ARSA 2014 International Conference Proceeding - Volume II

CONTENTS
PAGE
FOREWORD
CONTRIBUTED PAPERS
Harnessing social capital for community development
The Well-being and Satisfaction of Coffee Farmers in Timor-Leste with Their Membership 1
to the “Cooperative Café Timor” (CCT)
Carlos da Conceição, Vanda Narciso, Maria Lenor da Silva, Carvalho Pedro Damião de
Sousa Henriques
The Re-Organization of Rural Community with Development of Social Business: Case 7

Study of the Shimanto River Watershed in Kochi Prefecture
Mima Nishiyama
A Rural Regeneration Prototype : Insights into Social Networks of a Rural Community of 15

Taiwan
Ching-Ta Chuanga, Yi-Chang Chiang, Li-Te Ho
Role of NGOs in Disaster Response: Case of the Sidoarjo Mudflow, Indonesia 23

Nina Takashino, Prasojo Bayu Suwondo Putro
Failure of Village Administrations after Displacement: A Case Study of the Sidoarjo 30

Mudflow Disaster, East Java, Indonesia
Prasojo Bayu Suwondo Putro, Nina Takashino
Mutual Help among Small-Scale Farmers in the Lao PDR; A case study of a village in 39
Vientiane Province
Yoichi Shimano, Masuo.Ando, Roger Khamphet
Water problems in countries blessed with abundant water: Natural drinking water in 45
Japan’s rural communities-
Atsushi Makino
The New Role of a Leader of Village Health Volunteers in a Changing Thai Village: Case of 52
Thakan Village, Ban KlangSub-District, San Pa Tong District, Chiang Mai Province
Pathways for Sustainable Development
Increasing Income of Farmers in South Sulawesi: Case Study 58

Nursini Mahmud, AmrullahMajjika, Sultan Suhab, Tawakkal Ramli
Assessment of Forest Ecosystem Service Demand-Supply Balance for Sustainable Rural 69

Communities A Case Study in Totsukawa Village, Japan
Takashi Machimura, Shingo Kuniwake, Takanori Matsui
How Sericulture Became More Localized in Guangxi China 75

Ni Hui
The Varieties and the Acquisition of Food and Fuel Sources by Rural Households in 82
Bangladesh
Keiko Yoshino
Living with Tourism: A Case Study of Village Community Based Tourism Program in 91
Southern Bali, Indonesia
Hiroi Iwahara
Building Communities’ Resilience
Correspondence of the Village in Disaster 99
Kiyomi Nakamura
Disaster Culture Seen Through Village Landscapes: Local Communities in the Lower 106
Reaches of the Tone River Valley
Hiroyuki Kaneko
How Did Consumers Respond to Agricultural Products from Tohoku Region after the 111
Nuclear Power Plants Accidents in March 2011? Results from Qualitative and
Quantitative Surveys in 2013
Midori Aoyagi
Enhancing Natural Capital via Effective Farming Systems Approaches
Agricultural Reforms Pertaining to the Collective Ownership of Mountain Farmland in 116

China
Wenjing Liu-Wuerz
Revitalizing Open Grassland through Agroforestry and Natural/Organic Farming in 122
Occidental Mindoro
Susanita Lumbo
Influence of Harvest Periods of Tree Crops on Livelihoods of Settlements of Landless 128
Peasants’ Movement in Lower Amazon
Kanae Ishimaru, Shigeo Kobayashi, Sayaka Yoshikawa
The Socioeconomic and Cultural Characteristics of Rural Society and the Position of Rural 134
Development Projects in Myanmar
Suhong Chae, Hee Suk Kim
Structures and Processes Shaping Societal Development
The Anthropological Study of Fair Trade : A Case study of Coffee farmers in Lao PDR 143
Arihiro Minoo
Poverty reduction and environmental conservation through Fair Trade 149
Rie Makita
The Governance Community in a Post-Modern Society 158
Hiroyuki Torigoe
Changes of the rural organizations and the village development under the external 163
intervention ‐A case study from Henan province, China-
Huan Yang, Dacai Deng
China’s Population Problem- A Sociological Survey of 1900 Subjects 171
Haisong Nie
Poverty-Agriculture Institutional Nexus in Indonesian Rural Area 180
Muhammad Arsyad , Andi Nuddin, Sitti Bulkis, Syarifuddin Yusuf
Dynamics and Transformation of Alternative Food Network (AFN) in South Korea 191
Sungwoong Jung, Shuji Hisano, John XXV Paragas Lambino
When it Rains Fish Dies: Socio-Economic and Environmental Problems of Rural 201
Agrochemical Dependency in Nan Province, Thailand
Supawan Visetnoi, Wayne Nelles
Development Path Analysis of Chinese Agriculture with Land and Labor Productivities 208
Yoshio Kawamura
Paddy field fishing as self-sufficiency system in southern Laos 219
Miho Fujimura and Tsukasa Inaoka
PAGE
New Development Strategy of Higher Education Institutes in Japan -Ryukoku Extension 226
Center and the Consortium of Universities at Kyoto-
Yoshio Kawamura
The Socio-cultural Dynamics of Return to Rural: : Focusing on the Case of Jinan, Korea 237
Jin Myong-suk, Kim Jongwon
Analysis of the Factors Affecting Health Status among Korean Elderly: A Comparison 245
Between Rural and Urban Elderly
Cho Mihyoung, Kim Youngran, HanSang-mee
The Idea of Basic Income Guarantee in Rural Japan 253
Tadashi Okanouchi
Factors Promoting Farm Mechanization in Postwar Japan: Rivalry among Farmers and 262
Roles of Salesmen
Yusuke Ashida and Motoki Akitsu
Empowerment of Female Farmers Wanting to Start a Business 268
Michi Tsutsum, Masae Tsutsumi
Dual Direction of Migration
Rural to Rural Migration; The Migratory Process of Filipino Workers for Seasonal Labor in 278
the Japanese Agricultural Sector
Yuya Iida
Effects of the Frequent Shoppers Program in the Production and Consumption of 284
Environmentally Friendly Vegetables: A Case Study from a Local Farmer’s Market in
Higashiosaka-city, Japan
Misa Aoki
Migrants City, Land Inheritance: Empirical Research from Nine Villages of Landless 292
Peasants in Southern China
Chun-Rong Shang
Pathways for Sustainable Development

The Functions and Role of Livestock Species in Well-being and Development of Rural 303
Communities of Timor-Leste
Elisa Maria, Pedro Damião de Sousa Henriques, Vanda Narciso,Lenor da Silva Carvalho,
Mario Tilman
Promoting Organic Agriculture for the Sustainable Future of Upland Farming 312
Communities in the Philippines: Prospects and Challenges
Leila D. Landicho, Eduardo O. Mangaoang, Richmund A. Palma, Maricon, R. Perez,
Roselyn F. Paelmo, Rowena D. Cabahug and Maryann G. Abadillos
Integrated Urban-Rural Relationship for China's Future 318
Guoqing Li
Path Analysis of Socioeconomic Determinants in Japanese International Migration in the 322
19th Century of Meiji Era
Yoshio Kawamura
Lessons Unlearned: New Breeding Techniques in the Age of Trans-science 331

Masashi Tachikawa
Production, Technology and Consumption of Rice in Timor-Leste: A comparison Between 338
Portuguese Colonization, Indonesian Occupation and Post-Independence Periods
Jorge da Silva, MariaLenor da Silva Carvalho,Vanda Narciso, Pedro Damião de Sousa
Henrique
PAGE
Household Saving in Development of Rural Livelihood: Evidence from Luang Prabang, 345
Northern Laos
Phanhpakit Onphanhdala Khensavath Souksavanh, Terukazu Suruga
Household Food Insecurity and Coping Strategies of the Buhid Women of Sitio Salafay, 358
Occidental Mindoro
Mary Yole Apple Declaro-Ruedas
Intervention: NGOs in the Province of Marinduque, Philippines and the 4th Class 366
Municipality of Buenavista
Randy T. Nobleza
A Sign of Change of Economic Status Among Local Groups of the Coho in Lam Dong 371
Province, Vietnam
Mamoru Honda
Problems and Challenges in Turning Land into Capital in Vientiane Capital, LaoPDR 378
Yo Saysoulinh
The History of the Activities, Hopes, and Possibilities of Farm Women in Japan 391
Rieko Tsuru
Why Khmer Farmers are Resisting NGOs: Contradictions Between Participatory 397
Development Ideas and Practices in Rural Cambodia
Sayaka Akiho
FOREWORD
The Asian Rural Sociology Association holds a International Conference every four years in order to
provide an arena for exchange of academic and practical findings and experiences among the ARSA
members and other concerned individuals. ARSA is open to those who are interested or involved in rural
studies, rural policies and rural activities for tackling issues in Asian rural areas. ARSA had already held
four International Conferences. The first in Bangkok, Thailand in 1999, the second in Lombok, Indonesia,
in 2004. The third in Sanhe, China, in 2007. The fourth Conference, the latest one, was organized with the
theme of “The Multidimensionality of Economy, Energy and Environment Crises and their Implications to
the Rural Livelihoods” in Legazpi, Philippines, in 2010.
The ARSA Council proposed we would hold the fifth International Conference in Vientiane, Lao PDR in
2014. After the Legazpi Conference, we started to negotiate with the National University of Laos (NUOL),
and the NUOL had kindly accepted our proposal. In this way, we could organize the fifth International
Conference on September 2-5, 2014, at the NUOL, Vientiane City, Lao PDR with the theme “From
Challenges to a Prosperous Future in Rural Asia”. Asia had experienced many natural and human
disasters such as tsunami, earthquake, typhoon, flood and “Fukushima” between 2010 and 2014. ARSA
can contribute to learning and inform the lessons on risk management and the resilience process to the
world.
The ARSA introduced some new plans at the 5th International Conference. The most important plan was
adoption of an editorial board and a peer review system on the submitted papers. This means the panel
papers in the Part I and contributed papers in the Part Ⅱin this proceedings are peer reviewed. The
editorial board believes that this change will help the ARSA develop further.
Finally, the ARSA has to express the best gratitude for financial support from the Japan Foundation.
Without its support, it would be very difficult to issue the proceedings. The ARSA appreciates the Japan
Foundation very much.
THE EDITORS
THE WELL-BEING AND SATISFACTION OF COFFEE FARMER IN TIMOR-LESTE WITH ITS
MEMBERSHIP TO THE “COOPERATIVE CAFÉ TIMOR” (CCT)
Carlos da Conceição de Deus

Department of Agro Economics
Universidade Nacional de Timor-Leste
Vanda Narciso,
Independent research
Portugal, vandanarciso@gmail.com
Maria Leonor da Silva Carvalho,
ICAAM and Department of Economics
University of Évora, Portugal, leonor@uevora.pt
Pedro Damião de Sousa Henriques
CEFAGE and Department of Economics, University of Évora, Portugal, pdamiao@uevora.pt
ABSTRACT
The wellbeing of coffee farmers in Timor-Leste is mainly dependent on the revenues obtained with the selling of coffee either in
cherry, parchment or green beans. The main role of the Cooperative Café Timor (CCT) is to increase the quality of life and the
wellbeing of the rural coffee producers through the purchase and processing of coffee from its members and the provission of
some social services to its members. The present study evaluates the perception that farmers have regarding the role of CCT
in their quality of life and wellbeing and with the services supplied by CCT. The study is supported on primary data collection
based on a questionnaire survey applied to CCT farmer members belonging to the sub-district of Letefoho, Ermera district in
2010. Results show that: majority of farmers are satisfied with services supplied by CCT; the degree of farmers satisfaction is
directly related to services supplied by CCT; the majority of farmers do not improve their quality of life by CTT membership and
that the majority of members are not invited and do no participate in cooperative decision making process and mechanisms.
Keywords: Coffee, Timor-Leste, CCT, Wellbeing, Satisfaction
INTRODUCTION
Coffee was introduced in Timor-Leste in the middle of the eighteenth century (Clarence-Smith 1992). The first
plantations were established in the early nineteenth century and by mid-nineteenth century coffee production
was already an important cash crop and an export product. Since then, under Portuguese colonial rule, Indonesian
occupation and post-independence period, coffee has been the main non-oil export product of Timor-Leste,
becoming a fundamental importance in the economy and in the development of the country. During Portuguese
colonial rule, coffee cultivation was encouraged through the establishment and distribution of plants nurseries,
compulsory coffee plantation and cultivation by local producers, the construction of coffee processing plants, and
the creation of extension and experimental services. The production structure was dominated by small farmers,
holding 1ess than 2 ha, while the number of large producers was small, but holding significant areas. Marketing
and exports were dominated by Chinese and European intermediaries, often reported to pay low prices to local
coffee producers (Silva 1957; Gonçalves 1972; Figueiredo 2004).
Under Indonesian occupation, coffee investment was incipient, there was little interest in maintaining or
developing farming practices, farmers merely harvest coffee from the old large plantations as well as from their
own small farms, and the main legacy was the decreased interest in coffee cultivation among Timorese farmers,
whom act as plantation guardians. Marketing and exports were monopolized by two state-owned companies that
paid low farm gate price and their profits often helped to finance the Indonesian occupation war. By 1994, a third
operator was allowed in the Timor-Leste coffee market, NBCA, which acted mainly in coffee processing and
commercialization fields, giving place to a rise in coffee producer’s income (Gomes 2002; OXFAM 2003).
With restoration of the independence in 2002, the structure of production remained, but the number of firms in
marketing and exports were enlarged, CCT (Cooperativa Café Timor) previous NCBA, Timor Global, Timorcorp,
ELSAA Café, Always Café and some NGOs (Non-Governmental Organizations). Regarding the production, the
From Challenges to Prosperous Future in Rural Asia  Volume 2 1

Carlos da Conceição de Deus et al
Ministry Agriculture along with the NGOs and international aid agencies for development has given support to the
reconversion of coffee plantations and to the improvement of the processing technology (Direcção do
Agronegócio 2008; CCT 2010).The coffee industry in Timor-Leste during the Indonesian period showed little
interest in maintaining or developing cultivation practices, or indeed in contributing any kind of capital return to
the enterprise.
The first coffee variety cultivated was the Arabica “tipica” from the Arabica species. But by the end of the
nineteenth century, with the emergence of the coffee rust, rust resistant species were introduced, first Liberica at
the end of nineteenth century, followed by Robusta at the beginning of the twentieth century. During the first half
of the twentieth century an unlikely natural cross between Arabica and Robusta species occurred in Timor-Leste
creating the hybrid of Timor (HDT), rust resistant species with Arabica coffee characteristics (Rodrigues et al 2004).
The superior quality of the Arabica coffee produced in Timor, in terms of aroma, diversity of flavours and chemical
composition, allowed an outstanding reputation in several international markets, benefiting from a price premium
since the mid-nineteenth century (Andrade 1907).
The processing technology evolved from the dry to the wet process and this transition was encouraged during the
Portuguese colonial period, as well as mechanical peeling, quality selection and classification. By 2000, the main
processing technology was the dry or a mitigated wet process. Since then, an effort has been made in recovering
old treatment plants and building new ones. The wet process, the best processing technology of coffee cherry in
green coffee leads to a superior coffee quality.
Coffee, one of the main cash crops in Timor-Leste, has a relevant role in the performance of the agricultural and
export sector and is a driving force to boost the development of rural growing coffee areas. Coffee production in
Timor-Leste is much more an agroforestry systems than a fruit culture (Silva, 1957). The forest nature of the Timor
-Leste coffee is because it is grown wild, at the higher altitudes of a tropical island, and with lack of attention paid
to the plantations; as result its production is natural, and by default, organic (Wahjudi 2009).
There is consensus that the main problems in coffee production are low productivity and low quality and the
consequent low level of monetary income for coffee producers. All the coffee agents recognize that there is a
great potential to improve productivity, coffee varieties and processing techniques, to produce high quality coffee
(Amaral 2003; Henriques 2010). In addition, there is an unequal distribution of the income generated from the
different points of the coffee value chain. This inequality is not a post-independence problem, since it was referred
in the Portuguese colonial period and was also a mark of Indonesian occupation (Henriques et al 2013).
In the pre-independence period, 2000, CCT was created as a successor of the NCBA (CCT 2010). The cooperative
nature of CCT was expected to act as a regulating factor in terms of farm gate prices paid and social services
provided to cooperative members. The purpose of this article is to analyse the role of CCT and its affiliated Organic
Coffee Cooperative (CCO) in improving the welfare of cooperative members, the coffee producers.
METHODOLOGY
The data was based on primary sources and supplemented with secondary sources, but the experience and
knowledge of the field by the authors was valuable and crucial to this research. The sources of primary data was a
questionnaire survey conducted in Ducurai and Haupu sucos, sub-district Letefoho in Ermera district (Map 1 and
2), in 2010, where 86 members of a CCO, associated with the CCT were selected. The location was chosen because
coffee is an important farmer activity and has high quality and population have a poor quality of life. Farmers were
chosen by convenience sampling among known producers who had a level of education that allows an
understanding of the questions and had a reasonable knowledge of coffee production.
The questionnaire was intended to know better the coffee producers individually (age, education level , number of
children); to identify the socio-economic characteristics of the households (home, power, lighting , water, waste ,
pose goods and food); to characterize the coffee production of respondents (area , production , technology,
marketing , income , property, and land use decisions ), and to obtain views on farmer satisfaction with the
services of CCO/CCT (number of years and satisfaction as a member of CCO and on their quality of life , particularly
in relation to the social service of CCO and CCT, the training offered by the CCO, the solutions offered by the OCC
regarding the quality of the coffee, the participation in the activities and decisions of the CCO). The data were
analysed using, descriptive and multivariate statistics.
2 From Challenges to Prosperous Future in Rural Asia  Volume 2
Source: www.mapsofworld.com
Figure 1. Map of Timor-Leste
Figure 1. Sucos of Ermera District. (Source: DNE,

2011)
RESULTS AND DISCUSSION
Most coffee grower-respondents are older than 40 years, male, married and illiterate, families have between 4
and 6 children, housing conditions are modest, bamboo houses without concrete floor, firewood is used as main
source of energy, the families consume untreated spring water, throw trash on the ground, eat three meals a day
and meat consumption is quite limited. Coffee plantations are dominated by Arabica species, are a mix of new
and old coffee plants, the average size of farms is 2 ha and about half of those have less than 1 ha. The ownership
of the land belongs to farmers (however the majority has no property titles) and was obtained through inheritance
and land is assigned by parents only to male children.
All family members participate in coffee cultural operations, dominating man in cleaning coffee plantations and
women in harvesting. The coffee cherries harvested has two destinations, sold directly to CCT or processed at farm
level in parchment and then sold to other companies or at local markets. The processing technology at farm level
is traditional, pure dry or wet mitigated processing. The average production per farmer cherry coffee is 745 kg and
435 kg of parchment coffee while the average amount of own consumption is 22 kg per year.

