. In The politics of decentralization,
LKP[LKI`*17*VSMLYHUK+*HWPZ[YHUV3VUKVU!
Earthscan.
3L]PU2*4J+LYTV[[HUK)*HZOVYL;OL
JSPTH[LYLNPTLHZNSVIHSMVYLZ[NV]LYUHUJL!JHU
YLK\JLKLTPZZPVUZMYVT+LMVYLZ[H[PVUHUK-VYLZ[
+LNYHKH[PVU9,++PUP[PH[P]LZWHZZHºK\HS
LMMLJ[P]LULZZ»[LZ[&0U[LYUH[PVUHS-VYLZ[Y`9L]PL^
! 3PTILYN.VK^PU 0TWHJ[VMZTHSS[PTILYOHY]LZ[
WLYTP[ZVU]PSSHNLZPU[OL4HSPUH\^H[LYZOLK0U;OL
KLJLU[YHSPaH[PVUVMMVYLZ[NV]LYUHUJL"WVSP[PJZ
LJVUVTPJZHUK[OLÄNO[MVYJVU[YVSVMMVYLZ[ZPU
Indonesian Borneo, edited by M. Moeliono, E.
>VSSLUILYNHUK.3PTILYN3VUKVU!,HY[OZJHU
Reduced Emissions from Deforestation and Forest Degradation (REDD) in East Kalimantan
3\[[YLSS*2:JOYLJRLUILYNHUK3LV7LZRL[[;OL
PTWSPJH[PVUZVMJHYIVUÄUHUJPUNMVYWYVWVVY
JVTT\UP[`MVYLZ[Y`0U-VYLZ[Y`)YPLÄUNLKP[LK
I`+)YV^U3VUKVU!-7,7
4HSPUH\+PZ[YPJ[.V]LYUTLU[)HZLSPULKH[HVU
JHYIVUZ[VJRZ"PKLU[PÄJH[PVUVMWV[LU[PHSMVYLZ[\ZL
MVYJHYIVUZLX\LZ[YH[PVUPU4HSPUH\,HZ[
2HSPTHU[HULKP[LKI`+(V,04)(7,+(3
+(4HSPUH\,HZ[2HSPTHU[HU0UKVULZPH!4HSPUH\
+PZ[YPJ[.V]LYUTLU[
>VSSLUILYN,]H4VPYH4VLSPVUVHUK.VK^PU3PTILYN
)L[^LLUZ[H[LHUKZVJPL[`!KLJLU[YHSPaH[PVU
PU0UKVULZPH0U;OLKLJLU[YHSPaH[PVUVMMVYLZ[
NV]LYUHUJL"WVSP[PJZLJVUVTPJZHUK[OLÄNO[MVY
control of forests in Indonesian Borneo, edited by
44VLSPVUV,>VSSLUILYNHUK.3PTILYN
3VUKVU!,HY[OZJHU
4J*HY[O`1-*OHUNPUN[VNYL`!KLJLU[YHSPaH[PVU
HUK[OLLTLYNLUJLVM]VSH[PSLZVJPVSLNHS
JVUÄN\YH[PVUZPU*LU[YHS2HSPTHU[HU0UKVULZPH
>VYSK+L]LSVWTLU[! 4VLSPVUV4VPYHHUK.VK^PU3PTILYN ;OL
NLVNYHWO`VM4HSPUH\0U;OLKLJLU[YHSPaH[PVUVM
MVYLZ[NV]LYUHUJL"WVSP[PJZLJVUVTPJZHUK[OL
ÄNO[MVYJVU[YVSVMMVYLZ[ZPU0UKVULZPHU)VYULV
LKP[LKI`44VLSPVUV,>VSSLUILYNHUK.
3PTILYN3VUKVU!,HY[OZJHU
4VLSPVUV4VPYH,]H>VSSLUILYNHUK.VK^PU3PTILYN
LKZ ;OLKLJLU[YHSPaH[PVUVMMVYLZ[NV]LYUHUJL
"WVSP[PJZLJVUVTPJZHUK[OLÄNO[MVYJVU[YVSVM
MVYLZ[ZPU0UKVULZPHU)VYULV3VUKVU!,HY[OZJHU
5HUHUN4HUK40UV\L3VJHSMVYLZ[THUHNL
TLU[PU0UKVULZPH!HJVU[YHKPJ[PVUIL[^LLUUH[PVUHS
forest policy and reality. International Review for
,U]PYVUTLU[HS:[YH[LNPLZ! 7,(*,0UKVULZPHHUKJSPTH[LJOHUNL!J\YYLU[Z[H[\Z
and policies. The World Bank, Department for International Development of Indonesia.
Rhee, Steve. 2009. The cultural politics of collaboration
to control and access forest resources in Malinau,
,HZ[2HSPTHU[HU0U;OLKLJLU[YHSPaH[PVUVMMVYLZ[
NV]LYUHUJL"WVSP[PJZLJVUVTPJZHUK[OLÄNO[MVY
control of forests in Indonesian Borneo, edited by
44VLSPVUV,>VSSLUILYNHUK.3PTILYN
3VUKVU!,HY[OZJHU
Sandker, M., A. Suwarno, and B. Campbell. 2007. Will
MVYLZ[ZYLTHPUPU[OLMHJLVMVPSWHSTL_WHUZPVU&
ZPT\SH[PUNJOHUNLPU4HSPUH\0UKVULZPH,JVSVN`
HUK:VJPL[`!
:JV[[1HTLZ* :LLPUNSPRLHZ[H[L"OV^JLY[HPU
schemes to improve the human condition have
MHPSLK,KP[LKI`1*:JV[[@HSL(NYHYPHU:[\KPLZ
5L^/H]LU*;!@HSL<UP]LYZP[`7YLZZ
:L`TV\Y--VYLZ[ZJSPTH[LJOHUNLHUKO\THU
YPNO[Z!THUHNPUNYPZRHUK[YHKLVMMZ0U/\THU
9PNO[ZHUK*SPTH[L*OHUNL)VNVY0UKVULZPH!
*0-69
Tropical Resources Bulletin 65
IV. THE WASTE OF MODERNITY
Medical Waste Management in Kenya:
Opportunities for Improvement
Nashaat Mazrui, MEM 2010
Introduction
0ZH[PUHI\ZHZ^LKYV]L[OYV\NO[OLJVUNLZ[LK
YVHKZ VM 5HPYVIP L_OH\Z[LK HM[LY H SVUN KH` PU [OL
ÄLSK;OV\NO0^PZOLK[VMHSSHZSLLWMVY[OL[^VOV\YZ
[OH[ P[ [HRLZ [V NL[ [V T` KLZ[PUH[PVU [OL HJ[P]P[PLZ
VM[OLKH`SPUNLYLKPUT`TPUKWYL]LU[PUNTLMYVT
NVPUNPU[VT`ZS\TILY0SVVRLKH[T`ÄLSKUV[LZMVY
[OLMV\Y[O[PTLHUKZPNOLK0[^HZ\UILSPL]HISL[OH[
all the health facilities I visited that day had medical
^HZ[L PUJPULYH[VYZ ^P[OV\[ HKLX\H[L HPY WVSS\[PVU
control devices. Residential areas surrounded most of
[OL PUJPULYH[VYZ HUK YLZPKLU[Z SP]PUN [OLYL [HSRLK VM
JOVRPUNZTVRL[OH[ZLLWLKPU[V[OLPYOVTLZ^OLU[OL
incinerator was operated. I closed my eyes for a while
to comprehend the enormity of the health crisis. There
PZUVKV\I[[OH[P[PZHNYH]LZP[\H[PVUHUKHZH2LU`HU
I consider it my responsibility to search for sustainable
solutions to the crisis. Thus for the rest of my journey,
0[OV\NO[HIV\[[OLTHUHNLTLU[VMTLKPJHS^HZ[LZPU
2LU`HHUKOV^P[JV\SKILPTWYV]LK
Medical waste, also called bio-medical waste
PU2LU`HYLMLYZ[V^HZ[LWYVK\JLKPUOLHS[OMHJPSP[PLZ
VY YLZLHYJO VYNHUPaH[PVUZ K\YPUN [OL KPHNUVZPZ
[YLH[TLU[ VY PTT\UPaH[PVU VM O\THU ILPUNZ HUK
HUPTHSZ>49;OL>VYSK/LHS[O6YNHUPaH[PVU
>/6 JSHZZPÄLZ Z\JO ^HZ[L PU[V [OL MVSSV^PUN
JH[LNVYPLZ! PUMLJ[PV\Z ^HZ[L ZOHYWZ WOHYTHJL\[PJHS
^HZ[LJOLTPJHS^HZ[LNLUV[V_PJ^HZ[LYHKPVHJ[P]L
^HZ[LWH[OVSVNPJHS^HZ[LHUKWYLZZ\YPaLKJVU[HPULYZ
(Pruss et al. 1999). Most health facilities worldwide
prefer to incinerate medical waste as it has many
HK]HU[HNLZ Z\JO HZ Z[LYPSPaH[PVU VM WH[OVSVNPJHS VY
anatomical waste, volume reduction, and waste heat
Nashaat Mazrui graduated with a Masters degree in Environmental Management at Yale FES.
She holds a Bachelor of Science (BSc.) degree in
Chemistry from the University of Nairobi, Kenya.
Currently, she is interested in toxicology and risk
assessment studies of air and water pollutants.
66 Volume 29, 2010
YLJV]LY` /`SHUK /V^L]LY ZPUJL TLKPJHS
^HZ[LZJVU[HPUOPNOHTV\U[ZVMJOSVYPULPU[OLMVYT
of disinfectants or plastic (polyvinyl chloride) (Hyland
PUJPULYH[PUN [OL TH[LYPHS WYVK\JLZ KPV_PUZ
;OLZL HYL JOLTPJHSZ [OH[ YLZPZ[ KLNYHKH[PVU HUK
therefore bio-accumulate in the food chain. They are
toxic to life and have been linked to the development
of cancer, suppression of the immune system, cause
of reproductive and developmental complications
HUKLUKVJYPULKPZY\W[PVU*VUUL[[ "+HYY`SHUK
7H[ +PV_PUZ LU[LY [OL H[TVZWOLYL HZ M\TLZ
/V^L]LYPUHUPUJPULYH[VYLX\PWWLK^P[OHPYWVSS\[PVU
JVU[YVSLX\PWTLU[TVZ[KPV_PUZHYLJVUJLU[YH[LKPU
[OLÅ`HZO^OPJOPZ[OLÄULZVSPKYLTV]LKMYVT[OL
Å\LZ[HJR+PHaL[HS
In addition to dioxin emissions, medical waste
incinerators release considerable amounts of heavy
metals that can be emitted as fumes, particles, and ash
-YP[ZR`L[HS"@\OHZL[HS ;V_PJKPZJOHYNLK
metals include cadmium, lead, mercury, chromium
HUK HYZLUPJ :PUNO HUK 7YHRHZO *OYVUPJ
exposure to toxic metals can result in the suppression
VMOLTH[VSVNPJHSZ`Z[LTRPKUL`MHPS\YLUL\YV[V_PJP[`
NHZ[YVPU[LZ[PUHSKPZVYKLYZYLZWPYH[VY`[YHJ[PYYP[H[PVU
HUK JHUJLY VM [OL S\UNZ HUK WYVZ[H[L <5,7 ;OLKYH^IHJRZVMPUJPULYH[PUNTLKPJHS^HZ[LZ
OH]L LUJV\YHNLK [OL KL]LSVWTLU[ VM HS[LYUH[P]L
[LJOUVSVNPLZ MVY [YLH[TLU[ HUK KPZWVZHS (S[OV\NO
]HYPV\ZUL^[LJOUVSVNPLZHYLILPUNJVUZPKLYLK^VYSK
^PKL VUS` TPJYV^H]PUN HUK Z[LHT Z[LYPSPaH[PVU
seem to offer realistic alternatives to incineration
3LLL[HS/V^L]LY[OLZL[^V[LJOUPX\LZKV
UV[ JVTWSL[LS` Z[LYPSPaL WH[OVSVNPJHS YHKPVHJ[P]L
SHIVYH[VY`HUKJOLTV[OLYHW`^HZ[LZ3LLL[HS
*VTIPUPUNPUJPULYH[PVUHUKUVUPUJPULYH[PVU
[LJOUVSVNPLZMVYTLKPJHS^HZ[L[YLH[TLU[PZ[OLYLMVYL
H NVVK ^H` VM YLK\JPUN WVSS\[PVU 0[ PZ [O\Z UV[
Z\YWYPZPUN [OH[ [OL YLN\SH[PVUZ VM 2LU`H ^OPJO HPT
[V WYL]LU[ [OL K\TWPUN VM \UZ[LYPSPaLK TLKPJHS
Medical Waste Management in Kenya
wastes, call for the employment of incineration and
Z[LHTZ[LYPSPaH[PVUILMVYLÄUHSKPZWVZHS/V^L]LYHU
emphasis on only the treatment of medical waste is
UV[ Z\Z[HPUHISL PU [OL SVUN Y\U >HZ[LZ HYL TLYLS`
residues that our economy has not yet learned to use
LMÄJPLU[S`.YHLKLSHUK(SSLUI` HUKP[^V\SK
IL HK]HU[HNLV\Z MVY 2LU`H [V L_WSVYL Z\Z[HPUHISL
^H`Z VM \ZPUN TLKPJHS ºYLZPK\LZ» +VPUN ZV ^PSS
not only have environmental and public health
HK]HU[HNLZI\[^PSSHSZVJYLH[LZ\Z[HPUHISLQVIZPU[OL
JV\U[Y`,_WSVYH[PVUVMZ\JOHS[LYUH[P]LZÄYZ[YLX\PYLZ
[OLLZ[HISPZOTLU[VMIHZLSPULKH[HVU[OLNLULYH[PVU
YH[L THUHNLTLU[ WYHJ[PJL [YLH[TLU[ HUK KPZWVZHS
of medical wastes currently employed. My study
therefore aims to establish this data.
-VY[OLX\HU[P[H[P]LHUHS`ZPZ0\ZLK4PUP[HI
[VJHSJ\SH[L[OLH]LYHNLX\HU[P[`VM^HZ[LNLULYH[LK
in each facility. The values were then subjected
to a t-test to establish statistical difference. Also, I
JHSJ\SH[LK ZPTWSL WLYJLU[HNLZ MVY [OL THUHNLTLU[
and disposal methods employed.
Results and Discussion
Quantity of wastes generated
/LHS[O MHJPSP[PLZ JH[LNVYPaL ^HZ[LZ PU[V [^V
THPU NYV\WZ! ZOHYWZ HUK PUMLJ[PV\Z ^HZ[LZ :OHYWZ
are taken to be items that can cut someone while
infectious waste was any solid waste that has come
PU[VJVU[HJ[^P[OHWH[PLU[»ZIVK`Å\PK>P[OPU[OLZL
[^VNYV\WZP[^HZMV\UK[OH[OVZWP[HSZNLULYH[L[OL
Methodology
OPNOLZ[HTV\U[VMIV[O[`WLZVM^HZ[LHUK[OLÄN\YLZ
In an effort to collect this information, I worked ^LYL Z[H[PZ[PJHSS` KPMMLYLU[ MYVT [OVZL NLULYH[LK I`
PU5HPYVIPMYVT1\UL[V(\N\Z[VM NH[OLYPUNKH[H the other three facilities (Table 2).
on medical wastes from health facilities. I choose
5HPYVIPMVY]HYPV\ZYLHZVUZ!ÄYZ[HZ[OLJHWP[HSJP[`VM 9LZ\S[ZMYVT[OPZZ[\K`Z\NNLZ[[OH[[OLNLULYH2LU`HP[PZ[OLTVZ[WVW\SH[LKHUKJVZTVWVSP[HUVM [PVUYH[LVMPUMLJ[PV\Z^HZ[LMVY5HPYVIPPZVU[OLOPNOLY
HSSJP[PLZPU[OLJV\U[Y`"ZLJVUK[OL<UP[LK5H[PVUZ ZPKLMVYHKL]LSVWPUNJV\U[Y`^OLUJVTWHYLK[VKVJ\,U]PYVUTLU[HS 7YVNYHT <5,7 OLHKX\HY[LYZ PZ TLU[LKYH[LZ+PHaL[HS;OPZJV\SKILILJH\ZL
SVJH[LK PU 5HPYVIP ^OPJO THRLZ [OL JP[` H WSHJL VM VM[OLWVVYZLNYLNH[PVUWYHJ[PJLHZL_WSHPULKILSV^
LU]PYVUTLU[HSPU[LYLZ[[V[OLPU[LYUH[PVUHSIVK`"[OPYK
5HPYVIPPZ[OLJLU[LYVMWVSPJ`MVYTH[PVUPU2LU`HHUK Waste management practice
PZ[OLSVJH[PVUVMNV]LYUTLU[VMÄJLOLHKX\HY[LYZ
;OL TVZ[ JVTTVU WYHJ[PJL PU VM [OL
<ZPUN H X\LZ[PVUUHPYL HUK [^V YLZLHYJO MHJPSP[PLZPU5HPYVIPPZ[OLZLNYLNH[PVUVMZOHYWZ^OPSLHSS
HZZPZ[HU[Z 0 ]PZP[LK OLHS[O MHJPSP[PLZ PU 5HPYVIP V[OLYRPUKZVMZVSPKTLKPJHS^HZ[LZHYLTP_LK[VNL[OLY
K\YPUN [OL [OYLL TVU[OZ VM ÄLSK YLZLHYJO 0 ZV\NO[ This practice leads to increased dioxin and metal
PUMVYTH[PVU VU TLKPJHS ^HZ[L NLULYH[PVU YH[L" [OL LTPZZPVUZ K\YPUN [OL PUJPULYH[PVU WYVJLZZ (S]PT
L_[LU[ VM ZLNYLNH[PUN TLKPJHS ^HZ[LZ" YLJ`JSPUN HUK -LYYHaHUK(MVUZVHI(KKP[PVUHSS`THU`
YLJVYK RLLWPUN WYHJ[PJL" HUK TL[OVKZ LTWSV`LK MVY facilities consider broken thermometers as sharps,
[YLH[PUN HUK KPZWVZPUN VM TLKPJHS ^HZ[LZ -VY [OL which leads to increased mercury content in the waste.
W\YWVZLVM[OPZZ[\K`OLHS[OMHJPSP[PLZPU5HPYVIP^LYL
KP]PKLK PU [V MV\Y JSHZZLZ! OVZWP[HSZ U\YZPUN OVTLZ 9LJ`JSPUNHUKYLJVYKRLLWPUNPZUV[WVW\SHY
dispensaries, and clinics (Table 1).
PU OLHS[O MHJPSP[PLZ 0 MV\UK [OH[ SLZZ [OHU VM
Table 1. Categories and definition of health facilities.
Type
+LÄUP[PVU
Hospital
(MHJPSP[`VMMLYPUNIV[OPUWH[PLU[HUKV\[WH[PLU[
services and with more than 70 beds
5\YZPUNOVTLZ
(MHJPSP[`VMMLYPUNIV[OPUWH[PLU[HUKV\[WH[PLU[
services with less than 70 beds
Dispensary
(MHJPSP[`KLZPNULK[VVMMLYV\[WH[PLU[ZLY]PJLZ
^P[OTHU`KVJ[VYZZLY]PUN[OLWH[PLU[Z
Clinics
(MHJPSP[`KLZPNULK[VVMMLYV\[WH[PLU[ZLY]PJLZ
^P[OVULKVJ[VYZLY]PUN[OLWH[PLU[Z
Tropical Resources Bulletin 67
Nashaat Mazrui
Table 2. Waste generated in each type of facility
Facility Type
:OHYWZRNWH[PLU[KH`
0UMLJ[PV\Z^HZ[LZRNWH[PLU[KH`
Hospital
0.9
5\YZPUN/VTL
Dispensary
0.009
Clinic
the facilities recycle pharmaceutical bottles and
VUS` VUL THQVY OVZWP[HS YLJLU[S` ILNHU YLJ`JSPUN
WHWLY @L[ TLKPJHS LX\PWTLU[ JHU IL YL\ZLK PM
KLZPNULK MVY YLJ`JSPUN HUK PM P[ JHU ^P[OZ[HUK [OL
Z[LYPSPaH[PVU WYVJLZZ 7Y\ZZ L[ HS 7SHZ[PJ
Z`YPUNLZ WYVIHIS` OH]L [OL NYLH[LZ[ WV[LU[PHS MVY
YLJ`JSPUN ZPUJL [OL` JVU[HPU H OPNO WSHZ[PJ JVU[LU[
HIV\[ HUK JVU[YPI\[L [OL OPNOLZ[ WYVWVY[PVU
of total medical plastic wastes (Lee et al. 2002).
6WWVY[\UP[PLZ HSZV L_PZ[ PU [OL \ZL VM HUHLYVIPJ
KPNLZ[LYZ[VJVUZ\TLWH[OVSVNPJHS^HZ[LZPU[VIPVNHZ
MVYLULYN`HUKU\[YPLU[YPJOZS\YY`MVYMLY[PSPaLY\ZHNL
analytical tools such as mathematical models
[V IL \ZLK PU KLJPZPVUTHRPUN (N\U^HTIH
;OL SHJR VM YLJVYK RLLWPUN OPUKLYZ [OL
development of effective medical waste policy.
Waste Treatment and Disposal methods
This study found that most health facilities
subcontract waste treatment and disposal to a private
JVTWHU`0UMHJ[Z\IJVU[YHJ[[VJVTWHUPLZ[OH[
HYLSPJLUZLK[VJVSSLJ[NLULYHS^HZ[L^OPSLVUS`
subcontract to companies licensed to handle medical
^HZ[LZ 6M OLHS[O MHJPSP[PLZ [OH[ KPK UV[ Z\IJVU[YHJ[
6US`VM[OLMHJPSP[PLZHKTP[[VRLLWPUN ^HZ[L KPZWVZHS PUJPULYH[L VU ZP[L HUK [OLU
some kind of records on the amount of medical YLNHYK YLZPK\HS HZO HZ NLULYHS T\UPJPWHS ^HZ[L HUK
^HZ[LZ NLULYH[LK 9LJVYK RLLWPUN PZ HU PU]HS\HISL KPYLJ[S`KLWVZP[HSS[OLPY^HZ[LZPUVWLUK\TWZ
WYHJ[PJL [OH[ JHU HPK H ^HZ[L THUHNLY PU ZL[[PUN
[HYNL[Z MVY ^HZ[L YLK\J[PVU HUK HSZV PU KL]LSVWPUN *VUZPKLYPUN [OH[ TVZ[ VM [OL MHJPSP[PLZ
Figure 1. Children playing in a municipal waste disposal ground
68 Volume 29, 2010
Medical Waste Management in Kenya
Figure 2. Pigs feeding in a municipal waste disposal ground
MVY[Z[VTPUPTPaL^HZ[LWYVK\J[PVUZOV\SKILLUZ\IJVU[YHJ[ [OL KPZWVZHS VM ^HZ[LZ [V NLULYHS ^HZ[L
JV\YHNLK[OYV\NOYLJ`JSPUNHUKYL\ZPUNYLZV\YJLZ
JVSSLJ[VYZ H SHYNL HTV\U[ VM \UZ[LYPSPaLK TLKPJHS
waste actually ends up in dumps. Toxic ashes from 2. :LNYLNH[PVUVM^HZ[LZPZWVVYS`JVUK\J[LKPUMHJPSP[PLZ`L[YPNVYV\ZZLNYLNH[PVU^PSSTPUPTPaL^HZ[LZ
PUJPULYH[PVUHYLHSZVKPZWVZLKOLYLSLHKPUN[V^H[LYHUK
WVSS\[HU[ LTPZZPVUZ HUK HSSV^ MVY YLJ`JSPUN
ZVPSJVU[HTPUH[PVU[OYV\NOSLHJOPUNVM[OLJOLTPJHSZ
:PUJL2LU`HKVLZUV[OH]LHZHUP[HY`SHUKÄSS`L[[OL 0U ZWP[L VM [OL MHJ[ [OH[ YLJ`JSPUN PZ HSTVZ[ UL]er done in health facilities, opportunities for
WV[LU[PHSMVY[V_PJZ\IZ[HUJL[VSLHJOPZT\JOOPNOLY
YLJ`JSPUN WOHYTHJL\[PJHS IV[[SLZ TLKPJHS
[OHUPUJV\U[YPLZ^P[OZHUP[HY`SHUKÄSSZ(KKP[PVUHSS`
WSHZ[PJ ^HZ[LZ HUK WH[OVSVNPJHS ^HZ[LZ L_PZ[
[OL J\YYLU[ K\TWZ PU 5HPYVIP HYL HJJLZZPISL [V
JOPSKYLU HUK HUPTHSZ -PN\YLZ HUK [O\Z 2LLWPUN JVTWYLOLUZP]L YLJVYKZ VM ^HZ[LZ
NLULYH[PVU PZ [OL ÄYZ[ Z[LW [V^HYKZ KL]LSL_HJLYIH[L[OLOHYTZVMTLKPJHS^HZ[LTHUHNLTLU[
VWPUN H ^HZ[L THUHNLTLU[ WSHU I\[ ]LY`
ML^ MHJPSP[PLZ PU 5HPYVIP RLLW YLJVYKZ
Last, but not least, this study found that all except two
facilities that incinerate medical waste are located in ;OL SLNHS H^HYLULZZ HTVUN ^HZ[L THUHNers in health facilities is limited, thus it is imYLZPKLU[PHSHYLHZHUKKVUV[OH]LHKLX\H[LHPYWVSS\[PVU
WVY[HU[ MVY YLN\SH[PVUZ [V IL W\ISPJPaLK Z\JO
control devices. As discussed earlier, incineration is
[OH[ HSS [OVZL YLZWVUZPISL MVY NLULYH[PUN OHUHZZVJPH[LK ^P[O THU` ULNH[P]L LU]PYVUTLU[HS HUK
KSPUN HUK KPZWVZPUN ^HZ[LZ HYL LUSPNO[LULK
health effects and it seems ironic that health facilities
[OLTZLS]LZ HYL JVU[YPI\[PUN [V [OLZL WYVISLTZ Almost all incinerators in the health facilities have poor or no air pollution con[YVS KL]PJLZ ;OLYLMVYL HKLX\H[L WVSS\Conclusion
tion control measures need to be employed.
