This research has been undertaken to investigate the effects of participatory forestry on livelihood of ethnic people and conservation of forest resources by drawing data and information from Upland Settlement Project (USP) of the Chittagong Hill Tracts (CHT) and from forest villages of Sylhet forest division of Bangladesh. Two broad study sites- the CHT and Sylhet forest division- are dominated by forest-dependent ethnic communities.

Chapter One: Introduction

Here I have tried to correlate, briefly, the relationship between participatory forestry and sustainable rural livelihood and its application in Bangladesh context. In order to do so, at first, the issues that set off the emergence of participatory forestry as a government forest management scheme, especially in developing countries, have been highlighted and its viewpoint have been extended to Bangladesh forestry practices. Two recent participatory forestry interventions, the USP in the CHT and Khasia forest villages in Sylhet forest division, have been selected based on the distribution of ethnic people and their dependency on forest resources. By reviewing available earlier studies in two sites, I have formulated three research problems for this study:　i] to what extent the aforesaid participatory forestry programs improve the livelihood of the landless ethnic people, ii] what are the linkages between livelihood strategies and forest conservation, and iii] what are the comparative outcomes of the livelihood and forest conservation in two sites.

Chapter Two: Research Framework and Objectives

In this chapter, I have extensively reviewed literatures for the construction of research framework. It starts with reviewing the emergence of participatory forestry in developing countries, factors that affect the success or failure of participatory forestry and role on livelihood of the forest-dependent people. Then I have discussed about the concept of livelihood and sustainable livelihood (SL) framework. In light of SL framework, different livelihood capitals are explained. However, concept of social capital has been elaborated as it is considered as the most important capital for livelihood improvement and resource conservation in forested remote areas. Governance issues as well as issues of local forest management and agroforestry technology have also been elaborated. Finally, based on these reviews, I have formulated a research framework, which consists of four main referential concepts such as livelihood, participatory forestry, enabling environment, formation of livelihood assets, and local forest use and management.

Then I set four research objectives such as a] clarification of the present state of livelihood of participants in two studied participatory forestry program sites; b] ascertaining the enabling factors that influence the success and/or failure of the programs in terms of livelihood outcomes and forest conservation; c] identification and explanation of the factors that influence the practice and sustainability of customary forestry practices- shifting cultivation- in the study areas; and d] to have a cross-case analysis to explore the differences, and their reasons, in livelihood outcomes and forest conservation strategies in two study sites, based on research problems identified in first chapter and research framework. At the end, I discuss the methods of study in short.

In both study sites, I have conducted extensive as well as intensive studies by sampling large and small number of villages, respectively. Studies in the USP revealed that planters (project beneficiaries) still practice their traditional forestry practices, shifting cultivation (jhum). Therefore, to elucidate the dependency of planters on jhum, I have also conducted an in-depth study on customary forestry practices in the CHT.

Chapter Three:　Agroforestry for Upland Community Development in the Chittagong Hill Tracts Region: based on an extensive study

This chapter, an extensive study, explores the effects of small-scale agroforestry on upland community development in the Chittagong Hill Tracts, Bangladesh drawing data, and information from 15 USP villages. More specifically, the study clarifies the merits and demerits of different agroforestry systems as perceived by planters, their impacts on the rural economy and the environment, farmer's attitudes towards the adoption of agroforestry and impacts of various government policies.

The results indicated that the agroforestry interventions have in fact increased planters' income through employment and the selling of farm products, as well as by improving the ecological conditions of these areas through reduction of soil erosion, increasing tree coverage, and maintaining soil fertility. The Adoption of different agroforestry systems was governed mainly by the planters' interest in following these techniques, their ability to cultivate the land in the prescribed manner, and the market demand for their products. The major obstacles that prevented increased agroforestry improvements included lack of confidence in new land use systems, inappropriate project design (e.g. top-down innovation approach) and policy issues regarding land tenure. Recommendations are being proposed to strengthen social capital in local organizations to enhance the livelihoods of the upland communities.

Chapter Four: Participatory Forestry Program in the Chittagong Hill Tracts Region: present situation and impacts on rural livelihood

By taking two sample villages (one relatively success and another relatively failed village) as case study this intensive research examine the present conditions of the USP in terms of progress towards achieving targeted objectives and its impacts on livelihoods of the planters, both qualitatively and quantitatively.

Albeit some researchers assert USP as a successful development intervention, I found both success and failure stories in achieving program's objectives. Because of frequent and regular monitoring, extensive motivation and planters' awareness about the benefits of project, targeted objectives are adequately achieved in successful village. On the other hand, incapability of project manager and staffs in identifying planters' needs, their cultural problems, providing appropriate training for agroforestry development, raising awareness of perceived benefits from rubber created the conditions that thwart achievement of objectives in failed village. Several local governance issues such as equity, accountability and transparency, responsiveness and information flow affect attainment of project goals and hence livelihoods of planters too. Despite these divergent project conditions, planters of both villages feel moderately happy being a participant and believe that the USP has a big impact on their livelihoods. Living together in a village and interaction with project staffs facilitate to build up social capital that support planters not only in getting help from neighbors but also capturing social development services by expanding networks with formal agencies such as NGOs, local union councils and political alliance. Several policy recommendations such as involvement of different stakeholders, creation of the sense of ownership of project among planters, collective management, provision for ensuring accountability, transparency, and equity of different stakeholders in project activities, etc. however, are suggested that ensure effective participation of local people for successful and sustainable outcomes of the project.