Coffee production is the activity that provides higher farm income, on average 936 USD per year, however, about
40% of farmers receive an average of 334 USD. This income is mainly spent on the children's school and food. The
responsibility of income spends and food management is equally shared between men and women while land
management belongs to men. Regarding the major problems faced by farmers, the most serious are the lack of
coffee shading, low coffee prices and poor access to markets, followed by a lack of coffee cultural operations and
low productivity, and ultimately poor marketing and old coffee plantations.
These data suggest a weak ability of farmers to have access to information about the price and markets; poor
knowledge about pruning and harvesting and in general how to treat the coffee; inability to reconvert old coffee
plantations; and low levels of well-being, comfort and quality of life. To analyse the perception that farmers have
of their levels of satisfaction and well-being as members of CCO/CCT, the following hypotheses were tested:
H1: The degree of satisfaction of the cooperative members is positively related to the performance of the CCO/CCT;
H2: The degree of satisfaction of the cooperative members is positively related to the services provided by CCO/ CCT;
H3: CCO/CCT services positively influences the quality of life of cooperative members;
H4: The participation of cooperative members in decision making is small.
Regarding the first hypothesis, H1, the majority (> 50%) of farmers were satisfied with the services of the leaders
of CCO, with the services of CCT, and with the CCT as a company. Regarding the price paid by CCT for coffee, the
proportion of farmers satisfied and unsatisfied is similar, while the CCT coffee price is considered equal to the price
of the competitors companies (Table 1). The hypothesis is accepted. With respect to the second hypothesis, H2,
satisfaction is observed for CCO training and solutions for coffee production and also for the access and quality of
the CCT health services provided to cooperative members, so the hypothesis is accepted (Table 2).
Table 1 . Satisfaction of cooperative members with performance of CCO/CCT.

Variable Unsatisfied Equal Satisfied
Satisfaction with the services of CCO leaders (% farmers) 22.1 18.6 59.3
Satisfaction with the services of CCT(% farmers) 15.1 20.9 64.0
Satisfaction with CCT as company (% farmers) 7.0 17.4 75.6
Satisfaction with the CCT coffee price (% farmers) 44.2 9.3 46.5
Comparison between CCT coffee prices and competitors Lower Equal Higher
% farmers 18.6 80.2 1.2
Source: Deus 2011
Table 2. Satisfaction of cooperative members with services provided.
CCO training and solutions for coffee Unsatisfied Equal Satisfied
Satisfaction with CCO training in coffee harvest (% farmers) 9.3 32.6 58.6
Satisfaction with CCO training in coffee cleaning
27.9 30.2 41.9
(% farmers)
Satisfaction with the solutions of CCO for coffee production (%
20.9 19.8 59.3
farmers)
Access to CCO/CCT health services Yes No
Medical services (% farmers) 56.5 43.5
Nursery services (% farmers) 100.0 0.0
Outpatient services (% farmers) 91.8 8.2
Quality of CCO/CCT health services Bad Reasonable Good
Satisfaction with medical services (% farmers) 2.2 52.1 45.6
Satisfaction with nursery services (% farmers) 0.0 19.8 80.2
Satisfaction with outpatient services (% farmers) 0.0 47.4 52.6
Source: Deus 2011

Farmers acknowledge the contribution of coffee production and use for improving their quality of life, however
the majority (> 50%) of farmers did not improve their quality of life as a member of the CCO (Table 3). In this
sense, the current situation indicates that the cooperative still failed to achieve the objective of improving the
quality of life of farmers and the third hypothesis is not validated. The fourth hypothesis is validated, once most (>
50%) of farmers is not invited and did not participate in cooperative decision making and on CCO activities, despite
the majority of farmers are cooperative members for a long time (> 10 years) and are satisfied (59.3%) (Table 4).
Table 3. Quality of life of cooperative members.

Variable Yes No
As a cooperative member improved the quality of life (% farmers) 22.6 77.4
Production and use of coffee activity improved quality of life (% farmers) 91.9 8.1
Source: Deus 2011
Table 4. Participation and decision making
Number of years of CCO membership < 5 years 5-10 years >10 years
% of farmers 7.0 32.5 60.5
Satisfaction as member of CCO Unsatisfied Equal Satisfied

% of farmers 22.1 18.6 59.3
Invited to attend CCO meetings Never Sometimes Often
% of farmers 76.7 12.8 10.5
Participation and involvement Yes No
Participation in CCO decision making (% of farmers) 18.6 81.4

Involvement of cooperative member family in leisure,
4.7 95.3
social services and education CCO activities (% farmers)
Source: Deus 2011
CONCLUSIONS
The analysis performed allowed us to conclude that the well-being of the coffee producers studied is very low. The
degree of satisfaction of coffee farmers with CCO/CCT performance and services is positive, however, their
participation in CCO/CCT activities is low despite the long duration and satisfaction for their cooperative
membership and it is worth to note also that they not recognise the contribution of cooperative membership to
their well-being. Although farmers’ living standard does not improve, farmers are satisfied with CCT services. This
apparent contradiction can be explained by the fact that farmers benefit from a range of health services that
otherwise would not be provided and their low levels of well-being may prove to be far worse in the absence of
CCO/CCT.

REFERENCES
Amaral, Fernando Egídio. 2003, Prospects for Coffee Development in East Timor, in Agriculture: New Directions for
a New Nation, editado por Hélder da Costa, Colin Piggin, César da Cruz e James Fox, ACIAR Proceedings Nº
113
Andrade, Alfredo da Costa e, 1907. Distrito Autónomo de Timor e Instituto Botânico de Buitenzorg, Conferencia na
Sociedade de Geografia de Lisboa em 13 de Maio de 1907, SGL.
Clarence-Smith, W. Gervase. 1992. “Planters and Smallholders in Portuguese Timor in the Nineteenth and
Twentieth Centuries”, Indonesia Circle, n. º 57, March, pp. 15-30.
COOPERATIVA CAFÉ TIMOR (CCT). 2010. Sistema de trabalho CCT e NCBA. Díli
Deus, Carlos da Conceição. 2011. Impacto do Desempenho da Cooperativa Café Timor na Satisfação e Qualidade
de Vida dos seus Membros, Dissertação de Mestrado em Gestão, Universidade de Évora.
Direcção de Agronegócio. 2008. Commodity Profile for Coffee, Ministério da Agricultura e Pescas, Díli, Timor Leste.
Figueiredo, Fernando. 2004. Timor a presença Portuguesa: 1769-1945), Dissertação de Doutoramento em História,
Faculdade de Lestras, Universidade do Porto.
DNE. (2011). Timor-Leste Relatóriu Sensus 2010, suku relatóriu, Euralo. Díli: Timor-Leste: Direcção Nacional de
Estatística (DNE) e United Nations Population Fund.
Gomes, Rui.. 2002. East Timor's Socio-Economic Development under Indonesia: (1976-1998), Tese de
Doutoramento não publicada, South Bank University, London. www.cavr.timorleste.org. Acesso em 11 de
Setembro de 2010.
Gonçalves, M. Mayer. 1972. Estimativa do acréscimo do custo de produção do café na região de Ermera, Timor,
corresponde à intervenção do comerciante dos mercados rurais, correspondente a intervenção do
exportador em Díli, MEAU, Reeditado por TimorAgri.
Henriques, P.D. de Sousa.. 2010. A Rendibilidade da cultura do café. Documento de trabalho, Díli.
Henriques, P.D. de Sousa., Maria Raquel Lucas, Maria Leonor da Silva Carvalho e Carlos da Conceição de Deus.
2013. Coffee Value chain in Timor-Leste, in Food Value Chain Network in the 21St Century: International
Challenges and Opportunities, edited by Julian Briz and Isabel del Felipe, Editorial Agricola Espanhola.
OXFAM. 2003. Overview of the Coffee Sector in Timor-Leste, editado por TimorAgri.
Rodrigues, C. J. Jr., M. Mayer Gonçalves e V. M. P. Várzea. 2004. Importância do Híbrido de Timor para o território
e para o melhoramento da cafeicultura mundial, Revista de Ciências Agrárias, Volume XXVII, Número 2/4, p
203-216.
Silva, Hélder Lains e. 1956, Timor e a Cultura do Café, Memórias – Série de Agronomia Tropical, Junta de
Investigações do Ultramar, Ministério do Ultramar, Reeditado por TimorAgri.
Wahjudi, Bambang. 2009. A Economia do café de Timor-Leste, Gabinete do Ministro do Turismo, Comércio e
Indústria, Díli.

THE RE-ORGANIZATION OF RURAL COMMUNITY WITH DEVELOPMENT OF SOCIAL
BUSINESS: THE CASE STUDY OF THE SHIMANTO RIVER WATERSHED IN
KOCHI PREFECTURE
Mima Nishiyama
Chiba University
mima@faculty.chiba-u.jp
ABSTRACT
This paper examines the efficacy of social business, whether it can solve social problems while making profit, and reorganize
rural communities. The cases analyzed here are located in Shimanto-cho, Kochi Prefecture. They are social businesses that sell
goods and offer services that have unique values with characteristics of the natural resources and local culture of the region.
The first case is “Shimanto Drama”, a company that manages a roadside station in Towa, where local produce and goods are
sold. The second case is “Okamisan-ichi”, an organization of farm women that sell vegetables and food they prepare at a
farmers’ market, and organize agritoursim. The characteristics of these cases are analyzed in this paper. The possibility of
social business as a tool for solving the rural issues of community reorganization and revitalization are also discussed.
Keywords: social business, community development, cooperation between rural and urban
INTRODUCTION
Depopulation and aging are becoming increasingly serious in rural areas. In addition to the economic stagnation,
communality and community functions—characteristics of rural areas—have been declining. Without any solutions
in sight, some areas are in a fateful crisis. These situations were caused by a continuing negative chain of events.
The lack of job creation and industrial development, which is essential for keeping the youth in the area, created
even more youth exodus, making it difficult to maintain traditional activities of the community. As a result, even
the community identity and pride have been lost. On the other hand, municipal mergers have been promoted
strongly in the name of effective system development of administrative services. However, this merger logic
allowed disadvantaged areas to be abandoned more easily. This could accelerate the deterioration of the area, let
alone reorganizing it. In such disadvantaged areas, a different logic of community reorganization is needed.
Measures for revitalizing the community with the full use of the community resources and building a relationship
with outside resources need to be considered. The characteristics and values of the community resources should
be understood, and industrialization that maintains and develops those resources should be achieved with job
creation, resulting in regional development. What is important is the emphasis on community identity.
In this paper, the main attention is given to the social business method. They aim not only to pursue economy but
also to create and promote social values in order to solve rural and social problems. Social business is effective as a
business method of promoting the community identity and values outside, and of developing them sustainably.
This paper looks into social business in disadvantaged areas. The uniqueness of social business will be identified,
how social business has solved rural problems and brought social profits will be analyzed, and the effectiveness of
social business will be investigated. Furthermore, the significance of social business in reorganizing rural
communities will be examined.
DEFINITION OF SOCIAL BUSINESS AND CHARACTERISTICS OF SUBJECT CASES
The concept of social business was first advocated by a Bangladeshi economist, Muhammad Yunus. It is defined as
a self-sustainable business form that aims to solve social problems with market methods, creating neither debt nor
dividend1). The pursuit of profit is done, but it is not the primary object as for corporations in general. When profit
is made, it will not be returned to stockholders. Social business was established through building new economic
frameworks for solving the poverty issue in Bangladesh. In addition to its characteristics as a business form, the
social significance and values of its mission are clear. It is essential for social business to develop business by
promoting itself widely throughout the society.

Mima Nishiyama
In summary, social business can be defined as follows: ① it has clear issues to solve (social missions); ② pursuit of
profit is not its primary goal, and the profit is not distributed but reinvested for its activities (reinvestment of
profit); ③ it is sustainable as business (feasibility; independent management); and ④ through developing new
products, services, and systems, it creates social values and aims at a reform through their social acceptance (social
value communication).2)
Among rural entrepreneurial activities, especially women’s, many aim to revitalize the community by utilizing
community resources such as local produce. They have clear social missions. On the other hand, most activities are
small in business scale3), and although their goal is women’s economic independence, self-sustenance with total
independence from family farm management and municipal aide is hard to achieve in reality 4). As for community
business in rural areas, what differentiates it from the past community activities is high feasibility 5), but it is seldom
attempted to solve community issues by sending out and promoting social values outside the community.
Therefore, social business overlaps in some areas with women’s entrepreneurial activities and community business,
but it has new, different factors: their social missions and social values they create for fulfilling the missions.
CASE ANALYSIS
Community Summary
The organizations of our case study are located in Shimanto-cho, Kochi Prefecture, which was established in 2006
by merging adjacent two towns, Taisho and Kubokawa. Shimanto Drama was started as a third sector, funded by
Towa-son, Taisho-cho, and Nishi Tosa-mura in 1994. Okamisan-ichi was begun by a group of women in Towa-son in
2001. Nishi Tosa-mura, Towa-son, and Taisho-cho, each with population of about 3,000, were located along the
middle part of the Shimanto River. With most of their residents engaged in primary industries, the three
municipalities were very similar in nature. Towa-son had the least farmlands, and therefore, the most
disadvantaged. The interview survey was conducted one or two times a year from 2007 until 2012. The subjects
were the president of Shimanto Drama, executive officers and members of Okamisan-ichi, former mayor of Towa-
son, and town employees of Shimanto-cho, totaling 21 individuals.
Shimanto Drama Corporation
a) Organization Summary and Business Development
In 1994, each of three municipalities, Towa-son, Taisho-cho, and Nishi Tosa-mura, invested 8 million yen and
started Shimanto Drama as a third sector. Its initial purpose was to serve as a basis for the hometown settlement
model project of the Ministry of Internal Affairs and Communications. With a three-year budget of 2 billion yen, it
tried to attract companies, conducted large-scale maintenance of forestry roads, and constructed campsites.
Furthermore, it developed products, trained personnel, and cultivated markets. To cope with depopulation and
aging in the region, industrial development, human resources development, and tourist site development through
attracting companies was needed, with which residential population was hoped to increase. Mr. A, hired by
Shimanto Drama at 30 years of age, had taken over his family’s tea farming after working at Japan Agricultural
Cooperatives. He was also working at a tea productive cooperative’s office. Mayors of the three municipalities
took turns to assume the post of President of Shimanto Drama, but it was Mr. A, the only full-time employee, who
undertook the entire operation from creating business plans to executing them. At the end of the second year, it
was decided to research various production sites for six months in order to capitalize on Mr. A’s strength further.
The research revealed that the efforts to attract companies and develop industries had no relevance to the
excellent technique and knowledge of the primary industry producers in the region, and that was the true issue.
New thoughts were given to the industrial development in the region, and efforts to strengthen human
relationships within the community were made. The basic policy of Shimanto Drama, which is to promote “the
Shimanto River-friendly manufacturing,” was established before the state subsidies ended. First, new products in
accord with the business policy were developed. At that time, Mr. A was searching for the community’s uniqueness
and identity. The ideas for new products were sought based on the concept of preserving the landscape and
environment of the Shimanto River, the symbol of the community identity and values. Using previously unused
materials such as mill ends of cypress, and promoting unique recipes for native fragrant rice, some hit products
were created, and they have become stable items.
Mima Nishiyama
Locally produced tea used to be mixed with Shizuoka tea for sale, but in 2002, “Shimanto Green Tea,” bottled tea
with 100% Shimanto produced tea leaves, was launched. Later, “Shimanto Roasted Tea” (2004) and “Shimanto
Black Tea” (2007) were commercialized.
The industrial development project was promoted along with product development. Towa-son, located in the
mountains with a little space for farming, had many small-scale processing centers, for which a new project was
launched. For instance, by simply preserving shelled chestnuts in syrup, a new item with a local flavor was created.
Cooperation such joint development of products with a sweets manufacturer began. In addition to providing raw
ingredients such as chestnuts, the community became involved with the processing, which helped enhance the
name value of “Shimanto Chestnuts.” Being particular about developing unique products and the way they were
produced, jobs were created in the community, enabling further industrial development.
When the three municipalities that funded Shimanto Drama were merged with different municipalities 6), the
company asked the residents for investment, with which the company was bought back. In 2005, it was started
anew as a business corporation. Becoming totally independent from the government allowed the company to
make decisions and business plans more quickly. In order to put more energy into product development, a
processing department was created and full-time employees were hired7). A human recourses development
project for training personnel and an exchange program were started. In 2007, a roadside station managed by
Shimanto Drama opened, and the business income greatly increased to exceed 300 million yen. They started to
charge plastic shopping bags, the first attempt among roadside stations nationwide, and promoted newspaper
bags8). A part of the money gained from the plastic bags and newspaper bags are donated for forest preservation 9).
As the business expanded, some undertakings were made separate and independent. RIVER, a membership-based
service, was incorporated as an NPO (2010), and “Inaka Pipe” that specializes in personnel training was established
(2011). An agricultural judicial person was established in 2012 for reclamation of chestnut farms and maintenance
of abandoned farmlands7).
b) Characteristics of Shimanto Drama as Social Business
Social Mission
Shimanto Drama assumes three missions: 1) industrial development

with a pillar of existent produce such as tea and chestnuts; 2)
promotion of eco-business that is friendly to the Shimanto River; and
3) human resources development for raising the next generation
that will take over the rich resources 10). With the first mission, it is
aimed to exert the ability of local producers while utilizing the
existent facilities and resources. When Shimanto Drama started as a
basis for a state subsidized project, it was about attracting
companies from outside and developing industries with no regards
to local producers. Technique and knowledge of the local producers
were not made the most of. On the other hand, the conventional
business practice had created a system that did not distribute profits Figure 1. Inside of roadside station managed by
to the producers. Because of the market system, small-scale
production in Towa-son and other rural areas was at a disadvantage. Those were fundamental problems in the
promotion of local economy. In order to solve them, the first mission was set forth as one of the pillars of the
business goal of Shimanto Drama. The second mission had social significance in terms of preserving the industry
basis and local uniqueness and of securing business continuity. The third mission was a measure against
depopulation and aging, and at the same time, it was for securing new leaders for business continuity.
Reinvestment of Profit
There are two ways to return profit: to return to the stockholders and to reinvest in the business. Shimanto Drama
has always emphasized the importance of product development, reinvesting 2 million to 5 million yen in it every
year. The company was initiated by three municipalities, but its privatization had been considered from the
beginning. That was the reason for emphasizing product development. After the stocks were offered for public

Mima Nishiyama
subscription in 2005, a gift card worth 2% of the amount of investment has been given out to the investors
every year. The produce sales fee at the roadside station was set at 20% of the sales in the beginning, but due to
steady sales increase, it was reduced to 16% in 2010, putting the producers’ gain before the profit for the
organization. By putting profit into product development and producers instead of distributing it as dividend, it
is reinvested in further business development.
Feasibility
Figure 1 shows business sales of Shimanto Drama. When bottled green tea was launched in 2002, the sales was
over 100 million yen. In 2007 when the roadside station was opened, it was 250 million yen. In two years, it
increased to over 300 million yen. The green tea was shipped from tea farmers to JA, where the primary
processing was done. Then it was bought back by the tea cooperative for bottling. Since this operation started,
the cooperative’s yearly sales have reached 40 million yen, about twentyfold increase. A deficit has never been
experienced even when the state subsidies ended and the operation was transferred to the local governments,
and when it was privatized. Business continues to grow, building a system with high feasibility and continuity.
Figure 2. Sales turnovers of Shimanto Drama

Created from Shimanto Drama data
Social Values
What is valued at Shimanto Drama is a conviction that we cannot make the Shimanto River the last clear
stream. To spread this idea, they run RIVER, a membership system, with about 300 members nationwide 11). As a
part of human resources development, they welcome scores of young interns from all over the county every
year. Many of them have decided to stay in the area, and some have been hired by Shimanto Drama. This
indicates that the environmental values of the community, with the Shimanto River as the symbol, were
communicated, forming a theme-based community that shares environmental and communal values. Through
the sales of products such as the bottled Shimanto Green Tea, Shimanto chestnuts, and Shimanto cypress
bathtubs, the Shimanto values are communicated, enhancing the value of the products.
Rural Issues Solved by Shimanto Drama
Producers of the primary industries in the region have been trying to establish a system that generates much
profit, which in turn creates new industries based on the existing production resources as well as employment.
Ideas for new products come from the concept of fully utilizing the local resources and producers. Making most
of processing centers operated for local producers and communities, led to a new business system. That was a
result of Shimanot Drama’s working to improve the existent practice unfavorable for the primary industry
producers, the raw material suppliers, and for small-scale production and processing in the rural area, which
was one of Shimanto Drama’s missions. As the sales system for the Shimanto tea with no outside ingredients
was created and the primary processing of chestnuts at a local small processing center was made possible, the
primary industries’ presence in the region became stronger, making them the pride of the community. That
brought not only financial profit but also social profit to the region, a fruit of tackling with the regional
disadvantages.