;OV\NO[OPZWHWLYPZI`UVTLHUZL_OH\Z[P]L 7. ;OL NV]LYUTLU[ ZOV\SK JVUZ[Y\J[ H SHUKÄSS [V
TPUPTPaL [OL SLHJOPUN WV[LU[PHS VM PUJPULYH[VY
P[OLSWZPKLU[PM`PTWVY[HU[HYLHZ[OH[YLX\PYLPTWYV]Lashes and other pollutants in municipal wastes.
TLU[PMTLKPJHS^HZ[LTHUHNLTLU[PU2LU`HPZ[VIL
THKLTVYLZ\Z[HPUHISL;OLMVSSV^PUNSPZ[V\[SPULZ[OL
ZHSPLU[JVUJS\ZPVUZHUKYLJVTTLUKH[PVUZVM[OLZ[\K`! Acknowledgement
I owe the opportunity to do this study to the Compton
1. The amount of medical wastes produced in health
0U[LYUH[PVUHS
-LSSV^ZOPW [OL ;YVWPJHS 9LZV\YJLZ 0UZ[P[\[L
MHJPSP[PLZ VM 5HPYVIP PZ OPNOLY [OHU [OL H]LYHNL
HUK
[OL
*HYLLY
+L]LSVWTLU[ 6MÄJL H[ @HSL :JOVVS VM
HTV\U[WYVK\JLKMYVTKL]LSVWPUNJV\U[YPLZ,M-
Tropical Resources Bulletin 69
Nashaat Mazrui
-VYLZ[Y` HUK ,U]PYVUTLU[HS :[\KPLZ 0 HT HSZV PUKLI[LK HUK,_OPIP[PVU(PY>HZ[L4HUHNL(ZZVJ7HWLY
[V T` HK]PZVYZ 7YVMLZZVY;OVTHZ .YHLKLS HUK +Y ,]HUZ 5V ;(+LU]LY*6¶1\UL
2P[\`P MVY [OLPY N\PKHUJL K\YPUN [OL KL]LSVWTLU[ HUK
implementation of the study.
1VYKHU1> 0UJPULYH[PVUHS[LYUH[P]LZPU[OL[YLH[
TLU[VMTLKPJHS^HZ[L0U[O(UU\HS4LL[PUN
9LMLYLUJLZ
HUK,_OPIP[PVU(PY>HZ[L4HUHNL(ZZVJ7HWLY
5V 9((*PUJPUUH[P6/ ¶1\UL
(N\U^HTIH1* :VSPK^HZ[LTHUHNLTLU[PU
5PNLYPH,U]PYVUTLU[HS4HUHNLTLU[! ¶
3LL)41,SSLUILJRLYHUK94V\YL,YZHZV
(S]PT-LYYHa4*4HUK:(=(MVUZVH
Dioxin emission factors for the incineration of
different medical waste types. Arch. Environ.
*VU[HT;V_PJVS!¶
(S]PT-LYYHa4*4HUK:(=(MVUZVI
0UJPULYH[PVUVMKPMMLYLU[[`WLZVMTLKPJHS^HZ[LZ!
emission factors for particulate matter and heavy
TL[HSZ,U]PYVUTLU[HS:JPLUJLHUK;LJOUVSVN`!
¶
)VYV^ZR`(9HUK7+-SLPZJOH\LY 4LKPJHS
^HZ[LKPZWVZHS^OH[»ZUL^&0U[O(UU\HS4LL[PUN
HUK,_OPIP[PVU(PY>HZ[L4HUHNL(ZZVJ7HWLY
5V ;7+LU]LY*6¶1\UL
*VUUL[[7 4\UPJPWHS^HZ[LPUJPULYH[PVU!(WVVY
ZVS\[PVUMVY[OLZ[*LU[\Y`[O(UU\HS0U[LY
UH[PVUHS4HUHNLTLU[*VUMLYLUJL>HZ[L¶[V¶
,ULYN`5V] (TZ[LYKHT
+HYY`S3HUK*7H[ ;LJOUPJHSJYP[LYPHMVY[OL
KLZ[Y\J[PVUVMZ[VJRWPSLKWLYZPZ[LU[VYNHUPJ
WVSS\[HU[Z.YLLUWLHJL0U[LYUH[PVUHS:JPLUJL<UP[
+PHa3-33,NNLY[O:O,URO[ZL[ZLNHUK.4
:H]HNL*OHYHJ[LYPZ[PJZVMOLHS[OJHYL^HZ[LZ
>HZ[L4HUHNLTLU[! ¶
-PSPWWVUP7(7VSL[[PUP97VTPHUK7:PYPUP
Physical and mechanical properties of cement
IHZLKWYVK\J[ZJVU[HPUPUNPUJPULYH[PVUIV[[VTHZO
>HZ[L4HUHNLTLU[!¶
-YP[ZR`211/2\TTHUK4>PSRLU*VTIPUL
7*++-KLZ[Y\J[PVUHUKWHY[PJ\SH[LJVU[YVSPUH
IHNOV\ZL!L_WLYPLUJL^P[OHJH[HS`[PJÄS[LYZ`Z[LT
at a medical waste incineration plant. J. Air and
>HZ[L4HUHNL(ZZVJ!¶ .LUHaaPUP*9ALYIPUV(9VUJV6)H[PJHUK.
.PHJJPV/VZWP[HS^HZ[LHZOLZPU7VY[SHUK
JLTLU[TVY[HYZ*LTLU[HUK*VUJYL[L9LZLHYJO!
¶
.YHLKLS;,HUK)9(SSLUI` 0UK\Z[YPHS,JVSVN`
,UNSL^VVK*SPMMZ!7YLU[PJL/HSS
/`SHUK9. 9LN\SH[VY`KL]LSVWTLU[ZHMMLJ[PUN
TLKPJHS^HZ[LKPZWVZHS0U[O(UU\HS4LL[PUN
70 Volume 29, 2010
Alternatives for treatment and disposal cost reduc[PVUVMYLN\SH[LKTLKPJHS^HZ[LZ>HZ[L4HUHNL
TLU[!¶
3LL)241,SSLUILJRLYHUK94V\YL,YHZV
(UHS`ZLZVM[OLYLJ`JSPUNWV[LU[PHSVMTLKPJHS
WSHZ[PJ^HZ[LZ>HZ[L4HUHNLTLU[!¶
6»*VUUVY3 0TWYV]PUNTLKPJHS^HZ[LKPZWVZHS
4LJOHUPJHS,UNPULLYPUN4H`!¶ 7HYR/:HUK1>1LVUN9LJLU[[YLUKZVU
KPZWVZHS[LJOUVSVNPLZVMTLKPJHS^HZ[L12VYLHU
:VSPK>HZ[LZ,UNPULLYPUN:VJ!¶
7Y\ZZ(,.PYV\S[HUK+9\ZOIYVVR
:HML
THUHNLTLU[VM^HZ[LZMYVTOLHS[OJHYLHJ[P]P[PLZ
.LUL]H>/6
:HSRPU0-HUK,2YPZP\UHZ (S[LYUH[P]LZ[VTLKPJHS
waste incinerators. J. Solid Waste Technol. Man
HNL! ¶
:PUNO:HUK=7YHRHZO;V_PJLU]PYVUTLU[HS
YLSLHZLZMYVTTLKPJHS^HZ[LPUJPULYH[PVU!HYL]PL^
,U]PYVU4VUP[(ZZLZZ!¶
<5,7,U]PYVUTLU[HSWVSS\[PVUHUKPTWHJ[ZVU
W\ISPJOLHS[O!PTWSPJH[PVUZVM[OL+HUKVYH
T\UPJPWHSK\TWPUNZP[LPU5HPYVIP2LU`H
<:,7( ;OL0U]LU[VY`VM:V\YJLZVM+PV_PUZPU[OL
<UP[LK:[H[LZ<:,7(6MÄJLVM9LZLHYJOHUK
+L]LSVWTLU[,7(7 (H,_[LYUHS view Draft, April
>HZ[L4HUHNLTLU[9LN\SH[PVU>49;OL
,U]PYVUTLU[HS4HUHNLTLU[HUK*VVYKPUH[PVU >HZ[L4HUHNLTLU[9LN\SH[PVUZ2LU`H.HaL[[L
Z\WWSLTLU[5V :LW[LTILY
@\OHZ1((9)VYV^ZR`HUK-(/HZZLSYPPZ Comparison of air toxics emission from medical
^HZ[LPUJPULYH[VYZHUK^HZ[LOH\SPUN0U[O(UU\HS
4LL[PUNHUK,_OPIP[PVU(PY>HZ[L4HUHNL
(ZZVJ7HWLY5V 9((*PUJPUUH[P6/
¶1\UL
E-Waste in Indonesia: The Case of Personal Computers Fauziah Rochman, MESc 2010
Introduction
PC waste as a resource
;OPZ YLZLHYJO PZ HU LMMVY[ VM PKLU[PM`PUN HUK
JOHYHJ[LYPaPUN HU PUMVYTHS Z`Z[LT [OH[ L_PZ[Z PU [OL
YLJ`JSPUNVMLSLJ[YVUPJ^HZ[L,^HZ[LPU0UKVULZPH
@VN`HRHY[H 0UKVULZPH ^HZ JOVZLU HZ H SVJH[PVU
[OH[ YLÅLJ[Z [OL [YHUZP[PVU MYVT H [YHKP[PVUHS [V
H TVKLYUJVUZ\TPUN SPMLZ[`SL ;OPZ JVUKP[PVU
LWP[VTPaLZ [OL JVUZ\TW[PVU WH[[LYUZ [OH[ OH]L
ILLU H JVTTVU MLH[\YL VM TVZ[ KL]LSVWPUN (ZPHU
nations in recent decades. As the nations develop
HUK[OLPYLJVUVTPLZNYV^JVUZ\TW[PVUVMYLZV\YJLZ
NYV^Z JVYYLZWVUKPUNS` /\IHJLR L[ HS Electronic waste or E-waste for short is a
NLULYPJ[LYTLUJVTWHZZPUN]HYPV\ZMVYTZVMLSLJ[YPJ
HUK LSLJ[YVUPJ LX\PWTLU[ [OH[ OH]L JLHZLK [V IL
VM HU` ]HS\L [V [OLPY V^ULYZ >PKTLY L[ HS .LULYH[PVU VM ,^HZ[L PZ YLJVNUPaLK HZ [OL TVZ[
YHWPKS`NYV^PUN^HZ[LWYVISLTPU[OL^VYSK>P[O[OL
PUJYLHZLVMH[SLHZ[WLYHUU\T[OLYH[LPZ[OYLL
[PTLZ MHZ[LY [OHU V[OLY ^HZ[L Z[YLHTZ <5,7 6ULVM[OLSHYNLZ[LSLJ[YVUPJJVTTVKP[PLZWYVK\JLK
HUK [YHKLK ^VYSK^PKL PZ [OL 7*(IV\[ TPSSPVU
PCs reached the end of their service lives between
HUK >P[O [OH[ HTV\U[ [OL` JVU[HPU
,^HZ[LPZHULTLYNPUNNSVIHSLU]PYVUTLU[HS HWWYV_PTH[LS` [VUZ VM WSHZ[PJZ problem in the current world. While we are [VUZ VM SLHK [VUZ VM JHKTP\T HUK [VUZ
V]LY^OLSTLKI`PU]LU[PVUZVMTVKLYU[LJOUVSVNPJHS VM TLYJ\Y` )(5 HUK :=;* " )LLJO NHKNL[ZPU]LU[PVUZVM[OLPYYLJ`JSPUN[LJOUVSVN`HYL
JVUZPKLYHIS` SLZZ 7YVWLY LSLJ[YVUPJZ YLJ`JSPUN PZ
The abundance of electronic products causes
deemed as inconvenient, and they are also cheaper to their prices to decrease. With the increase of economic
dump rather than to process. Most of the time, these HMMVYKHIPSP[`HUKYHWPK[LJOUVSVNPJHSPUUV]H[PVUZP[PZ
[LJOUVSVNPJHSNHKNL[ZHYLUV[YLJ`JSLK0UZ[LHK[OL` UV^JOLHWLY[VW\YJOHZLHUL^7*[OHU[VÄ_VY\WNYHKL
HYLKPZWVZLKMHYH^H`MYVT[OLZV\YJL-VYPUZ[HUJL an old one (StEp 2009). This would further shorten the
developed countries, such as the United States, SPML ZWHU VM LSLJ[YVUPJ WYVK\J[Z(Z H JVUZLX\LUJL
KPZWH[JOHYV\UKVM[OLPY,^HZ[L[V(ZPHHUK(MYPJH VSKLY HUK V\[KH[LK LSLJ[YVUPJ P[LTZ HYL ILJVTPUN
+HOS"/\VL[HS"AVL[LTHUL[HS VIZVSL[L HUK HYL ILPUN KPZJHYKLK PU ZPNUPÄJHU[
HTV\U[Z^VYSK^PKL*\S]LY">VUNL[HS
9HWPKLJVUVTPJNYV^[OJV\WSLK^P[OHNYV^PUN
KLTHUKMVYJVUZ\TLYNVVKZOHZPUJYLHZLKIV[O[OL
E-waste is often richer in precious materials
production and the consumption of electrical and compared to natural sources. A ton of ore from
LSLJ[YVUPJLX\PWTLU[PU0UKVULZPH;OLNYV^[OPU[OL H NVSK TPUL WYVK\JLZ N VM NVSK VU H]LYHNL
JVUZ\TW[PVUHUKWYVK\J[PVUVM[OLZLNVVKZOHZILLU whereas a ton of discarded mobile phones can
L_WVULU[PHSPU[OLSHZ[[^VKLJHKLZNLULYH[PUNHIV\[ `PLSKHTPUPT\THTV\U[VMN4VYL[OHU
[VTPSSPVU[VUZVM^HZ[LL]LY``LHY^VYSK^PKL VM [OL ^LPNO[ VM [OL JVTWVZP[PVU VM H ^OVSL 7* ZL[
2HW\YHUK.YHLKLS"7PU[V"3P\L[HS JVUZPZ[ZVMZPSPJHNSHZZWSHZ[PJZPYVUHUKHS\TPU\T
0U[OPZWHWLY0PU[LUK[VL_WSVYLHUKJOHYHJ[LYPaL[OL 4** " ,47( " @VZOPRH^H ;OLZL
YLJ`JSPUNVM7LYZVUHS*VTW\[LYZ7*ZPU@VN`HRHY[H numbers demonstrate that we should not waste
E-waste because they contain valuable resources.
Fauziah Rochman is originally from Central Java,
Indonesia. She has a BSc in Biology from Gadjah
Mada University. She worked on various industrial
waste research projects in Indonesia before earning a Master’s of Environmental Science at Yale.
Her research interests include industrial environmental management and waste management.
,U]PYVUTLU[HSHUKZVJPHSJVZ[VM
E-waste
0SSLNP[PTH[LTV]LTLU[ZVM,^HZ[LHJYVZZIVYKLYZ
WVZLHULU]PYVUTLU[HSLX\P[`[OYLH[;OLPZZ\LPZRUV^U
to be responsible for environmental, health, social, and
developmental conditions impacts worldwide (Iles
Tropical Resources Bulletin 71
Fauziah Rochman
Figure 1. The
collection and
manual dismantling
of CRT Monitors
waste in Yogyakarta,
Indonesia.
"9V`[L"2PT0TWYVWLYKPZWVZHSHUK
YLJ`JSPUNVM,^HZ[LPZJVTTVUPUTHU`KL]LSVWPUN
countries in Asia and Africa. With a lack of available
waste removal infrastructure and the necessary
[LJOUPJHSJHWHJP[PLZ,^HZ[LYLJ`JSPUNVWLYH[PVUZPU
KL]LSVWPUN JV\U[YPLZ HYL MHJLK ^P[O JOHSSLUNLZ HZ
^LSSHZVWWVY[\UP[PLZ;V_PJZ3PUR"+H]PZ
E-waste that is improperly disposed of or
YLJ`JSLK [LUKZ [V JH\ZL ULNH[P]L PTWHJ[Z VU [OL
environment and human health. There are concerns
VM [OL SLHJOPUN VM [V_PJ JVTWVULU[Z MYVT ,^HZ[L
The toxic chemicals commonly used in electronic
KL]PJLZ HYL TL[HSZ HUK TL[HSSVPKZ LN HYZLUPJ
cadmium, chromium, copper, lead, and mercury)
HUK VYNHUPJ JOLTPJHSZ Z\JO HZ )YVTPUH[LK -SHTL
9L[HYKHU[Z )-9Z *H[OVKL YH` [\ILZ *9;Z MVY
instance, may contain barium, cadmium, copper,
SLHK aPUJ HUK ZL]LYHS YHYL LHY[O TL[HSZ ,SLJ[YVUPJ
KL]PJLZHSVUN^P[OSLHKëHJPKIH[[LYPLZHYL[OLTHQVY
contributors of lead in the municipal solid waste
Z[YLHT<:,U]PYVUTLU[HS7YV[LJ[PVU(NLUJ` "
@HUN "3LLL[HS"1HUNHUK;V^UZLUK"
>OP[LL[HS".VYKVUL[HS"3PL[HS that includes neurotoxic, hepatotoxic, nephrotoxic,
[LYH[VNLUPJVYT\[HNLUPJLMMLJ[Z,^HZ[LOHZHSZVILLU
SPURLK[VH]HYPL[`VMOLHS[OWYVISLTZPUKL]LSVWPUN
JV\U[YPLZ PUJS\KPUN JHUJLY UL\YVSVNPJHS HUK
respiratory disorders, and birth defects (Schuhmacher
L[HS ")HRLYL[HS"9V`[L"+H]PZ
E-waste in Indonesia
;OL0UKVULZPHUNV]LYUTLU[PZH^HYL[OH[,^HZ[L
PZ H WV[LU[PHS LTLYNPUN WYVISLT PU [OL JV\U[Y`
E-waste in Indonesia is created by fast product
VIZVSLZJLUJL HUK YLWSHJLTLU[ HZ ^LSS HZ PSSLNHS
PTWVY[H[PVU -PLSK PUZWLJ[PVUZ I` [OL 0UKVULZPHU
Ministry of Environment also found out that
PTWVY[H[PVUVM,^HZ[LVJJ\YZ^P[OTPZSLHKPUN[LYTZ
on importation documents. Common terms such as
¸TP_TL[HSZZJYHW¹VY¸WSHZ[PJMVYYLJ`JSPUN¹HYLVM[LU
used for E-waste as attempts to avoid Indonesian
JYVZZIVYKLYJVU[YVSZ2YPZOUH"(N\Z[PUH
;OLÅV^VM,>HZ[LPU0UKVULZPHJHUILMVSSV^LK
[OYV\NO [OYLL PU[LYJVUULJ[LK WH[O^H`Z! UL^S`
W\YJOHZLK LSLJ[YVUPJZ" OHUKPUN V]LY LSLJ[YVUPJZ [V
ZLJVUK OHUK \ZLYZ" HUK [OL KPZWVZHS VM LSLJ[YVUPJZ
Toxic elements that leach into the environment 3HJRVMZ\MÄJPLU[YLJ`JSPUNMHJPSP[PLZJH\ZL[OPZ^HZ[L
HUKL_WVZLPUMVYTHS^VYRLYZWVZLZPNUPÄJHU[OLHS[O [V IL WHZZLK [OYV\NO ZL]LYHS PUMVYTHS WOHZLZ ;OL
risks. Elements such as cadmium and chromium are presence of this informal economic cycle becomes
JHYJPUVNLUPJ^OPSLV[OLYTL[HSZZ\JOHZSLHKTLYJ\Y` [OL RL` [V ,>HZ[L 4HUHNLTLU[ PU 0UKVULZPH
and thallium possess a wide spectrum of toxicity YLNHYKSLZZ VM [OL HJ[\HS YLZV\YJL WV[LU[PHSZ HUK [OL
72 Volume 29, 2010
E-Waste in Indonesia
Figure 2. The hierarchy of the E-waste stream in Yogyakarta, Indonesia.
household and/or an institution intends to discard
their PC. Typically, households sell their unused
LSLJ[YVUPJZ [V ^HZ[L ZJH]LUNLYZ I` PUMVYTHS
transactions, while institutions sell their bulk
;OLÅV^VM7*^HZ[LPU@VN`HRHY[H
KPZJHYKLK 7*Z KPYLJ[S` [V JSHZZPÄLYZ :JH]LUNLYZ
HYLVU[OLSV^LZ[SL]LSVM[OLOPLYHYJO`THRPUN[OL
>P[OHWVW\SH[PVUVMHIV\[@VN`HRHY[HPZ SV^LZ[PUJVTLV\[VM,^HZ[LYLJ`JSPUN;OL`JVSSLJ[
one of the major cities in Indonesia. The city produces HUKW\YJOHZL^HZ[L[VILZVSK[V^HZ[LHNNYLNH[VYZ
HWWYV_PTH[LS` TL[YPJ [VUZ VM ^HZ[L KHPS` VM
^OPJO ,^HZ[L PZ LZ[PTH[LK [V HKK \W [VUZ -PN 0UZ[P[\[PVUZZ\JOHZ\UP]LYZP[PLZHUKNV]LYUTLU[HS
-YVT[OLJ\YYLU[WVW\SH[PVUVM[VUZ VYNHUPaH[PVUZ MV\UK P[ LHZPLY [V KPYLJ[S` ZLUK [OLPY
VM ,^HZ[L NLULYH[LK KHPS` PZ LX\P]HSLU[ [V H MHTPS` KPZJHYKLK 7*Z [V JVTW\[LY ^HZ[L JSHZZPÄLYZ ;OLYL
VMÄ]LKPZJHYKPUNH7*L]LY``LHY0U[OPZYLZLHYJOH HYL[^VZPNUPÄJHU[7*^HZ[LJSHZZPÄLYZPU@VN`HRHY[H
PC set includes a CRT monitor, motherboard, Central ;VRLLW[OLPYI\ZPULZZLZY\UUPUN[OL`THPU[HPU[OLPY
7YVJLZZPUN<UP[*7<9HUKVT(JJLZZ4LTVY`9(4 networks with institutions and auction sales in the city.
optical disc drive, hard disk, keyboard, and mouse. 4HQVY7*WHY[ZHYLHSZV\IPX\P[V\ZPUZLJVUKOHUKVY
YLWHPY HUK YLM\YIPZOTLU[ THYRL[Z -PN 0U [OLZL
0UVYKLY[VOH]LHNLULYHSJVTWYLOLUZPVUVM[OL markets, valuable PC parts are dismantled and reused,
7*YLJ`JSPUNZ`Z[LTPU@VN`HRHY[H0JVUK\J[LK]HYPV\Z while broken parts are discarded into public dumpsters
PU[LY]PL^ZHUKYLZLHYJO[VPKLU[PM`HJ[VYZ[OYV\NOV\[ mixed with other types of waste, which could later
[OL^HZ[LÅV^(UPUP[PHSZ[\K`^HZHJJVTWSPZOLKPU IL JVSSLJ[LK I` ZJH]LUNLYZ VY LUK \W PU SHUKÄSSZ
+LJLTILY[VÄUKV\[^OH[OHZILLUKVULI`
[OL 0UKVULZPHU .V]LYUTLU[ 0U [OL MVSSV^PUN `LHY (NNYLNH[VYZ W\YJOHZL ^OH[L]LY TH[LYPHSZ
MYVT 4H` [V 1\UL 0 JVUK\J[LK ÄLSK YLZLHYJO [OL` JVUZPKLYLK ]HS\HISL ^P[OV\[ OH]PUN ZWLJPÄJ
PU@VN`HRHY[HJP[`[VJVSSLJ[KH[HHUK\UKLYZ[HUK[OL WYLMLYLUJLZ (U HNNYLNH[VY UVYTHSS` JVSSLJ[Z ^HZ[L
J\YYLU[ ZP[\H[PVU ;OYV\NO Z`Z[LT JOHYHJ[LYPaH[PVU MYVT ZJH]LUNLYZ (NNYLNH[VYZ [OLU ZLWHYH[L
I discovered a waste hierarchy in the process of [OL TH[LYPHSZ YV\NOS` PU[V KPMMLYLU[ NYV\WZ Z\JO HZ
7* ^HZ[L OHUKSPUN PU [OL ^HZ[L Z[YLHT ;OL ^HZ[L WSHZ[PJZ WHWLYZ HUK LSLJ[YVUPJZ;OLU [OL NYV\WLK
OPLYHYJO` OHZ Ä]L Z[YH[H! ZJH]LUNLYZ HNNYLNH[VYZ TH[LYPHSZ HYL ZVSK [V ]HYPV\Z ^HZ[L JSHZZPÄLYZ Z\JO
JSHZZPÄLYZ WYVJLZZVYZ HUK YLJ`JSLYZ -PN HZ 7* JSHZZPÄLYZ 0U H 7* JSHZZPÄLY MVY PUZ[HUJL
H TVUP[VY PZ KPZTHU[SLK HUK JSHZZPÄLK PU[V WHY[Z
;OL ÅV^ VM 7* ^HZ[L PU @VN`HRHY[H PZ based on their compositions, such as CRTs,
ZPTWSPÄLK PU -PN\YL ;OL WYVJLZZ ILNPUZ ^OLU H WSHZ[PJZ TL[HSZ JPYJ\P[ IVHYKZ HUK IH[[LYPLZ -PN
OLHS[O PTWHJ[Z I\YKLU +HTHUO\YP "(SP Tropical Resources Bulletin 73
Fauziah Rochman
Figure 3. The flow of Personal Computers (PCs) Waste in Yogyakarta, Indonesia.