Chapter Five: Shifting Cultivation in the Chittagong Hill Tracts Region: sustainability, rural livelihood and policy issues

Both extensive and intensive studies in the USP revealed that planters still practice their traditional farming system, jhum, even within the project's land, which inspired me to conduct an in-depth study on jhum in the CHT. Despite the trend of dwindling productivity, tribal people of the Chittagong Hill Tracts (CHT) still practice shifting cultivation as a dominant hill farming system to support their livelihood.

This research examined how far the production from present jhum supports the tribal people's livelihood and what alternative livelihood strategies they have adopted for subsistence by using data on input/output and income/expenditures, and analyzing current government policies. The findings showed that productivity declined markedly, yields were almost equal to input values, and farmers experienced food shortages for at least two to six months in a year. To make a living, farmers have adopted new occupations such as wage labor, animal husbandry, cultivation of annual monocrops, and extraction and selling of forest products. Policy analysis indicates that previous policies were unable to reduce shifting cultivation intensity or improve tribal people's livelihoods or the region's forest resources. Reorientation of government policies, easy access to institutional support, and the active participation of local people in development intervention are of the utmost importance in order to find alternative land uses for sustainable hill farming, to improve the farmer's living standards, and to conserve forests and protect watersheds.

Chapter Six: Farming Practices by the Khasia People in Sylhet Region: based on anextensive study

This extensive study, in the forest villages of Sylhet forest division, explored socio-economic conditions of Khasia ethnic community, their hill farming practices and impacts on rural livelihood and forest conservation. The data and information of the study have been drawn from randomly selected three forest villages of Sylhet forest division. Farmers were classified into three categories based on their mean monthly income. Eight households were selected at random from each category in each village.

Findings indicate that the lives of the Khasia people are centered on the hills and hill resources. Their economy is forest based, using simple traditional technology. Their principal occupation and source of livelihood is betel leaf based hill farming. Besides providing income and employment opportunities, this type of farming plays an important role in the conservation of the forest and its floral diversity. A buoyant market for betel, ease of establishment and maintenance and the regulation of different tree age-classes make it a sustainable production system that might be adapted for use elsewhere.

Chapter Seven:　Forest Villagers in Sylhet Region: linkages between their livelihoods and forest conservation

Even though many forest villagers have been living on FD land and serving the department in Sylhet region since the early 1950s, their livelihood is not fully explored yet. Taking a sample forest village of the Sylhet forest division, as a case study, this paper deeply examines the livelihoods of villagers and their contribution to forest conservation. Findings of the study indicate that the villagers are well-endowed with all the capitals of DFID's sustainable livelihoods framework, though human capital in terms of education is not satisfactory. By investigating 15 indicators under four broad criteria, study also indicates that the natural capital (i.e., agroforestry system) is sustainable not only ecologically and economically, but also socio-culturally and institutionally. Strong social capital, stable natural capital, and a productive and market-oriented agroforestry system facilitates the generation of financial and physical capitals that make the livelihoods of Khasia people sustainable. At the same time, their reciprocal contributions support forest conservation. However, some institutional issues such as land tenure and regular agreement renewal problems should be resolved for the sake of their livelihoods and forest conservation.

Chapter Eight: Discussion and Conclusions

In this chapter, I have conducted two comparative discussions- a] shifting cultivation and the USP, and b] the USP and Khasia forest villages. The discussions indicate that USP has been successful in halting the extent of jhum and many planters have given up jhum completely, and have been able to improve the living of planters by facilitating the formation of different livelihood assets. Comparison between two broad study sites pointed out that forest villagers of Sylhet forest division are in better position in terms of livelihood and forest conservation than that of the USP's planters. Sustainable natural capital base and existence of strong social capital among forest villagers are apparently the reasons for such variation.

The dissertation also has some academic merits in terms of its contributions to the academic societies. By the conducted case studies, it supports some existing theories such as appropriate forest production technologies, presence of strong social capital and good governance, etc. positively affected project's outcomes and people's living. The dissertation could also explore some new ideas such as market demand of products, which seems very important for the adoption and maintenance of sustainability of agroforestry systems as well as land tenure, and revision of SL framework is proposed.

Several policy recommendations were given. The lessons learned from this study could be useful for policy makers in formulating development projects, for researchers in conducting similar type of research, and for villagers too in mobilizing their resources such as social capital for better livelihood outcomes.