Mima Nishiyama
b) Okamisan-ichi Corporation
Organization Summary and Business Development
Okamisan-ichi started from a women’s processing group

which was active on the community level. Living in the
mountains, most people were engaged in mushroom
production or forestry work. Women were not actively
involved with the household management. The processing
group was started as a place of self-realization. But it was
considered secondary to agriculture and forestry
production. Things changed drastically in 1997 when eight
women’s groups came together and started the Towa-son
Figure 4. Okamisan-ishi member’s home garden
Local Product Council. In addition to developing local
specialties, they participated in the Female Farmer Leader (Photo by Nishiyama 2008)
Training Project and gave a report of their activities. They
also took part in a shopping district’s Sunday market in Kochi
-shi and communicated with the women there. These were
good opportunities for them to inform outside people of
their activities. At the same time, they were made conscious
of the uniqueness of their activities. The women came to
realize that their activities were characterized by Towa-son’s
nature and their self-sufficient way of life12).
In 2001, the Towa-son Local Food Management Council—

aka Okamisan-ichi—was started13). They sell produce at
produce stands in and outside the village, provide food for
lunches at the village elementary and middle schools, and
organize hospitality tours that offer farming, forestry, and
fishing experiences and serve local cuisines. When the
roadside station was opened in 2007, they started to offer a
buffet at a restaurant there once a week. In the first 10
years, the organization grew so much that their sales
exceeded that of mushrooms, once the staple of the village.
Although it started with women only, male farmers later
joined the staff. It is now the most prominent organization
in the village. Figure 5. Local food saved by Okamisan-ishi at restaurant of
roadside station (Photo by Nishiyama2008)
As their business expanded, a system for stability was set

up. After IOS14001 was acquired in 2003, a group-based system was built for standardization of cultivation
techniques among close to 200 producers, for sharing information, and for collective shipment that allows elderly
producers in the mountainous communities to ship more easily. The hospitality tour offers local home cooking at
community centers. Their seasonal menu was carefully prepared after many trials at the village level. The food the
women create has become one of the key elements for revitalizing the village. Their efforts led to successful tours
and the buffet at the restaurant. A year before the roadside station opened, Towa-son merged with two towns to
form Shimanto-cho. After the merger, to maintain the solidarity of the former Towa-son became difficult, but
Okamisan-ich was recognized as the only organization that represented the former Towa-son. Winning national
awards in 2006 and 200914) got them a lot of visibility and more acknowledgements within the community. In order
to continue their operation without the help from the government, they went public in 2011. Not only the
members and local residents, people in other areas who read about them in the newspaper or saw their poster at
a shop, as well as their long-term customers offered to invest. With more than 100 outside investors, they were
able to achieve their goal of collecting 5 million yen.

Mima Nishiyama
Characteristics of Okamisan-ichi as Social Business

Social Missions
Olamisan-ichi’s initial by-laws says, “In order to revitalize our community, those who participate in Okamisan-ichi
shall cooperate, enjoy making things, and improve themselves so that through working together creatively, our
community may thrive.” (Okamisan-ichi By-laws, “Purpose” 2001) The goal was the empowerment of women and
community promotion through that. On the other hand, the by-laws of Okamisan-ichi Corporation started in 2011
says, “13. Agricultural production and manufacturing that are friendly to the Shimanto River and the
environment” (Okamisan-ichi Corporation By-laws 2011) as the purpose. 10 years have passed since its beginning
as a private organization. Okamisan-ichi’s target has changed from women’s issues to more socially significant
missions.
Reinvestment of Profit
There has not been reporting of accounts since 2011, but it has been decided at a general meeting that in stead of
distributing profit among the investors, it will be used for further operation and maintenance of natural resources.
Before it went public, the personnel expenses of the office staff were subsidized by Shimanto-cho. So all the profit,
after some operational expenses were deducted, were returned to the members.
Feasibility
For the first 5 years, Okamisan-ichi’s sales were about 30

million yen a year. After 2006, it went up to almost 50
million yen (Figure 3). It surpassed the mushroom sales,
once the largest in Japan, in 2005. This means that the
production of the village staple has dwindled, and
production of many kinds in small quantity, suitable for
Okamisan-ichi’s direct sales, led to financial profit for each
member15). Furthermore, it is evident that Okamisan-ichi
has expanded as a profitable business that represents the
former Towa-son.
Social Values Figure 3. Mushroom Sales at JA Kochi Hata Towa Branch

and Okamisan-ichi Sales
The fact that women saw the uniqueness of the community in Note: Created from JA Kochi Hata Data and Okamisan-ichi Data
the local produce, cooking, and services, and promoting it in
various settings have appealed to many people, leading to business expansion and social recognition. Two national
awards that got them a lot of visibility, greatly improving their ability to send out the social values. As a result,
many of their consumers offered to invest when their stocks were offered.
Rural Issues Solved by Okamisan-ichi
Women’s financial independence and creating a place of self-realization and self-improvement, the initial goal of
Okamisan-ichi, have been achieved. For the first 10 years, actions were taken to meet the environmental ISO, and
communications with consumers were repeated, through which women’s consciousness has shifted from their
own problems to the larger, social problems. They have contributed to stimulating the local economy through
making more sales than the mushrooms, the staple of the former Towa-son. Winning the national awards made
them a poster child of the community, creating more publicity. This united the community once again when the
old bond was being lost after the merger. In addition, a place for the elderly to work and live with a purpose was
secured, providing with a chance to gain income. Furthermore, through getting the company’s supporters
organized, a new relationship with outside the region is being formed for the preservation of the Shimanto River
and its environment.

Mima Nishiyama
According to Mr. B, the president, Okamisan-ichi has been trying to convey through their activities “a lifestyle that
cherishes craftsmanship, daily food, and the local food culture—a lifestyle that’s kind to the Shimanto River.” They
aim to protect these values and maintain the primary industries. Through the product development based on
production and life technique backed by the self-sufficient lifestyle, and through following the Environmental ISO,
they are allowing people to live humanely, preserve the self-sufficient lifestyle, and maintain their culture for the
next generation to succeed.
CONCLUSION : COMMUNITY REORGANIZATION OF THE RURAL AREA AND THE SIGNIFICANCE OF SOCIAL
BUSINESS
The analysis of two cases with the characteristics of social business revealed that they have been providing solutions
to the rural issues by utilizing social business’ method and way of thinking. In both cases, the local uniqueness was
valued, and social business was taken up to enable its continuous development. This indicates that social business is
effective in solving rural issues. The fruits achieved with social business in each case are as follows: Shimanto Drama
has been working to develop local industries based on the primary industries, to preserve the Shimanto River’s
environment, and to cultivate human resources. Their main focus has been on product development based on the
local environment, existent technique and knowledge of the local producers, and the natural resources. They have
helped develop local industries and have been communicating the local uniqueness while doing so. Their efforts
resulted in steady financial growth. They are also trying to spread their social value further through organizing their
supporters as members. The local industry development has allowed the local relationship to be rebuilt, generating
economic effects. Through developing human resources and promoting the local uniqueness, new relationships with
outside the community have been established, a kind of social profit. These activities of Shimanto Drama revitalized
to rural community and construct new relationship between rural community and urban people. We can
understand that this process is reorganization of rural community.
Okamisan-ichi continues with their business with their missions, reinvesting their profit in the business. Through
their operation, their local uniqueness has been conveyed and accepted. In the past, all the women started with the
intention of becoming financially independent and achieving self-realization. As their activities expand beyond the
community, they become compelled to take a second look at their own lives. This prompted them to become aware
of the uniqueness of their operation and the need to value it. Most of the women had not lived outside the former
Towa-son, and yet, they came to recognize the uniqueness and merits of their community, which in itself was
socially beneficial. Okamisan-ichi’s operation have greatly influenced the community by establishing a new form of
farming—producing many kinds in small quantities—by the elderly, securing a place for them to work with a
purpose, and reuniting the community. By organizing the investor when they went public, they also gained an
opportunity to build new relationships with outside the community. On the process of development of Okamisan-
ichi, they have enhanced their relationship within rural community. Meanwhile they have constructed new
relationship with urbanpeople who are consumer of Okamisan-ichi. We can understand that it is the process to
reorganize rural community.
In order to solve rural issues, measures t hat reflect the backgrounds of each community. It is also essential to
regain the community pride by promoting their characteristics. Reorganization of a rural community could lead to
the solution. What is common in those two cases are: ① their community pride was regained when their
uniqueness as a community was emphasized; ② the bond within the community was rebuilt when the local
industries and existent recourses were emphasized; and ③ new relationships with outside the community were
established when the local values were successfully communicated to society. All of them were necessary factors for
the reorganization of the rural community. They were made possible by the social business solving rural issues
though the promotion of social values. Therefore, the significance of social business is that it can trigger the
reorganization of rural communities and promote it further.

Mima Nishiyama
NOTES
1) Refer to the cited reference [1] for details.
2) Tanimoto and Omuro’s categorization of social business, including corporate community services, is broader. In this paper,
the pursuit of profit is not considered as the primary purpose. Yunus’ idea of new business frameworks without dividend is
valued here. The concept of profit reinvestment was added to Tanimoto and Omuro’s categorization of social business. See
the cited reference [2] & [3] for details.
3) It has been 20 years since female entrepreneurship in rural areas became a top priority issue. But more than 50% of those
businesses have the yearly sales of 3 million yen or less (according to “The Survey Result of Female Entrepreneurship of
Rural Areas” by the Ministry of Agriculture, Forestry, and Fisheries, April 2012.)
4) See the cited reference [4] for details.
5) See the cited reference [5] for details.
6) In 2006, Towa-son was merged with Taisho-cho and Kubokawa-cho to form Shimanto-cho. Nishi Tosa-mura merged with
Nakamura-shi to form Shimanto-shi in 2005.
7) Shimanto Drama created a processing department (2009) with 3 new full-time staff.
8) Local women made bags with local newspaper and started selling them at the roadside station, receiving a lot of positive
responses from all over the country and overseas.
9) They take part in the forestry management, a collaborative effort with Kochi Prefecture. They entered into an agreement
with the prefecture and the forestry cooperative and is contributing to the forest preservation with funding and
collaboration.
10) From Shimanto Drama’s corporate summary, “Drama’s Drama.”
11) At the start of a new membership system, Ordinance for the Protection of the Shimanto River was created. Also, the
Shimanto River boom was happening. So the membership soared to 2,000. But the number decreased at every membership
fee renewal time. In order to promote the system more widely and to enrich the activities, an independent organization
was established as an NPO.
12) Those women had only considered themselves as a farmer’s housewife. But through working with women at the store,
pride in their jobs arose.
13) The number of participating groups increased to 14. In a few years after it was launched, the number grew to 31, including
newly established groups.
14) They received the Prime Minister’s Award at the Agriculture, Forestry, and Fisheries Fair in 2006, and the Grand Prize in the
Bridge between Food and Agriculture Section at the Japan Agricultural Award in 2009.
15) The yearly sales vary for each individual member. When an elderly person in a single-person household makes shipment,
the sales—even ten, twenty thousand yen—can be helpful in addition to their pension. Besides providing a sense of
purpose, it can be of great financial help.
REFERENCES
［1］Muhammad Yunus. 2008. “Hinkon no nai sekai wo tsukuru.” Hayakawa Shobo.
［2］Kanji Tanimoto. 2006. “Social Enterprise – Shakaiteki-kigyo no daito-.” Chuokeizaisya.

［3］Oomuro etsuga. 2011 “Social Business- chiikino kadai wo business de kaiketusuru-.” Osaka NPO center.
［4］Mima Nishiyama. 2009. “Nouson jyosei kigyou no toutatsuten to social business no kanousei.” Nogyotokeizai,
Showado.
［5］Masaaki Ishida. 2008. “Nouson ban Community business no susume- Chiiki kasseika to JA no yakuwari-.” Ieno
hikari kyoukai.

A RURAL REGENERATION PROTOTYPE –
INSIGHTS INTO SOCIAL NETWORKS OF A RURAL COMMUNITY OF TAIWAN
Ching-Ta Chuang
Institute of Marine Affairs and Resource Management,
National Taiwan Ocean University, Taiwan
chiang106@gmail.com
Li-Te Ho
Department & Graduate Institute of Architecture and Urban Design,
Chinese Culture University, Taiwan
ABSTRACT
In 2010, Taiwan initiated the Rural Regeneration Act (RRA) to promote the development of the 4,000 rural communities
through the elimination of their long-term structural bottlenecks impeding their growth. The act aims to improve production
infrastructure, quality of life and ecological environment in rural areas in terms of multifunctional agriculture. We argue that
the development leads to multifunctional rural landscape and thus land use change, in particular in the face of rapid
urbanization. Given new urban-rural relationships, social networks are the key for revitalizing rural communities towards
sustainable urban-rural partnership. Based on interviews with key actors of the demonstration community of Gongliao, this
paper proposes a rural regeneration prototype. It is argued that social network analysis helps to provide insights into social
relationships among a set of actors - a set of phenomena or data which we seek to understand. Results show that there is a
lack of governance mechanism capable of uncovering the patterning of people's interaction between homogenous groups but
also heterogeneous ones with regard to the urban-rural partnership. Faced with this challenge, we conclude that our case
study illustrates a multi-layer rural regeneration prototype that indicates a paradigm shift in rural development across actors
and sectors, and reveals opportunities for revitalizing rural communities of Taiwan .
Keywords: Agriculture, community, network, rural regeneration, paradigm
INTRODUCTION
Challenges
Globalization has caused impacts on rural development in many countries from aspects of economy, social
culture, politics and environment. The new paradigm results in the expansion of gap between urban and rural
developments, and thus more problems created in economy, society, and the environment. There are an
increasing number of studies focusing on development of multifunctional agriculture, which turns the production
focus only into emphasizing on production, life, ecology, culture, recreation and other diverse functionality. It is
recognized that rural areas in Taiwan is facing a number of problems due to globalization.
In order to remote the environmental quality and agricultural development in rural areas, government has
facilitated the adoption of Rural Regeneration Act in the year of 2010. The act highlights self-governance of rural
residents that helps to reduce the failure situations and facilitate sustainable resources development. However,
community self-governance is also a kind of collective action that can satisfy both individual and public interests
but also create conflicts between individual and collective interests due to the deficient information.
Conceptual framework
We argue that social networks help to give structure to self-governance among different interest groups; they
differ in their needs with respect to diverse components of multifunctional agriculture and changes in agricultural
land use. In particular faced with rapid urbanization, social networks are crucial in revitalizing rural communities
towards new urban-rural partnership.
In order to investigate success factors behind rural regeneration, this study explores a project in rural areas of
Gongliao District of Taiwan. Our data was collected from their experiences of and experts’ viewpoints by
exploring issues during implementation, such as community-buildings, community executive units, administrative

Chi-Ta Chuang and Li-Te Ho
organizations and factions, incubation projects, community charters, hiring of workers, and procurement of
materials, as well as the communities’ views on the Rural Regeneration Act which conducted by Soil & Water
Conservation Bureau (SWCB), Council of Agriculture of Taiwan.
Fig. 1. Conceptual framework of our study (drawn by the authors)
Rural Regeneration Act
The evolution of Taiwanese rural areas is described in Table 1. In period of 1950-1970, Taiwanese rural areas were
in the initial rebuilding stage. During 1970-1990, it was at accelerating stage, and during 1990-2010 it was at new
landscape stage. Since 2010, the rejuvenation stage starts, below we describe this stage in more detail. The
Legislative Yuan in Taiwan passed the Statute for Rejuvenation of Rural Villages on July 14, 2010 and the
Taiwanese government will accordingly promote for an orderly development works in rural areas. It aims to
taking care of 600,000 families in Taiwan’s 4,000 agricultural and fishing villages (Council of Agriculture, 2010). In
general, the Rural Regeneration Act 38 articles of the Statute have the following characteristics (Council of
Agriculture, 2010):
1) Rural residents will jointly take part in implementing Regeneration projects to beautify the environment
orderly, revitalize agricultural industries, carry on agricultural culture heritage and create development vision
with local features.
2) Appropriate funds for sustainable use to improve the entire environment, revitalize agricultural industries,
and create better basic production conditions by taking living, production and ecology into consideration.
3) Training community manpower, that is, course participants in five stages (Fig. 1) is listed as a necessary
condition in the proposed rural area Regeneration project, so that local residents can reach consensus when
making decisions on how to beautify their community.
4) Green building and recycled energy resources are listed as important items of community environmental
improvement and public facilities eligible for government subsidies to build communities with low emissions
of greenhouse gases throughout Taiwan.
5) Strengthen self-management with community conventions to prevent careless constructions from worsening
local landscape.