>VYRLYZ PU 7* JSHZZPM`PUN I\ZPULZZLZ OH]L UV
choice but to be exposed to the harmful impacts of
PTWYVWLY THU\HS KPZTHU[SPUN [LJOUPX\LZ <UH^HYL
of safety protections and procedures, they endure
VUL VM [OL SHYNLZ[ OLHS[O YPZRZ VM ,^HZ[L OHUKSPUN
WYVJLZZPUN PUK\Z[YPLZ PU[V KPMMLYLU[ WYVK\J[Z
6UL ZPNUPÄJHU[ L_HTWSL PZ [OL YL\ZL VM *9; MYVT
discarded monitors for new television sets. In this
case, the television industry is considered as a
YLJ`JSLY I` YLJV]LYPUN [OL M\UJ[PVU VM ^HZ[L [V
WYVK\JLUL^WYVK\J[Z6[OLYYLJ`JSLYZHYLNSHZZ^HYL
*SHZZPÄLK P[LTZ HYL [OLU ZVSK [V ]HYPV\Z manufacturers, aluminum cookware industries, and
WYVJLZZPUN PUK\Z[YPLZ 7YVJLZZPUN PUK\Z[YPLZ WYVJLZZ home industries that produce recycled objects such
the bulk item into raw materials for industry supplies. HZNSHZZ^HYLHS\TPU\TJVVRPUN\[LUZPSZPYVUJYHM[Z
6UL L_HTWSL VM [OLZL PUK\Z[YPLZ PZ [OL WSHZ[PJ WSHZ[PJ IHNZ WSHZ[PJ I\JRL[Z HUK [LSL]PZPVU JHZPUNZ
WYVJLZZPUN PUK\Z[Y` 7SHZ[PJ WHY[Z MYVT LSLJ[YVUPJZ
are typically considered “hard plastics.” This type
of plastic is collected in sacks and delivered to the ;OL,JVUVTPJ=HS\LVM7*^HZ[LPU
WSHZ[PJ WYVJLZZPUN PUK\Z[Y`;OLYL HYL HWWYV_PTH[LS` @VN`HRHY[H0UKVULZPH
WSHZ[PJ WYVJLZZPUN JLU[LYZ PU @VN`HRHY[H [OH[
E-waste in Indonesia tends to be perceived
HYL TVZ[S` OVTL PUK\Z[YPLZ 6U H]LYHNL [OL` OPYL
HYV\UK^VYRLYZ¸/HYKWSHZ[PJZ¹HYLJOVWWLK as used objects that possess an economic value
\W PU[V WPLJLZ \ZPUN H THJOPUL KYPLK HUK ÄUHSS` +HTHUO\YP (U PU[LYLZ[PUN MHJ[ KPZJV]LYLK
processed into pellets. Processed plastics are packed PZ [OH[ 7*^HZ[L PZ OPNOS` ]HS\LK [OH[ H ZJH]LUNLY
in sacks and they become raw material supplies ^V\SK ÄUK [OH[ H *9; TVUP[VY ^V\SK WYVÄ[ OPT HZ
to many industries, both in and out of the city. T\JOHZ[OYLL[VÄ]LKH`ZVMZJH]LUNPUNV[OLY[`WLZ
VM^HZ[L;OPZJVTWHYPZVUPZZOV^UPU-PN\YL^OLYL
6U [OL OPNOLZ[ Z[YH[H VM [OL OPLYHYJO` HYL [OLLJVUVTPJ]HS\LVM7*^HZ[LLX\P]HSLU[[VV[OLY
[OL YLJ`JSLYZ 6M[LU YLJ`JSLYZ HYL SVJH[LK V\[ZPKL ,^HZ[L [`WLZ WHY[Z OPNOS` L_JLLKZ V[OLY [`WLZ VM
VM @VN`HRHY[H HUK L]LU V\[ VM [OL JV\U[Y` ;OL` ^HZ[LZ\JOHZWSHZ[PJIV[[SLZNSHZZJHUZHUKWHWLYZ
JHU IL IPN JVTWHUPLZ VY ZTHSS OVTL PUK\Z[YPLZ 7* WHY[Z HYL HSZV OPNOS` ]HS\LK ^OLU [OL` YLHJO
Recyclers process raw materials supplied from secondhand or repair and refurbishment markets.
74 Volume 29, 2010
E-Waste in Indonesia
Figure 4. Value of
E-waste (US$/kg)
compared to other
waste types in Yogyakarta, Indonesia.
The entire transactions of daily E-waste
ÅV^Z PZ HWWYV_PTH[LS` ;OPZ ]HS\L PZ SLZZ
L]LUS` KPZ[YPI\[LK ^P[O ZJH]LUNLYZ ILULÄ[PUN
HUK WYVÄ[PUN [OL SLHZ[ ( ZJH]LUNLY THRLZ HYV\UK
^LLR HU HNNYLNH[VY THRLZ ^LLR HUK H JSHZZPÄLY THRLZ ^LLR
Income discrepancy is clearly evident in the
I\ZPULZZ:JH]LUNLYZH[[OLSV^LZ[SL]LSHYLRL`WSH`LYZ
PURLLWPUN[OL^OVSLI\ZPULZZY\UUPUN,UJVTWHZZPUN
X\LZ[PVUZ VM OLHS[O LU]PYVUTLU[ HUK YLJ`JSPUN
[LJOUPX\LZJ\YYLU[HUHS`ZPZ[LUKZ[V\UKLYZ[HUK[OL
L_PZ[PUN Z`Z[LT HZ H ^H` [V VI[HPU LJVUVTPJ NHPUZ
HZ VWWVZLK [V HKKYLZZPUN LU]PYVUTLU[HS JVUJLYUZ
>P[O H OPNO YH[L VM \ULTWSV`TLU[ 0UKVULZPH PZ PU
HU HK]HU[HNLV\Z ZP[\H[PVU [V IL HISL [V L_WHUK
[OPZ RPUK VM YLJ`JSPUN I\ZPULZZ 7YVWLY WSHUUPUN
L]HS\H[PVU HUK [LJOUVSVN` JV\SK THRL ,^HZ[L
YLJ`JSPUNHWV[LU[PHSI\ZPULZZ[VILM\Y[OLYKL]LSVWLK
Conclusion
;OLNSVIHSPZZ\LVM,SLJ[YVUPJ>HZ[L,^HZ[L
has awakened the world to the importance of a
WYVWLY ^HZ[L THUHNLTLU[ Z`Z[LT 9HWPK LJVUVTPJ
NYV^[OJV\WSLK^P[OHNYV^PUNKLTHUKMVYJVUZ\TLY
NVVKZ OHZ PUJYLHZLK IV[O [OL WYVK\J[PVU HUK [OL
JVUZ\TW[PVUVMLSLJ[YPJHSHUKLSLJ[YVUPJLX\PWTLU[
:LYPV\ZH[[LU[PVU[V[OPZPZZ\LOHZPUJYLHZLK[OYV\NOV\[
the developed world, but there remains a lack of
H^HYLULZZ ^P[OPU [OL KL]LSVWPUN ^VYSK 0UKVULZPH
HZ H KL]LSVWPUN JV\U[Y` SHJRZ [OL [LJOUVSVNPJHS
and infrastructural capacity to deal with this type of
^HZ[LHUKHZHYLZ\S[[OPZ^HZ[LOHZILLUTVIPSPaLK
[OYV\NO ZL]LYHS PUMVYTHS WYVJLZZLZ -YVT [OL
YLZLHYJO0KPZJV]LYLK[OH[HSHYNLWVY[PVUVM,^HZ[L
is dismantled, recovered, and reused into different
functional components for a variety of other items.
0UMVYTHS,^HZ[LYLJ`JSLYZWSH`HZPNUPÄJHU[YVSLPU[OL
YLJ`JSPUNWYVJLZZ;OL`JHUILNYV\WLKPU[V,^HZ[L
ZJH]LUNLYZ HNNYLNH[VYZ JSHZZPÄLYZ WYVJLZZVYZ HUK
YLJ`JSLYZ 7YVWLY THUHNLTLU[ VM [OPZ Z`Z[LT JV\SK
IYPUN M\Y[OLY ILULÄ[Z [V [OL LU]PYVUTLU[ HUK SVJHS
economy, and help alleviate the potential harm that
TH` IL JH\ZLK I` PTWYVWLY OHUKSPUN VM ,^HZ[L
Acknowledgements
0^V\SKSPRL[V[OHUR7YVMLZZVY;.YHLKLS>(ZO[VU
) 9LJR 9 1 3PMZL[ HUK 4 ,JRLSTHU ^OVZL N\PKHUJL
HUK Z\WWVY[ MYVT [OL PUP[PHS [V [OL ÄUHS SL]LS LUHISLK TL
[VKL]LSVWHU\UKLYZ[HUKPUNVM[OLYLZLHYJOZ\IQLJ[0HSZV
NYH[LM\SS` HJRUV^SLKNL ÄUHUJPHS HUK PUZ[P[\[PVUHS Z\WWVY[
from the Yale Tropical Resource Institute, The Council on
:V\[OLHZ[(ZPH:[\KPLZ;OL*HYWLU[LY9LZLHYJO-\UK;OL
-,: .SVIHSPaH[PVU 9LZLHYJO -\UK HUK ;OL *LU[LY MVY
0UK\Z[YPHS,JVSVN`MVY[OL^VYRJHYYPLKV\[PU[OPZZ[\K`0HT
Tropical Resources Bulletin 75
Fauziah Rochman
also indebted to The Indonesian Ministry of Environment,
)HZLS*VU]LU[PVU9LNPVUHS*LU[YLMVY:V\[O,HZ[(ZPH7;
4\R[P4HUKPYP3LZ[HYP:[,75=47,^HZ[L:\TTLY:JOVVS
Participants and Committee, and various informal waste
sectors in Indonesia who contributed data and critical advice
PU[OLJV\YZLVM[OLZ[\K`+H[HJVSSLJ[PVUHUKÄLSKYLZLHYJO
would not have been possible without the assistance of T.
APRYPHUK/40YLZLHYJOHZZPZ[HU[Z-PUHSS`T`KLLWLZ[[OHURZ
to M. Wiharjo and my parents for their endless support.
9LMLYLUJLZ
(N\Z[PUH/0KLU[PÄJH[PVUVM,>HZ[LHUKZLJVUK
OHUKLWYVK\J[ZPU0UKVULZPH9LNPVUHS>VYRZOVW
VU7YL]LU[PVUVM0SSLNHS;YHUZIV\UKHY`4V]LTLU[
MVY/HaHYKV\Z>HZ[LPU(ZPH)LPQPUN*OPUH
(SP(:[\K`VMPUMVYTHSYLJ`JSPUNI\ZPULZZPU
)HUK\UN>LZ[1H]H0UKVULZPH;VR`V1HWHU;VR`V
0UZ[P[\[LVM;LJOUVSVN`!
)HRLY,,)V\YUH`(/HYH`HTH,9LRHJL^PJa4
*H[LSPU5+H^LHUK6:PTVUL[[=P[HS
^HZ[LNYHWOPJZ5HPYVIP)HZLS*VU]LU[PVU.90+
(YLUKHS<5,7+,>(,\YVWL
)(5HUK:=;*,_WVY[PUNOHYT![OLOPNO[LJO[YHZO
[YHZOPUNVM(ZPH17\JRL[[HUK;:TP[O;OL)HZLS
(J[PVU5L[^VYR)(5:PSPJVU=HSSL`;V_PJZ
*VHSP[PVU:=;*;V_PJZ3PUR0UKPH:*67,
7HRPZ[HUHUK.YLLUWLHJL*OPUH
)LLJO/ 6IHTHPU:V\[OLHZ[(ZPH!TLUKPUN
MLUJLZPUHRL`YLNPVU;PTL
*\S]LY1;OLSPMLJ`JSLVMH*7<
Dahl, R. 2002. Who pays for e-junk. Environmental Health
7LYZWLJ[P]LZ!( ( +HTHUO\YP,7YLSPTPUHY`PKLU[PÄJH[PVUVM,^HZ[L
ÅV^ZPU0UKVULZPHHUKP[ZOHaHYKJOHYHJ[LYPZ[PJZ
;OLYKHUU\HSJVUMLYLUJLVM;OL5H[PVUHS0UZ[P[\[L
of Environmental Studies. Japan.
+H]PZ*(ZR,HY[O;YLUKZ!^O`PZLSLJ[YVUPJ^HZ[L
HWYVISLT&,HY[O;YLUKZ!,U]PYVUTLU[HS0UMVYTH[PVU
9L[YPL]LK+LJLTILY MYVTO[[W!LHY[O
[YLUKZ^YPVYN\WKH[LZUVKL
,47(:=HS\HISLZ\IZ[HUJLPUL^HZ[LO[[W!
L^HZ[LN\PKLPUMVUVKL
.VYKVU9)4)LY[YHTHUK;.YHLKLS4L[HS
Z[VJRZHUKZ\Z[HPUHIPSP[`7YVJLLKPUNZVM[OL5H[PVU
al Academy of Sciences of the United States of
(TLYPJH! /\IHJLR2+.\HUHUK()HY\H*OHUNPUN
76 Volume 29, 2010
SPMLZ[`SLZHUKJVUZ\TW[PVUWH[[LYUZPUKL]LSVWPUN
JV\U[YPLZ!(ZJLUHYPVHUHS`ZPZMVY*OPUHHUK0UKPH
-\[\YLZ ! /\V?37LUN??\3AOLUN)8P\A8P)AOHUN
+/HUHUKA7PHV,SL]H[LKISVVKSLHK
SL]LSZVMJOPSKYLUPU.\P`\HULSLJ[YVUPJ^HZ[L
YLJ`JSPUN[V^UPU*OPUH,U]PYVUTLU[HS/LHS[O
7LYZWLJ[P]LZ!¶
0SLZ(4HWWPUNLU]PYVUTLU[HSQ\Z[PJLPU
[LJOUVSVN`ÅV^Z!JVTW\[LY^HZ[LPTWHJ[ZPU(ZPH
.SVIHS,U]PYVUTLU[HS7VSP[PJZ!
1HUN@*HUK;.;V^UZLUK3LHJOPUNVMSLHK
from computer printed wire boards and Cathode
9H`;\ILZI`T\UPJPWHSZVSPK^HZ[LSHUKÄSS
SLHJOH[LZ,U]PYVUTLU[HS:JPLUJL;LJOUVSVN`!
2HW\Y(HUK;,.YHLKLS*VWWLYTPULZHIV]L
HUKILSV^[OLNYV\UK,U]PYVUTLU[HS:JPLUJL
;LJOUVSVN`!
2PT1,^HZ[L[YHUZIV\UKHY`TV]LTLU[]PVSH[PUN
LU]PYVUTLU[HSQ\Z[PJL:V\[OHTW[VU<2>0;7YLZZ
2YPZOUH.,>HZ[L!JVTW\[LYZHUK[V_PJP[`PU
0UKPH¹:HYHP9LHKLY!
3LL*:*OHUN2>HUNHUK3>LU4HUHNL
TLU[VMZJYHWJVTW\[LYYLJ`JSPUNPU;HP^HU1V\YUHS
VM/HaHYKV\Z4H[LYPHSZ! 3P@1)9PJOHYKZVU94HYR)YPJRH?5P\/@HUN3
3PHUK(1PTPULa 3LHJOPUNVMOLH]`TL[HSZ
MYVT,^HZ[LPUZPT\SH[LKSHUKÄSSJVS\TUZ>HZ[L
4HUHNLTLU[ !
3P\8283P/AOHV.3PHUK-@-HU ;OL
NSVIHSJOHSSLUNLVMLSLJ[YVUPJ^HZ[LTHUHNLTLU[
,U]PYVUTLU[HS:JPLUJLHUK7VSS\[PVU9LZLHYJO!
4** ,SLJ[YVUPJZPUK\Z[Y`LU]PYVUTLU[HSYVHKTHW
Electronics Industry Environmental Roadmap.
(\Z[PU;?4PJYVLSLJ[YVUPJZHUK*VTW\[LY
;LJOUVSVN`*VVWLYH[PVU4**
7PU[V=,^HZ[LOHaHYK![OLPTWLUKPUNJOHSSLUNL
0UKPHU1V\YUHSVM6JJ\WH[PVUHSHUK,U]PYVUTLU[HS
4LKPJPUL!
9V`[L,,NHK:TP[OZVUPHU!
:JO\OTHJOLY444LULZLZ:.YHULYV143SVIL[
HUK13+VTPUNV 4\UPJPWHSZVSPK^HZ[L
PUJPULYH[VY!O\THUOLHS[OYPZR)\SSL[PUVM
,U]PYVUTLU[HS*VU[HTPUH[PVUHUK;V_PJVSVN` E-Waste in Indonesia
:[,W >P,^HZ[L:VS]PUN;OL,^HZ[L7YVISLT
;V_PJZ3PUR:JYHWWPUN[OLOP[LJOT`[O!JVTW\[LY
^HZ[LPU0UKPH,_LJ\[P]L:\TTHY`5L^+LSOP
Toxics Link.
<:,U]PYVUTLU[HS7YV[LJ[PVU(NLUJ` *OHYHJ[LY
PaH[PVUVMWYVK\J[ZJVU[HPUPUNSLHKHUKJHKTP\T
in municipal solid waste in the United States, 1970
[V>HZOPUN[VU+*6MÄJLVM:VSPK>HZ[L
<5,7,>HZ[L[OLOPKKLUZPKLVM0;LX\PWTLU[»Z
THU\MHJ[\YPUNHUK\ZL,U]PYVUTLU[(SLY[)\SSL[PU
<UP[LK5H[PVUZ,U]PYVUTLU[7YVNYHTTL
>OP[L*,4HZHUL[*9VZLUHUK:)LJRTHU
7YVK\J[YLJV]LY`^P[OZVTLI`[L!HUV]LY]PL^VM
THUHNLTLU[JOHSSLUNLZHUKLU]PYVUTLU[HSJVUZL
X\LUJLZPUYL]LYZLTHU\MHJ[\YPUNMVY[OLJVTW\[LY
PUK\Z[Y`1V\YUHSVM*SLHULY7YVK\J[PVU!
>PKTLY9/6Z^HSK2YHWM+:PUOH2OL[YP^HS4
:JOULSSTHUUHUK/)VUP.SVIHSWLYZWLJ[
ives on e-waste. Environmental Impact AssessTLU[9L]PL^!
>VUN4/:>\(+LUN(@\83\V(3L\UN*
>VUN(>VUNHUK13\RZLTI\YN,_WVY[
of toxic chemicals (a review of a case of uncon[YVSSLKLSLJ[YVUPJ^HZ[LYLJ`JSPUN;OLYKHUU\HS
JVUMLYLUJLV;OL50,:1HWHU
@HUN.* ,U]PYVUTLU[HS[OYLH[ZVMKPZJHYKLK
picture tubes and printed circuit boards. Journal of
/HaHYKV\Z4H[LYPHSZ!
@VZOPRH^H4<YIHUTPULYZSVVRMVYWYLJPV\Z
metals in cell phones.
AVL[LTHU)/92YPRRLHUK1=LUZLLSHHY /HUKSPUNLSLJ[YVUPJ^HZ[LÅV^Z!VU[OLLMMLJ[P]L
ULZZVMWYVK\JLYYLZWVUZPIPSP[`PUHNSVIHSPaPUN
^VYSK*LU[LY+PZJ\ZZPVU7HWLY:LYPLZ! Tropical Resources Bulletin 77
Saltwater Hydroponics Atop Shrimp Farms: Exploring a New Method of Reducing Environmental Impacts from Shrimp Aquaculture in Tropical Developing Countries
Hui Cheng, MESc 2010
Introduction
MVYLPNUSHUKZ/PZHWWHYLU[SHJRVMHJJV\U[HIPSP[`PZ
\UMVY[\UH[LS` ^PKLZWYLHK HTVUN WLVWSL [VKH` `L[
it is understandable. The intricate connectedness of
V\YNSVIHSYLZV\YJLÅV^IS\YZ[OLSPURHNLZIL[^LLU
our daily actions and the ultimate end result.
(ML^KH`ZHNVVU-HJLIVVR[OLWVW\SHYVUSPUL
social network, one of my former co-workers set his
Z[H[\ZHZ¸>LSS[VUPNO[^HZ[OLÄUHSUPNO[MVYHSS`V\
JHULH[ZOYPTWZVVMJV\YZL0[VVRHK]HU[HNL,]LU
after a [Caesar] salad and a bread roll I still beat my 0TWHJ[ZVM:OYPTW-HYTPUN
YLJVYK:/9047)()@¹1HJVI^HZYLMLYYPUN
-PYZ[ SL[»Z JVUZPKLY ZOYPTW MHYTPUN P[ZLSM
[V [OL HUU\HS ¸,UKSLZZ :OYPTW -LZ[¹ H[ 9LK 3VIZ[LY :HS[^H[LYZOYPTWMHYTPUNYLX\PYLZJVHZ[HSSHUKPU[OL
-VY[OLWHZ[ML^`LHYZ1HJVIOHZOHK HUK [YVWPJZ :OYPTW PZ J\S[P]H[LK PU LHY[OLU WVUKZ ÄSSLK
ZOYPTW PU VUL ZP[[PUN H[ OPZ ULPNOIVYOVVK 9LK with a mix of freshwater and seawater. The creation
3VIZ[LY :LLPUN [OPZ -HJLIVVR Z[H[\Z VM OPZ 0 JV\SK of these earthen ponds usually involves conversion
not help but return a comment, for I have extensively MYVT [YHKP[PVUHS HNYPJ\S[\YL SHUK VY UH[P]L OHIP[H[Z
studied both the societal and environmental impacts Z\JO HZ THUNYV]L MVYLZ[Z HUK ZHS[ THYZOLZ -PN [OH[ YLZ\S[ MYVT ZOYPTW MHYTPUN 0 ^HU[LK [V NL[ T` The impact of land conversion is multidimensional.
point across in as few words as possible, hoped not -PYZ[ [OL WV^LY K`UHTPJZ VM [OL SVJHS JVTT\UP[`
[V IL JVUKLTUH[VY` HUK ^YV[L ¸-HYTLK ZOYPTW HYL HS[LYLK HSVUN ^P[O [OL JOHUNL PU SHUK \ZL ,1-
PZ KLZ[YV`PUN JVHZ[HS OHIP[H[Z PU [OL [YVWPJZ;OL <: :VJPHSZ[HIPSP[`PZ\UKLYTPULK0U)HUNSHKLZO
PTWVY[Z TVYL [OHU <: IPSSPVU VM P[ `LHYS` *67 locals who oppose shrimp farms have been raped,
;OL SHYNLZ[ ZOYPTW MHYT PZ PU 0UKVULZPH" murdered, or endured harassment and intimidation
P[ PZ [OL ZPaL VM /VUN 2VUN 4\YWO` ¹ ,1- :LJVUK [OL HIPSP[` MVY SVJHS MVVK
production is reduced and/or threatened, as local
;OL ZHK [OPUN PZ UV[ [OH[ 1HJVI YLWSPLK ¸;V /\P 0 YLZV\YJLZ HYL NLHYLK [V^HYK JVTTVKP[` WYVK\J[PVU
think they should build more farms, the loss of coastal ]HU 4\SLRVT L[ HS :HY^HY HUK 2OHU habitat is worth the tastiness that is in my belly.” The Stonich and Bailey 2000). Third, the ecosystem
ZHK[OPUNPZ[OH[1HJVIHUK0^LYLÄZOLYPLZVIZLY]LYZ services that the destroyed native habitats provide
PU[OL)LYPUN:LH/LPZHJLY[PÄLK:*<)(KP]LYHUK HYL JVTWYVTPZLK 7YPTH]LYH -VY L_HTWSL
THQVYLK PU THYPUL IPVSVN` PU (\Z[YHSPH +LZWP[L HSS ^P[OV\[ [OL UH[\YHS ]LNL[H[P]L IHYYPLY IL[^LLU SHUK
OPZ RUV^SLKNL HUK L_WLYPLUJL ^P[O JVHZ[HS HUK and sea, the vulnerability of coastal communities
marine natural resources, he does not seem to show [V [YVWPJHS Z[VYTZ PZ PUJYLHZLK )HYIPLY L[ HS concern about how his everyday actions could
PUÅ\LUJLLU]PYVUTLU[HSPU[LNYP[`VMJVHZ[HSHYLHZPU ;OLZOYPTWWVUK^H[LYX\HSP[`PZTHPU[HPULK
I` JVUZ[HU[ ^H[LY L_JOHUNL ^P[O [OL Z\YYV\UKPUN
LU]PYVUTLU[ -YLZO^H[LY PZ VM[LU \ZLK MVY [OPZ
Hui Cheng holds BS Biology from University of purpose, as shrimp is usually raised at salinity
North Carolina at Chapel Hill and worked as a SV^LY [OHU [OH[ VM ZLH^H[LY ^OPJO PZ WW[
fisheries observer in the Bering Sea and Cen- (parts per thousand). The impact of constant
^H[LY L_JOHUNL PZ HSZV T\S[PKPTLUZPVUHS
tral Pacific. Hui’s environmental interests are
:VJPHSJVUÅPJ[ZJHUHYPZLV]LYJVTWL[P[PVUMVYMYLZO^H[LY
coastal communities and coastal and marine between shrimp farmers and other water users, such as
ecosystems. Hui intends to work for the govern- [YHKP[PVUHSHNYPJ\S[\YHSPZ[Z(KKP[PVUHSS`PUSVJH[PVUZ
ment on coastal and marine resources issues. ^OLYL MYLZO^H[LY PZ KYH^U MYVT \UKLYNYV\UK
78 Volume 29, 2010
Exploring a new method of reducing environmental impacts from Shrimp Aquaculture
Figure 1. An aerial photo of a large-scale shrimp farm in Indonesia. Smaller canals crisscross
the entire aquaculture operation and lead to larger waterways that exchange water directly
with the ocean beyond the strip of mangroves in the background. Photo obtained from http://
dinos.anesc.u-tokyo.ac.jp/Small/reference/R0010shrim-s.jpg.