　本論文の目的は、バングラデシュにおける参加型林業が少数民族の生計と森林資源の保全に与えた影響を明らかにすることである。

　まず、第一章(導入)では途上国における参加型森林管理政策の展開について整理し、その観点からバングラデシュの林業状況を位置づけた。そして、少数民族の人口分布が多いこと、および人々の森林資源への依存度合いが高いことから、チタゴン山岳地帯の定住プロジェクト(USP)およびシルヘット森林区の森林村プロジェクトを調査地として選択した。

　第二章(研究枠組みの提示)では、社会関係資本論を含む持続可能な生計フレームワーク論、ガバナンス論、アグロフォレストリー論など関連する学問分野の既存研究を整理したうえで、「生計」、「参加型林業」、「背景的な環境」、「生計資産」、「地域の森林利用と管理」の要素から成る研究枠組みを策定した。そして、(1)人々の生計の実態を明らかにすること、(2)林業プロジェクトの成功や失敗に影響を与える要因を突き止めること、(3)慣習的な生業である焼畑農業の持続可能性や実施に影響を及ぼす要因を特定すること、(4)二つの調査地の比較を通して、生計上の成果や森林保全の観点から相違点を探ること、を具体的な研究課題として設定した。フィールド調査にあたっては、それぞれ地域全体を対象とする広域的調査をおこなったうえで、チタゴン地域の二村、シルヘット地域の一村を選んでより詳細な調査を実施した。必要な情報は、森林官へのインタビュー、行政資料の閲覧、村人を対象とする質問紙調査、参加型農村調査法(PRA)等により収集した。

　その結果、まず第三章(アグロフォレストリー)では、チタゴン地域での広域的調査を基にして、小規模なアグロフォレストリー技術の導入が人々の生計を向上させるとともに、地域の森林被覆を増加させ土地の劣化を減少させたことが示された。第四章(参加型林業)では、同地域でのより詳細な調査の結果から、林業プロジェクトがそれぞれ異なる生計資本の構築を通して人々の生計を向上させたこと、また小規模なゴム農園の導入と屋敷地でのアグロフォレストリーの促進を通して土地の劣化を食い止めたことが実証された。しかし、同時にプロジェクトの成果は一様ではなく差異があることも示された。たとえば、頻繁で定期的なモニタリング、あるいはプロジェクトの便益に対する人々の自覚などによりプロジェクトが成功する村もあれば、そうでない村もある。さらに、公平性、説明責任、透明性、情報の流れ、といった地域ガバナンスを規定する要因がプロジェクトの目的達成および人々の生計向上に影響を及ぼすことも示された。このような異なる状況にもかかわらず、人々はプロジェクト参加者であることにほどほどの幸福を感じており、プロジェクトが自分たちの生計に多大な効果をもたらしてくれると信じていることも確認された。村に定着して隣人と一緒に生活し、プロジェクトスタッフと相互関係を持つことで、社会関係資本が構築される。そして、それにより隣人からの支援を受けるだけではなく、NGOや政治団体などとのネットワークが広がることにより社会開発サービスを享受する機会を得ることもできるようになるという筋道が示された。第五章(焼畑農業)では、同地域のより詳細な調査によって、プロジェクトが焼畑農業を減らしたがまだ継続している人が多いこと、焼畑農業の生産性が低下したため人々は食糧不足に直面していること、等が明らかにされた。生計を維持するため、人々は賃労働、家畜の飼育、一年生作物の耕作、森林産物の採集と販売といった新たな経済活動を導入したことが確認された。

　一方、シルヘット地域の広域的調査に基づいて、第六章(農業)では森林村のカシア人が伝統的なアグロフォレストリーによって生計を維持するのみならず森林の生物多様性も保全していることが明らかにされた。キンマ葉の市場見通しがよく、さらに育成や手入れが簡単なことが、このアグロフォレストリーを持続可能なシステムとしている。また、同地域の集約的調査に基づき、第七章(森林村の人々)では、豊富な社会関係資本、安定した自然資本、生産性が高く市場に根ざした慣習的なアグロフォレストリーが、金融資本や物的資本の形成を促し、人々の生計を持続可能にしていることが確認された。森林保全がキンマ生産の維持に貢献するため、人々は国有林を自分たちの資産として保護している現状が明らかにされた。

　第八章(結論)では、二地域の比較検討の結果、持続可能な自然資源の基盤と豊富な社会関係資本の存在が極めて重要であることが指摘された。

　以上のように，本論文は綿密なサーベイに基づき参加型林業の影響を実証した研究であるが、農山村地域を対象とする生計分析の新たな枠組みを提示することにも成功している。つまり、本研究は研究対象地の実態改善への寄与を通して実践的・政策的な意義を有するばかりではなく、学術的にも意義ある貢献を成すものである。よって審査委員一同は、本論文が博士(農学)の学位論文として価値あるものと認めた。