Table 1. The evolution of Taiwanese rural areas
Stages Periods Important events

Rebuilding 1950-1970 1953, Land Reform Policy
1956, Experimental Rural Areas
Accelerating 1970-1990 1973, The Accelerating of Rural Infrastructure
1983, The Guidelines of Community Development
New Landscape 1990-2010 1993, The New Rural Village Program
1994, Integrated Community Re-construction Program
2000, Renewal of Rural Landscape
Regeneration 2010-now 2010, Rural Regeneration Act
Rural Generation Act is the legal basis for rural development to promote rural activation and upgrade the overall
development in rural areas. It is the future direction worked out by the rural residents for their own community,
and 150 billion NT dollars will be invested within 10 years. Action for rural Regeneration is a multi-phased
program; training community manpower is listed as a necessary condition in the proposed rural area
Regeneration project. Under this mechanism, it is believed that local residents can reach consensus when making
decisions on how to beautify their community, sustainable use to improve the entire environment, revitalize
agricultural industries, and create better basic production conditions by taking living, production and ecology into
consideration.
In sum, the development works of rural areas under the Statute for Regeneration of Rural Villages are in progress.
It aims to take care of 4,000 farming and fishing villages as well as 600,000 farmers and fishermen. As of August
2012, community manpower has trained over 2,000 communities and 257 finished the entire course (Fig. 2). Now
many start summit their rural regeneration plan to improve the overall environment, construct public facilities,
refurbish abandoned house, preserve traditional culture, conserve the ecology etc. The government still strives to
break bottlenecks in the long-term rural development and revitalize agricultural and fishing villages with
industrial, cultural and infrastructure constructions to create wealthy new villages with quality life so as to attract
young people back to their rural homeland areas.
Figure 2. Training of manpower for the rural regeneration plan in farming and fishing villages

STUDY SITE
Gongliao district
Gongliao District is a rural district and located in the furthest east district of New Taipei City, North East Taiwan
(Fig. 1). Geographically, Gongliao is one hour trip from Taipei Metropolitan; on its east is the Pacific Ocean; on its
south is Toucheng Township, Yilan County. On the other side of Gongliao are mountains and hills along the 30km
long coastline. The area of the district is approximately 99.97 square kilometers, and there are about 14,077
people living in the district. Most of the residents in this district work in the field of agriculture, and in-shore
fisheries, so the characteristic products are the seafood and fruits in here. Taiwan government is scheming
Gongliao as one of Taiwan Scenic Areas, and setting up Long-Dong Wan Park, Bitou Cape Park, Golden Bay Beach,
Caoling Historic Trail and Fulong Beach, etc, which are all along the long beautiful coastline (New Taipei City
Government, 2012).
Taiwan
Gongliao District
New Taipei City
Figure 3. Gongliao District (right: black) located in New Taipei City, one of the five Special
municipalities (left: black) of Taiwan (drawn by the authors)
Dragon-Mound community
Dragon-Mound is a hill community with abundant of natural resource and health ecosystem within the New
Taipei City, at the northeast corner of Taiwan. Geography as its name, Dragon Mound is a small plain above the
rising and falling hill just like a dragon. Ketagalan is the major aborigine tribe of Dragon Mound who mainly
hunting for living before the Chinese immigrated and resided here to reclaim. At the peak period, it had several
hundred households and 158 students of the primary school in 1970. Following industrial and economic
development in Taiwan, young fellow went to city for job and left the old people. Just like the majority of
Taiwanese rural village, the feature of Dragon Mound was poverty, aging, weakness and fatuity. No one knew the
future of Dragon Mound.
Occasionally, there are few retired professional including public officer and teacher move in for short-term
staying owing to discover its beautiful view. At beginning, they are hardly communicated with the local people;
even dislike each other, because of the habit difference and asymmetric information. Finally, an association
formed in 2010 and take part in Rural Revitalization Project in 2012 which conducted by SWCB. While the project
was conducting, a serial of questions were posted by them, examples of these are “How to do with it?” “Maybe
we can do something if all do not feel reconciled.” “Tell us how to do! We won’t allow the beautiful village going
on falling into disuse.”
The project workers recalled that “in their eyes, I saw eagerness and the hope for Dragon Mound.” “We started
regular meeting to speak out everyone’s visions, and gradually we invited the local people to join. At first, they

were suspicious of our motivation until finding our passion to the village. Thereafter, the local participants
increased and even fix refreshment for the meeting. I thought the time is ripe and suggested organizing an
association to promote the good life and health ecology for this community.”
By applying these actions, the residences integrate individual opinions, and set up clear community missions and
visions based on their needs and wishes. Under the directing from SWCB, they shared knowledge about
revitalization and took the rule of Community Empowerment: people, culture, land, view and product. Now, there
is no par with the local residences or new settlers to organize.
Due to promotion of the rural revitalization concept, members of association started searching for the valuable
old architectures including the old houses, turrets, acting stages etc. Now, the community established their
website, published a tour map and guidebook, and built a landmark at the entry of the village. After the press
reported, media start interviewing the community leaders and eco-experts. After scientific investigation, they
found here existing special ecosystem including butterflies, beetles, frogs and fireflies etc. At the same time, more
and more new inhabitants move here and start a new retired life, furthermore some unemployed young fellows
return to homeland for new living styles.
After a common consensus for a healthy Dragon Mound community among residents was reached, the next step
is to construct a sustainable environment and industry. Firstly, agriculture is the first choice, especially the non-
toxic and organic agricultural products. The mountain yam, sweet potato and bamboo are major traditional crop
of Dragon Mound, and products have been popular with consumers because of non-toxic/organic cultivation.
Secondly, how to develop the rich tour resources and attract tourists was also discussed very often. According to
experiences of community empowerment, successful factors would cover the followings:
Community association
The residences set up New Taipei City Life & Environment Promotion Association with volunteers and experts who
conducted the incubation project. The association is dedicated to community-buildings, community executive
units, administrative organizations and factions, community charters, hiring of workers, and procurement of
materials etc. Furthermore, the website was established for information.
Natural environment
The farmlands at mountains had existed for a hundred years. Along the Shuangxi river, the stone-built terrace and
paddy fields were carefully maintained by the ancestors. Forest edge species are attracted by irrigation canals and
woodlands. Regarding to ecological functions, the terrace could create values on formation of beautiful
landscapes, ground textures, cultural conservation and inheritance. However, with the migration toward cities and
aging population, these terraces are gradually abandoned and then dried out. The Paddy Ecosystem Restoration
Project beginning 2011 to restore 2.9 hectares of farmland located. 11 farmers have been growing crops on 1.6
hectares of the land without using chemicals, while the remaining 1.3 hectares, which has been fallow or dry, has
been returned to use as rice paddies. After the restoration, the area is filled with the hopeful vista of young water
plants. More than 50 species of frogs, which are nearly half the number of all frog species in Taiwan, could now be
found in Gongliao, also some endangered fish species stay in this area Oryzias latipes and Ceriagrion melanurum
have been sighted.
Green products
Because of the unique topography of New Taipei City, the terrace paddy field had become a special landscape
feature. The Forestry Bureau “Terrace Paddy Field Ecology Preservation and Restoration Project” visited Gonliao
in September. Following the terrace restoration project in Neiliao Mountains, Gonliao, the “Eco-Harmony Rice”
has been launched. After promotion, the Eco-Harmony Rice was ordered by a famous pastry shop with a double
market price ( CNN Report, 2012).
Moreover, the first 1,300 kg of rice produced from Gonliao paddy fields was purchased by the famous Hai-Shan
Bakery at once. The bakery created a new rice cake brand “Fragrance of Eco-Harmony” and launched it at mid-
September. The new rice cake, combining the strong taste of home from the historical bakery with the rich

ecology in Gongliao, has also become the first example of how traditional bakeries lead communities to support
eco-agriculture. Manager Lin is the second generation of Hai-Shan Bakery. He decided to support the Terrace
Restoration Project by real actions. He said the bakery is willing to support local businesses, and he hopes in the
future the peanut and vegetables used in the rice cake can also come from Gongliao (CNN Report, 2012).
Overall, as terrace paddy fields in hills and mountains are situated in the intersection of wetland and forest
ecosystems, the ecological marginal effect is even stronger. With this advantage, terrace restoration in Gongliao
should be able to create a rich biodiversity. The labor spent in the rice field both creates healthier food and
benefits the environment. The public value of these types of rice far exceeds the market price of normal rice.
DISCUSSIONS
The experience of the revitalization of Gongliao county and Dragon Mound village shows that is the necessity
operation in coordination of politic, economy and society power. The three elements cannot stand without
government assistance, industry rebuilding and residences’ self-effort. Liu (2002) indicates the rural features and
values of folk culture can be understood and affirmed through the extension of citizen participation and the plan
for village renewal. In this way, the unique rural vitality and vigor can continue and that villagers can recognize
their "hometowns" and attach their affections to them once again, making villagers feel honored with their
villages and take pride in living in them (Huang et al., 2011). The results show that a success rural community
revitalization needs to upgrade their core agriculture value and attract young fellow return homeland. In addition,
although tourism really makes significant economic outcomes for rural communities, it is important to remind
that rural community tourism is not the only approach for rural development. Chen and Chu’s (2008) analyze the
implement efficiency of the Structure Plan of the Rural Landscape Management, and then introduces the
regeneration and basic training plan of rural village. In the future, the residents of rural village can obtain the
assistant and guidance by professional team, so as to raise the wish of community development, and to improve
the environmental landscape of rural village.
Wiber et al. (2009) discuss the outcomes of a project that engaged researchers and fishers together in adapting
participatory social science approaches to the purposes and the constraints of community-based fisher
organizations. Thomson and Gray’s (2009) use documentary material and data from interviews and conclude that
combined the co-management system and community principles will be an effective form of fisheries governance.
Pita et al. (2010) investigate commercial inshore fishers’ perceptions of participation in the decision-making
process and attitudes towards a new management regime – the Inshore Fisheries Groups (IFGs).
Community management has been an important public affair including planning, design, construction and result
sharing of public development facilities by the local residents in a community. In addition, motivation, inspiration,
and consensus among all the residents are critical for a complete and successful development project to not only
meet basic needs but also significantly upgrade the living standard and quality of the residents in the community.
This study show that the main problems of community-building are a serious lack of professional human
resources and the different paces of village policies, thus, community-building results in fragmented communities.
Incubation projects receive acclaim in their communities; however, experts do not understand the communities
in short term, and some new groups would lower the functions of the incubation projects. Currently, community
charters do not have the motivation of intrinsic need in communities, and thus, are on paper only. Hiring of
workers and procurement of materials can help to enhance the characteristics of a community, if there are good
ideas within the community. Communities consider regulations on rural regeneration to be fair, and a good policy
that allows communities to be themselves. Experts are not at all concerned regarding the problems of community
participation, human resources, or factions, believing these to be merely the reactions of initial implementation.
Experts are more concerned about whether the communities have common objectives in community
development, and whether they have the implementation mechanisms and consciousness for a community
charter, as these are the important abilities of residents in understanding their rights and obligations. Experts also
hope that the implementation of rural regeneration plans can be slower, providing the communities sufficient
time to discuss issues in order to achieve the “human and environment” objectives of communications and
consensus.

CONCLUSION
Results of this study indicate that successes of the community revitalization are related to coordination of politic,
economy and society power. Though added-value agricultural product and rural tourism are the most promising
elements in community development management, it requires involvement and corporation among the residents,
professional community planners and township government officials. In the study, community development
management was carried out through a series of town-hall meeting and public hearing to formulate the
consensus, planning and action for the local development projects. Problems and difficulties imposing negative
impacts on the community development were also identified and studied to obtain proper solution and
improvement tactics to help seek appropriate resources and means for better development management of the
community with local characteristics and uniqueness. Following the “top-down directive assistance” from
government and “bottom-up self-management” from community people, believe that Gonliao County and Dragon
Mound village shall be a model of another rural village in Taiwan in the near future.
Meeting with Forming an association on Rural Re-

Communicate with
Local residences & generation local leader
New settlers
Project & Plan Bottom-up participation

Top-down directive
assistance Rural
Regeneration Project
Training & Edu-
cation Manpower cultivation
Action &
Resource checking, eco-
Community press & website value, culture, and
Promotion industries etc.
Non n toxic/organic cultivation

of rice, mountain yam, sweet Rural
potato and bamboo. Industries rebuilding
Tourism
More new settlers Unemployed young

move in. Population regurgitation people return to the
homeland.
Tourist、Bakery and
pastry shop Marketing & Publicity Media reports and
(Marketed locally). Specialist visiting.
Sustainably develop & Self- management

of the community.

REFERENCES
Azuma, Masanori (2011). Remodeling of Rural Village: The Combination of Taiwan Leisure Farm and Japan Farm-
stay Garden. Proceeding of 2011 International Conference of Rural Regeneration, pp. 15-21.
Chen, J. C. and Chu, J. M. (2008). The Structure Plan of the Rural Landscape Management and the Development of
Rural Village. Journal of Soil and Water Conservation Technology, 3(4), pp. 222-233.
Council of Agriculture. (2010). Statute for Regeneration of Rural Villages Opens New Page for Rural Revitalization.
(Posted on July 14, 2010) Retrieved on August 1, 2012 from the Council of Agriculture Website. http://
www.coa.gov.tw/view.php?catid=22040
Huang, J. Y., Chen, M. S. and Tsai, B. K. (2011). Perceived Economic Benefit Analysis of Analysis of Rural Tourism
through Rural Community Development. Journal of Management Practices and Principles, 5(3), pp. 34-55.
Huang, M. Y. (2011). Case Studies on Rural Regeneration Policy in Taiwan. Proceeding of 2011 International Con-
ference of Rural Regeneration, pp. 139-149.
Laconte, Pierre (2011). European Policies Affecting sustainability of Urban and Rural Areas: Future Challenges and
Selected Best Practices. Proceeding of 2011 International Conference of Rural Regeneration, pp. 1-13.
Liao, A., Huang, C., Cheng, C. W. and Shaw, D. (2012). Taiwan: Healthy "Eco-Harmony Rice" Guarantees Revival of
Biodiversity. (Posted on January 16, 2012) Retrieved on August 5, 2012 from the CNN Website. http://
ireport.cnn.com/docs/DOC-731798
Lin, Z. and Akiyama, K. (2012). Rural Planning and Leisure Farms in Taiwan. The Bulletin of the Faculty of Agricul-
ture, Kagoshima University, No. 62, pp. 1-21.
Liu, C. Z. (2003). A Study on the Citizen Participation in the Process of Village Renewal-the German Experience,
Journal of Agricultural Economics, 71, pp. 157-193.
New Taipei City Government. (2012). Introduction of Gongliao. Retrieved on August 10, 2012 from the New Taipei
City Government Website. http://foreigner.ntpc.gov.tw/_file/2968/SG/46036/D.html
Pita, C., Pierce, G. J. and Theodossiou, I. (2010). Stakeholders’ participation in the fisheries management decision-
making process: Fishers’ perceptions of participation. Marine Policy, 34, pp. 1093-1102.
Soil and Water Conservation Bureau. (2010). Statistics of Training Community Manpower. (Posted on August 20,
2012) Retrieved on August 22, 2012 from the Soil and Water Conservation Bureau Website. http://
empower.swcb.gov.tw/statistics.aspx.
Thomson, K. and Gray, T. (2009). From community-based to co-management: Improvement or deterioration in

fisheries governance in the Cherai Poyil fishery in the Cochin Estuary, Kerala, India? Marine Policy, 33, pp. 537-
543.
Wiber, M., Charles, A., Kearney, J. and Berkes, F. (2009). Enhancing community empowerment through

ROLE OF NGOS IN DISASTER RESPONSE:
CASE OF THE SIDOARJO MUDFLOW, INDONESIA
Nina Takashino
Tohoku University
ntakashino@bios.tohoku.ac.jp
Prasojo Bayu Suwondo Putro
Tohoku University
prasbayu@yahoo.co.id
ABSTRACT
Asian countries experience some of the world's worst natural disasters. Poor farmers in rural areas are limited in their ability to
cope with unexpected disasters and require substantial disaster mitigation assistance. Recently, non-governmental
organizations (NGOs) have played an increasingly larger role in disaster management and disaster mitigation for affected
people; however, certain NGOs work well with local governments while others do not. To provide more effective disaster
mitigation, successful collaborations between NGOs and local governments must be analyzed. To reveal how NGOs react to
disasters, this paper focuses on the case of the Sidoarjo mud flow disaster. In 2006, an oil and gas exploration accident cau sed
a mudflow eruption in rural Sidoarjo District, Indonesia. The mudflow covered 12 villages and displaced 13,000 households. The
disaster remains in progress: the mudflow is still erupting and is estimated to continue erupting for decades. To aid victims,
successful collaboration between NGOs and local governments is of critical concern. We conducted interviews with local
villagers, NGO and local government staff members in Sidoarjo. In this paper, based on the collected data, we examine (1) the
characteristics of NGOs that support disaster victims (how they originated, what year they were established, and their focus),
(2) how NGOs have supported disaster victims (since when, how, and where they have provided aid), and (3) how NGOs have
interacted with the local government. This analysis elucidates difficulties experienced by NGOs and determines factors in
successful NGO–government collaboration during disasters.
INTRODUCTION
Recently, non-governmental organizations (NGOs) have played an increasingly larger role in disaster management
and disaster mitigation for affected people. However, in disaster response, certain NGOs work well with local
governments while others do not. To implement more effective mitigation measures, successful collaborations
between NGOs and local governments must be analyzed. To reveal how NGOs react to disasters, this paper focuses
on the case of the Sidoarjo Mudflow disaster. In 2006, an oil and gas exploration accident caused a mudflow
eruption in rural Sidoarjo District, Indonesia. The mudflow covered 12 villages and displaced 13,000 households.
Many researchers have studied the environmental causes and impact of the Sidoarjo mudflow disaster from a
scientific perspective, but fewer studies have been conducted from a social scientific viewpoint.
Several studies have investigated the socioeconomic impact of the disaster on victims (McMichael 2009, Muhtada
2009, Putro 2012, Fitrianto 2012, Fitrianto et al. 2012). The mudflow is still erupting and is estimated to continue
erupting for decades. Therefore, determining implications of successful collaborations is a critical issue for the
victims. However, scant information is available regarding the support of NGOs, precluding a discussion of their
role in disaster mitigation. To address this gap and reveal how NGOs react to disasters, this paper focuses on the
case of the Sidoarjo mudflow disaster. The remainder of this paper is structured as follows. In Section 2, we
present the methods of this study. We summarize the history of NGOs in Section 3. In Section 4, we examine how
NGOs have provided support in Sidoarjo. The discussion in Section 5 concludes this paper.
METHODS
We compiled a brief history of NGOs in Indonesia based on existing papers and documents and we conducted
interviews with personnel from NGOs and the local government in Sidoarjo. In this paper, based on the collected
data, we examine the characteristics of NGOs that support victims (how they originated, what year they were
established, and their focus), how NGOs have supported disaster victims (since when, how, and where they have
provided aid), and how NGOs have interacted with the local government. This analysis elucidates the difficulties
experienced by NGOs and factors in successful NGO–government collaboration during disasters.