HX\PMLYZ L_[LUZP]L ^P[OKYH^HSZ MVY ZOYPTW MHYTPUN :OYPTWMHYTPUNPZ\UKV\I[LKS`VULVM[OLTVZ[
OH]L JH\ZLK SHUK [V JH]L PU 7mLa6Z\UH LU]PYVUTLU[HSS`KHTHNPUNMVVKWYVK\J[PVUTL[OVKZ
and the social impacts are not any less dramatic.
;OLYLSLHZLKZHSPUL^H[LY[\YUZ[OLZ\YYV\UKPUN ,ZZLU[PHSS`I`JVUZ\TPUNMHYTLKZOYPTWMYVTMVYLPNU
ZVPSZHUKMYLZO^H[LYYLZV\YJLZZHS[`7YPTH]LYH lands, we import the tastiness that is in our bellies and
:HSPUPaH[PVUVM[OLZVPSZYLK\JLZSVJHSIPVKP]LYZP[`HUK export all the societal and environmental impacts to
YLUKLYZ[OLSHUK\UZ\P[HISLMVY[YHKP[PVUHSHNYPJ\S[\YL the low-income tropical countries that produce them.
,1-/HX\L0ZSHT:HS[`MYLZO^H[LY
sources further reduce the availability of resources to <UHIH[LK+LTHUK
V[OLY\ZLYZ7YPTH]LYH4VYLV]LY[OLYLSLHZLK
water is overloaded with suspended solids, treatment :OYPTWOHZILLUWYVTV[LKI`-(6<UP[LK
chemicals and excess nutrients from shrimp waste 5H[PVUZ -VVK HUK (NYPJ\S[\YL 6YNHUPaH[PVU HUK
and leftover shrimp feed (ibid). The assimilation of ZPTPSHY VYNHUPaH[PVUZ HZ H ^H` [V YLWSHJL WYV[LPU
[OPZOLH]PS`WVSS\[LKZHSPUL^H[LYPU[V[OLZ\YYV\UKPUN SVZ[ MYVT [OL KLWSL[PVU VM NSVIHS ÄZOLYPLZ -(6 L[
LJVZ`Z[LTZHS[LYZLJVSVN`HUKIPVKP]LYZP[`,1- HS 9VOLPT ;OPZ YLZ\S[PUN PUJYLHZL PU
The polluted water also causes eutrophication, the NSVIHS ZOYPTW KLTHUK PU OPNOPUJVTL JV\U[YPLZ
JVUKP[PVU VM ^H[LY IVKPLZ YLJLP]PUN L_JLZZ U\[YPLU[ JV\WSLK ^P[O KPTPUPZOPUN ^PSK ZOYPTW Z[VJRZ PU
runoff that leads to reduced animal life, in coastal turn, resulted in the explosive expansion of shrimp
^H[LYZ7mLa6Z\UH7YPTH]LYH)LJH\ZL farms in supplier countries. The enormous demandmany marine animals spend their early lives in and-supply is illustrated by US shrimp imports, which
JVHZ[HS^H[LYZ[OLULNH[P]LLMMLJ[ZVML\[YVWOPJH[PVU L_JLLK<:IPSSPVUVMZOYPTWHUU\HSS`-PN*67
are eventually felt in marine ecosystems.
)LJH\ZL [OL WYVK\J[ PZ ZVSK [V JVUZ\TLYZ PU
OPNOPUJVTLJV\U[YPLZZOYPTWMHYTPUNPZHS\JYH[P]L
Tropical Resources Bulletin 79
Hui Cheng
Figure 2. Breakdown of the United States annual seafood trade deficit. Source: COP,
2004. The most valuable imported seafood item in the US is shrimp, at over US$3
billion. Shrimp is followed by salmon, which is imported at less than US$1 billion.
MVYLPNU L_JOHUNL LHYULY PU SV^PUJVTL JV\U[YPLZ
VM [OL [YVWPJZ ^OLYL [LJOUVSVN` PZ SPTP[LK HUK
environmental laws are lax (Stonich and Bailey 2000,
]HU4\SLRVT(ZVMP[PZLZ[PTH[LK[OH[
one to one and a half million ha of land worldwide
HYL \UKLY ZOYPTW HX\HJ\S[\YL 7mLa6Z\UH :OYPTWMHYTPUNHZHUPUK\Z[Y`ILNHUPU(ZPH
under the auspices of Asian Development Bank and the
>VYSK)HUR)tUt;OLPUK\Z[Y`OHZNYHK\HSS`
made its way to Latin America and Africa. The major
producers currently are China, Thailand, Vietnam,
0UKVULZPH0UKPH)YHaPS4L_PJVHUK,J\HKVY)V`K
:OYPTWMHYTPUNPZI`[OPZWVPU[HU\UZ[VWWHISL
enterprise. Unless the demand for shrimp decreases,
[OL WYVK\JLY JV\U[YPLZ ^PSS RLLW VU Z\WWS`PUN [OL
JVTTVKP[`;OHURZ[V[OLTHYRL[PUNZ[YH[LNPLZVM9LK
3VIZ[LYHUKV[OLYZZ\JOHZ1HJVI»ZMH]VYP[L¸,UKSLZZ
:OYPTW -LZ[¹ [OL KLTHUK PZ UV[ SPRLS` [V KLJYLHZL
¸)LZ[ *OVPJL¹¸.VVK HS[LYUH[P]L¹ VY ¸(]VPK¹
0TWVY[LK MHYTLK ZOYPTW JVUZPKLYPUN V\Y WYL]PV\Z
examination, is, predictably, on the Avoid list. But
NP]LU[OH[VMZOYPTWJVUZ\TLKPU[OL<:VJJ\YZ
PU YLZ[H\YHU[Z 4HUNYV]L (J[PVU 7YVQLJ[ how are we to know where our shrimp is from in
VYKLY [V THRL VJLHUMYPLUKS` ZLHMVVK JOVPJLZ&
Research Premise
4`YLZLHYJOPZIHZLKVU[OLMVSSV^PUNWYLTPZL!
:OYPTW MHYTPUN PU [YVWPJHS JV\U[YPLZ JHUUV[ IL
stopped due to enormous demand from the West
and complex political economies. The numerous
pervasive environmental impacts are caused by
the need to maintain shrimp pond water. Thus, by
PTWYV]PUN[OLX\HSP[`VM[OLLMÅ\LU[[OLKPZJOHYNLK
^H[LY[OLPTWHJ[ZVMZOYPTWMHYTPUN^V\SKOVWLM\SS`
be reduced. In a nutshell, if we cannot stop it, how
JHU ^L THRL P[ SLZZ LU]PYVUTLU[HSS` KHTHNPUN&
:V^OH[JHUILKVUL&(JJVYKPUN[V:LHMVVK
;OL TVZ[ \W[VKH[L )L[[LY 4HUHNLTLU[
>H[JO VM 4VU[LYL` )H` (X\HYP\T [OL JVUZ\TLY can “make ocean-friendly seafood choices today” 7YHJ[PJLZ)47MVYZOYPTWWVUKLMÅ\LU[ZHYL!¸
;OL :LHMVVK >H[JO YHURZ ZLHMVVK P[LTZ! JVTWS`^P[OHWWSPJHISLLMÅ\LU[Z[HUKHYKZ"YLK\JL
80 Volume 29, 2010
Exploring a new method of reducing environmental impacts from Shrimp Aquaculture
^H[LY L_JOHUNL" YLJPYJ\SH[L ^H[LY VU [OL MHYT
K\YPUN ZOYPTW NYV^V\[" YL\ZL ^H[LY KPZJOHYNLK
^OLU WVUKZ HYL KYHPULK" \ZL ZL[[SPUN IHZPUZ [V
YLTV]L VYNHUPJ WHY[PJSLZ MYVT KYHPUPUN LMÅ\LU[Z"
\ZL THUNYV]L ^L[SHUKZ [V [YLH[ LMÅ\LU[Z" HUK
TVUP[VY VMMZP[L ^H[LY X\HSP[`¹ )V`K 6M HSS [OL )L[[LY 4HUHNLTLU[ 7YHJ[PJLZ
VUS` )47 HJ[\HSS` YLTV]LZ JOLTPJHSZ HUK
U\[YPLU[Z MYVT [OL KPZJOHYNLK LMÅ\LU[ /V^L]LY
[OL ZOVY[JVTPUN VM [OPZ )47 PZ [OH[ [OL HIZVYW[P]L
JHWHJP[` VM [OL Z\YYV\UKPUN THUNYV]LZ [V JSLHU
[OL WVSS\[LK LMÅ\LU[ PZ NYLH[S` L_JLLKLK K\L [V [OL
KPTPUPZOPUN ^L[SHUKZ HUK [OL PUJYLHZPUN ZOYPTW
WVUK OLJ[HYHNL 0U HKKP[PVU [OL ZOYPTWWYVK\JPUN
SV^PUJVTL JV\U[YPLZ JHUUV[ [LJOUVSVNPJHSS` VY
economically implement many of these BMPs.
Experimental Concept
hypothesis that if shrimp farmers had access to more
land, they would convert it to more ponds rather
[OHU H TP[PNH[PVU TLHZ\YL Z\JO HZ H ZL[[SPUN IHZPU
(KKYLZZPUN [OLZL [OYLL X\LZ[PVUZ 0 L_WSVYLK
[OL WYPUJPWSLZ VM HX\HWVUPJZ [OL J\S[P]H[PVU VM
WSHU[ZHUKHX\H[PJHUPTHSZPUHYLJPYJ\SH[PUNZ`Z[LT
;OL VUS` U\[YPLU[ PUW\[ PU HX\HWVUPJZ PZ ÄZO MLLK
;OL YLJPYJ\SH[PUN Z`Z[LT PUJLZZHU[S` JPYJ\SH[LZ [OL
U\[YPLU[YPJO^H[LYMYVT[OLÄZOJVTWHY[TLU[[V[OL
hydroponic plant compartment and back. The plants
YLTV]L[OLU\[YPLU[MYVTÄZO^HZ[LHUKSLM[V]LYÄZO
feed from the water, and the cleaned water is returned
[V [OL ÄZO JVTWHY[TLU[ (X\HWVUPJZ JHU YLK\JL
^H[LYKLTHUKVMHX\HJ\S[\YLHUKWYVK\JLHZLJVUK
crop of food (Diver 2000, McMurtry 1997). As shrimp
HX\HJ\S[\YL PZ ZHSPUL OHSVWO`[LZ ZHS[^H[LY WSHU[Z
^V\SKIL\[PSPaLK0UMHJ[OHSVWO`[LZNYV^UPUZVPSHUK
PYYPNH[LK^P[OZHS[^H[LYHX\HJ\S[\YLLMÅ\LU[OH]LILLU
ZOV^U[VYLTV]LZPNUPÄJHU[HTV\U[ZVMUP[YVNLUMYVT
[OL^H[LY)YV^UHUK.SLUU
)YV^UL[HS
;OL JVUJLW[ VM T` L_WLYPTLU[HS KLZPNU PZ
IHZLK VU [OYLL X\LZ[PVUZ! /V^ JHU PTWSLTLU[PUN
H TP[PNH[PVU TLHZ\YL HSZV IL H KPYLJ[ LJVUVTPJ Experimental Design
PUJLU[P]LMVY[OLZOYPTWMHYTLYZ&>OH[^PSSILSV^
[LJO LUV\NO MVY YLHSPZ[PJ PTWSLTLU[H[PVU PU [OLZL
To provide direct economic incentives for
SV^PUJVTL JV\U[YPLZ& >OH[ ^PSS \ZL [OL SLHZ[ ZOYPTW MHYTLYZ 0 PKLU[PÄLK OHSVWO`[LZ [OH[ HYL
HTV\U[ VM SHUK&;OL [OPYK X\LZ[PVU Z[LTZ MYVT [OL edible to humans. I selected the halophyte Atriplex
Figure 3. Cultivating saltwater
plants and shrimp in the same
space. Plants were grown in a
floating platform that sits on
top of the water. Roots were
allowed to extend into the water. The only nutrient input to
the system was shrimp feed.
Tropical Resources Bulletin 81
Hui Cheng
hortensis, commonly called orache or mountain
ZWPUHJO;OL WSHU[ PZ SLHM` HUK PZ YLN\SHYS` LH[LU PU
JLU[YHS ,\YVWL [VKH`;V KL]PZL ZVTL[OPUN YLSH[P]LS`
low-tech and also save land, I eliminated the
YLJPYJ\SH[PUN JVTWVULU[ VM HX\HWVUPJZ HUK NYL^
WSHU[Z HUK ZOYPTW PU [OL ZHTL ZWHJL 4` YLZ\S[PUN
L_WLYPTLU[HSKLZPNU^HZ[OH[OHSVWO`[LZ^LYLNYV^U
O`KYVWVUPJHSS` PU H ÅVH[PUN WSH[MVYT KPYLJ[S` HIV]L
[OLZOYPTW-PN;OLL_WLYPTLU[^HZJVUK\J[LKH[
<UP]LYZP[`VM/H^HP»PH[/PSV[VZPT\SH[L[OL[YVWPJHS
climatic conditions of actual shrimp farms. I tested
Ä]LWSHU[JV]LYHNLZ!UVUL*VU[YVS=LY`3V^3V^
4LKP\T HUK /PNO 0 \ZLK JVTWSL[L ISVJR KLZPNU
and had six blocks with each treatment represented
VUJL WLY ISVJR MVY H [V[HS VM L_WLYPTLU[HS JLSSZ
-PN ;^LU[`NHSSVU NSHZZ HX\HYPH ^LYL \ZLK HZ
[OL L_WLYPTLU[HS JLSSZ ,HJO HX\HYP\T ^HZ Z[VJRLK
^P[O ZL]LU[LLUKH` VSK ZOYPTW 3P[VWLUHL\Z
]HUUHTLPWVZ[SHY]HLTH[JOPUN[OLZ[VJRPUNKLUZP[`
VMHUPTHSZWLYZX\HYLKTL[LYPUPU[LUZP]LZOYPTW
J\S[\YL(SSHX\HYPH^LYLÄSSLK^P[O[OLZHTLTP_[\YL
of seawater and county water to obtain a salinity of
20 ppt. The daily input of shrimp feed was the same
MVY HSS HX\HYPH 6]LY [OL JV\YZL VM LPNO[ ^LLRZ 0
TLHZ\YLK[OLJVUJLU[YH[PVUZVM[OYLLMVYTZVMVYNHUPJ
UP[YVNLUPULHJOZ`Z[LT!UP[YH[LUP[YP[LHUKHTTVUPH
0O`WV[OLZPaLK[OH[UP[YVNLUJVUJLU[YH[PVU
in treatments with plants would decrease to
H NYLH[LY KLNYLL JVTWHYLK [V JVU[YVS" HUK UP[YVNLU JVUJLU[YH[PVU PU [YLH[TLU[Z VM OPNOLY
WSHU[ JV]LYHNL ^V\SK KLJYLHZL [V H NYLH[LY
KLNYLL [OHU [YLH[TLU[Z VM SV^LY WSHU[ JV]LYHNL
Results and Discussion
;OL JOHUNLZ PU JVUJLU[YH[PVU VM UP[YH[L
^LYL TVZ[ PU[LYLZ[PUN JVTWHYLK [V [OL JOHUNLZ
PU JVUJLU[YH[PVUZ VM UP[YP[L HUK HTTVUPH 5P[YH[L
concentration in treatments with plants decreased
H[ H YH[L VM H[ SLHZ[ MHZ[LY [OHU [OH[ VM *VU[YVS
;HISL^OPJOPZPUZ\WWVY[VM[OLÄYZ[O`WV[OLZPZ
;OL UP[YH[L JVUJLU[YH[PVU [OH[ ZOV^LK [OL NYLH[LZ[
YH[LVMKLJYLHZL^HZ[OH[VM/PNOWSHU[JV]LYHNLH[H
YH[LVMMHZ[LY[OHU[OH[VM*VU[YVS;OV\NO/PNO
WSHU[JV]LYHNLOHK[OLNYLH[LZ[YH[LVMKLJYLHZLHUK
Control had the lowest rate of decrease, the second
O`WV[OLZPZ[OH[UP[YVNLUJVUJLU[YH[PVUPU[YLH[TLU[Z
VMOPNOLYWSHU[JV]LYHNL^V\SKKLJYLHZLH[HNYLH[LY
KLNYLL[OHU[YLH[TLU[ZVMSV^LYWSHU[JV]LYHNL^HZ
not supported. This, however, does not mean that
OPNOLY WSHU[ JV]LYHNL ^V\SK UV[ YLK\JL UP[YH[L
JVUJLU[YH[PVUH[HNYLH[LYYH[LHZ[OLWSHU[JV]LYHNL
Figure 4. A block in the actual
experiment. Each block consisted
of a 300-gallon tank that held
five glass aquaria for temperature
control. Each of the five treatments was represented once per
block.
82 Volume 29, 2010
Exploring a new method of reducing environmental impacts from Shrimp Aquaculture
Treatment
:SVWLVMUP[YH[LJOHUNLZV]LY
time
:SVWLVM[YLH[TLU[:SVWLVM
Control
Control
1
Very Low
Low
1.71
Medium
/PNO
-0.0107
Table 1. Rate of nitrate decrease (slope of nitrate changes over time) was the least for Control and
the highest for High plant coverage. Very Low, Low, and Medium plant coverage had similar rate
of nitrate decrease.
=LY`3V^3V^HUK4LKP\T^LYLZPTPSHYHSS\UKLY
OH]L PUÅ\LUJLK [OLPY HIPSP[` [V \W[HRL UP[YVNLU
;OV\NO UP[YH[L JVUJLU[YH[PVUZ PU [YLH[TLU[Z
^P[O WSHU[Z ZPNUPÄJHU[S` KLJYLHZLK H[ H MHZ[LY YH[L
than that of Control, the actual amount of decrease
was minimal. This could be attributed to a few
YLHZVUZ6ULWVZZPISLYLHZVUPZ[OH[[OLL_WLYPTLU[HS
Z`Z[LT ^HZ [VV ZTHSS ,HJO NSHZZ HX\HYP\T OHK shrimp, which did not allow much nutrient input
PU [OL ÄYZ[ WSHJL (KKP[PVUHSS` [OL ZTHSS HTV\U[
VM U\[YPLU[ TPNO[ UV[ OH]L ILLU LUV\NO [V Z\Z[HPU
the proper development of the plants, which may
:LJVUK NSHZZ HX\HYPH KV UV[ OH]L [OL
earthen component of actual shrimp ponds. This
JV\SK OH]L SLK [V H NYLH[LY HTV\U[ VM Z\ZWLUKLK
ZVSPKZ [OH[ HMMLJ[LK [OL NYV^[O VM [OL WSHU[Z I`
ZTV[OLYPUN [OL YVV[Z ILJH\ZL [OL ZVSPKZ KPK UV[
OH]L V[OLY H[[HJOHISL Z\YMHJLZ -PUHSS` [OL WSHU[Z
did not respond well to the hydroponic system. This
could be partly due to the previous two concerns
HUKVY [OL WW[ ZHSPUP[` /PNO ZHS[ JVUJLU[YH[PVU
has the same effect as low water availability. Many
Figure 5. Hypothetical experimental set-up of halophyte hydroponics in a commercial shrimp pond.
Tropical Resources Bulletin 83
Hui Cheng
plants developed leaves that resemble succulent
plants, which are adapted to arid environments.
Conclusion
Discourse, Policy Controversies and the Role of
:JPLUJLPU[OL7VSP[PJZVM:OYPTW-HYTPUN+L]LSVW
TLU[+L]LSVWTLU[7VSPJ`9L]PL^!
)YV^U11HUK,7.SLUU
9L\ZLVMOPNOS`ZHSPUL
HX\HJ\S[\YLLMÅ\LU[[VPYYPNH[LHWV[LU[PHSMVYHNL
OHSVWO`[L:\HLKHLZ[LYVH(X\HJ\S[\YHS,UNPULLY
PUN! +LZWP[L[OLZOVY[JVTPUNZPUT`L_WLYPTLU[HS
KLZPNU [OH[ ULNH[P]LS` PUÅ\LUJLK [OL NYV^[O HUK
development of the plants, nitrate still decreased
at a faster rate in treatments with plants. This )YV^U11,7.SLUU24-P[aZPTTVUZ:,:TP[O
/HSVWO`[LZMVY[OL[YLH[TLU[VMZHSPULHX\H
Z\NNLZ[Z [OH[ OHSVWO`[L O`KYVWVUPJZ PZ JHWHISL VM YLTV]PUN UP[YH[L MYVT ZOYPTW HX\HJ\S[\YL ^H[LY J\S[\YLLMÅ\LU[(X\HJ\S[\YL!
0[^V\SKILVM]HS\L[V\[PSPaL[OLJVUJLW[VM
[OPZL_WLYPTLU[VUHSHYNLYZ`Z[LTZ\JOHZHUHJ[\HS
ZOYPTW WVUK -PN 0 ^HZ UV[ HISL [V W\YZ\L [OL
SHYNLY ZJHSL L_WLYPTLU[ K\L [V SVNPZ[PJHS JVUZ[YHPU[Z
\UYLSH[LK[V[OLL_WLYPTLU[HSKLZPNU0[PZWVZZPISL[OH[
Atriplex hortensis could respond more favorably to the
conditions in an actual shrimp pond, as commercial
WVUKZ [`WPJHSS` OH]L ZHSPUP[PLZ MYVT WW[ [V WW[
which translates into more water available for plant
\W[HRLMVYNYV^[O(SZVKPMMLYLU[ZWLJPLZVMOHSVWO`[LZ
JV\SK IL L_WSVYLK .P]LU [OH[ ZOYPTW MHYTPUN PZ
^YLHRPUN OH]VJ IV[O ZVJPHSS` HUK LU]PYVUTLU[HSS`
in tropical countries, as responsible consumers, we
T\Z[ ÄUK H MLHZPISL TL[OVK [V YLK\JL P[Z PTWHJ[Z
Acknowledgements
)V`K*SH\KL,)L[[LY4HUHNLTLU[7YHJ[PJLZMVY
4HYPUL:OYPTW(X\HJ\S[\YL0U,U]PYVUTLU[HS)LZ[
4HUHNLTLU[7YHJ[PJLZMVY(X\HJ\S[\YLLKP[LKI`
*YHPN:;\JRLYHUK1VOU(/HYNYLH]LZ0V^H!)SHJR
^LSS7\ISPZOPUN
*67<:*VTTPZZPVUVU6JLHU7VSPJ`(U6JLHU
)S\LWYPU[MVY[OLZ[*LU[\Y`-PUHS9LWVY[>HZO
PUN[VU+*
+P]LY:[L]L(X\HWVUPJZ¶PU[LNYH[PVUVMO`KYV
WVUPJZ^P[OHX\HJ\S[\YL7\ISPJH[PVU5V07(;
;9(5H[PVUHS:\Z[HPUHISL(NYPJ\S[\YL0UMVYTH[PVU
Service.