Nina Takashino and Prasojo Bayu Suwondo Putro
BRIEF HISTORY OF NGOS IN INDONESIA
NGOs operate differently in every country. To understand what role NGOs play in disaster response in a particular
country, understanding the specific historical background of that country is prerequisite. How NGOs developed in
Indonesia is briefly summarized as follows, based on Antrov (2005), Araki (2005), and Völz (2005) (Table 1).
Table 1. Chronology of NGOs in Indonesia

Period Events relevant to NGOs in Indonesia
Before the 1970s Many types of social organization (religious, education, neighbor group and so
1970s The activities of development NGOs came to be considered complementary to

1980s NGOs grew under government control.
1990s Certain NGOs began to engage in activities oriented toward political advocacy.
1997 The Asian economic crisis.
1998 The fall of the Suharto regime.
1999 “Watchdog” organizations were heavily involved in monitoring the national
2000 The government submitted a law for the regulation of yayasans.
2004 The Indian Ocean earthquake and tsunami.
Source: Compiled by the author based on Antrov (2005), Araki (2005), and Völz (2005)
In Indonesia, voluntary organizations have long existed, including religious societies, private schools, credit
associations, neighborhood organizations, and water-use associations. In the early 1970s, NGOs with an
orientation toward development (often termed “development NGOs”) emerged, and their activities came to be
recognized as complementary to programs implemented by the Suharto government. In the early 1980s, the
Suharto government allowed NGOs to play a role in development, but began to limit them in number and applied
stricter control by the end of the 1980s. In the 1990s, a greater number of NGOs began to incorporate advocacy
divisions and expanded in focus beyond community development. NGOs contributed to the pro-democracy
movement; subsequently, the Asian economic crisis of 1997 provided the trigger for the fall of Suharto regime.
The fall of the Suharto regime led to greater accountability and transparency among public institutions. NGOs that
were active in political monitoring emerged and became known as “watchdog” organizations. NGOs were heavily
involved in the 1999 election and currently monitor nearly all institutions of the state (Antrov 2005, Araki 2005).
Two types of legal status are available for non-profit organizations in Indonesia: such organizations can be legally
incorporated as either foundations (yayasans) or associations (perkumpulans). Yayasans are non-membership
organizations that are not limited in their activities; many yayasans were thus used for profit-making. To promote
transparency and accountability in the governance of yayasans, the government submitted a law regulating
yayasans to parliament in 2000, which was approved and became Law 16 in 2001. In contrast to yayasans,
perkumpulans are membership groups composed of people who share an interest and cannot be used for profit-
making purposes. Perkumpulans must be approved by the Ministry of Justice (Antrov 2005).
Indonesia was severely damaged by the 2004 Indian Ocean tsunami. The role of NGOs in responding to the
disaster was widely recognized. Many NGOs in Aceh were involved in the disaster response. In addition to
international NGOs, 120 Acehnese NGOs and many small groups of Indonesian volunteers from other regions of
the country participated in providing assistance (Völz 2005). In large disasters since the tsunami, such as the 2006
Yogyakarta earthquake and the 2009 Padang earthquake in West Sumatra, NGOs have played an essential role in
disaster response and recovery.
CASE STUDY ON THE SIDOARJO MUDFLOW

Government activities
Governments, which have a legal responsibility to protect citizens from disasters and help those affected, are the
most important agencies in disaster response. However, governments may be unable to help all those affected
and facilitate recovery; NGOs are thus expected to fill gaps in the governmental disaster response. In this section,

we review typical cases of disaster management in Indonesia and the particular conditions pertaining to the
Sidoarjo mudflow.
The Indonesian government promulgated Disaster Management Law No. 24 in April 2007. The national
government, provincial governments, and regency/municipal governments all have their own disaster
management organizations with individual policies and budgets. At the national level, the Badan Nasional
Penanggulangan Bencana (National Disaster Management Agency, BNPB) was established in 2008. The BNPB
consists of the BNPB president, the Management and Operational Committee, and the Policy Implementation
Agency. Composed of 10 ministries and 9 experts, the Management and Operational Committee advises and
consults with the BNPB president. The Policy Implementation Agency is in charge of enhancing preparedness and
emergency response, and is also tasked with relief and reconstruction (ADRC 2012). Disaster management at the
regional level is handled by the Badan Penanggulangan Bencana Daerah, or Regional Disaster Management
Agencies. According to the Asian Disaster Reduction Center (ADRC) country report (2012), when disasters occur,
municipal BPBDs respond first. When faced with large-scale disasters beyond their capacity, national and provincial
governments provide as much assistance as they are able to.
The conditions of the Sidoarjo mudflow disaster were particularly complex. The government established the
Sidoarjo Mudflow Management Agency (Badan Penanggulangan Lumpur Sidoarjo, BPLS) according to Presidential
Regulation No. 14 of 2007. BPLS is a central government institution that was designated to handle the disaster in
coordination with both the drilling company and local (provincial and district) governments. The government is
responsible for managing the mudflow disaster, and in particular, is responsible for compensating victims who
were forced to move (Andri 2009).
The BPLS’ management tasks are grouped in three main areas: social assistance, social protection, and social
recovery. The activities of the BPLS are summarized in Table 2(Richards 2011). In terms of social assistance, the
BPLS monitors the provision of assistance by Lapindo, the oil and gas company that caused the mudflow eruption,
and supervises the evacuation of victims, in addition to attempting to reduce the social impact of the disaster by
providing cash aid, clean water, and job opportunities. In terms of social protection, the BPLS has launched
programs that aim to assert the property rights of affected people. In terms of social recovery, the BPLS has
initiated programs focused on psychological recovery: the social recovery program aims to support people in
dealing with the emotional stress of the disaster and ensures that people are provided information and counseling.
According to Richards (2011), the BPLS continually consults and coordinates with the East Java Provincial
Government and the Sidoarjo regency government. Personnel from the East Java Provincial Government and the
Sidoarjo regency government occupy seats on the BPLS Advisory Board. The local government has established
temporary shelters in camps for the displaced population and opened community health offices. It has also
provided transportation for children, aid to farmers because of the failure of their crops, and support for small
businesses. This paper raises the following question: have local NGOs and relevant government organizations
cooperated to provide support for Sidoarjo disaster victims?
Registered Organizations in East Java
To establish how NGOs and the government have partnered, legally registered organizations in East Java were first
examined. Figure 1 shows the number of registered organizations from 2004 to 2013 in the following seven
categories: 1) religion-based organizations (Religion), 2) youth-related organizations (Youth), 3) women’s
organizations (Women’s), 4) professional organizations (Professional), 5) organizations structured around shared
activities (Activity), 6) cultural organizations (Cultural), and 7) NGOs.
As shown in Figure 1, the number of registered NGOs has increased over the past 10 years as numbers of other
organizations have remained stable. The rate of increase was high from 2006 to 2009 because the mudflow
disaster began in 2006; furthermore, the increase in the number of registered NGOs might reflect heightened
interest among Indonesians regarding assistance provided by NGOs in areas affected by the mudflow.
Furthermore, Table 3 also implies that the mudflow has exerted an influence on where NGOs have been
established. The table shows the number and proportion of registered organizations located in Sidoarjo District
(i.e., in the vicinity of the affected area) in 2013; 9.2% of the total number of NGOs were located in Sidoarjo, the
highest percentage among all categories of organization.

Figure 1. Registered Organizations in East Java Province

Source: East Java Provincial Government
Table 2. Responsibilities of the BPLS

Social Assistance
1. Supervising the provision of assistance by Lapindo
2. Monitoring and implementing the evacuation of mudflow victims
3. Providing social assistance (cash payments) based on presidential regulation 48/2008
4. Providing clean water for residents in the disaster area
5. Empowerment programs to improve the lives of displaced people
Social Protection
1. Supervising the sale and purchase of affected land and buildings
2. Monitoring and facilitating the provision of compensation for failed harvests
3. Compensating companies that have been forced to cease operating
4. Coordinating compensation for small and medium enterprises (SMEs)
5. Managing demonstrations and rallies
6. Managing displaced people relocated to New Market Porong
Social Recovery
1. Disseminating information and facilitating informal discussion
2. Conducting observation and gathering information
3. Managing education issues
4. Managing health issues
5. Managing emotional and spiritual problems
6. Empowering and providing skills training for victims
Source: Compiled by the author based on Richards (2011)
Table 3. Registered organizations in Sidoarjo Distric

Whole District Sidoarjo %
1. Religion-based organizations 38 2 5.26
2. Youth-related organizations 64 0 0.00
3. Women’s organizations 49 2 4.08
4. Professional organizations 100 3 3.00
5. Organizations structured around shared activities 78 3 3.85
6. Cultural organizations 18 1 5.56
7. NGOs 522 48 9.20
Total 868 59 6.80
Source: Compiled by the author based on documents provided by the East Java Provincial Government

NGO Assistance to Sidoarjo Victims
Based on interviews with local villagers and NGO staff members, we determined the disaster response activities
that organizations have engaged in. We asked interviewees to name organizations that had been important in
providing assistance to mudflow victims. Table 4 lists these NGOs and shows where these NGOs are
headquartered, what year they were established, and their focus.
As the table indicates, large-scale NGOs from outside the mudflow-affected area (for example, WALHI Pusat from
Jakarta) and small, community-based NGOs from near the affected area (such as Desantara, Lafadz) have both been
essential. Of the 17 organizations listed in the table, 7 are local organizations (4 from Surabaya and 3 from
Sidoarjo, East Java), and 10 are headquartered in large cities outside East Java (8 are from Jakarta in West Java, and
1 is from Yogyakarta in Central Java). However, the local organizations named by the interviewees were not on the
list of registered organizations, implying that these NGOs do not have formal status and have weak ties to the
government.
Certain organizations, like the Yakkum Emergency Unit, Posko Bersama Korban Lapindo, and Taruna Siaga Bencana,
specialize in disaster response and risk reduction. Taruna Siaga Bencana is an organization that was established by
the Ministry of Social Affairs to promote the interests of the government. Certain organizations have provided
assistance to victims since the start of the disaster, but are typically engaged in activities in other fields, such as
community development, environmental issues, and human rights protection. Organizations have disseminated
relevant information among affected people and other organizations; they have also advocated information
transparency regarding certain issues, such as water pollution in the affected area and delayed compensation
payments. Some organizations, such as Peruguruan Rakyat Merdeka and Jaringan Relawan Kemanusiaan, have
provided food at camps for displaced people.
Table 4. Active Organizations in Sidoarjo Disaster Response

Name Location Established Web- Profile (typical activity)
1 Urban Poor Consortium (UPC) Jakarta 1997 O Social issues NGO
2 WALHI Pusat Jakarta 1980 O Environmental issues NGO
3 WALHI Jatim Surabaya 1982 O Environmental issues NGO
4 Yakkum Emergency Unit (YEU) Yogyakarta 2001 O Disaster response, risk reduction
5 Situs Resmi Nahdlatul Ulama (NU) Surabaya 1926 O Religious (Muslim) organization
6 Muhammadiyah Surabaya 1912 O Religious (Muslim) organization
7 Taruna Siaga Bencana (Tagana) Jakarta 2004 O Social aid after disasters
8 Peruguruan Rakyat Merdeka (PRM) Yogyakarta - O Humanity and human rights
9 Jaringan Relawan Kemanusiaan (JRK) Jakarta - O Humanity and human rights issues
10 Posko Bersama Korban Lapindo Sidoarjo 2006 - Sidoarjo mudflow disaster issues
11 Lapis Budaya Surabaya - - Information transparency
12 Jaringan Advokasi Tambang (Jatam) Jakarta 1999 O Human rights, gender issues, envi-
13 Satu Dunia Jakarta 2004 O Information transparency
14 Air Putih Jakarta 2004 O Information transparency
15 Desantara Sidoarjo - O Social and human rights issues
16 Lafadz Sidoarjo - - -
17 Medialink Jakarta - O Information transparency
Source: Compiled by the author based on a survey conducted in 2013

One NGO, Posko Bersama Korban Lapindo, was established after the Sidoarjo mudflow eruption began. Posko
Bersama Korban Lapindo provides information to victims and informs the general Indonesian public regarding the
disaster; as one example, to help people move from villages affected by the mudflow, they are providing
information regarding the experiences of other villages. To support victims’ economic recovery, they have also
provided skills training regarding accessing information, writing, farming, and craft-making. The leader of Posko
Bersama Korban Lapindo was interviewed; in the interview, he indicated that his NGO has collaborated little with
the government, and that he perceived the BPLS as preferring to work independently, as other NGOs and local
groups did not work with them. However, he indicated that NGOs and local groups did exchange information
with the government: according to the leader, Posko Bersama Korban Lapindo occasionally gathered and
published information provided by local government bodies.
CONCLUSION
To increase the effectiveness of disaster management, how NGOs react to disasters is revealed in this paper
through the case of the Sidoarjo mudflow disaster. First, we investigated the history of NGOs in Indonesia. NGO
activities in Indonesia were limited under the Suharto regime. The role of NGOs in disaster mitigation was only
recognized in the aftermath of the Indian Ocean tsunami. NGOs in Indonesia have acquired the freedom to
engage in various activities since democratization, however, NGOs have mostly engaged in monitoring, rather
than cooperating with, the government.
Regarding disaster response, partnerships between the government and NGOs in Indonesia remain at an early
stage; difficulties remain regarding effective partnering. This case study reveals that partnering between NGOs
and the government remains weak. Although the number of NGOs registered in East Java Province increased once
the disaster began, active NGOs named by interviewees were not found on the list of registered organizations.
This implies that there are no benefits for NGOs to register. Furthermore, local NGOs were determined not to
cooperate with the government. Although local NGOs are actively involved in the disaster response for the
Sidoarjo mudflow, partnership between governments has not been ideal. The government must engage more in
communication with NGOs.
ACKNOWLEDGMENT
We would like to express our appreciation to the villagers and respondents for their kind support as this research
was conducted. This work was supported by JSPS KAKENHI Grant Number 24688023.
REFERENCES
Antlöv, H., Ibrahim, R., & van Tuijl, P. 2006. “NGO governance and accountability in Indonesia: Challenges in a
newly democratizing country.” NGO Accountability: Politics, Principles and Innovations, 4-5.
ADRC. 2012. “Information on Disaster Risk Reduction of the Member Countries: Indonesia.” Retrieved from
http://www.adrc.asia/nationinformation.php?NationCode=360&Lang=en&Mode=country
Araki, T. 2005. "Possibilities and Limitations for Networking NGOs in Indonesia." The Nonprofit Review, 2, 93-102
(in Japanese).
Fitrianto, A. R. 2012. "Shrimp Farmers’ Innovation In Coping With The Disaster (A Case Study In Sidoarjo Mud
Volcano Disaster Toward Shrimp Farmers’ Responses)." Procedia Economics and Finance, 4, 168-176.
Fitrianto, A. R. & Suryadi, H. 2012. "Supply Chain Risk Management in the Shrimp Industry Before and During
Mud Volcano Disaster: An Initial Concept." Procedia Social and Behavioral Sciences, 65, 427-435.
McMichael, H. 2009. "The Lapindo mudflow disaster: environmental, infrastructure and economic impact."
Bulletin of Indonesian Economic Studies, 45.1, 73-83.

Muhtada, D. 2008. "Ethics, economics and environmental complexity: the mud flow disaster in East Java." Systems
Research and Behavioral Science, 25.2, 181-191.
Putro, P. B. S. 2012. “Social and Economic Impact of the Sidoarjo Mudflow: Community Resettlement After
Disaster.” Master’s Thesis submitted to the Graduate School of Agricultural Science, Tohoku University,
Japan.
Richards, J. R. 2011. "Report into the Past, Present and Future Social Impacts of Lumpur Sidoarjo." Humanitus
Sidoarjo Fund Report.
Völz, C. 2005. "Humanitarian coordination in Indonesia: an NGO viewpoint." Forced Migration Review, 18, 26-27.
Wibisana, A. G. 2009, June 26. “Responsibility of the state in the mudflow disaster.” Jakarta Post. Retrieved from
http://www.thejakartapost.com/news/2009/06/26/responsibility-state-mudflow-disaster.html

FAILURE OF VILLAGE ADMINISTRATIONS AFTER DISPLACEMENT:
A CASE STUDY OF THE SIDOARJO MUDFLOW DISASTER, EAST JAVA, INDONESIA
Prasojo BAYU Suwondo Putro

Tohoku University
prasbayu@yahoo.co.id
Nina TAKASHINO
Tohoku University
ntakashino@bios.tohoku.ac.jp
ABSTRACT
On May 29, 2006, a mudflow inundated approximately 700 ha and displaced more than 13,000 households from 12 villages in
Sidoarjo, East Java, Indonesia. Despite the evacuation and continuing mudflow, 4 of the 12 villages have retained their
administrative functions. To provide proper civil administration to victims after the disaster, we need to study the villages’
administrations after displacement. This research investigates the administrative situations, focusing on civil rights and health
care access after displacement. We conducted interviews in 2013 and 2014 with the village heads in the disaster areas, as well
as government officers. Based on collected data, we examine (1) the present situation of village administrations after the
disaster; (2) the victims’ civil rights situation and health care access post-displacement; and (3) the role of governments in
dealing with the failure of village administrations. The data show that most victims were not able to use their voting rights
after they were displaced and also experienced insufficient health care access, which illustrated how governments failed to
support victims’ civil rights and health care access following the Sidoarjo mudflow disaster.
Keywords: civil, village, administration, voting, health care
INTRODUCTION
On May 29, 2009, a mudflow erupted near an oil and gas exploration site in Renokenongo village, Sidoarjo,
Indonesia. Twelve villages were inundated by a flow of hot mud and gas, causing significant asset loss (BPLS, 2009).
Seven villages were abandoned between 2006 and 2013, and most villages’ administration also collapsed. Failure
of the villages’ administration to disclose data regarding the situation negatively affected the villagers in Sidoarjo.
Inhabitants were forcibly displaced from their original villages to other areas, are did not have a clear sense of civil
status after displacement. For example, the victims could not access free health care and faced difficulties when
going to public facilities such as banks. Indonesian government institutions deferred to the local administration,
because a general administrative status was unclear. This is an example of human insecurity impact after a disaster.
The Sidoarjo mudflow disaster is a representative case study to examine the various impacts of administrative
failure, which, in this case, caused both personal and health insecurity, two of the seven components that comprise
humans’ sense of security.
This study investigates the villages’ administration failures that led to personal insecurity (civil rights) and health
insecurity (health care access) among villagers in the Sidoarjo mudflow disaster area. Most previous studies on this
mudflow focus only on the geological aspects—process, technical, and spatial—rather than the failure of these
villages’ administration. The most closely related study of the Sidoarjo mudflow to social and economic issues is
reported in the mudflow’s impacts on environment, logistic networks, and economic and business sectors (Mc.
Michael, 2009).
This study aims to identify problems caused by village administration failure after resettlement, which led to civil
rights and health care access threatened among Sidoarjo mudflow’s victims, and to extract lessons for improving
future countermeasures of resettlement initiatives. This paper, therefore, will investigate the villagers’ situations
specific to their political security and health security after the Sidoarjo mudflow’s disaster displacement. Our
objectives are as follows:

Prasojo Bayu Suwondo Putro and Nina Takashino
 Investigate the village administration failure

 Reveal the personal insecurity of villagers, particularly in regard to civil rights after resettlement
 Reveal the health insecurity of villagers, particularly in regard to health care access after resettlement
 Investigate the role of governments to address villages’ administration failures.
This paper is organized in the following manner: An overview and sample of our methodology is provided in Section
2. An overview of village administration failures is provided in Section 3. The present situations of victims are
summarized in the Section 4, and the summary and conclusions are provided in the Section 5.
METHODOLOGY: SAMPLE AND OVERVIEW
Data were collected between October 2013 and March 2014. The first round of the survey required conducting
interviews with the following related institutions and people: Local governments (East Java province and Sidoarjo
district); BPLS (Sidoarjo Mudflow Mitigation Board) officer; and Community group leaders, non-governmental
organizations (NGOs), and victims at the resettlement area in Sidoarjo.
The second round of the survey was conducted by distributing a questionnaire to 155 respondents (108 victims and
47 non-victims) that were randomly chosen from the Sidoarjo district disaster area. It was necessary to cooperate
with NGO staff and the local community because victims’ addresses are difficult to identify after resettling in a new
area. Table 1 provides detail on the sample taken. This survey focuses on the abandoned villages’ administration
failures after the mudflow disaster, and the government’s attempts to mitigate these failures.
Table 1. Sample overview
No. Description Detail Number

1 Sex M 130
F 25
2 Age <30 15
30< 140
4 Job Civil servant 1
Farmer 4
Trader 2
Privately employed 23
Self-employed 113
Laborer 3
Retired 1
Unemployed 8
5 Education Elementary school 52
Junior high school 45
High school 55
University 3
6 Average income 2005 (before mudflow) 113.6 USD
2013 111.7 USD
Source: Created by the author from survey data, 2014 .
VILLAGE ADMINISTRATION FAILURE AFTER MUDFLOW DISASTER FORCED DISPLACEMENT
Some experts believed that Lapindo’s gas exploration activities were the main trigger of this mudflow (Davies,
2007). Government officials required Lapindo to purchase the victims’ land assets as a form of compensation,
resulting in the displacement of 13,000–20,000 households (Richard, 2011). Governments never received access
to the data of those victims. As such, after the disaster, scattered resettlement victims experienced difficulty in
locating friends and loved ones because the data of these victims’ new addresses, for example, were never
reported to local village administrators.