,U]PYVUTLU[HS1\Z[PJL-V\UKH[PVU,1-+LZLY[PU
[OL+LS[H,U]PYVUTLU[HS1\Z[PJL-V\UKH[PVUPUWHY[
ULYZOPW^P[O6UL>VYSK(J[PVU3VUKVU
0 [OHUR @HSL -,: MHJ\S[` ^OV WYV]PKLK YLZLHYJO
N\PKHUJL!+Y7L[LY9H`TVUK+Y/LST\[,YUZ[ILYNLY+Y
1VUH[OHU9L\UPUN:JOLYLYHUK+Y.YHLTL)LYS`U
-(65(*(<5,7>)>>-0U[LYUH[PVUHS
7YPUJPWSLZMVY9LZWVUZPISL:OYPTW-HYTPUNO[[W!
^^^NSVILÄZOVYNÄSLZZOYPTWWYPUJPWSLZF
WKM
0 [OHUR T` M\UKPUN ZV\YJLZ ^OV THKL T`
L_WLYPTLU[HYLHSP[`!;YVWPJHS9LZV\YJLZ0UZ[P[\[L@HSL-,:
:\TTLY .SVIHSPaH[PVU 9LZLHYJO -\UK HUK *HYWLU[LY
:WLYY`9LZLHYJO-\UK
/HX\L:(:HSPUP[`7YVISLTZHUK*YVW7YVK\J[PVU
PU*VHZ[HS9LNPVUZVM)HUNSHKLZO7HRPZ[HU1V\YUHS
VM)V[HU`! -VY T` L_WLYPTLU[ 0 [OHUR 3VYLUaV 1\HYLa
7YLZPKLU[ VM :OYPTW 0TWYV]LTLU[ :`Z[LTZ MVY KVUH[PUN
ZOYPTW WVZ[SHY]HL 0 HSZV [OHUR +Y 2L]PU /VWRPUZ VM
<UP]LYZP[` VM /H^HP»P H[ /PSV MVY WYV]PKPUN HX\HJ\S[\YL
N\PKHUJL HUK YLZLHYJO MHJPSP[` HUK 4H[[OL^ )HY[VU HUK
Brett Rodomsky of UH Hilo for assistance in experimental
set-up.
9LMLYLUJLZ
)HYIPLY,),>2VJO)9:PSSPTHU:+/HJRLY,
>VSHUZRP17YPTH]LYH,-.YHULR:7VSHZR`:
(Z^HUP3(*YHTLY+4:[VTZ*12LUULK`+
)HLS*=2HWWLS.4,7LYPSSV+19LLK
*VHZ[HS,JVZ`Z[LT)HZLK4HUHNLTLU[^P[O5VU
SPULHY,JVSVNPJHS-\UJ[PVUZHUK=HS\LZ:JPLUJL
!
)tUt*OYPZ[VWOL;OL.VVK[OL)HKHUK[OL<NS`!
84 Volume 29, 2010
0ZSHT49HÄX\S,K>OLYL3HUK4LL[Z[OL:LH!
(7YVÄSLVM[OL*VHZ[HSAVULVM)HUNSHKLZO+OHRH!
The University Press Limited.
4HUNYV]L(J[PVU7YVQLJ[:OYPTW[YHKLKPZW\[L
[OYLH[LUZTHYRL[MVYKPZ[PSSLYZNYHPUZO[[W!^^^
THUNYV]LHJ[PVUWYVQLJ[VYNUL^ZJ\YYLU[FOLHKSPULZ
shrimp-trade-dispute-threatens-market-for-distillersNYHPUZ
4J4\Y[Y`49 ,MÄJPLUJ`VM>H[LY<ZLVMHU0U[LNY
H[LK-PZO=LNL[HISL*V*\S[\YL:`Z[LT1V\YUHSVM
[OL>VYSK(X\HJ\S[\YL:VJPL[`!
4VU[LYL`)H`(X\HYP\T :LHMVVK>H[JO¶>OH[
@V\*HU+VO[[W!^^^TVU[LYL`IH`HX\HYP\TVYN
JYJYFZLHMVVK^H[JOZM^JVUZ\TLYZHZW_
Exploring a new method of reducing environmental impacts from Shrimp Aquaculture
4\YWO`+HU+LLWLYPU[V[OLTVYHZZ-HY,HZ[LYU
Economic Review.
7mLa6Z\UH-LKLYPJV;OL,U]PYVUTLU[HS0TWHJ[VM
:OYPTW(X\HJ\S[\YL!*H\ZLZ,MMLJ[ZHUK4P[PNH[PUN
(S[LYUH[P]LZ,U]PYVUTLU[HS4HUHNLTLU[!
7YPTH]LYH1/6]LYJVTPUN[OLPTWHJ[ZVMHX\HJ\S
[\YLVU[OLJVHZ[HSaVUL6JLHU*VHZ[HS4HUHNL
TLU[ !
9VOLPT*(:LHMVVK[YHKLSPILYHSPaH[PVUHUK
PTWHJ[ZVUZ\Z[HPUHIPSP[`0U.SVIHS(X\HJ\S[\YHS
;YHKLHUK+L]LSVWPUN*V\U[YPLZLKP[LKI`4
([HTHU4((RZV`HUK1*)LNOPU>VYSK)HUR!
World Bank Publications.
:HY^HY.4HUK4/2OHU:LH3L]LS9PZL!(
;OYLH[[V[OL*VHZ[VM)HUNSHKLZO0U[LYUH[PVUHSLZ
(ZPLUMVY\T! :[VUPJO:*HUK*)HPSL`9LZPZ[PUN[OL)S\L
9L]VS\[PVU!*VU[LUKPUN*VHSP[PVUZ:\YYV\UKPUN
0UK\Z[YPHS:OYPTW-HYTPUN/\THU6YNHUPaH[PVU
!
=HU4\SLRVT3((_LSZZVU,7)H[\UNIHJHS+
)H_[LY9:PYLNHY0KLSH;VYYL:,(-PZOMVY1\Z[PJL
;YHKLHUKL_WVY[VYPLU[H[PVUVMÄZOLYPLZPU
:V\[OLHZ[(ZPH!<UKLYWYPJLKL_WVY[H[[OLL_WLUZL
of domestic food security and local economies.
6JLHU*VHZ[HS4HUHNLTLU[ !
Tropical Resources Bulletin 85
V. PROBLEMS OF TRANSLATION
Cuban Environmental Paradigms: Contemporary Agriculture and Colonial Forestry
Dana Graef, PhD candidate
Introduction
:PUJL[OLLHYS`Z*\IHUHNYVLJVSVNPJHS
OPZ[VY`OHZILLUKVTPUH[LKI`[OLZ\NHY[YHKL"SHYNL
scale monoculture led to extensive deforestation
on the island and drove Cuban development and
PU[LYUH[PVUHSYLSH[PVUZ-\ULZ4VUaV[L:WHUPZO
colonial policy, American imperial interests, and
Soviet support of Cuba revolved around the extractive
PUK\Z[Y` W\SSPUN [OL PZSHUK PU[V NSVIHS UL[^VYRZ
VM ZVJPHS HUK LJVSVNPJHS L_JOHUNL 0U[LYUH[PVUHS
PU]VS]LTLU[ PU *\IH OHZ SLK [V JVUÅPJ[Z IL[^LLU
external demands for resources and local subsistence
imperatives. In this article, I draw from archival sources,
W\ISPZOLK YLZLHYJO HUK ÄLSK PU[LY]PL^Z [V JVUZPKLY
two moments of socio-environmental transition in
*\IH! [OL JVSVUPHS MVYLZ[ WVSPJ` KLIH[LZ VM [OL SH[L
ZHUK[OLZ\Z[HPUHISLHNYPJ\S[\YLTV]LTLU[[OH[
arose in the 1990s. [1] These periods represent the
[PTL PTTLKPH[LS` WYLJLKPUN *\IH»Z V]LY^OLSTPUN
[YHUZP[PVU [V Z\NHY WSHU[H[PVUZ HUK [OL `LHYZ ^OLU
Z\NHY WYVK\J[PVU WS\TTL[LK HM[LY [OL JVSSHWZL VM
the Soviet Union. While forest conservation policies
^LYL PTWVZLK I` :WHUPZO JVSVUPHS WV^LYZ SPTP[PUN
SVJHSSHUKV^ULYZ»HNLUJ`Z\Z[HPUHISLHNYPJ\S[\YL^HZ
WYVTV[LK I` [OL UH[PVUHS NV]LYUTLU[ LUJV\YHNPUN
residents to cultivate land for subsistence. These
cases illustrate distinct modes of interaction between
local subsistence needs and broader environmental
PUP[PH[P]LZ -VYLZ[ WYLZLY]H[PVU HUK Z\Z[HPUHISL
HNYPJ\S[\YLYLWYLZLU[[^VZ[YHPUZVMLU]PYVUTLU[HSPZT
PU[OLJVU[L_[VMNSVIHSPaH[PVU>OPSLJVSVUPHSMVYLZ[
preservation in the tropics has been described as an
L_HTWSL VM NYLLU PTWLYPHSPZT .YV]L *\IHU
Dana Graef is a doctoral student in the combined
Anthropology and Forestry & Environmental Studies degree program. Her dissertation research examines environmentalism and agrarian change
in Cuba and Costa Rica. She was raised in Vermont
and received her undergraduate degree in Ecology
and Evolutionary Biology from Princeton University.
86 Volume 29, 2010
Z\Z[HPUHISLHNYPJ\S[\YLOHZILLUKLZJYPILKHZHMVYT
VMLJVSVNPJHSYLZPZ[HUJL[VNSVIHSJHWP[HSPZT-\ULZL[
al. 2002).
:\Z[HPUHISL(NYPJ\S[\YLPU*\IH
1990s – Present
The dissolution of the Soviet Bloc and
KPZPU[LNYH[PVU VM [OL <::9 MYVT ¶ OHK
YL]LYILYH[PUN PTWHJ[Z VU *\IHU ZVJPL[` +\YPUN
[OL Z HUK Z HNYPJ\S[\YL PU *\IH ^HZ H
SHYNLZJHSL LU[LYWYPZL KVTPUH[LK I` JVSSLJ[P]L Z[H[L
MHYTZ J\S[P]H[PUN Z\NHYJHUL TVUVJ\S[\YL PU [OL
.YLLU 9L]VS\[PVU TVKLS ^P[O [OL HPK VM PTWVY[LK
WLZ[PJPKLZ OLYIPJPKLZ MLY[PSPaLYZ HUK MHYTPUN
LX\PWTLU[9VZZL[HUK)LUQHTPU ;OLJV\U[Y`
^HZHUL[PTWVY[LYVMMVVKHUKMVZZPSM\LS"[OL:V]PL[
<UPVUHJJV\U[LKMVYVMP[Z[YHKL9VZZL[ ;OLSVZZVM*\IH»ZWYPTHY`[YHKLWHY[ULYHUK[OL
Z[YLUN[OLULK<:LTIHYNVSLK[VLJVUVTPJJVSSHWZL
HU LULYN` JYPZPZ HUK MVVK ZJHYJP[` >PKLZWYLHK
MHTPUL LUZ\LK HUK [OL NV]LYUTLU[ KLJSHYLK [OL
:WLJPHS7LYPVKPU;PTLVM7LHJL/LHYU+\YPUN
[OL PUP[PHS `LHYZ VM [OL :WLJPHS 7LYPVK MYVT [V
*\IHU PTWVY[Z KYVWWLK MYVT IPSSPVU [V
IPSSPVU 4HHS)HYLK -VVK [OH[ OHK
ILLUPTWVY[LK^HZUVSVUNLYH]HPSHISLHUK[OLSHJR
of oil impeded the operation of farm machinery as
well as the transport of food from rural farms to urban
JLU[LYZ -\ULZ L[ HS 6_LU YLWSHJLK [YHJ[VYZ
in the countryside, as machines became inoperable.
)` [OL LHYS` Z [OL *\IHU NV]LYUTLU[
YLZWVUKLK I` NYLLUPUN [OL YL]VS\[PVU 9VZZL[ HUK
)LUQHTPU 7VSPJPLZ HK]VJH[LK JOLTPJHSMYLL
VYNHUPJ HNYPJ\S[\YL WYVTV[PUN [OL LZ[HISPZOTLU[ VM
ZLTPJVTTLYJPHSPaLKVYNHUPJMHYTZorganopónicos)
HUK MHTPS`ZJHSL WLYTHJ\S[\YL NHYKLUZ ^P[OPU
/H]HUH»Z JP[` SPTP[Z 7YLTH[ ;OL Z[H[L
NYHU[LK \Z\MY\J[\HY` YPNO[Z [V PUKP]PK\HSZ HUK
JVVWLYH[P]LZ ^OV ^LYL ^PSSPUN [V JVU]LY[ ]HJHU[
Cuban Environmental Paradigm
\YIHU WSV[Z PU[V NHYKLUZ MVY MVVK WYVK\J[PVU ZTHSSZJHSL HNYPJ\S[\YHSPZ[Z ^LYL SPTP[LK I` JVSVUPHS
a crucial shift in land policy that enabled the WVSPJPLZ VM MVYLZ[ JVUZLY]H[PVU -YVT [OL Z
VYNHUPJ TV]LTLU[ *Y\a HUK :mUJOLa \U[PS :WHUPZO JVSVUPHS WV^LYZ ^LYL PU]VS]LK
PU H WYV[YHJ[LK Z[Y\NNSL ^P[O *\IHU HNYPJ\S[\YHSPZ[Z
;OL VYNHUPJ HNYPJ\S[\YL TV]LTLU[ NHPULK V]LY [OL YPNO[ [V JSLHY SHUK -\ULZ 4VUaV[L PU[LYUH[PVUHS H[[LU[PVU MVY YLZVS]PUN [OL MHTPUL 1). While local landowners wished to convert their
`L[ MVVK ZV]LYLPNU[` YLTHPUZ H UH[PVUHS JVUJLYU MVYLZ[LK SHUK [V HNYPJ\S[\YL MVY Z\IZPZ[LUJL HUK
Recent hurricanes have decimated crops, and Cuba JVTTLYJPHS W\YWVZLZ JVSVUPHS NV]LYUTLU[ VMÄJPHSZ
Z[PSSPTWVY[ZHZT\JOHZVMP[ZMVVK[OYV\NOYL ZV\NO[ [V WYLZLY]L *\IHU MVYLZ[Z MVY [OL \ZL VM
ULNV[PH[LKWH[O^H`ZPUJS\KPUN[OL<UP[LK:[H[LZ7tYLa [OL :WHUPZO UH]HS ÅLL[ -\ULZ 4VUaV[L HUK 4VU[HUV 9LÅLJ[PUN [OL ZOPM[ H^H` MYVT
JOLTPJHS PUW\[Z VUL *\IHU UV[LK [OH[ ¸RUV^SLKNL
PZ [OL WYPTHY` PUW\[ MVY HNYPJ\S[\YL¹ PU *\IH [VKH` Eighteenth Century Colonial Forest
0U [OL Z\TTLY VM HUV[OLY THU X\LZ[PVULK Conservation [2]
[OL SHYNLZJHSL WV[LU[PHS VM VYNHUPJ KLTLJOHUPaLK
HNYPJ\S[\YL!¸V_LUHUKLHY[O^VYTZHYLU»[LUV\NO[V ;OL :WHUPZO TL[YVWVSL ZV\NO[ [V N\HYK
MLLKTPSSPVUWLVWSL¹(*\IHUW\ISPJVMÄJPHSUV[LK HUK JVU[YVS SVJHS [PTILY L_[YHJ[PVU [OYV\NO H ZLYPLZ
[OH[ K\L [V TH[LYPHS ZJHYJP[` ¸VYNHUPJ HNYPJ\S[\YL VM YLN\SH[PVUZ (U LKPJ[ PU UV[LK [OH[ P[ ^HZ
^HZ VISPNH[VY` I\[ P[»Z UV[ Q\Z[ UL^ [LJOUPX\LZ! PSSLNHS [V J\[ JLKHY THOVNHU` HUK VHR ^P[OV\[ H
P[»Z HUV[OLY J\S[\YL HUV[OLY ^H` VM [OPURPUN¯ SPJLUZL BD ( NV]LYUTLU[ SPJLUZL ^HZ ULJLZZHY` [V
MHJPUN \UJLY[HPU[` ^L KVU»[ OH]L HUV[OLY VW[PVU¹ JSLHY SHUK MVY J\S[P]H[PVU HUK P[ ^HZ JSHYPÄLK [OH[
even with a license, cedars could not be cut unless
(KKYLZZPUN[OLZL[LUZPVUZIL[^LLUPKLVSVN` [OL` OHK NYV^U [V H Z\MÄJPLU[ OLPNO[ )\YUPUN ^HZ
HUK ULJLZZP[` 1\SPH >YPNO[ YLJLU[S` HYN\LK prohibited. All households, no matter how small,
[OH[Z\Z[HPUHISLHNYPJ\S[\YLPU*\IHOHZILLUKYP]LU ^LYL VYKLYLK [V WSHU[ LPNO[ JLKHYZ [OH[ T\Z[ IL
primarily by the material lack of oil. While Cuban “cared for and always conserved for the service of
VYNHUPJHNYPJ\S[\YLYLZWVUKLK[VHJ\[LTH[LYPHSULLK [OL 2PUN HUK [OL W\ISPJ¹ *LKHY ^HZ WYVOPIP[LK MVY
V]LY[OLWHZ[[^LU[``LHYZHK`UHTPJHNYVLJVSVNPJHS \ZLPUI\PSKPUNZ^OLYLHUV[OLYZWLJPLZ^V\SKZ\MÄJL
TV]LTLU[PU[LNYH[PUNY\YHSHUK\YIHUMHYTLYZ*\IHU
HUK PU[LYUH[PVUHS ZJPLU[PÄJ YLZLHYJOLYZ NV]LYUTLU[ (Z H JVUZLX\LUJL VM LKPJ[Z [V WYLZLY]L
HUK 5.6 ^VYRLYZ OHZ LTLYNLK ;OL \UJLY[HPU[PLZ MVYLZ[ZMVY[OL\ZLVM[OLJVSVUPHSNV]LYUTLU[SVJHS
VMNSVIHS[YHKLOH]LKYP]LUHYLJVUJLW[\HSPaH[PVUVM YLZPKLU[ZKPKUV[OH]LLUV\NOZWHJLMVYHNYPJ\S[\YL
HNYPJ\S[\YLPU*\IH!P[OHZTV]LKMYVT[OLJV\U[Y`ZPKL HUK [OL` OHK KPMÄJ\S[` OHY]LZ[PUN [OL ^VVK [OH[
PU[V[OLJP[`MYVTSHYNLZJHSLTVUVJ\S[\YL[VZTHSS [OL` ULLKLK MVY [OLPY V^U SP]LSPOVVK HJ[P]P[PLZ -VY
ZJHSLKP]LYZPÄLKJYVWZMYVTHULTWOHZPZVUL_WVY[Z PUZ[HUJLHULKPJ[PU UV[LK[OH[[YLLZZOV\SKUV[
[V H MVJ\Z VU UH[PVUHS ZV]LYLPNU[` >OPSL WYL]PV\Z be “inconsiderately” cut down to obtain beeswax PKLHZ HUK WYHJ[PJLZ YLTHPU *\IHU \UKLYZ[HUKPUNZ H SVJHS Z\IZPZ[LUJL HJ[P]P[` BD;OL ZHTL KVJ\TLU[
VM HNYPJ\S[\YL OH]L ILLU JVTWSPJH[LK HUK PKLHZ VM VYKLYLK[OH[¸UVVULYLX\LZ[ZUVYZOV\SKWLYTPZZPVU
LU]PYVUTLU[HSPZTOH]LJVHSLZJLKHYV\UK[OLVYNHUPJ ILNYHU[LK[VJ\[TVYL^VVK[OHU[OL`ULLKMVY[OLPY
WYHJ[PJLZ[OH[LTLYNLKMYVTULJLZZP[`0U VUL I\PSKPUNZ HUK THJOPULZ¯ILJH\ZL [V KV V[OLY^PZL
peri-urban farmer expressed the dominant view of would be to contribute to the destruction of the forests.”
HNYVLJVSVNPJHS Z\Z[HPUHIPSP[` PU *\IH! ¸[V JSVZL V\Y
J`JSL¹ VM YLZV\YJL \ZL MVJ\ZPUN PU^HYKZ (UV[OLY ;VWKV^ULMMVY[Z[VYLN\SH[LKLMVYLZ[H[PVUM\LSLK
Cuban expressed the view that socialism may not be SHUKV^ULYZ» MY\Z[YH[PVU HUK OHK SPTP[LK Z\JJLZZ 0U
innately environmental, but no version of socialism H SL[[LY ^YP[[LU PU H MHYTLY JVTWSHPULK [OH[
JHU Z[VW ILPUN LU]PYVUTLU[HSPZ[! ¸[OL JOHSSLUNL PZ “industrious cultivators” from Havana had their “arms
[V IYPUN [OL LU]PYVUTLU[HS J\S[\YL [V [OL THZZLZ¹ crossed,” unable to cultivate the fertile land due to
I\YLH\JYH[PJ MVYLZ[ WVSPJPLZ BD ;OL ZHTL MHYTLY
The initiation of the Special Period represented Z\NNLZ[LK[OH[YLN\SH[PVUZOHKKYP]LU\W[OLWYPJLVM
H ZPNUPÄJHU[ ZLWHYH[PVU UV[ VUS` MYVT *\IH»Z YLJLU[ ^VVK! ¸ZPUJL [OLYL OH]L ILLU YLN\SH[PVUZ VY ZPUJL
ties with the Soviet Union, but from centuries of close there has been a subinspector, the price of wood
L_JOHUNL^P[OJVSVUPHSHUKPTWLYPHSWV^LYZ>OPSL OHZ KV\ISLK¯BILJH\ZLD ^L KVU»[ OH]L HU`^OLYL
YLJLU[ Z\Z[HPUHISL HNYPJ\S[\YL PU *\IH LUJV\YHNLZ [V J\[ ^VVK¹ @L[ [OL MHYTLY YLJVNUPaLK [OL SPTP[Z
SVJHS WYVK\J[PVU K\YPUN [OL SH[L LPNO[LLU[O JLU[\Y` of a bureaucratic reach, with the comment that
Tropical Resources Bulletin 87
Dana Graef
¸HSS VM [OL BMVYLZ[D N\HYKZ VM [OL ^VYSK HUK HSS VM L_PZ[Z MVY THU»Z MH]VY VU [OL Z\YMHJL VY ILULH[O
O\THU]PNPSHUJL^V\SKU»[ILZ\MÄJPLU[[VZ[VW[OVZL [OL LHY[O VY PU [OL H[TVZWOLYL¹;V Z[YLUN[OLU [OL
who cut down trees and destroy what they wish.” links between the colony and the metropole, he
wrote that it was necessary to eliminate “all ideas of
:WHUPZOMVYLZ[Y`YLN\SH[PVUZPUSH[LLPNO[LLU[O distance, and to confound the differences between
century Cuba seem to support the historian Richard climates and products with reciprocal necessity.”