It is believed that many more unofficial resettlement areas remain unidentified by governments. The severity of
unsuitable living conditions after the disaster required communities to resettled as soon as possible, without
considering amenity factors of their new locations (Putro, 2012).
Abandoned Villages
Between 2006 and 2013, the mudflow continually increased its affected area, from 360 ha in 2006 to 640 ha in
2013 (now protected by a boundary dam), and has also spread to affect approximately 300 ha outside the boundary
dam in the form of land subsidence, bubble gas, and other occurrences that make an area unsuitable for human
living. The total affected area of mudflow as of 2013 is shown in Table 2.
Table 2. Area and population affected by Sidoarjo mudflow (BPLS, 2013)

Total area and population Affected area and population
No Sub district Village
Area (ha) HH Popul Area (ha) HHs Popul
1. Porong Mindi 63.41 1,339 4,377 63.41 1,339 4,377
2. Siring 74.97 925 3,078 74.97 925 3,078
3. Jatirejo 94.49 1,164 5,026 94.49 1,164 5,026
4. Glagaharum 165.60 1,375 6,646 10.02 408 1,649
5. Renokenongo 195.40 1,325 4,724 195.40 1,325 4,724
6. Tanggulangin Kalitengah 2,980 9,254 3 23 150
7. Ketapang 1,281 4,878 134.45 1,281 4,878
8. Gempolsari 1,300 4,415 6.57 121 361
9. Kedungbendo 5,784 21,993 156.60 5,784 21,993
10. Jabon Besuki 166.48 1,221 4,820 166.48 1,221 4,820
11. Kedungcangkring 120.80 1,142 3,853 24 0 0
12. Pejarakan 44.84 517 1,700 26.50 0 0
1,491.4 20,353 74,764 955.9 13,591 51,056
Source: Human Relationship Division of BPLS (2013), summarized by the author
As of August 2013, the total affected area from the mudflow eruption is 955 ha out of 1,491 ha (64%), which
resulted in the forced displacement of 13,591 households from their original villages. Seven of twelve villages
completely left their original locations, abandoning houses and land, and forfeiting their social capital and civil
rights as villagers.
Village Administration Failure
A village is considered the lowest level of administration that manages the village’s affairs related to natural
resources, commerce and trade, public service (e.g., education, health), agrarian matters, and population. Most
administrative activities within a village are related to the identity and personal data, health care, and land
administration. After the Sidoarjo mudflow disaster, several villages were forced to move their administration
offices to another area and abandon their villages’ assets. The author of this study collected data on the poor
population of the Sidoarjo regency in 2013. Table 3 shows the number of poor in the mudflow disaster areas of
Porong, Tanggulangin, and Jabon sub-districts, using data summarized from the TKPK Sidoarjo (Sidoarjo Regency’s
Team for Poverty Allegation), BNPB (National Board of Disaster Mitigation), and BPS (National Statistic Agency).
The data in Table 2 and Table 3 show inconsistencies and data failures of severe decrease in population in the
following areas: Siring, Jatirejo, and Renokenongo villages within the Porong sub-district; Kedungbendo village in
the Tanggulangin sub-district; and Besuki village in Jabon sub-district. For example, Renokenongo village is one of
the villages that was abandoned after the mudflow disaster and was forced to move its administration office to
another area. BPLS data (Table 2) show that the population in Renokenongo village was comprised of 1,325
households before the mudflow, whereas the summarized data from TKPK Sidoarjo, BNPB, and BPS in Table 3
shows that the population in Renokenongo is 0. Survey results also confirmed this data failure, in which all
respondents that originated from Renokenongo (66 of 155 respondents) should still be registered as Renokenongo
villagers. Data delivered by government institutions should show the same figures. Table 3 data, however, differ
from the BPLS data (i.e., the institution obliged to manage mudflow disaster).

Table 3. Households and poor people in three affected sub-districts (data from BNPB, BPS, TKPK Sidoarjo).
Porong Tanggulangin Jabon

No.
Villages HH Poor Villages HH Poor Villages HH Poor
1 Kebonagung 1,275 491 Randegan 1,129 283 Panggreh 921 335
2 Porong 1,261 376 Kedensari 1,693 220 Trompoasri 1,137 918
3 Mindi* 1,237 136 Kalisampurno 2,233 248 Kedungrejo 1,110 487
4 Jatirejo* 166 31 Ketapang* 1,018 125 Kedungpandan 1,132 899
5 Renokenongo* 0 0 Kd. bendo* 16 6 Semambung 660 331
6 Glagaharum* 1,037 318 Gempolsari* 1,053 251 Kupang 946 590
7 Plumbon 247 71 Sentul 688 138 Tb. Kalisogo 552 337
8 Siring* 175 36 Penatarsewu 659 198 Balongtani 644 133
9 Gedang 1,420 182 Banjarasri 542 135 Jemirahan 648 178
10 Jwt Kenongo 1,143 84 Banjarpanji 360 132 Dukuhsari 1,058 270
11 Kedungsolo 1,120 321 Kd. banteng 690 196 Kd. cangkring* 1,046 348
12 Kebakalan 375 280 Kalidawir 869 301 Pejarakan* 360 22
13 Kesambi 1,147 560 Putat 749 411 Besuki* 680 234
14 Pamotan 1,040 439 Ngaban 1,116 331 Keboguyang 1,121 528
15 Wunut 1,151 379 Kalitengah* 3,296 199 Permisan 311 183
16 Candipari 929 347 Kludan 1,090 175
17 Lajuk 1,156 669 Boro 1,077 117
18 Kedungboto 499 196 Ketegan 1,141 210
19 Pesawahan 569 317 Gg. Panjang 1199 286
20,61 3,96
Total 15,947 5,233 8 2 12,326 5,793
Source: Created by the author based on survey data, 2013.

Note: * identifies the villages affected by the Sidoarjo mudflow.
The affected villages depend on data from the higher level of government, and this example of data inconsistency
is the first step to the failure of villages’ administration after the disaster. For example, if the population and poor
people data in Table 3 are unavailable, the validity of voters’ candidates and villagers’ access to free health care
services is compromised. The heads of four abandoned villages claimed that their villages’ social and economic
climates collapsed after the mudflow erupted. Villagers loss their assets, were separated from relatives and
neighbors, and lost public facilities and other amenities that were previously available.
Village administrators also lost their assets and important documents, which caused the collapse of basic village
administration services. Village administrators’ salaries come from village asset exploitation (e.g., paddy fields or
and other farmlands, and other villages’ assets usage). Loss of these assets results in administrators going unpaid,
though most administrators moved to other villages and cities after the disaster. Only a small number of village
administrators remained in the disaster area. Since then, the loss of village assets, the lack of human resources,
reduced budgets, and lack of civil identity of the villagers led to the failure of the villages’ administration.
PRESENT SITUATION OF SIDOARJO MUDFLOW DISASTER VICTIMS
Voting Rights
The right to vote is one of the personal rights stated in Article 21 of the Universal Declaration of Human Rights that
should be protected by the government. Tables 4 and 5 show the field survey results of 155 respondents regarding
the application of voting rights.

Table 4. Voting rights situation among mudflow victims

No. Description Detail 2004 2004 2005 2008 2009 2009 2010 2013
Apr Jul Apr Jul
1 Attend to vote Y 94 94 95 96 90 96 91 81
N 10 10 10 10 16 10 15 19
n.a 4 4 3 2 2 2 2 8
2 Place of vote Old village 95 95 94 47 46 44 38 40
New place 5 5 6 15 15 19 66 67
Refugee camp 0 0 0 44 45 44 3 0
n.a 8 8 8 2 2 1 1 1
3 Institution that Village 11 18 15 14 15 15 14 12
notifies individuals Election institution 83 82 84 89 88 88 85 89
to vote Other 3 3 3 3 2 2 1 1
n.a. 11 5 6 2 3 3 8 6
4 ID shown to vote New ID 11 11 11 11 13 11 10 14
Old/Expired ID 82 82 82 83 80 82 84 77
Other certificates 9 9 9 12 12 13 12 11
n.a 6 6 6 2 3 2 2 6
Source: Created by the author from survey data, 2014.
Table 5. Voting rights situation among non-victims

No. Description Detail 2004 2004 2005 2008 2009 2009 2010 2013
Apr Jul Apr Jul
1 Attend to vote Y 45 45 46 47 47 46 44 31
N 1 1 1 0 0 1 3 14
n.a 1 1 0 0 0 0 0 2
2 Place of vote Old village 45 45 46 45 45 45 45 44
New place 0 0 0 2 2 2 2 2
Refugee camp 0 0 0 0 0 0 0 0
n.a 2 2 1 0 0 0 0 1
3 Institution that Village 10 10 11 12 13 13 17 17
notifies individuals Election institution 34 32 34 32 33 33 29 27
to vote Other 1 2 1 1 0 0 0 0
n.a. 2 3 1 2 1 1 1 3
4 ID shown to vote New ID 40 40 41 42 42 41 41 38
Old/Expired ID 4 4 4 4 4 5 5 6
Other certificates 0 0 0 0 0 0 0 0
n.a 3 3 2 1 1 1 1 3
Tables 4 and 5 illustrate the difference in voting rights between victims and non-victims before and after the
Sidoarjo mudflow. Generally, the number of citizens who attend voting occasions is relatively stable each year, with
the exception of non-victims in 2013, where there was a rapid decrease in voters from the previous period of 2010
(-29.5%). Place of voting varies, from old village or new place, to refugee camp. The voters that remained in their
original villages in 2008 decreased 50% compared to the election in 2005. Most of them voted at refugee camps in
2008 and 2009, but since 2010, they have voted at their new resettlement areas.
The notification system was not conducted well for either victims or non-victims. For example, some villagers were
not notified about voting specifics from the Election Commission Komisi Pemilihan Umum [KPU]). Approximately
20% of villagers were notified by their village office or other information sources (e.g., neighbors, community
group) instead of by KPU, the official voting commission. How and why the villagers vote without notice from KPU is
unknown. After being notified, voters must show an ID card or other documents at their designated voting spot. In
this survey, the author has divided ID types as follows: new ID card, old/expired ID card, and other documents (e.g.,
letter from village office).

This survey shows that the average number of old/expired ID card and other certificates comprising more than
85% of total respondents’ method of identification.
In most cases, the villagers had already been living in resettlement areas since 2008, making their old identity/
status invalid, as they did not report their new location to the old authority. Where they live now is still unknown,
according to the election commission. On the other hand, it would be understandable if the large number of old/
expired ID cards and the other certificates resulted after the forced displacement. This large percentage, however,
appeared every year and was relatively stable. How and why the village administrators did not notice that most of
its citizens were holding old/expired IDs is unconfirmed.
Health Care Situation
Starting January 1, 2014, Indonesia changed its health insurance to a system called JKN (National Health
Insurance). It requires all Indonesian citizens, including foreigners who work in Indonesia, to have this insurance.
The previous insurance system was not mandatory, resulting in many citizens who did not have insurance, even if
they could afford the coverage. The problem with this obligatory system is that the free subsidy for the poor is
based on official population data, which is not well-maintained. The field survey in March 2014 interviewed 155
households about the health care situation before and after the mudflow disaster (2004-2013). Results are shown
in Table 6.
Tables 6 and 7 illustrate the differences in health care between victims and non-victims before and after the
Sidoarjo mudflow. Generally, sickness in villagers increased for both victims and non-victims that lived near the
mudflow disaster area (i.e., a radius of 1–5 km). The relationship of housing locations to the increase in health
cases is unconfirmed. Regarding the payment/facility, the self-payment method increased slightly during the
period 2006–2009, and rapidly increased from 2010–2013. During 2006–2008, most respondents were still in
refugee camps, and they resettled in late 2009. Even if the self-payment number increased after the resettlement,
the connection between resettlement and the increase in self-payment is unconfirmed. This study also collected
the disease cases among respondents. The two most common diseases among victims were influenza (19.4%) and
others (12.5%). The two most common diseases among non-victims were others (31.6%) and fever (17.0%). There
was also a psychological/depression case, but the correlation of this case to the mudflow impact is unconfirmed.
Table 6. Health care situation among mudflow victims.
No. Description Detail 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
1 Frequency of Never 54 58 51 50 52 39 33 27 24 25
sickness/ year 1-12 45 38 44 46 46 62 65 66 59 53
12< 2 2 4 3 5 3 7 12 23 20
n.a. 7 10 9 9 5 4 3 3 2 10
2 Annual cost Free 13 13 13 14 18 15 14 18 18 14
<100 USD 39 32 40 38 39 52 57 57 46 40
100 USD< 1 1 1 1 1 1 5 7 21 22
n.a 55 62 54 55 50 40 32 26 23 32
3 Payment/ Insurance 26 20 26 21 25 28 31 33 28 27
Facility Poor certificate 5 2 3 6 2 4 1 2 6 3
Self-payment 28 28 30 30 35 39 46 49 53 51
n.a 49 58 49 51 46 37 30 24 21 27
4 Disease cases Headache 9 4 5 5 6 8 15 11 9 7
Fever 7 5 8 4 6 8 9 11 5 8
Influenza 25 24 22 20 22 25 26 21 17 8
Respiratory 0 0 0 1 2 0 1 2 5 4
Depressed 0 0 0 0 0 0 0 0 0 0
Others 10 18 16 21 15 10 0 6 15 24
n.a 57 57 57 57 57 57 57 57 57 57

Table 7. Health care situation among non-victims.
No. Description Detail 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
1 Frequency of Never 23 23 25 27 24 18 19 17 16 18
sickness/ year 1-12 16 18 18 16 20 27 24 24 25 20
12< 2 3 2 3 3 2 3 6 6 6
n.a. 6 3 2 1 0 0 1 0 0 3
2 Annual cost Free 10 10 11 9 12 10 11 15 16 14
<100 USD 16 18 28 18 20 30 32 24 30 26
100 USD< 1 0 0 0 0 0 1 0 1 1
n.a 20 19 8 20 15 7 3 8 0 6
3 Payment/ Insurance 7 11 9 8 12 14 16 15 16 17
Facility Poor certificate 3 3 5 5 5 7 6 6 7 5
Self-payment 5 6 6 6 7 7 7 9 8 6
n.a 32 27 27 28 23 19 18 17 16 19
4 Disease cases Headache 3 5 3 2 2 2 1 2 1 1
Fever 5 4 8 6 8 8 9 4 6 5
Influenza 4 2 2 1 1 2 2 2 2 1
Respiratory 1 1 1 2 3 3 3 3 3 4
Depressed 0 0 0 0 0 0 1 1 1 1
Others 6 10 7 9 11 14 10 18 18 14
n.a 28 25 26 27 22 18 21 17 16 21
Regarding the new insurance system, mudflow victims were especially worried about experiencing difficulties in
accessing care. The field survey interview reveals the slow response when villagers (especially those from the
abandoned villages) requested a poor certificate from the village and sub-district office. The old system required
the poor to obtain a certificate to get free health care services at hospitals or other facilities. In the new system,
however, all data will be integrated, and all registered citizens will get a membership card to show at health care
facilities before receiving services. The data of the poor, however, is not well-managed by the government (see
Section 3), and if the data has not been verified in the system, they may not be able to access these free health
care services.
Government Action
Countrywide government regulation allows district governments to abolish certain villages from the district and
sub-district administration if they are deemed “infeasible.” For a village to be considered feasible, it has to meet
the following criteria: the population is at least 300 households; village’s area is reachable; village is connected to
another village; the social capital among villagers is maintained; village has potency of natural and human
resources; and village has a clear border that shown on an official village map.
Based on these criteria, the abandoned villages from the mudflow disaster are feasible to abolish by law, because
no (or few) villagers lived there, the villages are often unreachable, and village borders have disappeared under the
mudflow. The villages have no authority to abolish themselves; rather, the local parliament and the Regent of
Sidoarjo must agree on the abolishment of villages. Abolishment or mergers, however, are problematic for victims
because the compensation installment process between victims and Lapindo is still unfinished. Administratively,
the victims still need to retain their original village status until the process finished.
Survey results show that 108 of 155 respondents who attempted to claim an identity card for their new village
were rejected. Voting rights for victims are also affected by these rejections, as voter candidates’ data could
remain unverified, leading to denial of voting rights. Well-managed population data are also useful in health care
services, particularly on the data of poor people as the predominantly recipient candidates of the free health care
services.

CONCLUSION
This paper reviewed the failure of villages’ administration, as well as voting rights and health care issues for victims
of the Sidoarjo mudflow disaster in the post-resettlement period. Field research on these topics revealed the
following:
1) The mudflow disaster forced villagers to resettle in new areas, resulting in a collapse of the villages’
administration, and a loss of public services for villagers.
2) Most of the mudflow disaster’s victims were not eligible to vote because the election authorities could not
confirm or register their identities after resettlement.
3) Third, survey results show that most villagers still need insurance or other health service facilities to support
their health care, especially poor people who depend on the government subsidy. They are also worried that
the new system will not provide health care access for the poor, again due to substandard data management.
4) The only way to develop better village administration after the mudflow disaster is to merge or abolish the
affected villages. The villages, however, do not have the authority to abolish or to merge by themselves, and
victims administratively need to retain their original village status until the compensation process with Lapindo
is finished. Therefore, local parliament and regencies need to wait until the compensation payments are
finished before abolishing or merging villages that are deemed infeasible.
These facts reveal that personal, political, and health insecurities were caused by the failure of village
administration after the Sidoarjo mudflow disaster. As only a small number of victims were identified by authorities
after the disaster (i.e., with most still unidentified), population data on victims is unconfirmed, which affects voting
rights and health care access for the community, especially the poor.
ACKNOWLEDGMENT
We would like to express our appreciation to Mrs. Siti, Ms. Farida Hudanti, Mr. Timan, villagers and respondents for
the kind support during the conduct of this research. This work was supported by JSPS KAKENHI Grant Number
24688023.
ENDNOTES
1
Author’s survey result in 2013.
2
http://surabaya.tribunnews.com/2013/10/30/penghapusan-desa-lumpur-di-sidoarjo-terganjal-aturan-depdagri.
3
Author’s survey result in 2013.
4
Human Security has seven components: (1) Economic Security, (2) Food Security, (3) Health Security, (4) Environmental Security, (5) Personal
Security, (6) Community Security, and (7) Political Security (UN, 2009).
5
Interview with several villages head and community on March 2013.
6
Correspondence with BPLS officer on January 2014.
7
Interview results from Mr. Jemain (Siring village head), Mr. Subakhri (Renokenongo village head), Mr. Abdul Manaf (Jatirejo village head), and
Mr. Asrol (Mindi village head), on October 16, 2013.
8
Everyone has the right to take part in the government of his country, directly or through freely chosen representative;
- The will of the people … shall be expressed in periodic and genuine election …, and shall be held by secret vote or by equivalent free
voting procedure.
9
Interview with Human Relationship Division of BPLS. 2013
http://surabaya.okezone.com/read/2013/03/13/521/775086/66-ribu-korban-lumpur-lapindo-terancam-tak-bisa-nyoblos.
10
Law Number 40 year 2004 concerning of National Health Insurance (JKN).
11
Author has divided disease cases into six cases categories: headache, fever, influenza, respiratory problem, psychological problem/
depressed, and other diseases (e.g., hypertension, dengue, types, diabetes, stomachaches or diarrhea, physical injures)
12
Interview results from Mbak Har, group leader of “Ar-Rohmah,” on October 6, 2013.
13
Interior Affairs Minister’s regulation No. 28 year 2006 regarding of Formation, Abolition, and Change of Village’s Status.
14
Interview result with Mr. Jemain (Siring village head), Mr. Subakhri (Renokenongo village head), Mr. Abdul Manaf (Jatirejo village head), and
Mr. Asrol (Mindi village head), on 16 October 2013.

REFERENCES
BNPB, BPS. “Data dan Informasi Bencana Indonesia” (Data of Indonesian Disaster). Retrieved from dibi.bnpb.go.id.
BPLS (Sidoarjo Mudflow Management Board). 2009. “Strategic Plan of 2010-2014”. BPLS. Surabaya. vii, 156pp. (in
Indonesian)
Davies, Richard. J. 2007. “Birth of a mud volcano: East Java, 29 May 2006.” GSA Today: v. 17, no. 2, 1-6pp.
Davies, R. et al., Sarwono et al. 2010. “The mud volcano controversy: Was it caused by drilling?” Marine and
Petroleum Geology, doi: 10.1016, 1-7pp.
Law No. 40 Year 2004 Concerning National Health Insurance (JKN). Government of Indonesia.
McMichael, Heath. 2009. “The Lapindo Mudflow Disaster: Environmental, Infrastructure and Economic Impact.”
Bulletin of Indonesian Studies, vol. 45, no. 1, 2009: 73-83.
Putro, Prasojo Bayu S. 2012. “Social and Economic Impact of The Sidoarjo Mudflow: Community Resettlement After
Disaster.” Master Thesis. Graduate School of Agricultural Science. Tohoku University, Japan.
Regulation No. 28 Year 2006 Regarding Formation, Abolition, and Change of Village’s Status. Interior Affairs
Minister.
Regulation No. 72 Year 2005 Concerning Village. Government of Indonesia.
Richard, J.R. 2011. “Report into the Past, Present and Future Social Impacts of Lumpur Sidoarjo.” Humanitus.
Melbourne, Australia. 162pp.
TKPK Sidoarjo (Sidoarjo Regency’s Team of Poor Allegation). “Poor People Data of Sidoarjo Regency.” Retrieved
from www.tkpksidoarjo.go.id (March 2013).
United Nations. 2009. “Human Security in Theory and Practice.” Application of the Human Security Concept and
the United Nation Trust Fund for Human Security. 79pp.
United Nations General Assembly. 1948. “Universal Declaration of Human Rights.” 8pp.

MUTUAL HELP AMONG SMALL-SCALE FARMERS IN LAO PDR:
CASE STUDY OF A VILLAGE IN VIENTIANE PROVINCE
Yoichi Shimano
University of Tsukuba/Japan International Research Center for Agricultural Sciences, Japan
shimanoyoichi@affrc.go.jp
Masuo Ando
Japan International Research Center for Agricultural Sciences, Japan
amasuo@affrc.go.jp
Roger Khamphet
National Agriculture and Forestry Research Institute, Lao PDR
rogerkhamphet@yahoo.com
ABSTRACT
Mutual help among villagers plays an important role in coping with risk and resource scarcity in rural societies in developing
countries. This reciprocal cooperation includes food sharing, borrowing/renting contracts of money and in-kind, and exchange
of resources such as labor. However, this study determines the structure and logic of these assistance activities, identifying how
mutual assistance is formulated within and without family networks in rural communities in a semi-mountainous region of Lao
PDR. Our data are based on fieldwork and in-depth interviews conducted in a village where the cultivation of paddy and upland
rice is the main occupation. We found that during the peak labor season, the formation of groups for sharing labor largely
depends on the choice of crop site and its proximity to other farmers’ crop sites. It also depends on the available labor force
and degree of kinship. However, in renting/borrowing rice to cope with temporary shortages, the formation of mutual help
groups differs from that of labor exchanges. Furthermore, we found that conditions are not always better for borrowing from
relatives than from non-relatives.
Keywords: Lao PDR, network, mutual help
INTRODUCTION
The commercialization of agriculture has recently been disseminated to rural areas of Lao PDR. Since the 1990s,
when shifting cultivation was formally prohibited in protected areas, some farmers have introduced cash crops or
engaged in non-farm employment. However, capital and labor constraints as well as limited access to fertile land
have made it difficult for farmers to transform subsistence agriculture into commercialized agriculture.
In these rural areas, mutual help among villagers plays an important role in coping with risk and resource scarcity.
This reciprocal cooperation includes food sharing, borrowing/renting contracts of money and in-kind, and
exchange of resources such as labor. Specifically, agricultural labor exchange is the most common form of
cooperation at the household level (Ireson 1996). For example, during the peak rice production season, labor is
exchanged to ensure smooth rice production processes. In terms of consumption, borrowing or sharing rice is an
important form of mutual help. In Lao PDR, rain-fed rice production accounts for a large proportion of the total.
However, productivity is not stable, and rice borrowing and sharing are important for coping with temporary and
seasonal deficit of rice for consumption.
Considerable discussion has focused on whether mutual help depends on relatives and neighbors. However, recent
studies indicate other factors impacting mutual help. Yoshino (2014) stated that proximity of residences is an
important factor in labor exchange. In addition, Tu and Bulte (2010) stated that trusted households are more likely
to participate in labor markets than to use a labor exchange system. Thus, it is important to consider that the
structure and logic of mutual help differs according to the contexts of mutual help situations.
In this study, we examine two types of mutual help, labor exchange/help and rice borrowing/renting, and indicate
how they mutual help are formulated and overlapped. From the perspective of family relationships, labor
exchange/help and rice borrowing/renting are expected to have a similar structure. By focusing on the differences
between the two mutual help structures, we reconsider the reasons for these differences and identify the
motivation behind each mutual help situation.

Yoichi Shimano et al
METHOD
Village Information
The village in our study is located in the rural mountainous area of Vientiane Province, which is characterized by
plateau and mountainous areas. The mountainous area has few paddy fields, and cash crops are harvested to
substitute for shifting cultivation, which is declining; however, some villagers still engage in upland rice production
to achieve self-sufficiency.
The village has 140 households (2013), a large proportion of which engage in upland rice production. Few
households harvest cash crops. The lowland areas surrounding the residential area are suitable for paddy fields;
however, these do not meet the villagers’ demand. In addition, since the 2000s, when the number of immigrants
increased, it has become difficult to find suitable land for paddy rice production.
While some households immigrated with their relatives, there is no large kinship or clan group in the village. There
are about 20 households in early 1990s. Afterward, the number of household has increased rapidly by new
immigrants and marriages between villagers. Thus, the kinship relationship is not so tight compared to other
traditional communities in Laos. They form loosely linked networks which includes close friends called hak pheng
kan, This network is one of the base relationship for mutual help or reciprocity.
Two religions are practiced in the village: Lao lum and Khmu. Most migrants are Khmu, people from northern Lao
PDR, where shifting cultivation was the primary farming activity. After shifting cultivation was prohibited, some of
them started seeking non-agricultural work. However, some continued rice production in other areas to maintain
their traditional farming methods. In contrast to the Khmu, the Lao lum are likely to engage in paddy production,
and some of them, too, came from other regions, hoping for opportunities to hold paddy land in the village.
The major source of income for farmers is rice sales. In addition, some farmers harvest cash crops including Job’s
tears, cassava, corn, and rubber trees. Vegetables and fruits are also harvested in gardens or around upland rice
fields. However, farmers who do not have access to adequate land do not have the opportunity to earn income
from sales. Furthermore, selling non-timber forest products (NTFPs) harvested near the mountain is another
important source of income.
Analysis
Using data collected from an interview survey of villagers, we identified how mutual help for labor and rice is
formulated within and outside family networks. First, we analyzed the relationship between rice production type
and labor exchange/help and rice borrowing. Second, we analyzed overlapping relationships between labor
exchange/help and rice borrowing. Rice producing farmers were classified into three types: (i) only paddy, (ii) only
upland, and (iii) paddy and upland. This categorization indicates how rice production type influences the formation
of mutual help.
It is also important to define the term “relative” when examining mutual relationships between households. In Lao
PDR, a relative is referred to as phi-nong. However, phi-nong has several definitions. In this study, it is defined as a
blood relative within two degrees of kinship. By distinguishing mutual help activities according to relatives or non-
relatives, the need to examine incentives for mutual help becomes clear.
Survey
The data for this study were collected from in-depth interviews conducted in September 2013 and January 2014.
There were 140 households in this village as of January 2013. Of these, 17 were not available for data collection at
the time of the survey: in 12 households, parents work in the urban area near Vientiane Capital; three households
had relocated; and two live with another household. Thus, data collected from 123 households were analyzed in
this study.

Household Characteristics
Table 1 presents the major characteristics of households. The ratio of non-farm employment (0.74) indicates that
in 2013, members of 74% of village households, including those who worked away from home for a long time,
engaged in non-farm work such as carpentry, road construction, guano gathering, well digging, and logging in the
village or in outlying villages. This ratio includes households with migrant workers in urban areas. Working away
from home is not taken by core adult members, but children of working age in the family. In addition, 7% of the
villagers are self-employed. This includes people who manage their own businesses such as vehicle repairs, retail
shops, and rice mills, as well as public workers such as village officers, teachers, police, and army members.
Furthermore, 37% of households own tractors.
Table 1. Household characteristics
(N = 123) Average SD Range

No. of members (persons) 5.64 1.98 2-13
Age of head 40.52 12.57 23-91
Ratio of non-farm employ- 0.74 0.44
0-1
Ratio of self-employed 0.07 0.25 0-1
Ratio of tractor holder 0.37 0.49 0-1
Source: 2013 Survey
Agricultural Landholding
Table 2 shows rice production and livelihood by harvesting type in 2013. The upland area was calculated on the
basis of the amount of rice seed for planting. According to villagers’ practices, we assume that 60 kg of seed is
needed to plant 1 ha of land. Most of the 123 households engaged in rice production in 2013. Eight households
did not produce rice, which can be attributed to some households engaging in non-farm work or not having
sufficient labor for rice production. The number of households planting only paddy rice was 27, lower than that of
upland farmers. The average paddy area was 0.94 ha, similar to that of type (iii) farmers. However, type (iii)
farmers also planted 1.16 ha of upland rice, meaning their total planted area was larger than that of type (i). This
suggests that type (i) farmers produced rice for self-sufficiency and likely relied on income from non-farm
employment or self-employment. Compared with the area for those who planted paddies, the area for upland rice
production for type (iii) farmers was larger. Non-farm activities are also important for paddy and upland rice
farmers. Although these households planted rice over a larger area, they engaged in non-farm work for income.
However, there were few self-employed or public officers in this village.
Table 2. Rice production by harvesting pattern in 2013
Planted area 2013 Non-farm activity (No. of HH)
No. of HH Self-employed/
Paddy Upland Daily labor
official
(i) Paddy 27 0.94 0 17 (63%) 5 (19%)

(ii) Upland 59 0 2.22 42 (71%) 1 (2%)
(iii) Paddy + Upland 29 0.83 1.16 25 (86%) 1 (3%)
No 8 0 0 7 (88%) 1 (13%)
Total 123 0.40 1.34 91 (74%) 8 (7%)
Source: 2013 Survey. Note: HH - Harvesting-type households.

RESULTS
Labor Exchange/help and Landholding
Table 3 indicates mutual help for labor by household type. We classified mutual help for labor into labor exchange
and labor help. Labor exchange basically requires an equal exchange of people and days. On the other hand, some
households helped others at no charge and with no requirements. This could include free meals, although most
people state that labor is provided at no cost. We define this relationship as labor help.
Table 3. Mutual help between households for rice production
Labor exchange Labor help
Relative Others Both No Total Relative Others Both No Total

(i)
Paddy 11 6 6 4 27 15 7 2 3 27
(ii)
Upland 2 17 36 4 59 27 5 3 24 59
(iii) Paddy + Up-
1 7 20 1 29 15 5 5 4 29
Total 14 30 62 9 115 57 17 10 31 115
Source: 2013 Survey
Labor exchange and help are significant in both paddy and upland rice production; however, differences between
the two are evident. While the proportion of households providing labor help was high for all types of production,
labor exchange in upland paddy farmers depends highly on non-relatives. Upland rice production is labor intensive;
therefore, labor exchange does not take place only between relatives.
Rice Borrowing and Landholding

Table 4 illustrates rice borrowing and renting relationships between households. Some households rented rice to
relatives or acquaintances outside the village. However, as it is no so dominant, this study focused only on inter-
household renting in the village. While most households engaged in rice production, about a half of them
borrowed rice from others. Specifically, type (ii) farmers borrowed more rice than did other groups. They
harvested upland rice from December, later than the paddy rice harvest. In addition, it took longer to transport the
rice to the residential areas. Thus, type (ii) farmers were more likely to face a rice deficit, although their average
area for planting rice was larger than that for other types (Table 1). As they harvest both upland and paddy rice,
fewer type (iii) than type (ii) households borrowed rice. Furthermore, relatives did not regulate kinship
relationships with regard to rice borrowing/renting. Regardless of type of harvesting, various relationships formed
between each household.
Table 4. Rice borrowing/renting relationships between households
Rice borrowing Rice renting
Relative Others Both No Total Relative Others Both No Total
(i) Paddy 2 4 1 20 27 1 9 1 16 27
(ii) Upland 7 20 12 20 59 11 10 5 33 59
(iii) Both 2 6 3 18 29 6 10 7 6 29
Total 11 30 16 58 115 18 29 13 55 115
Source: 2013 Survey

Mutual Help for Rice and Labor

Table shows correlated relationships with regard to labor exchange/help and rice borrowing/renting. Households
who exchanged labor only with non-relatives were likely to borrow rice from non-relatives (13 households). Of
these, 11 had relatives in the village. Thus, while their relatives stayed in the same village, they did not rely on
them. Conversely, households who exchanged labor with both relatives and non-relatives demonstrated a more
flexible rice borrowing pattern. However, some borrowed rice only from relatives and others only from non-
relatives. Thus, it can be assumed that the extent of labor exchange increased rice borrowing options .
We can compare the source of dependency of rice borrowing on between labor exchange and help relationships.
For the farmers depending on help from their relatives, they have dispersed source of borrowing of rice. In other
words, the extent of the rice borrowing network is larger than that of the relative network. Helping at no charge is
based on mutual faith. Furthermore, the peak rice production season is the same, because rice is the main produce
for most households. Thus, it is suggested that they prioritize labor sharing at no charge for particular households
during the peak season.
Table 5. Mutual help relationships between labor exchange and rice borrowing/renting
Rice borrowing Rice renting

Relative Others Both No Relative Others Both No
Relative 2 1 11 1 5 1 7
Labor Others 1 13 3 13 2 7 4 17
ex-
change Both 8 13 12 29 14 17 7 24
No 2 2 5 1 1 7
Relative 6 15 8 28 12 11 8 26
Others 1 4 1 11 1 6 1 9
Labor
help Both 1 2 3 4 3 3 1 3
No 3 9 4 15 2 9 3 17
Source: 2013 Survey
These results clarify the varied network of labor exchange/help and rice borrowing based on the contexts of
mutual help situations. In addition, some households had different partners depending on mutual help. These
were not necessarily in the same network, even if mutual help was based on a relative relationship.
CONCLUSION
Based on in-depth interviews with households in the rural mountainous area of Lao PDR, this study identified three
significant factors regarding mutual help in the form of labor exchange and rice borrowing. First, we found that in
the peak labor season, the formation of groups for exchanging labor depended on relatives. In contrast with paddy
rice farmers, upland rice farmers also depended on labor from non-relatives, because upland rice production is
labor intensive. Second, upland rice farmers tended to borrow rice from non-relatives. Low production, late
harvesting, and transportation of rice from fields caused a rice deficit. Thus, it is assumed that the rice borrowing
network depends on factors related to the choice of crop site. Third, it was clarified that the extent of the rice
borrowing network is larger than that of the relative network. Essentially, the formation of rice borrowing/renting
groups differs from that of labor exchanges, that is, conditions are not always better for borrowing rice from
relatives than from non-relatives. These results highlight the importance of understanding the motivation of
multiple mutual help situations in rural areas in developing countries.