.YV]L»Z HZZLY[PVU [OH[ ¸[OL O`WV[OLZPZ VM H W\YLS` ;OPZ[PNO[LULKYLJPWYVJP[`^HZKLYP]LK[OYV\NO[YHKL
destructive environmental imperialism does not :WLJPÄJHSS` WYVK\J[Z IYV\NO[ MYVT :WHPU [V [OL
HWWLHY [V Z[HUK \W H[ HSS ^LSS¹ *VSVUPHS JVSVU` PUJS\KLK ¸NYHPUZ IYV[OZ MH[ ZHS[LK TLH[
policies of family-level afforestation and attempts to PYVUHUKTL[HS^VYRZHS[LKÄZOWV[H[VLZ]LNL[HISLZ
SPTP[SHUKJVU]LYZPVUMYVTMVYLZ[Z[VÄLSKZHYLHSPNULK YPJL JYHJRLYZ VUPVUZ HUK V[OLY ZTHSS [OPUNZ [OH[
with modern notions of environmental restoration :WHPUJV\SKHK]HU[HNLV\ZS`Z\WWS`¹0UYL[\YU*\IH
and biodiversity conservation. However, the Spanish could provide “coffee, tobacco, cacao, cotton, wax,
JYV^U»Z TV[P]H[PVU MVY MVYLZ[ JVUZLY]H[PVU HUK ^VVKZZ\NHYZHUKOVUL`Z¹0UKL)LYHaHZ»]PL^[OPZ
YLZ[VYH[PVU ^HZ L_WSPJP[S` \[PSP[HYPHU! JVUZLY]H[PVU L_JOHUNL ^V\SK SLHK [V YLSH[PVUZOPWZ ¸ZV PU[PTH[L
TLHU[ZLSLJ[P]L\ZLI`[OLWYP]PSLNLK\UKLYYLN\SH[LK between the Metropole and the Colony - by one
circumstances. Colonial policies of selective forest ULLKPUN [OL V[OLY [OH[ P[ ^V\SK IL KPMÄJ\S[ [V IL
\ZL HSZV SLK [V JSHZZPÄJH[VY` KP]PZPVUZ VM [OL *\IHU ZLWHYH[LKK\L[V[OL\UP[`VMOHIP[ZJ\Z[VTZYLSPNPVU
LU]PYVUTLU[ >OPSL ZVTL [YLLZ ^LYL KLZPNUH[LK SHUN\HNL SH^Z HUK NV]LYUTLU[ ^OPJO HYL [OL
for the crown, other species were acceptable for [PLZ[OH[IPUKO\THUZMYVT[OLJYHKSL[V[OLNYH]L¹
SVJHS \ZL ;OL ZWLJPLZ TVZ[ \ZLM\S MVY ZOPWI\PSKPUN
· LZWLJPHSS` JLKHY · ^LYL Z\IQLJ[ [V [OL TVZ[ >OPSL [OL ZVSPKPM`PUN \UP[` [OH[ KL )LYHaHZ
KL[HPSLKYLN\SH[PVUZ>OPSL:WHUPZOWVSPJPLZVMMVYLZ[ MVYLZH^ HZ H JVUZLX\LUJL VM YLJPWYVJHS ULJLZZP[`
conservation may not have been environmentally ultimately proved divisive, environmental and
destructive, they do represent a utilitarian, selective ZVJPHS JVUZLX\LUJLZ VM [OL JVSVUPHS YLSH[PVUZOPW
view of nature. Trees were not conserved for WLYZPZ[LK SVUN HM[LY :WHUPZO Y\SL ^HZ V]LY[OYV^U PU
[OLPY LJVSVNPJHS ]HS\L I\[ MVY M\[\YL O\THU \ZL )` KL]V[PUN SHUK [V Z\NHYJHUL TVUVJ\S[\YL
MVY PU[LYUH[PVUHS L_WVY[ *\IH UV SVUNLY WYVK\JLK
Z\MÄJPLU[ MVVK MVY P[Z WVW\SH[PVU +\YPUN [OL SH[L
;YHQLJ[VYPLZVM*\IHU.SVIHSPaH[PVU
:V]PL[ WLYPVK *\IH PTWVY[LK IL[^LLU ¶ In 1791, the Haitian revolution led to of caloric intake per person (Moskow 1999, 127).
[OL L_VK\Z VM WSHU[H[PVU THUHNLYZ MYVT /HP[P (ZHJVUZLX\LUJLVM[OL*\IHU¶:V]PL[YLSH[PVUZOPW
KLZ[HIPSPaPUN [OL ^VYSK»Z SHYNLZ[ Z\NHY WYVK\JLY H[ the dynamics of food security on the island were
[OL [PTL -\ULZ 4VUaV[L *VUZLX\LU[S` profoundly unbalanced. The crisis of the Special Period
*\IH Z\YNLK PU PTWVY[HUJL HZ H SVJ\Z VM Z\NHYJHUL YLZ\S[LK MYVT \UZ[HISL L_[LYUHS L_JOHUNL! *\IH»Z
WYVK\J[PVU0USHUKV^ULYZ^VU[OLÄNO[^P[O reliance on Soviet support was not reciprocated.
:WHPU MVY WLYTPZZPVU [V JSLHY [OLPY SHUK PUP[PH[PUN H
period of expansive deforestation across the island ;OL ZL]LYL JVUZLX\LUJLZ VM L_[LYUHS
-\ULZ 4VUaV[L :WHPU UV SVUNLY ]HS\LK YLSPHUJLOH]LSLK[VHOLPNO[LULKH^HYLULZZVMMVVK
Cuba for selective forest use, but for potential WYVK\J[PVU ^P[OPU UH[PVUHS IVYKLYZ -HYTLYZ KYH^
WSHU[H[PVUZ ;OYV\NOV\[ [OPZ [YHUZP[PVU :WHUPZO L]LUZTHSSLYIV\UKHYPLZVMZLSMZ\MÄJPLUJ`![OLNVHS
JVSVUPHS WV^LYZ JVU[PU\LK [V JVUJLW[\HSPaL *\IHU VM HNYVLJVSVN` VUL Z\NNLZ[LK PU PZ [V ¸M\SÄSS
natural resources for their productive and extractive the entire cycle on the farm.” In the current mode of
]HS\LHZWHY[VMHNSVIHSZ`Z[LTVMJVTTVKP[`ÅV^Z *\IHULU]PYVUTLU[HSPZTWLYJLW[PVUZVMHNYPJ\S[\YHS
Z\Z[HPUHIPSP[` KYH^ PUJYLHZPUNS` PU[LYUHS IV\UKHYPLZ
0U [OL :WHUPHYK (U[VUPV KL )LYHaHZ of production. Due to the Special Period, “it was a
SHPK V\[ OPZ YLJVTTLUKH[PVUZ MVY Z[YLUN[OLULK Z[YLUN[O[VSVVRPU^HYKZ¹VULTHUUV[LKPU @L[
Cuban–Iberian relations under the new framework [OPZUL^¸LU]PYVUTLU[HSJ\S[\YL¹KYH^ZMYVTNSVIHS
VM HNYHYPHU L_[YHJ[PVU BD /L ^PZOLK [V PTWLKL RUV^SLKNLVMHNYVLJVSVNPJHS[LJOUPX\LZ0U[LYUH[PVUHS
the relationship between Cuba and the Americas, HNLUJPLZ ZLLRPUN [V PTWYV]L MVVK ZLJ\YP[` PU *\IH
ZLLRPUN[VLT\SH[L[OLJSVZLULZZVM)YP[PZO¶1HTHPJHU OH]LJVU[YPI\[LKM\UKPUNHUKWYVQLJ[HZZPZ[HUJLMYVT
YLSH[PVUZ (U[VUPV KL )LYHaHZ ]PL^LK [OL UH[\YHS (\Z[YHSPH *HUHKH .LYTHU` [OL <UP[LK 2PUNKVT
^VYSKMYVTH\[PSP[HYPHUWLYZWLJ[P]LKLZJYPIPUNUH[\YL and the United States. In this way, the trajectories of
as subject to human desires. He noted that “nature environmentalism in Cuba have shifted from externally
88 Volume 29, 2010
Cuban Environmental Paradigm
imposed colonial policies for selective extraction
to national policies that incorporate international
LU]PYVUTLU[HS PKLHZ PU[V SVJHS HNYPJ\S[\YHS
practices. While some Cubans view the transition to
HNYVLJVSVNPJHSTL[OVKZHZH[LTWVYHY`ZVS\[PVUV[OLY
MHYTLYZ L_WYLZZ [OL ÄYT ILSPLM [OH[ HNYVLJVSVNPJHS
[LJOUPX\LZ OH]L LUHISLK NYLH[LY H\[VUVT` HUK
PU ZV KVPUN H YLSPLM MYVT WLY]HZP]L \UJLY[HPU[`
Acknowledgments
Research for this article was carried out in Cuba
HUK :WHPU K\YPUN [OL Z\TTLY VM ^P[O M\UKPUN MYVT
[OL ;YVWPJHS 9LZV\YJLZ 0UZ[P[\[L [OL 7YVNYHT MVY (NYHYPHU :[\KPLZ HUK H ;PURLY -PLSK 9LZLHYJO .YHU[ MYVT [OL
Council for Latin American and Iberian Studies at Yale. I
^V\SK SPRL [V [OHUR 5 +LSHÄLSK HUK / 1\TW MVY WH[PLU[
and helpful editorial comments, and my advisors, M. Dove
and E. Mayer, for their advice. Any errors are my own.
Endnotes
BD;VWYV[LJ[HUVU`TP[`X\V[LZMYVTWLYZVUHSPU[LY]PL^Z
PU*\IHHYLUV[H[[YPI\[LK(SSX\V[LZHYLMYVTÄLSK^VYRPU
the summer of 2009. All archival research was conducted
H[[OL.LULYHS(YJOP]LVM[OL0UKPLZ(YJOP]V.LULYHSKL
0UKPHZOLYLHM[LY(.0PU:L]PSSL:WHPU0OH]L[YHUZSH[LK
X\V[LZMYVTPU[LY]PL^ZHUKHYJOP]LZMYVT:WHUPZOPU[V
,UNSPZO
BD-VSSV^PUNOPZ[VYPJHSJVU]LU[PVUZMVYHYJOP]HSTH[LYPHS
details are provided in footnotes.
BD(.0<S[YHTHY 5V¶+Y7OLSPWLKL
-VUZKL]PLSH`6UKLH4HYX\LZKLSH;VYYL-VYLZ[LKPJ[
NP]LUPU/H]HUH4HYJO(SSX\V[LZPU[OPZ
WHYHNYHWOMYVT[OLZHTLZV\YJL
BD(.0<S[YHTHY 5V-VYLZ[LKPJ[+LJLTILY
(SSX\V[LZPU[OPZWHYHNYHWOMYVT[OLZHTLZV\YJL
BD(.0<S[YHTHY 5V¶3L[[LYMYVT/H]HUHMHYTLY
4H` (SSX\V[LZPU[OPZWHYHNYHWOMYVT[OLZHTL
source.
BD(.0<S[YHTHY5V3L[[LYMYVT(U[VUPVKL
)LYHaH5V]LTILY(SSX\V[LZPU[OPZWHYHNYHWO
from the same source.
9LMLYLUJLZ
-\ULZ-3.HYJxH4)V\YX\L57tYLaHUK79VZZL[
LKZ:\Z[HPUHISL(NYPJ\S[\YLHUK9LZPZ[HUJL!
;YHUZMVYTPUN-VVK7YVK\J[PVUPU*\IH6HRSHUK
*HSPMVYUPH!-VVK-PYZ[)VVRZ
-\ULZ4VUaV[L9-YVT9HPUMVYLZ[[V*HUL-PLSKPU
*\IH!(U,U]PYVUTLU[HS/PZ[VY`:PUJL *OHWLS/PSS5VY[O*HYVSPUH!<UP]LYZP[`VM5VY[O
Carolina Press.
.YV]L9 .YLLU0TWLYPHSPZT!*VSVUPHS,_WHUZPVU
;YVWPJHS0ZSHUK,KLUZHUK[OL6YPNPUZVM
,U]PYVUTLU[HSPZT¶*HTIYPKNL<UP[LK
2PUNKVT!*HTIYPKNL<UP]LYZP[`7YLZZ
/LHYU(/*\IH!9LSPNPVU:VJPHS*HWP[HSHUK
+L]LSVWTLU[+\YOHT5VY[O*HYVSPUH!+\RL
University Press.
4HHS)HYLK9*VTWHYPUNLU]PYVUTLU[HSPZZ\LZ
PU*\IHILMVYLHUKHM[LY[OL:WLJPHS7LYPVK!
)HSHUJPUNZ\Z[HPUHISLKL]LSVWTLU[HUKZ\Y]P]HS
,U]PYVUTLU[0U[LYUH[PVUHS! 4VZRV^(
/H]HUH»ZZLSMWYV]PZPVUNHYKLUZ
,U]PYVUTLU[HUK<YIHUPaH[PVU!
7tYLa5HUK94VU[HUV(NYVLJVSVNxHLU*\IH!
¦KLX\tOHISHTVZ&(NYPJ\S[\YH6YNmUPJH!
Premat, A. 2009. State power, private plots and the
NYLLUPUNVM/H]HUH»Z\YIHUHNYPJ\S[\YLTV]LTLU[
*P[`HUK:VJPL[`!
9VZZL[7 (S[LYUH[P]LHNYPJ\S[\YLHUKJYPZPZPU*\IH
;LJOUVSVN`HUK:VJPL[`4HNHaPUL! 9VZZL[7HUK4)LUQHTPU ;OL.YLLUPUNVM[OL
9L]VS\[PVU!*\IH»Z,_WLYPTLU[^P[O6YNHUPJ(NYP
J\S[\YL4LSIV\YUL=PJ(\Z[YHSPH!6JLHU7YLZZ
>YPNO[1 :\Z[HPUHISL(NYPJ\S[\YLHUK-VVK:LJ\YP[`
PUHU,YHVM6PS:JHYJP[`!3LZZVUZMYVT*\IH
3VUKVU<UP[LK2PUNKVT!,HY[OZJHU
Archival sources
<S[YHTHY 5V*VSVUPHS-VYLZ[+LIH[LZ(YJOP]V
.LULYHSKL0UKPHZ:L]PSSL:WHPU
<S[YHTHY5V3L[[LYMYVT(U[VUPVKL)LYHaH
5V]LTILY(YJOP]V.LULYHSKL0UKPHZ
Seville, Spain.
Published Sources
*Y\a4*HUK9:mUJOLa(NYPJ\S[\YHS`*P\KHK!
Una Clave para la Sustentabilidad. La Habana,
*\IH!-\UKHJP}U(U[VUPV5\|La1PTtULaKLSH
5H[\YHSLaH`LS/VTIYL
Tropical Resources Bulletin 89
United or Divided?
Stakeholder Perceptions of One Another and REDD
Katie Hawkes, MEM 2010
Introduction
the perceptions of different stakeholders in the REDD
development process. In particular I will discuss the
6]LY[OLSHZ[[^VKLJHKLZ[OLPU[LYUH[PVUHS ]HY`PUN WLYJLW[PVUZ VM NV]LYUTLU[Z 5.6Z HUK
community has implemented a series of “sustainable JVTT\UP[PLZIV[OIL[^LLUHUK^P[OPU[OLZLNYV\WZ
KL]LSVWTLU[¹ WYVNYHTZ PU KL]LSVWPUN UH[PVUZ HZ^LSSHZ[OLWLYJLW[PVUVM9,++HTVUNHSSVM[OLZL
worldwide. Broadly these aim to simultaneously raise
X\HSP[` VM SPML HUK WYLZLY]L LJVZ`Z[LT PU[LNYP[`;OL Countries
latest in the sustainable development tradition is the
9,++ TLJOHUPZT HWWYV]LK I` [OL <UP[LK 5H[PVUZ 6M[LUPU[OLSP[LYH[\YLVU9,++HUKLZWLJPHSS`PU
-YHTL^VYR*VU]LU[PVUVU*SPTH[L*OHUNL<5-*** UL^ZHY[PJSLZJV\U[Y`NV]LYUTLU[ZHYLWVY[YH`LKHZ
in 2007. Reduced Emissions from Deforestation and united fronts with consistent viewpoints and desires
+LNYHKH[PVU^PSSPMPTWSLTLU[LKYL^HYKKL]LSVWPUN ^P[OYLNHYK[V9,++(KKP[PVUHSS`HZML^I\[2HYZLUnations in the form of carbon credits for the [`HJRUV^SLKNLTHU`VM[OLWYLKPJ[PVUZJVUWYLZLY]H[PVUVM[OLPYZ[HUKPUNMVYLZ[Z<5-*** JLYUPUN9,++[HRLMVYNYHU[LK[OH[UH[PVUHSNV]LYUTLU[Z HJ[ UL\[YHSS` HUK PU MH]VY VM [OLPY JV\U[Y`»Z
(Z[OLUL^LZ[WYVWVZLKHKKP[PVU[V[OLNSVIHS common interest. This, of course, assumes further that
carbon market and with billions of dollars, hundreds such a common interest even exists. She points out
of thousands of acres of threatened tropical forest, [OH[¸HUV[OLYVKK]PZPVULZWLJPHSS`^OLUYLMLYYPUN[V
HUKWVZZPISLPUJS\ZPVUPU[OLZ\JJLZZVY[V[OL2`V[V THU`KL]LSVWPUNJV\U[YPLZWPJ[\YLZHZ\WWVZLKHIPSProtocol on the line, the REDD mechanism has a lot P[`[OH[VTUPWV[LU[NV]LYUTLU[Z¯OH]L[VHJJLSLYH[L
YPKPUNVUP[(S[OV\NO^LHYLHWWYVHJOPUN[^V`LHYZ VYZSV^KV^UKLMVYLZ[H[PVUHZ[OL`SPRLMVYZ[YH[LNPJ
ZPUJL P[Z HJJLW[HUJL I` [OL <5-*** PU +LJLTILY W\YWVZLZ¹2HYZLU[`0UZOVY[T\JOVM[OL
2007, proponents and critics alike have doubts as to SP[LYH[\YL JVUJLYUPUN 9,++ WYLZ\TLZ UV[ VUS` [OH[
whether this market-based conservation mechanism, NV]LYUTLU[ZOH]LPU[LYUHSS`JVUZPZ[LU[WVZP[PVUZI\[
VM[LUOHPSLKHZH^PU^PU^PSSHJOPL]LP[ZZ[H[LKNVHSZ HSZV[OH[NV]LYUTLU[ZHUK[OLPYHZZVJPH[LKLJVUVTPLZ
/H]PUNILJVTLMHTPSPHY^P[O[OLZL\UJLY[HPU[PLZV]LY ^PSS X\PJRS` ZOPM[ IHZLK VU PU[LYUH[PVUHS KLJPZPVUZ
[OLJV\YZLVM[OLWYLJLKPUNHJHKLTPJ`LHY0ZWLU[[OL about reduced deforestation and carbon markets.
Z\TTLY VM JVUK\J[PUN YLZLHYJO PU 0UKVULZPH
one of the countries most fervently in support of the ;OLYLHSP[`VM[OPZZP[\H[PVUHZ2HYZLU[`»ZZ\I[SL
9,++ WYVNYHT HUK KLKPJH[LK [V ZLLPUN P[ YLHSPaLK ZHYJHZTJVU]L`ZPZMHYMYVTZ\JOH\UPÄLKPKLHS4`
;OYV\NO WHY[PJPWH[PVU PU H 9,++ JVUMLYLUJL experience – and many of my interviewees – estabPU[LY]PL^Z ^P[O THU` RL` 5.6 HUK NV]LYUTLU[ SPZOLK [OL .V]LYUTLU[ VM 0UKVULZPH [V IL H I`aHUVYNHUPaLYZ PU]VS]LK PU KL]LSVWPUN 9,++ WYVQLJ[Z [PULJVTWSL_P[`VMHNLUJPLZKLWHY[TLU[ZTPUPZ[YPLZ
HUK ]PZP[Z [V JVTT\UP[PLZ OVWPUN [V HKVW[ 9,++ ^VYRPUNNYV\WZHUKV[OLYZ\IKP]PZPVUZLHJO^P[OKPMHZ WHY[ VM [OLPY THUHNLTLU[ Z[YH[LN` 0 HKKYLZZLK H MLYLU[ HUK VM[LU JVUÅPJ[PUN NVHSZ HNLUKHZ WV^LYZ
U\TILY VM X\LZ[PVUZ YLSH[LK [V [OL KL]LSVWTLU[ and opinions. Interviews with several members of two
VM [OLZL WYVQLJ[Z PU 0UKVULZPH 6UL HZWLJ[ VM different departments revealed that even within these
T` PU]LZ[PNH[PVUZ [OH[ Z[YPRLZ TL HZ WHY[PJ\SHYS` HNLUJPLZ VWPUPVUZ KPMMLYLK ZPNUPÄJHU[S` HZ [V OV^
MHZJPUH[PUNHUKPUZVTL^H`Z\UL_WLJ[LK¶JVUJLYUZ REDD should be developed, who should have input in
[OLKLJPZPVUTHRPUNWYVJLZZHUK^OVZOV\SKILULÄ[
Katie Hawkes is from San Diego, California and studied from these activities. Moreover, when asked about the
Anthropology and Biology as an undergraduate KPMÄJ\S[PLZ[OH[[OL`VY[OLPYVYNHUPaH[PVUZOHKMHJLK
at the University of Pennsylvania. Her past, current WLYZVUHSS`5.6HUKNV]LYUTLU[Z[HRLOVSKLYZHSPRL
OPNOSPNO[LK KPMÄJ\S[PLZ HYPZPUN MYVT [OPZ JVTWSL_P[`
and future pursuits are fueled by a passion for the
PU[OL0UKVULZPHUWVSP[PJHSJVU[L_[;OLZLKPMÄJ\S[PLZ
tricky intersection between humans and the non- included the nebulous intricacies of land tenure clashuman world that shapes and is shaped by them. ZPÄJH[PVUZHUK\ZLZ"[OLOPLYHYJOPJHSZ`Z[LTVMVM[LU
90 Volume 29, 2010
Stakeholder Perceptions of One Another and REDD
JVU[YHKPJ[VY`SH^ZKLJYLLZHUKWLYTP[Z"[OLKPZWHYH[L
HNLUKHZHUKSHJRVMJVTT\UPJH[PVUIL[^LLUTPUPZ[YPLZ" HUK [OL SHJR VM JSLHY SLHKLYZOPW PU 0UKVULZPH»Z
WYVNYLZZ ^P[O YLK\JLK KLMVYLZ[H[PVU WYVQLJ[Z 6]LYall, these accounts are a testimony to the distinct lack
VM\UP[`^P[OPU[OL0UKVULZPHUNV]LYUTLU[HZ^LSSHZ
to the slow, tortuous process of policy development
and implementation. It seems imperative that these
KPZWHYP[PLZPUNVHSZHNLUKHZHUKJVTT\UPJH[PVUIL
addressed before REDD can move forward effectively.
5.6Z
(UV[OLYNYV\WVMZ[HRLOVSKLYZVM^OPJOWLYJLW[PVUZ [LUK [V IL T`VWPJ HYL 5.6Z ;OLPY YVSLZ
HYLVM[LUVIZJ\YLKVYISLUKLK[VNL[OLYI`KPZJ\ZZPVUZ
more focused on the development of frameworks for
9,++;OPZYLSH[P]LVIZJ\YP[`VM5.6WHY[PJPWH[PVU
PU9,++KL]LSVWTLU[KPZN\PZLZHTPUKIVNNSPUNKP]LYZP[`VMYVSLZNVHSZHUK\UKLYZ[HUKPUNZ^P[OPU[OPZ
NYV\W0PU[LY]PL^LKTLTILYZVMÄ]LIPNPU[LYUH[PVUHS5.6Z)05.6Z[^VUH[PVUHS0UKVULZPHU5.6Z
VUL PU[LYUH[PVUHS HPK VYNHUPaH[PVU VUL ZTHSSLY PU[LYUH[PVUHS 5.6 HUK VUL SVJHS 0UKVULZPHU 5.6
When asked to describe their role within REDD
WYVQLJ[KL]LSVWTLU[TLTILYZVM)05.6ZKLZJYPILK
[OLPY VYNHUPaH[PVUZ HZ ¸MHJPSP[H[VYZ¹ VY ¸JH[HS`Z[Z¹
4LTILYZ VM [OL HPK VYNHUPaH[PVU JOHYHJ[LYPaLK P[Z
YVSL ZVTL^OH[ SH\NOPUNS` HZ ¸JVTWSPJH[LK HUK I\YLH\JYH[PJ¹;OLUH[PVUHS5.6Z^LYLTVYLMVJ\ZLK
VUYLZLHYJOHUKHK]VJHJ`;OLSVJHS0UKVULZPHU5.6
^HZ SHYNLS` JVUJLYULK ^P[O [OL MH[L VM MVYLZ[Z ULHY
the community where its members lived and worked.
6]LYHYJOPUNNVHSZVM[OLZLVYNHUPaH[PVUZYHUNLKMYVT
NSVIHS[VSVJHSPUZJVWL;OLZLPUJS\KLKVIQLJ[P]LZ
SPRL PTWYV]PUN MVYLZ[ NV]LYUHUJL HUK THUHNLTLU[
PTWYV]PUN SVJHS SP]LSPOVVKZ JSPTH[L JOHUNL TP[PNHtion, community empowerment and advocacy, develVWPUNUH[PVUHSMYHTL^VYRZMVY9,++HUKTVYL1\Z[
^P[OPU[OLZWLJ[Y\TVM5.6Z^OVZLTLTILYZ0PU[LY]PL^LK0MV\UK[OVZLPU[LYLZ[LKPUTH_PTPaPUNWYVÄ[Z
from REDD as well as those who would never see
HKPTL"IV[OWYVWVULU[ZHUKVWWVULU[ZVMJHWHUK
[YHKLKL]LSVWPUNJV\U[Y`PU]VS]LTLU[PULTPZZPVUZ
YLK\J[PVUZYLNPTLZHUK9,++P[ZLSM"HUKHYHUNLVM
KLÄUP[PVUZL_WSHUH[PVUZHUK\UKLYZ[HUKPUNZVM9,++
5VY KPK HSS VM [OLZL Z[HRLOVSKLYZ ULJLZZHYPS` OH]L
HU` WHY[PJ\SHY ¸V[OLY 5.6¹ PU TPUK 6Z[LUZPIS`
[OL`ZPTWS`WLYJLP]LK[OLTZLS]LZ[VILPKLVSVNPJHSly or practically at odds with the majority of other
VYNHUPaH[PVUZ 0U[LYLZ[PUNS` PU T` L_WLYPLUJL UV[
VUL 5.6 Z[HRLOVSKLY ^HZ JVYYLJ[ PU [OPURPUN [OLPY
VYNHUPaH[PVU HSVUL PU P[Z WYHJ[PJLZ 6M JV\YZL [OPZ
L]PKLUJL PZ HULJKV[HS H[ ILZ[ PU ZHTWSPUN H OHUKM\S VM 5.6Z [VV ZTHSS [V THRL IYVHK NLULYHSPaH[PVUZ /V^L]LY P[ KVLZ YHPZL UV[L^VY[O` X\LZ[PVUZ
HZ [V ^O` 5.6 TLTILYZ MLLS [OL ULLK [V KLÄUL
[OLTZLS]LZ PU JVU[YHZ[ [V [OLPY WLLY VYNHUPaH[PVUZ
why these perceptions are often incorrect, and just
^OV [OL` JVUZPKLY [OLPY ¸WLLY¹ VYNHUPaH[PVUZ [V IL
Communities
5L_[VU[OLHNLUKH![OLZSPWWLY`JVUJLW[VMJVTT\UP[`6UVULOHUK[OLYLPZHKLLW\UKLYZ[HUKPUN
in non-REDD academic literature on Indonesia and
HSZVHTVUNTHU`Z[HRLOVSKLYZ[OH[JVTT\UP[PLZHYL
I`UVTLHUZHOVTVNLULV\ZNYV\W/V^L]LYZVTLhow in REDD discussions “communities” become
S\TWLK [VNL[OLY HUK JVU[YHZ[LK ^P[O NV]LYUTLU[Z
5.6ZHUKWYP]H[LJVYWVYH[PVUZ;OPZPZLZWLJPHSS`[Y\L
VM KPZJ\ZZPVUZ JVUJLYUPUN WVZZPISL ILULÄ[ZOHYPUN
ZJLUHYPVZ(ZVUL5.6TLTILYPSS\TPUH[LK¸JVTT\UP[` PZ H KPMÄJ\S[ [LYT ZVTL[PTLZ ILJH\ZL ZVTL
JVTT\UP[PLZ HYLU»[ [YHKP[PVUHS VY OH]LU»[ SP]LK PU H
WSHJL]LY`SVUN0[»ZKPMÄJ\S[[VKL[LYTPUL^OVYLHSS`
OHZJSHPT[VSHUKHUKOHYKMVYYPNO[Z[VILLZ[HISPZOLK¹
(Ardiansyah 2009). As this observation illuminates,
JVTT\UP[PLZ ^P[OPU 0UKVULZPH HYL KPZ[PUN\PZOLK UV[
VUS` I` KPMMLYPUN ZVJPVSPUN\PZ[PJ J\S[\YHS HUK NLVNYHWOPJHS OPZ[VYPLZ I\[ HSZV I` KPMMLYLUJLZ PU SP]LSPOVVKKPMMLYLU[OPZ[VYPLZVMPU[LYHJ[PUN^P[O[OLMVYLZ[
areas around them, and different land tenure duration
LZWLJPHSS` PU [OL JHZL VM [YHUZTPNYH[LK JVTT\UP[PLZ VY PUKP]PK\HSZ (JJVYKPUNS` THU` Z[HRLOVSKLYZ
HJRUV^SLKNL [OL MHJ[ [OH[ 9,++ WYVQLJ[Z T\Z[ IL
OPNOS`JVU[L_[\HSPaLKHUKZ\IQLJ[[V]HYPH[PVUIHZLK
on local histories and idiosyncrasies. Unfortunately,
^OLU P[ JVTLZ [V KL]LSVWPUN WVSPJ` MYHTL^VYRZ MVY
9,++WYVQLJ[KL]LSVWTLU[HUKILULÄ[ZOHYPUNKPZJ\ZZPVUZ[LUK[VSVZLZPNO[VM[OPZOL[LYVNLULP[`;OLZL
Å\J[\H[PUN [YLH[TLU[Z VM ¸JVTT\UP[`¹ YHPZL HU PTWVY[HU[X\LZ[PVU!JHU[OLULLKMVYPU[LYUH[PVUHSS`HUK
nationally effective policy frameworks be reconciled
^P[O [OL ULLK MVY SVJHSS` ÅL_PISL PTWSLTLU[H[PVU&
7LYOHWZ[OLTVZ[PU[LYLZ[PUNHZWLJ[VM5.6
perceptions revealed by my research concerns
5.6Z» PKLHZ HIV\[ VUL HUV[OLY 0U[YPN\PUNS` ZL]LY- REDD Perceptions
HSVM[OL5.6Z[HRLOVSKLYZ0PU[LY]PL^LKKLZJYPILK
Such a discussion of complex and often contheir roles and activities not only in terms of their own
VYNHUPaH[PVUZ I\[ HSZV PU JVU[YHZ[ [V ¸V[OLY 5.6Z¹ tradictory perceptions of REDD stakeholders can be
Tropical Resources Bulletin 91
Katie Hawkes
aptly concluded with an examination of how REDD
itself is perceived in this context. In my experience,
\UKLYZ[HUKPUNZ HUK L_WSHUH[PVUZ VM 9,++ IV[O KPMMLYLK MYVT WLYZVU [V WLYZVU HUK THUHNLK [V ZOHYL
ZVTL JVTTVUHSP[PLZ -VY L_HTWSL HS[OV\NO [OL
WYHJ[PJHS¸W\YWVZL¹VM9,++MVYVYNHUPaH[PVUZYHUNLK
MYVTOLSWPUN[VOHS[[OLL_WHUZPVUVMVPSWHST[VTP[PNH[PUN NSVIHS JSPTH[L JOHUNL HSTVZ[ HSS Z[HRLOVSKers cited REDD as one of many tools to achieve their
desired ends. Stakeholders likewise used a variety of
KLÄUP[PVUZHUKL_WSHUH[PVUZVM9,++PUJVU]LYZH[PVU
^P[OJVTT\UP[PLZVYSVJHSNV]LYUTLU[Z0UNLULYHS
[OV\NO [OLZL L_WSHUH[PVUZ ^LYL O`WLYZPTWSPÄLK
HUKOHK]HY`PUNLTWOHZLZVU[OLWVZZPISLTVUL[HY`
ILULÄ[Z PU]VS]LK :L]LYHS PU[LY]PL^LLZ KPZJ\ZZLK VY
PTWSPLKZPNUPÄJHU[KPMÄJ\S[PLZYLZ\S[PUNMYVTJVTT\UP[PLZHUKL]LUNV]LYUTLU[ZNHPUPUNZRL^LKL_WLJ[H[PVUZHIV\[9,++P[ZWVZZPISLILULÄ[ZHUKP[ZSPRLS` [PTL OVYPaVU /V^L]LY PU VYKLY [V OHUKSL [OLZL
KPSLTTHZ ZVTL VYNHUPaH[PVUZ WSHUULK [V LK\JH[L
WLVWSL HIV\[ 9,++ ^OPSL V[OLY VYNHUPaH[PVUZ H[[LTW[LKHJ[P]LS`[VH]VPKKPZJ\ZZPUNP[^P[OSVJHSWVWulations. In sum, not only do different REDD stakeOVSKLYNYV\WZOH]LKP]LYZLHUKZVTL[PTLZVWWVZPUN
perceptions of one another, there is not even a semblance of consensus in the ways that REDD is underZ[VVKL_WSHPULKVYOHUKSLKHTVUN[OLZLHNLUJPLZ
WLYZVUHSS`MYVT[OLZLPU]LZ[PNH[PVUZVUL0[OPURWHYticularly relevant to this discussion. As academics,
LU]PYVUTLU[HSPZ[Z JVUJLYULK JP[PaLUZ HUK TLTILYZ
VM H NSVIHS JVTTVUZ ^L PUL]P[HIS` L_WLYPLUJL YLWL[P[P]L OHYHUN\LZ VU [OL KYH^IHJRZ VM SHYNLZJHSL
H[[LTW[Z[VJOHUNL[OL^H`^LM\UJ[PVUHZHZVJPL[`
(Z^LSLHYUJYP[PX\LHUKOVWL[VTV]LPUHWVZP[P]L
direction, it is all too easy to mentally separate these
KPZJ\ZZPVUZPU[V<ZHUK;OLT>LZLL[OPZPU5.6Z
KLÄUPUN[OLTZLS]LZI`SVVRPUNKV^UVUVULHUV[OLY"
PU [OL KPZWHYP[PLZ IL[^LLU NV]LYUTLU[ HNLUJPLZ" PU
[OLZ[YPMLIL[^LLUWLVWSLNYV\WZHUKVYNHUPaH[PVUZ
that have never met face to face or even spoken. Even
I, impartial researcher that I am supposed to be, went
in to my research with a set of expectations about
the people I would meet, the information they would
take into account, the assumptions they would operate on, and the conclusions they would come to.
+PZJVUJLY[PUNS`¶I\[OHWWPS`¶0MV\UKT`ZLSMHSTVZ[
[V[HSS`^YVUN0UHSSJVU[L_[Z0MV\UKNVVKPUMVYTLK
WLVWSL^P[OHUV]LYÅV^PUNKLZPYL[VTHRLSP]LZIL[ter, to help the environment, to improve the world we
ZOHYL0^V\SKSPRL[VJVUJS\KLI`\YNPUNHSSHJHKLTPJZHSSLU]PYVUTLU[HSPZ[ZHSSJVUJLYULKJP[PaLUZHUK
TLTILYZVM[OPZNSVIHSJVTTVUZ[V[Y`[VZLL^OH[0
SLHYULK [OPZ Z\TTLY! ILOPUK L]LY` W\ISPJH[PVU L]LY`JYP[PJPaLKHJ[PVUL]LY`KPMÄJ\S[JOVPJL[OLYLHYL
WLVWSL ^OV HYL WYVIHIS` MYPLUKZ JVSSLHN\LZ HUK
>OH[[OLUOHZ[OPZL_WSVYH[PVUNHPULK\ZV[OLY [LHJOLYZ VM `V\Y MYPLUKZ JVSSLHN\LZ HUK [LHJOLYZ 0[
[OHUHU\UKLYZ[HUKHISLOLHKHJOL&0^V\SKHYN\L[OH[ JV\SKUL]LYO\Y[[VX\LZ[PVU`V\YHZZ\TW[PVUZHIV\[
PUHKKP[PVU[VWVZPUN[OLX\LZ[PVUZYHPZLKPU[OL[L_[ ^OV [OL` HYL HUK ^OH[ [OL` HYL [Y`PUN [V HJOPL]L
these observations on the diversity of perceptions of
9,++ HUK P[Z THPU Z[HRLOVSKLYZ NP]L \Z PTWVY[HU[ Acknowledgments
PUZPNO[Z PU[V [OL ^H` [OPZ Z`Z[LT T\Z[ IL HKKYLZZLK
PU [OL ULHY M\[\YL -VY L_HTWSL [OLZL YLÅLJ[PVUZ -VY [OLPY PUJYLKPISL HUK NLULYV\Z Z\WWVY[ VM [OPZ
speak to the paramount importance for stakeholders YLZLHYJO[OLH\[OVY^V\SKSPRL[V[OHUR;90[OL*OHYSLZ2
and academics alike to have a realistic view of the 2HV-\UK:\TTLY9LZLHYJO.YHU[H[@HSLHUK[OL:V\[Oother actors involved in their activities, both within east Asia Studies Department at Yale. She would also like
to send a heartfelt thank you to everyone who took the time
[OLPY V^U ¸NYV\W¹ HUK IL[^LLU [OLZL 7LYOHWZ HZ
to participate in this research, as well as all of the people
5.6Z» PUJVYYLJ[ HZZ\TW[PVUZ HIV\[ ¸V[OLY¹ 5.6Z PUZ[Y\TLU[HSPUOLSWPUN[VVYNHUPaL[OPZWYVQLJ[PUJS\KPUN
PTWS` [OPZ NVHS JV\SK IL HJOPL]LK I` H JVUJLY[LK +Y 4PJOHLS +V]L 0UKYP`V :\RTVUV :P[P 5PZZH 4HYKPHO
LMMVY[ [V^HYK NYLH[LY JVTT\UPJH[PVU HUK PUMVYTH- +Y1+H]PK5LPKLSHUKV[OLYZ
[PVU ZOHYPUN IL[^LLU Z[HRLOVSKLYZ ^P[OPU NYV\WZ
IL[^LLUNYV\WZHUKIL[^LLUKPMMLYLU[ZJHSLZVM[OL 9LMLYLUJLZ
ZHTLNYV\WLN)05.6ZHUKSVJHS5.6Z(UV[OLY
lesson we can draw from this text concerns the need (YKPHUZ`HO-P[YPHU 7LYZVUHSJVTT\UPJH[PVU
MVY JVUZLUZ\Z VU H KLÄUP[PVU VM 9,++ 6M JV\YZL
KPMMLYLU[HNLUJPLZ»NVHSZ^PSSHS^H`ZKPMMLY/V^L]LY 2HYZLU[`(;OLHYJOP[LJ[\YLVMWYVWVZLK9,++
[OL MYLX\LUJ` ^P[O ^OPJO WVW\SHY TPZJVUJLW[PVUZ ZJOLTLZHM[LY)HSP!MHJPUNJYP[PJHSJOVPJLZ
0U[LYUH[PVUHS-VYLZ[Y`9L]PL^!
OPUKLY WYVNYLZZ JV\SK IL YLK\JLK I` UH[PVUHSSL]LS
Z[HRLOVSKLYZ Z[HUKHYKPaPUN H ^H` VM JVTT\UPJH[PUN <5-***+LJPZPVU*7!9LK\JPUNLTPZZPVUZ
9,++TL[OVKVSVN`[VYLNPVUHSHUKSVJHSSL]LSHJ[VYZ MYVTKLMVYLZ[H[PVUPUKL]LSVWPUNJV\U[YPLZ!
Lastly, I would like to share a lesson that I learned
92 Volume 29, 2010
HWWYVHJOLZ[VZ[PT\SH[LHJ[PVUZPU<UP[LK5H[PVUZ
*SPTH[L*OHUNL*VUMLYLUJL)HSP0UKVULZPH>LI
Fostering Resilient Communities in DisasterProne and Climate-Change Threatened Tropical Coastal Areas: Views from West Sumatra, Indonesia
Kasey R. Jacobs, MESc 2010
Introduction
“Alam takambang jadi guru.” This was a
YLZWVUZL 0 YLJLP]LK MYVT H OPNOSL]LS VMÄJPHS PU [OL
Social Department of the West Sumatran provincial
NV]LYUTLU[VM0UKVULZPH[VHX\LZ[PVUHIV\[JSPTH[L
JOHUNLHUKYPZRTHUHNLTLU[5H[\YLPZV\Y[LHJOLY
;OPZWYV]LYIPZUV[^PKLZWYLHK[OYV\NOV\[0UKVULZPH
0[ PZ \UPX\L [V [OL 4PUHUNRHIH\ L[OUPJ NYV\W [OH[
YLZPKLZPU>LZ[:\TH[YH"HUL[OUPJNYV\WMHTV\ZMVY
their matrilineal social system, adherence to local
adat J\Z[VTZ HUK KLKPJH[PVU [V 0ZSHT 4` ÄLSK
research in the summer of 2009 in three coastal
KPZ[YPJ[Z VM >LZ[ :\TH[YH -PN PU[YVK\JLK TL [V
[OL J\S[\YL NV]LYUTLU[HS PUZ[P[\[PVUZ HUK [OLPY
^H`Z VM JVWPUN ^P[O MYLX\LU[ KPZHZ[LYZ ;OPZ YLNPVU
PZ WYVUL [V LHY[OX\HRLZ OHYTM\S ^H]L HIYHZPVU
SHUKZSPKLZ ÅVVKZ [`WOVVUZ HUK [Z\UHTPZ 0 ^LU[
to learn how they have responded to such risks as
^LSSHZOV^[OL`HYLKLHSPUN^P[OHUL^YPZRVU[OL
OVYPaVU¶JSPTH[LJOHUNL>LZ[:\TH[YHPZWSLU[PM\S
^P[O JVHZ[HS YLZV\YJLZ MYVT [OL THUNYV]L MVYLZ[Z
small islands, and coral reefs. The resources are used
HZMVVKMVYZ\IZPZ[LUJLHUKL_WVY[I\PSKPUNTH[LYPHSZ
livelihoods, and, to a lesser extent, tourism. Many
VM [OLZL LJVZ`Z[LTZ HYL ZOV^PUN ZLYPV\Z ZPNUZ VM
KLNYHKH[PVU;OLYHWPKHUKZSV^VUZL[OHaHYKZ[OH[
W\[ WYLZZ\YL VU [OLZL ZVJPVLJVSVNPJHS Z`Z[LTZ JHU
IL ]HZ[ HUK L_[YLTLS` KL[YPTLU[HS [V X\HSP[` VM SPML
As I learned, efforts to reduce risks extend far beyond
¸5H[\YL PZ 6\Y ;LHJOLY¹ HUK YHPZL X\LZ[PVUZ HIV\[
what researchers and practitioners should consider
“climate adaptation”.
6U :LW[LTILY [O H ZJHSL
LHY[OX\HRL[OH[[YPNNLYLKTHZZP]LSHUKZSPKLZPU>LZ[
Sumatra killed over 1,100 people and displaced
thousands more. This event revealed that communities
SP]PUN PU HYLHZ OPZ[VYPJHSS` IVTIHYKLK I` UH[\YHS
OHaHYKZHYLUV[ULJLZZHYPS`OHaHYKYLZPSPLU[HZVM`L[¶
a somewhat counterintuitive concept. I collected data
\ZPUNZ[Y\J[\YLKPU[LY]PL^Z^P[ONV]LYUTLU[VMÄJPHSZ
PU [OYLL >LZ[ :\TH[YHU HYLHZ Z\YYV\UKPUN [OLTLZ
VM JVHZ[HS NV]LYUHUJL JSPTH[L JOHUNL HKHW[H[PVU
(CCA), and disaster risk reduction (DRR). Adaptation
[V PUJYLHZLK JSPTH[L JOHUNL HUK ]HYPHIPSP[` ^PSS
YLX\PYLWVSPJ`PU[LY]LU[PVUZ`L[KL[HPSLKKPZJ\ZZPVUZ
VMOV^[VYLKLZPNUWVSPJPLZHUKPUZ[P[\[PVUZHYLYHYL
at the scales of national and sub-national policy and
WSHUUPUN +V]LYZ HUK /LaYP ;OL YL]LSH[PVUZ
from this sub-national study have implications for
practitioners and researchers that should be kept in
TPUKMVYKPZHZ[LYWYVULVYJSPTH[LJOHUNL[OYLH[LULK
JVHZ[HSYLNPVUZ!
‹ :VTL WYVNYHTZ HUK WVSPJPLZ HYL HSYLHK` PU
WSHJL HJYVZZ THU` NV]LYUTLU[ HNLUJPLZ HUK
PUZ[P[\[PVUZ [OV\NO VUS` VUL HNLUJ` PZ KLÄUPUN
[OLPY^VYRL_WSPJP[S`HZ¸JSPTH[LHKHW[H[PVU¹"
‹ Local, traditional ways and cultural institutions
L_PZ[[VJVWL^P[OOHaHYKZ"
‹ ;OLYL PZ V]LYSHW PU L_PZ[PUN Z[YH[LNPLZ HUK
PTWSLTLU[PUN HNLUJPLZ MVY JVHZ[HS NV]LYUHUJL
**(HUK+99"
‹ Points of entry into these communities may
not be the environmental departments despite
[OL Z[YVUN WVZZPIPSP[` [OH[ [OL` HYL ^OLYL TVZ[
KPZJ\ZZPVUZ HIV\[ JSPTH[L JOHUNL L_PZ[ 9H[OLY
[OLZVJPHSKLWHY[TLU[ZWSHUUPUNIVHYKZKPZHZ[LY
THUHNLTLU[ HNLUJPLZ ÄZOLYPLZTHYP[PTL HMMHPYZ
HNLUJPLZ HUK W\ISPJ ^VYRZ KLWHY[TLU[Z OH]L
L_PZ[PUN WYVNYHTZ HUK YLN\SH[PVUZ [OH[ HYN\HIS`
could be considered “adaptation”.
Kasey R. Jacobs hails from Long Island, NY. She
served as Program Coordinator for Citizens Campaign for the Environment before coming to Yale.
Kasey is also a presenter for The Climate Project and :[\K`:P[LHUK4L[OVKVSVN`
Vice-Chair of the CT Chapter of the Surfrider Foundation. After graduation Kasey relocated to Puerto 7HKHUNPZ[OLJHWP[HSJP[`VM>LZ[:\TH[YHHUK
Rico as a 2010 NOAA Coastal Management Fellow. ^P[OHSTVZ[VULTPSSPVUPUOHIP[HU[ZPZ[OL[OPYKSHYNLZ[
Tropical Resources Bulletin 93
Kasey Jacobs
Figure 1. The Island
of Sumatra. Three
research sites are
shown by the dots
and the line indicates
the end of the EEZ
zone for Indonesia.
Courtesy of the
Australian Center
for International
Agricultural Research.
adaptasi perubahan iklimJSPTH[LJOHUNLHKHW[H[PVU
^HZUV[HU\UKLYZ[VVKJVUJLW[I`TVZ[VMÄJPHSZ;OL
VUS` [^V HNLUJPLZ [OH[ \UKLYZ[VVK [OPZ [LYTPUVSVN`
were the Health Department and to a lesser extent
[OL -PZOLYPLZ +LWHY[TLU[ ;OL /LHS[O +LWHY[TLU[
OHZ WHY[ULYLK ^P[O [OL >VYSK /LHS[O 6YNHUPaH[PVU
[V ILNPU H MVYTHS **( [V YLK\JL [OL YPZRZ VM ]LJ[VY
IVYULHUK^H[LYIVYULKPZLHZLZSPRLTHSHYPHKLUN\L
KPHYYOLHHUKJOVSLYH;OL-PZOLYPLZ+LWHY[TLU[ZLU[
THU`YLWYLZLU[H[P]LZ[V[OL4H` >VYSK6JLHU
Conference in Manado, Indonesia just one month
WYPVY[VT`ÄLSKYLZLHYJOHUKMVYTVZ[[OPZ^HZ[OLÄYZ[
time they had encountered adaptation. In response
[V[OPZYLHSPaH[PVU0TVKPÄLKT`PU[LY]PL^X\LZ[PVUZ
HUKPUZ[LHKHZRLKHIV\[L_PZ[PUNWVSPJPLZZ[YH[LNPLZ
HUKPUZ[P[\[PVUZMVYTHSHUKPUMVYTHSMVYKLHSPUN^P[O
ZWLJPÄJJSPTH[LPTWHJ[Z+LZWP[L[OLSHJRVML_WVZ\YL
[V[OLPU[LYUH[PVUHSJSPTH[LYLNPTL»Z[LYTPUVSVN`MVY
JVWPUN^P[OJSPTH[LJOHUNLNV]LYUTLU[VMÄJPHSZH[HSS
levels were able to provide me with examples of ways
;OLYLHYLTHU`SL]LSZVMNV]LYUTLU[PU>LZ[ [OL` ^LYL KLHSPUN ^P[O PTWHJ[Z SPRL ^H]L HIYHZPVU
:\TH[YHHUKZ[Y\J[\YLKPU[LY]PL^Z^LYLJVUK\J[LK ZLHSL]LSYPZLJVYHSYLLMISLHJOPUNHUKKLNYHKH[PVU
PU HSS VM [OLT MYVT [OL *P[PLZ VM 7HKHUN 7HKHUN ÄZOTPNYH[PVUHUKPUJYLHZLKZ[VYTZ\YNLZ
7HYPHTHU RTUVY[OVM7HKHUNHUK7HPUHURT
Government-led Strategies
ZV\[OVM7HKHUN¶ZLL-PN
city in Indonesia. It is positioned directly on the coast
and partially positioned beneath sea level, and thus, is
SVJH[LKPUHaVULVML_[YLTLYPZR[VZL]LYLLHY[OX\HRLZ
WV[LU[PHSS`[YPNNLYLK[Z\UHTPZSHUKZSPKLZHUKÅVVKZ
HZ^LSSHZZLHSL]LSYPZLMYVTNSVIHS^HYTPUN4\JO
VM [OL [LJ[VUPJ OHaHYKZ HYL K\L [V [OL :\UKH (YJ
HU HJ[P]L JVU]LYNLU[ WSH[L IV\UKHY` SVJH[LK VMM
[OLJVHZ[VM7HKHUN;H\ILUI€JRL[HS ;OLZL
conditions combined with the fact that the province
OHZ RT2 VM THYPUL [LYYP[VY` PUJS\KPUN [OL
,_JS\ZP]L ,JVUVTPJ AVUL ^P[O RT ZOVYL SPUL
MYVT 7HZHTHU )HYH[ [V 7LZPZPY :LSH[HU 9LNLUJ` HUK
\W [V RT ^OLU PUJS\KPUN [OL +PZ[YPJ[ VM [OL
Mentawai Islands, make West Sumatra an ideal study
ZP[L MVY YLZLHYJOPUN [OL [OLTLZ VM **( +99 HUK
JVHZ[HS NV]LYUHUJL (KKP[PVUHSS` 0 JVTIPULK T`
summer research with an internship at Mercy Corps
0UKVULZPHSLHYUPUNÄYZ[OHUKOV^JVTT\UP[`IHZLK
+99^VYRZVU[OLNYV\UK
Field Interviews
0[^HZUV[SVUNHM[LYT`ZLJVUKPU[LY]PL^[OH[
0YLHSPaLKHZRPUNHIV\[¸JSPTH[LJOHUNLHKHW[H[PVU¹
^V\SKUV[WYV]PKL[OLKL[HPSLKKH[H0^HZOVWPUN[V
JVSSLJ[;OYV\NO T` [YHUZSH[VY P[ ILJHTL JSLHY [OH[
94 Volume 29, 2010
;OPZUL^PU[LY]PL^Z[YH[LN`\UJV]LYLKZ\YWYPZLZ
-VYPUZ[HUJL[OL:VJPHS+LWHY[TLU[Z^LYL]LY`HJ[P]L
PU YLK\JPUN JSPTH[L YPZRZ ^OPSL [OL ,U]PYVUTLU[HS
+LWHY[TLU[Z^LYL]LY`PUHJ[P]L(T`YPHKVMZ[YH[LNPLZ
L_PZ[PU>LZ[:\TH[YHMVYKLHSPUN^P[O[OLZLPTWHJ[Z
HUKMVYWYLWHYPUNHZPTWHJ[Z^VYZLUPU[OLM\[\YLZLL
Fostering Resilient Communities in Disaster-Prone and Climate-Change Threatened Tropical Coastal Areas
Figure 2. Government
structure of West
Sumatra and photo
of Wali Nagari office
for Ulakan (Leader of
Village).
;HISL;OPZYL]LSH[PVUOHZSLKTL[VX\LZ[PVU^OLU
Z[YH[LNPLZ VY WSHUZ MVY KLHSPUN ^P[O LU]PYVUTLU[HS
JOHUNLZ JHU IL JVUZPKLYLK ¸HKHW[H[PVU¹ HUK ^OLU
they cannot. Is it only adaptation if an explicitly
KLÄULKWYVNYHT^P[O[OLNVHSVMadaptasi is laid out
VY JHU [YHKP[PVUHS HUK VSK ¸JVWPUN TLJOHUPZTZ¹ VY
^H`Z[VYLK\JLYPZRILJVUZPKLYLKHKHW[H[PVU&
Another surprise in my research was the clear
SPURHNLIL[^LLUPUZ[P[\[PVUZWVSPJPLZHUKZ[YH[LNPLZMVY
JVHZ[HSNV]LYUHUJLJSPTH[LHKHW[H[PVUHUKKPZHZ[LY
THUHNLTLU[ 0U[LYUH[PVUHS KPZJV\YZL ^V\SK Z\NNLZ[
[OH[ [OPZ OHZ UV[ ILLU OHWWLUPUN VU[OLNYV\UK
yet but in West Sumatra many of the departments
^VYRPUN VU JVHZ[HS NV]LYUHUJL HUK HKHW[H[PVU HYL
HSZV PU JOHYNL VM H MHJL[ VM KPZHZ[LY THUHNLTLU[(
comparative study would be needed to determine if
[OPZ^HZ\UPX\L[V>LZ[:\TH[YHHUKVY0UKVULZPH0U
all my interviews I only asked about climate impacts
like the ones listed above with the anticipation I would
SLHYU HIV\[ KPZHZ[LY THUHNLTLU[ PU KL[HPS [OYV\NO
my internship, yet in most cases the informant would
L]LU[\HSS` KPZJ\ZZ KPZHZ[LY THUHNLTLU[ WSHUZ HZ H
YLZWVUZL[VKLHSPUN^P[O[OVZLPTWHJ[Z-VYZVTL[OPZ
JV\SKOH]LILLU[OLYLZ\S[VM[OLPUMVYTHU[RUV^PUN
my status as an intern with Mercy Corps Indonesia
but in most cases, the reasons can be attributed to the
V]LYSHWPUZ[YH[LNPLZ
Traditional Strategies
5V[ HSS [OL PUZ[P[\[PVUZ 0 YLZLHYJOLK ^LYL
NV]LYUTLU[SLK -VY PUZ[HUJL H SVJHS [YHKP[PVUHS
PUZ[P[\[PVU [OH[ TLYNLZ adat (or customary law) and
YLSPNPVU 0ZSHT 2(532((4 [LHJOLZ JVTT\UP[`
TLTILYZ[VSLHYUMYVTUH[\YLZ\JOHZSLHYUPUNMYVT
Z[VYT JSV\KZ YHPU Z[HYZ L[J;OPZ PZ L]LU [H\NO[ PU
schools for secondary students. These institutions
RLLW [OL TLTVY` VM [OL [YHKP[PVUHS UH[\YL X\V[L
TLU[PVULKLHYSPLYMVY[OL4PUHUNRHIH\J\S[\YLAlam
takambag jadi guru, which is also linked to Islamic
values. Two interviews stand out for how traditional
PUZ[P[\[PVUZ YLZWVUK [V JSPTH[L JOHUNL HSVUN [OL
SPULZVM[OPZWYV]LYI;OLOLHKVMHOHTSL[PU7HKHUN
7HYPHTHUHÄZOLYTHUI`[YHKL[VSKTL[OL^H`Z[OL`
use the stars to anticipate when a tropical storm or
J`JSVUL PZ JVTPUN HUK OV^ [V KLHS ^P[O JOHUNPUN
ÄZO WVW\SH[PVUZ /L ZHPK [OH[ [OLPY WYLKPJ[PVUZ [LUK
[V IL TVYL HJJ\YH[L [OHU )4. [OL 4L[LVYVSVNPJHS
HUK .LVWO`ZPJZ (NLUJ` HZ [OL ÄZOLYZ VIZLY]L [OL
LU]PYVUTLU[KPYLJ[S`[OV\NOSH[LY[OLPUMVYTHU[ZKPK
HKTP[[OH[ZVTLYLJLU[L]LU[ZPUJH\NO[[OLT
VMMN\HYKHUK[OL`^LYLUV[WYLWHYLK-P]L[`WLZVM
Z[HYZSL[[OLJVTT\UP[PLZRUV^PMHZ[VYTPZJVTPUN
HUKPMP[^PSSILNVVKÄZOPUNVYUV[;OL/HTSL[SLHKLY
ZLLTLK JVUÄKHU[ [OLPY [YHKP[PVUHS ^H`Z ^V\SK IL
Z\MÄJPLU[MVY[OLM\[\YL
Tropical Resources Bulletin 95
Kasey Jacobs
(S[LYUH[P]LSP]LSPOVVKZHYLHZ[YH[LN`[`WL[OH[
JYVZZLK [OL IV\UKHYPLZ IL[^LLU [YHKP[PVUHS JVWPUN
Z[YH[LNPLZ HUK MVYTHS WYVNYHTZ I` HNLUJPLZ ;OL
NV]LYUTLU[JVUZ[Y\J[ZHY[PÄJPHSWVUKZMVYHX\HJ\S[\YL
[V IL \ZLK I` ÄZOLYTLU ^OLU [OL WVW\SH[PVU VM
ÄZO KLJYLHZLZ K\L [V JSPTH[L ]HYPHIPSP[` VY YLLM
KLNYHKH[PVUHUKNP]LZ[OLYLZV\YJLZHUKRUV^SLKNL
ULJLZZHY`[VJ\S[P]H[LÄZOHUKZLH^LLKPU[OLWVUKZ
;YHKP[PVUHSS`ÄZOLYTLUHYLHSZVYPJLWHKK`MHYTLYZ[V
H\NTLU[PUJVTLZ^OLUÄZOWVW\SH[PVUZPU[OLVJLHU
are low. They call it tani layan when a person does both
ÄZOPUN HUK MHYTPUN;OPZ TL[OVK PZ \ZLK ZLHZVUHSS`
HZ[OL`OH]LSLHYULKMYVTUH[\YL[OLÄZOPUNZLHZVUZ
I` TVU[O HUK I` J\YYLU[Z -VY PUZ[HUJL [OL ¸:V\[O
:LHZVU¹PZ^OLU^H[LYÅV^ZZV\[ONP]PUN[OL)\UNR\S\
7YV]PUJLHZTHSSÄZOJH[JO0U¸>LZ[:LHZVU¹^OLU
^H[LY ÅV^Z MYVT LHZ[ [V ^LZ[ [OL ÄZO JH[JO I` [OL
Mentawai Islands is less, and in the “East Season”
ÄZOPUN[LUTPSLZMYVT[OLILHJOOHZHKLJYLHZLKÄZO
JH[JO -PZOLYTLU JHU HU[PJPWH[L [OLZL ZLHZVUZ HUK
^OLU ULJLZZHY` H\NTLU[ [OLPY PUJVTLZ ^P[O YPJL
MHYTPUN(S[LYUH[P]LSP]LSPOVVKZHYLHJVWPUNZ[YH[LN`
I` NV]LYUTLU[ HUK [OL` HYL HU[PJPWH[PUN OH]PUN [V
WYV]PKL TVYL VW[PVUZ MVY JP[PaLUZ HZ [PTL NVLZ VU
6ULPUMVYTHU[[VSKTL[OH[PU HUL^
ÄZO WVW\SH[PVU Z^HYTLK [OL HYLHZ ^P[OPU TPSLZ
of the coast of West Sumatra and remained there for
VULHUKHOHSM`LHYZ;OPZÄZOOHKUL]LYILMVYLILLU
ZLLUOLYL;OPZHSPLUÄZO^HZK\IILK[OL¸JYPZPZÄZO¹
ILJH\ZLP[JHTLK\YPUN[OL(ZPHU-PUHUJPHS*YPZPZ(Z
0JV\SKUV[ÄUK[OPZVKKVJJ\YYLUJLPU[OLSP[LYH[\YL
[OL VUS` KLZJYPW[PVU 0 OH]L VM [OL ÄZO PZ ¸SVVRZ SPRL
sardine but different in terms of the scales”. When I
asked the hamlet leader if other climate conditions
^LYL VMM [OH[ `LHY OL ZHPK L]LY`[OPUN ^HZ [OL ZHTL
Table 1. Strategies identified in government institutions and traditional institutions
for coastal governance, climate change adaptation, and disaster management.
Agency/Institution
:[YH[LN`7VSPJ`
Coastal Ecosystem
Management
Climate Change
Adaptation
Disaster Management
-PZOLYPLZHUK4HYP[PTL(Mfairs Department
*69,4HWJVYHSYLLM
restoration and protec[PVUWYVNYHT
©
©
©
-PZOLYPLZHUK:VJPHS+LWHY[ments
Alternative Livelihoods
HX\HJ\S[\YL
©
©
©
-PZOLYPLZ0UMYHZ[Y\J[\YL
and Public Works Departments
Home Construction
LHY[OX\HRLYLZPZ[HU[
homes on stilts rumah
panggung)
©
©
-PZOLYPLZHUK,U]PYVUTLU[HS 4HUNYV]L7SHU[PUN
7YV[LJ[PVU(NLUJ`
©
©
©
-PZOLYPLZHUK4L[LVYVSVNPJHS(NLUJPLZ
Climate Variability
0UMVYTH[PVU-VYLJHZ[PUN
©
©
©
-PZOLYPLZ
Turtle Conservation on
offshore islands
©
©
-PZOLYPLZ
-PZOLY,K\JH[PVUHIV\[
/HaHYKZ
©
©
©
-PZOLYPLZ
Coral Reef transplantPUN
©
©
©YLK\JLZ^H]L
abrasion and tsunami
impacts)
7HYSPHTLU[-PZOLYPLZ7\ISPJ Hard Structures (jetties,
>VYRZ+PZ[YPJ[6MÄJLZ
NYVPUZZLH^HSSZ
7SHUUPUN+LWHY[TLU[>H[LY
Source Department
©
©
©
-PZOLYPLZ,U]PYVUTLU[HS
Cemara Laut (Pine
+LWHY[TLU[-VYLZ[Y`:VJPHS ZWLJPLZ7SHU[PUNVU
Department
the Beach
©
©
©
96 Volume 29, 2010
Fostering Resilient Communities in Disaster-Prone and Climate-Change Threatened Tropical Coastal Areas
(Table 1. continued)
Agency/Institution
:[YH[LN`7VSPJ`
Coastal Ecosystem
Management
-VYLZ[Y`
/PNOSHUK-VYLZ[*VUZLY]H[PVU
©YLK\JLZZLKPTLU[
impacts to reefs from
the slopes)
Social Department
7VZ[:[VYT(ZZPZ[HUJL4VUL`-VVK
and primary needs, Boats, nets)
©
+PZ[YPJ[.V]LYUTLU[:VJPHS
+LWHY[TLU[5.6Z
/HaHYK4HWWPUNHUK9PZR(UHS`ZPZ
©
©
©
=PSSHNLHUK+PZ[YPJ[SL]LSNV]LYUTLU[32((44PUHUNRHbau Council of Traditional
3H^Z2(5Z[H[L0ZSHTPJ
culture institution)
5H[\YLPZ`V\Y[LHJOLY¶LK\JH[PVU
PUZJOVVSZHUKJ\S[\YHSS`[OYV\NO[OL
community
©
©
©
:(;2693(2KPZZVS]LKPU
(\N\Z[ MVYUL^KPZHZ[LY
prevention board, BPD)
0U[LYNV]LYUTLU[HSJVVYKPUH[PVU
-PZOLYPLZHUK4HYP[PTL(MMHPYZ
*YLH[PVUVM7VR4HZ^HZ-PZOLYPLZ
Society to collect and distribute
information and after an event liaise
IL[^LLUÄZOLYZHUKNV]LYUTLU[
©
-PZOLYPLZ^P[OHZZPZ[HUJLVM
7VR4HZ^HZ3VJHS-PZOLY
5L[^VYRJYLH[LKI`-PZOLYPLZ
Department)
3PTP[\ZLVMZTHSSUL[[PUNVY[OL
baganÄZOJHW[\YLTL[OVK\ZLI`
YLZ[YPJ[PUNUL[KPZ[YPI\[PVU[VNV]LYUment
©
-VYLZ[Y`HUK(NYPJ\S[\YL
Department
;LYYHJPUNMVYZOPM[PUNJ\S[P]H[PVU
to prevent landslides and soil erosion (makes way via rivers to the
ZLHZTV[OLYPUNJVYHSYLLMZ7PSV[
WYVNYHTZHUKW\ISPJH^HYLULZZ
JHTWHPNU
©
except the water was muddy, not the usually blueNYLLUJVSVY5V]LTILY ^HZTHYRLKI`H]LY`
Z[YVUN \W^LSSPUN L]LU[ [OH[ L_[LUKLK MYVT ZV\[O
1H]H [V [OL LX\H[VY HYV\UK TPK >LZ[ :\TH[YH HUK
SHZ[LK \U[PS TPK /LUKPHY[P L[ HS ;OPZ
\W^LSSPUN L]LU[ ^HZ SPURLK [V [OL ,S 5P|V:V\[OLYU
6ZJPSSH[PVU,5:6HUKJV\SKIL[OLJH\ZLVMHUL^
ÄZO ILPUN MV\UK HI\UKHU[S` PU [OL HYLH (IUVYTHS
\W^LSSPUNL]LU[ZPUJYLHZL[OLWLSHNPJÄZOHI\UKHUJL
PU \W^LSSPUN YLNPVUZ :VTL YLZLHYJOLYZ Z\NNLZ[ [OH[
^P[OJSPTH[LJOHUNL[OLYL^PSSILTVYLMYLX\LU[HUK
WLYOHWZPU[LUZL,5:6L]LU[ZPU[OLM\[\YL0UKVULZPH
[`WPJHSS`L_WLYPLUJLZKYV\NO[ZK\YPUN,S5P|VL]LU[Z
HUK [OL VUL PU JH\ZLK THZZP]L JYVW
MHPS\YLZZ\NNLZ[PUN[OH[PM[OLWYLKPJ[LK[YLUKJVU[PU\LZ
tani layan^V\SKZ^P[JO[VÄZOPUNPUZ[LHKVMMHYTPUN
4` KH[H VU L_PZ[PUN J\Z[VTHY` PUZ[P[\[PVUZ
MYVT [OL JVHZ[HS 4PUHUNRHIH\ KVLZ IYPUN PU[V
X\LZ[PVU ^OL[OLY [YHKP[PVUHS JVWPUN TLJOHUPZTZ
HSVUL^V\SKILZ\MÄJPLU[MVYKLHSPUN^P[OTVYLPU[LUZL
Climate Change
Adaptation
Disaster
Management
©
©
©
©
©
©
JSPTH[LPTWHJ[ZSPRLZ\Z[HPULKZLHSL]LSYPZLZ[YVUNLY
Z[VYT Z\YNLZ HUK ÄZO TPNYH[PVUZ /V^L]LY [OLZL
Z[YH[LNPLZJV\SKILPU]LZ[PNH[LKM\Y[OLY\ZPUNTVKLYU
science and combined with policy interventions and
Z[YH[LNPLZSPRL[OVZLPU;HISLMVYHZZPZ[PUN^P[OM\[\YL
HKHW[H[PVUZ[VHU[OYVWVNLUPJJSPTH[LJOHUNL
Conclusions
This research revealed that West Sumatra is
YLZWVUKPUN [V JSPTH[L JOHUNL L]LU [OV\NO [OL
[LYTPUVSVN` ¸HKHW[H[PVU¹ PZ UV[ \ZLK I` TVZ[
HNLUJPLZ VY NV]LYUTLU[ VMÄJPHSZ -\Y[OLYTVYL [OL
ZHTL PUZ[P[\[PVUZ YLZWVUKPUN [V JSPTH[L JOHUNL HYL
HSZV [OVZL ^VYRPUN JSVZLS` VU JVHZ[HS NV]LYUHUJL
HUKKPZHZ[LYTHUHNLTLU[HMÄYTPUN[OLPU[LYUH[PVUHS
JHSS MVY SPURPUN [OLZL ÄLSKZ HUK L_WHUKPUN P[ [V
HSZV \ZL JVHZ[HS NV]LYUHUJL HZ H WVZZPISL WVPU[ VM
LU[Y` )LJH\ZL MVYTHS NV]LYUTLU[ PUZ[P[\[PVUZ HUK
[YHKP[PVUHSPUZ[P[\[PVUZ^LYLMV\UK[VILYLZWVUKPUN
WYHJ[P[PVULYZ HUK NV]LYUTLU[Z ^VYRPUN VU LMMVY[Z
Tropical Resources Bulletin 97
Kasey Jacobs
Photo 1. Bungus Bay in West Sumatra. Fishermen pulling in nets at sunset for ikan tri.
Photo by Kasey Jacobs.
[V I\PSK JVHZ[HS YLZPSPLUJL TPNO[ ÄYZ[ ÄUK V\[ ^OH[
JVWPUN Z[YH[LNPLZ HUK WVSPJPLZ HYL HSYLHK` PU WSHJL
PU H [HYNL[ HYLH ILMVYL ILNPUUPUN HU HKHW[H[PVU
WYVNYHT9LZV\YJLZJV\SKILW\[[V^HYKZLUOHUJPUN
VY L_WHUKPUN J\YYLU[ WVSPJPLZ HUK WYVNYHTZ PUZ[LHK
VM JYLH[PUN UL^ ¸HKHW[H[PVU¹ WYVNYHTZ [OH[ JV\SK
V]LYSHW^P[OL_PZ[PUNLMMVY[ZVYJVUÅPJ[^P[O[YHKP[PVUHS
practices.
Acknowledgements
;OPZZ[\K`^HZTHKLWVZZPISLI`NYHU[ZMYVT[OL;YVWPJHS 9LZV\YJLZ 0UZ[P[\[L H[@HSL;OL *OHYSLZ 2 2HV -\UK
@HSL *V\UJPS VU :V\[OLHZ[ (ZPHU :[\KPLZ HUK [OL -,:
.SVIHSPaH[PVU0U[LYUZOPWZHUK9LZLHYJO-\UK0^V\SKSPRL
to thank my advisor, Dr. Benjamin Cashore, for his exciteTLU[ J\YPVZP[` HUK NYLH[ HK]PJL VU T` YLZLHYJO KLZPNU
Data collection and informant contact would not have been
WVZZPISL^P[OV\[[OLHZZPZ[HUJLVM9LKPHU-PRYP,UKHUN;YPZUH HUK 0X\HS 9HTH +PWH`HUH 0 ^V\SK SPRL [V HJRUV^SLKNL[OLPUZ[P[\[PVUHSZ\WWVY[MYVT4LYJ`*VYWZ0UKVULZPH
HUKLKP[VYPHSZ\WWVY[MYVT5H[OHUPLS+LSHÄLSK+Y4PJOHLS
Dove, and Heidi Jump.
98 Volume 29, 2010
9LMLYLUJLZ
+V]LYZ:9HUK((/LaYP0UZ[P[\[PVUZHUKWVSPJ`
WYVJLZZLZ![OLTLHUZ[V[OLLUKVMHKHW[H[PVU >PSL`0U[LYKPZJPWSPUHY`9L]PL^Z!*SPTH[L*OHUNL
/LUKPHY[P5/:PLNLSHUK;6OKL0U]LZ[PNH[PVU
of different coastal processes in Indonesian waters
\ZPUN:LH>P-:KH[H+LLW:LH9LZLHYJO00! ;H\ILUI€JR/5.VZLILYN5:L[PHKP.3pTTLS
-4VKLY46JaPWRH/2S…WMLS9>HOS;
:JOS\YTHUU.:[Y\Ua1)PYRTHUU25HNLS-
:PLNLY[-3LOTHUU:+LJO(.YLZZHUK92SLPU
2009. “Last-Mile” preparation for a potential
disaster – interdisciplinary approach towards
[Z\UHTPLHYS`^HYUPUNHUKHUL]HJ\H[PVU
PUMVYTH[PVUZ`Z[LTMVY[OLJVHZ[HSJP[`VM7HKHUN
0UKVULZPH5H[/HaHYKZ,HY[O:`Z:JP ! Announcing the 2010-2011 Fellows
>LHYLWSLHZLK[VHUUV\UJL[OLYLJPWPLU[ZVM;90»ZHUU\HS,UKV^LK-LSSV^ZOPWZMVY[OLZ\TTLYVM
;OLZL-LSSV^ZOPWZHYLKLZPNULK[VZ\WWVY[4HZ[LY»ZHUK+VJ[VYHSZ[\KLU[Z^OVJVUK\J[PUKLWLUKLU[
YLZLHYJOPU[YVWPJHSJV\U[YPLZ;OPZ`LHYZ[\KLU[ZYLJLP]LK;90-LSSV^ZOPWZMVYZ\TTLYYLZLHYJO;OL
YLJPWPLU[ZHUK[OLPYZ[\K`ZP[LZHYL!
Adenike Adeyeye5PNLYPH
Agha Ali Akram, Pakistan
3\JPLU)V\MMHYK, Peru
Kyra Busch, Panama
Catherine Anne Claus6RPUH^H1HWHU
.\PSOLYTL+L7H\SH)YHaPS
.HIYPLSH+VYPH, Colombia
7HTLSH3HIPI,N`W[
,SPaH3P[[SL, Puerto Rico
Bandana Malik, India
>LP_PU5N, Indonesia
Pragyajan Rai5LWHSHUK0UKPH
(SHYR:H_LUH, India
2HY[PRL`H:PUNO, India
9HU:VUN, Hawaii
0HU:[HYY)YHaPS
.YHU[;VSSL`, Panama
Juan Pablo Vallejo, Caribbean
:[LWOLU>VVK:LULNHSHUK.\PULH
Manuel Mavila, Peru
>LHYLHSZV]LY`WSLHZLK[VHUUV\UJL[OLYLJPWPLU[ZVM[OLHUU\HS*VTW[VU-LSSV^ZOPWZ
M\UKLKI`HNYHU[[V;90;OL*VTW[VU-V\UKH[PVU»Z7YVNYHTHPTZ[VJVU[YPI\[L[V[OLJHWHJP[`I\PSKPUN
VM`V\UNWYVMLZZPVUHSZMYVT*LU[YHSHUK:V\[O(TLYPJHHUK:\I:HOHYHU(MYPJH[VPTWYV]LWVSPJPLZHUK
WYVNYHTZYLSH[PUN[VWLHJLWVW\SH[PVUZ\Z[HPUHISLKL]LSVWTLU[HUK[OLLU]PYVUTLU[PU[OLPYOVTL
JV\U[YPLZ;OPZ`LHY»ZMV\YYLJPWPLU[ZHUK[OLPYJV\U[YPLZHYL!
.LVMYL`4^HUQLSH;HUaHUPH
Ana Karla Perea, Mexico
.PHUJHYSV9HZJOPV7LY\HUK.OHUH
Pablo Reed, Ecuador
Tropical Resources Bulletin 99