ACKNOWLEDGMENT
This study was conducted as part of the “Establishment of a Sustainable and Independent Farm Household
Economy in the Rural Areas of Indo-China” project by the Japan International Research Center for Agricultural
Sciences and the National Agriculture and Forestry Research Institute (Lao PDR). We also thank Ms. Vilayphone for
her support during the survey.
REFERENCES
Ireson, Randall W. 1996. “Invisible Walls: Village Identity and the Maintenance of Cooperation in Laos.” Journal of
Southeast Asian Studies. Vol.27. No.2. pp. 219-244.
Tu, Q. and Bulte, E. 2010. “Trust, Market Participation and Economic Outcomes: Evidence from Rural China.” World
Development. Vol.38. No.8. pp. 1179-1190.
Yoshino, A. 2014. “The Agricultural Labor Exchange in the Iu Mien Society: A Report on the Swidden Cultivation of
the Iu Mien in Northern Thailand (2) and a Report on Subsequent Change.” 東京学芸大学紀要人文社会科
学系. II Vol.65. pp. 105-114. (In Japanese)

WATER PROBLEMS IN COUNTRIES BLESSED WITH ABUNDANT WATER
-NATURAL DRINKING WATER IN JAPAN’S RURAL COMMUNITIES-
Atsushi Makino
University Kumamoto
ABSTRACT
People who live in the Asian monsoon region often face a number of common water problems that include water shortages and
groundwater pollution. Furthermore, we often adopt similar methods for dealing with increasing risks to the public’s daily
water supply. The most common technical solution involves expanding government operated public water supply systems.
However, the sanitary policies lack of appreciation of the benefits of natural drinking water might actually be increasing
inequalities, because it fails to ensure the kinds of fulfilling lifestyles that can be associated with good water environments.
Therefore, in this paper, I examined the possibility of pursuing the sustainable use of natural potable water because the use of
such water incurs little or no expense, and because their users most often manage the sources. Through the observation of
natural water users in Japan's rural area, I pointed that the use and enjoyment of well and spring water was reviving in Japan,
and it may be the possibility of discovering new paths toward our common future that all people will be able to access safety
water.
Keywords, inequalities with sanitary interventions, natural drinking-water, commons, the cultural diversity of rural
communities.
WATER MODERNIZATION AND SIGNS OF NEW INEQUALITIES
The Asian monsoon region, which includes the Japanese Islands, is an area known for its profuse rainfall, and is
therefore blessed with an abundance of water. Yet, simultaneously, a number of the governments and peoples in
this region face common water-related problems. Among those problems are the water shortages that accompany
rapid economic growth and urbanization, while another is the water pollution and groundwater degradation that
often accompanies industrialization. Furthermore, many governments have adopted similar ways in dealing with
increasing risks to their populations’ daily water requirements, primarily by seeking technical solutions aimed at
expanding their government-operated water supply systems. Therefore, since water supply system coverage
continues to expand in the region’s metropolitan areas, it could be expected that piped water coverage in rural
areas would gradually rise gradually as well.
We tend to think of such technical solutions as effective methods of protecting our water resources and living
environments. However, a recent report drafted by the World Health Organization (WHO) and the United Nations
Children’s Fund (UNICEF) raises cautions about such assumptions (1). Section B: Highlighting inequalities (WHO and
UNISEF, 2014, pp. 13-30) said that "sanitary interventions that do not have an equity focus may exacerbate
inequality by failing to reach the most disadvantaged subgroups”. Indeed, this report highlights the point that gaps
in access to improved drinking water and sanitation among different groups (such as urban and rural areas,
different sub-regions, or ethnic groups) have grown despite the rapid development of health and sanitation
systems. Furthermore, it stated, “Closing these gaps requires explicit consideration of those who are being left
behind”.
I agree with the author’s stance that all people should be able to access to clean water, especially water that is safe
to drink. However, I question the method feasibility. Specifically, considering the cultural diversity of rural
communities and their relationship to water-human issues, will it really be possible to achieve our common goal –
ensuring adequate potable water for all – by focusing solely on the same technological solutions that mark today’s
modern water supply systems? Against this question, a recent change in Japanese government policy on drinking
water might provide us with some useful insights.
In 2013, the Japanese Ministry of Health, Labor and Welfare (MHLW), which deals with drinking water policy in
Japan, revised its water supply system plan(2). In the preface, two reasons for the revision were given. One reason
was their response to Japan’s decreasing population, while the other was their response to the lessons learned in

Atsushi Makino
the aftermath of the Great East Japan Earthquake of March 11, 2011. I suggest paying more attention to the
following substantive changes than the two general reasons. One such change is the decision to consider stopping
efforts to extend the modern water supply system to small mountainous local communities, which are outside the
areas covered by current water supply systems, while another change is a renewed interest in wells and springs as
primary sources of drinking water. Of course, the latter are also relevant as sources of drinking water during times
of emergency.
However, these changes were based solely on the problems that have arisen with Japan’s drinking water policies.
After World War II, the Japanese government has focused its drinking water policy on expanding government-
operated piped water systems and has made especially strong efforts to encourage tap water use in rural areas.
This is primarily because unequal access to safe drinking water in rural areas caused concerns about water safety
among public officials and health researchers. Therefore, efforts by local rural government have to expand their
piped water supply systems were financially supported by the national government (3). On the other hand, the
Japanese Water Supply System Law stated that, in principle, establishment of drinking-water supply agencies were
the responsibility of local governments, which were expected to operate on a stand-alone basis and be supported
by payments made by residents and other users.
As a consequence of these stipulations, rural local government water supply agencies have faced a chronic shortfall
in the funds necessary to replace aging facilities and to pay off debts incurred due to facility replacements,
primarily because their business risks have been increasing. Local governments are no longer able to bridge the
funding gaps. It is against this background that the national government began to reconsider their efforts to extend
government-operated piped water supply systems(4).
What should we learn from this change in Japanese drinking water policy? Of course, while it is important to
maintain safe drinking water, the new drinking water policy is laden with unpredictable and uncertain elements,
some of which might even extend the current gap between mountainous rural community residents and urban
residents. However, protecting natural safe water sources can still provide the most reliable method of resolving
water-related inequalities between rich and poor and/or urban and rural areas.
Will it be possible for rural Japanese people to drink water obtained from their own local water resources in the
future? I examined this possibility via three cases involving human-water linkage in rural communities of
Kumamoto Prefecture, where water supply system coverage has long been the lowest nationwide.
RETHINKING DRINKING WATER IN JAPAN
Historical Background
Each year, the MHLW issues information on the nation’s water supply systems. According to this information, only
2.5% of Japan’s residents are now drinking natural water. In population terms, this amounts to approximately four
million people. However, of course, these figures are incapable to of showing the actual conditions of rural natural
water use, or whether it is being used correctly. Accordingly, let’s take a brief historical look at Japan’s government
-operated water supply systems.
During the pre-modern era, Japanese people usually relied on well water or/and river water for their daily drinking,
washing, and irrigation needs. Installation of modern pressurized water supply systems equipped with clarification
devices began in the late 19th century, and were primarily aimed at minimizing the spread of water-borne diseases
such as cholera. These water supply systems started in the large cities and ports during Meiji Era. After World War
II, the Japanese government began genuine efforts to expand the nation’s water supply systems. During the period
of rapid economic growth, the coverage of piped water grew with notable rapidity in urban areas such as Tokyo (5).
In contrast, while post-war efforts were made to get government-operated water supply systems started in rural
areas as well, the coverage expansion in those areas was slower than the average urban expansion pace.
Nevertheless, I cannot accept the idea that rural communities in those days had ignored the relationship between
health and water safety, because those communities usually owned their water sources, such as springs or small
rivers.

Atsushi Makino
Therefore, when viewed from a sanitation aspect, the historical background of modern Japanese water supply
systems leads us to the conclusion that the government agencies believed that areas lacking reliable sources of
potable water needed tap water for drinking, when, in fact, we encountered a number of residents who boasted
that the well or spring water in their communities was very sweet. This certainly applies to the water use policies in
the rural areas of Kumamoto Prefecture.
Water Use in Kumamoto Prefecture
Kumamoto Prefecture is located in the center of the island of Kyushu in southwestern Japan. The population in this
prefecture area is approximately 1.8 million, 734,000 of which live in Kumamoto city. This area is especially
prosperous in terms of agriculture and is one of the leading rice producing areas of Japan, as well as a bountiful
source of vegetables, fruit, and livestock products.
People living in the Kumamoto region are also known as active groundwater users. In this area, throughout history,
groundwater has been used for drinking, washing, crop irrigation, and/or other uses. For example, Kumamoto City
is famous as "the underground water city” because 100% of the city’s water supply is obtained from groundwater
sources (6).
However, if we pay attention to people's daily lives, there is

another angle to consider. That is that the fact that the piped
water penetration rate continues to be low. Figure 1 shows a
precise breakdown in water supply system trends in Japan and the
Kumamoto Prefectural area. As can be seen in the figure,
Kumamoto’s penetration rate of 86.1% is the lowest among
Japan’s prefectures, and is more than 10% lower than the Japan
average. In other words, approximately 258,000 people live
without access to government supplied tap water. Indeed, there
are several local governments that which have no water supply
systems, or which have only modest water supply systems (7).
It is said that such people are able to live without government supplied piped water because the qualities of natural
water (well or spring water) are better for drinking, but there are other factors to note. For example, the
convenience and usability of such well water is often times equal to large-scale piped water supply systems
because the small size pumping technologies necessary for conducting well water to their home kitchens have
improved, and thus provide the residents with a permanently free source of natural potable water.
Viewpoint for Analyzing Water Problems
Here, I would like to provide a breakdown of water usage in Kumamoto Prefecture. Sanitary interventions aimed
solely at extending the coverage of government operated water supply systems have an obvious fault in guarding
drinking-water because such interventions draw attention away from the need to protect the citizenry’s historically
diverse water sources – well water, spring water, or other natural water sources. Accordingly, I will advocate the
use of the following classifications when analyzing residential water use in the rural areas of Japan.
Type 1: These residents derive all their drinking and domestic use water from government operated water supply
systems. I’m not concerned with this type.
Type 2: These residents use hybrid water supplies combining natural water and piped water obtained from large-
scale government water supply systems.
Type 3: These residents use wells, springs, or river water for drinking and other domestic daily uses, because there
are no available government operated water supply systems.
While we tend to think that Type 3 is the oldest and most classical method of using water, I do not take the
position that it is obsolete. Rather, I feel we should to pay attention to the ingenious local efforts made to safely
maintain and preserve natural water resources, which include wells, spring water, and small rivers. Among those
water resources, it is important to focus on the use of spring waters, which have been sustained as common pooled
resources in at least one rural community of the Kumamoto area. Furthermore, it is often said that the sustainable

Atsushi Makino
use of common pooled resources benefits from self-governing organizations, such as the small-scale communities
found in rural areas. In the next section, we will examine Type 2 water use because this type reflects a number of
typical Japanese water use methods. Therein, we will focus on the following question: Why do residents maintain
and use natural potable spring water when their communities are covered by accessible government operated
water supply systems?
HUMAN-WATER LINKAGE OF THE SPRING WATER USE
Type 2: Hybrid Water Use
I will now discuss a case that gives a detailed illustration of the way spring-fed
ponds are used in the rural villages of the Aso Mountain area of Kumamoto
Prefecture. Figure 2 shows a watercourse named “Terasaka Water Source”.
Terasaka, which is the name of this village, consists of 28 households. In each
minute, five tons of water flows from this spring. A portion of the water is
diverted into the village’s small water canal, and then onward into its paddies.
It was interesting to note that rural residents had definitive ideas on the proper
way to use flowing streams, which provided them with a convenient method of sharing the limited water efficiently
among themselves. Specifically, water gathered from the farthest convenient point upstream is used for drinking,
while downstream water is used for washing. Even further downstream, the water was used for rice paddy
irrigation. Of course, every effort was made to keep the upstream water clean, and thus safe for drinking.
These days, numerous visitors travel to this area to collect and imbibe the natural water. Indeed, numerous other
watercourses in this area are known for their high quality water. However, because of the small-scale water supply
system that had been constructed in this area about 60 years ago, almost all of the people in this village routinely
use tap water today. According to interviews conducted with several residents, many women continued to come to
this watercourse even after the water supply system had been installed because they enjoyed gathering to talk
with each other while washing clothes. Yet, as time went on, the gatherings gradually dwindled and then stopped.
Many communal village activities were changed when tap water came into use. However, it seems unlikely that
those water uses will disappear completely, because, during our visits, we still sometimes saw women washing
clothes and often met residents who continue to use spring water for drinking or cooking at watercourses in this
area. In other words, the residents are potentially type 2 hybrid-type water users, as listed above. For example, in
the 1980’s, when the number of people gathering was decreasing, people began collective activities to maintain it.
Now, once each month, residents gather at the watercourse to clean it and ensure it is well maintained.
Furthermore, one resident who lives nearby recently switched from government-supplied tap water to drinking
water from the watercourse. During his interview, he said “we (his family) want to drink better quality water than
what is being served by the water supply system”. Of course, the quality of water from the watercourse meets or
exceeds the government-imposed water quality standard. Now, let’s return again to the question, “Why are
residents protecting their natural spring water in spite of their accessible water supply systems?
The maintenance of watercourses filled with potable water has several common design principles. At first, the
ownership and users are clear. Almost all such watercourses belong to the communities and are open to all the
residents. In other words, they have clearly defined boundaries. Second, the residents share communal self-
governing rules to ensure the water is kept clean. For example, children are forbidden to play at the location where
drinking water is obtained, and the drinking water source is kept separate from the clothes washing location.
Furthermore, it is prohibited to feed fish along the watercourse. Through these and other rules, the water users
take pride in keeping the watercourse clean. Third, almost all of the village residents take part in organized
activities aimed at maintaining the watercourse environment.
Almost all of these principles have already been discussed in existing studies, such as E. Ostrom's famous
investigation into the social conditions that are suitable to sustain commons (8). However, the principles of human-
water linkages in the Aso Mountain area differ from the findings of those existing studies in that resource limitation
is not the determining factor behind the residents’ sustainable activities. On the other hand, there is also a
traditional focus in addition to an important common design principle. This is the reverence and homage that is

Atsushi Makino
paid to Suijin, the Japanese God of Water at almost all springs. For example, residents in Terasaka village
traditionally purify their watercourse with salt after performing cleaning activities, because, as one woman told me,
“Suijin lives in all watercourses”.
In other words, their cleanup activities are not only for the benefit of the residents themselves, they are also to
show reverence to the god. A preoccupation with Suijin is imminently fathomable in the case of a rural community
facing spring water pollution problems.
TYPE 3: Guarding Against Water Pollution
Ueki town, which merged with Kumamoto City in 2010 is located in a rural area in the northern part of the city.
While the Kumamoto City municipal water supply is quite high, a significant portion of old Ueki town remains
outside the water supply network. The reason for this, according to some residents, is that they are and have been,
amply served by the wells and spring water of this area. Indeed, in the 1980's, a survey report (Spring-fed Ponds in
Kumamoto Prefectural Area Study Group. 2004, pp. 57) on existing spring waters showed that there were
numerous springs in the region used by residents for drinking, washing, and irrigation (9). Furthermore, as it argued
that several watercourses were well known as information exchange locations among the residents.
X spring in X community (fictitious names) was one such watercourse. Here, adjoining houses face a watercourse
lined with stone, and the report said the watercourse looked like a community center because many women who
had washing machines in their homes still came all the way down to the watercourse in order to rinse their laundry.
In the above report, one woman said, “I can’t keep track of the community news if I don’t come here once a
day” (9).
However, today, there is less chance to meet residents at X spring and the open communal atmosphere has faded.
A 70-year-old resident who served as a community leader in this rural community said “X spring is the most
important water source in X community and its water had been used for drinking, washing, and irrigation.
However, around 1960, the residents changed their primary water source from X spring to individual home wells
and began using home well water for drinking and other domestic uses. Even so, until around 1990, women
gathered at the watercourse for washing, especially for rinsing laundry.”
According to the community leader, a rumor spread throughout the community around 1990 that said X spring
water was unhealthy, so women stopped using it for their washing, and spring water use was restricted to
irrigation. Naturally, around the same time, the residents started to question the safety of their home well water as
well. Therefore, the community leader at that time decided to conduct a comprehensive water quality examination
and sent samples collected from all house wells to a regional health-care center. The inspection results showed
that approximately half of the wells had nitrate-nitrogen concentrations that exceeded water purity standards.
Nevertheless, almost all of the residents continue to use well water.
More recently, Kumamoto City has formulated plans to extend their water pipeline network to the old Ueki town
area, and expects to implement them in the near future, because it is difficult to restore the quality of spring water
that has suffered from groundwater pollution. However, to the community itself, extending the water supply
system will be an imperfect solution because X spring is an abode of the Suijin, and the residents had hoped to
restore purity to the spring water. In other words, the water pollution problem affecting the spring, an area where
residents have deep commitments, may have a negative effect on the soul of the entire rural area.
Type 3: Protecting Sweet Drinking Water
The Kugino district of Minamata City in Kumamoto Prefecture has a population of 904 people split among 370
households. In this mountainous district, there are several small separate villages. In each of those villages, the
residents share common water sources. While their subsistence activities usually combine forestry with rice
farming, there are also many commuters who work in the city because transportation is relatively convenient.
Even though the coverage of the Minamata City government operated water supply system is high, a significant
portion of mountainous area is outside of the network’s range. However, this does not pose a problem because all
the villages in this district have their own common water sources, and water is pumped to each house. According

Atsushi Makino
to administrative documents, the installation of such drinking water systems started in the 1950’s, and since that
time, the residents have continued to meet their drinking and other domestic water needs through such
community-managed systems. According to our interview with a staff member of the Minamata City government
water supply agency, the municipality has no plans to extend piped water coverage to all the city’s mountainous
areas. “If we face an emergent issue, it may be a different thing entirely. However, for now, our agency hopes to
sustain the current community-managed drinking water supply systems in mountainous area. If pipelines must be
extended to mountainous area where a widely dispersed population exists, the management can be expected to
be more difficult.” In other words, it would be financially impossible to extend water supply system. On the other
hand, opinions are divided among residents on the sustainability of their current community-based water supply
system. While some residents told us that they felt the district needs municipal tap water, they are a minority
because most residents do not feel linking up with the city water supply system is an urgent need. It is felt that the
villagers’ low interest in hooking up to the city’s water supply system may be due to two reasons.
The first reason is that almost all villagers interviewed gave their water sources good evaluations. For example,
several residents who came from urban areas said that their village drinking water was far sweeter than could be
obtained from an urban tap, and that they often brought bottles home to their parents as souvenirs. The second
reason relates to the manner in which villagers use water in their daily lives. To illustrate this point, we will focus
on the residents of Samukawa Village, which is one of the villages in Kugino district.
Samukawa Village has a spring that is known as the Samukawa Water Source. According to the previously
mentioned spring water survey conducted in the 1980's, the quality of this water source is far superior to tap
water, and 3,000 tons of water flow out from this spring each day (9). The ways in which the village employs this
spring water can be classified into three main uses.
The first is as potable water for drinking or other domestic uses. For this, the furthest upstream water is drawn in
by their community-managed drinking-water supply system. The second use is for irrigation or fish farming, as a
portion of the stream flowing from the spring is diverted to a location where fish are cultivated in this community.
The most downstream water flow joins a small river from the mountains, and this river water runs through the
community’s terraced rice paddies. The third use is for tourism. The village is home to a small restaurant founded
by the community and operated by several women from the village that is famous for two things in particular. One
is a Japanese thin wheat noodle cuisine style known as "Nagashi Somen", and the other is the way in which
customers catch and eat somen with their chopsticks as it travels down a stream of water flowing. Of course, the
water is from Samukawa Water Source. This restaurant, which is operated by a local rural area women's group,
opened to the public in 1961 and is now acknowledged as one of the original rural revitalization movements.
It is my firm contention that the ways water is used in this community shows a model pattern for future
mountainous area water use. Furthermore, while tap water is hygienic and convenient, it cannot be used for
growing food and/or for creating favorable landscapes. In contrast, if we are successful in protecting our natural
drinking water sources, we will be able to challenge a variety of diverse community development projects.
CONCLUSION
People who live in the Asian monsoon region often face a number of common water problems that include water
shortages and groundwater pollution. Furthermore, we often adopt similar methods for dealing with increasing
risks to the public’s daily water supply. The most common technical solution involves expanding government
operated public water supply systems. Unfortunately, if we limit our pursuit to one particular track, we might fine
ourselves asking for, and suffering from, new problems. There are already new inequality problems rising due to
the rapid development of sanitary health systems. However, people who live in the rural areas of countries
blessed with an abundance of water are capable of discovering new paths toward our common future – one in
which all people will have access to safe water.
Therefore, in this paper, I examined the possibility of pursuing the sustainable use of natural potable water
because the use of such water incurs little or no expense, and because their users most often manage the sources.
In industrial societies, there is a commonly held perception that natural untreated water is unsuitable for drinking,
and that the number of the people who drink natural water from wells or springs should be decreasing. Indeed, we
had thought so as well. However, in this paper, I introduced a Japanese trend that aims at reviving the use and

Atsushi Makino
enjoyment of well and spring water. Of course, revivals of this nature have many problems to solve. For example, it
will be necessary to strengthen community based water source protection, which is not something we rural
sociologists will be able to plan or advocate on our own. However, as sociologists, we have an important
advantage. That is, our method for investigating people’s daily lives and describing their diverse water cultures. It is
very important that we take every opportunity to use this methodology as we work to help solve water problems
around the world.
REFERENCES
(1)World Health Organization and UNICEF. 2014. “Progress on sanitation and drinking water 2014 update.”,
Geneva.http://www.wssinfo.org/fileadmin/user_upload/resources/JMP_report_2014_webEng.pdf.(July 1,2014).
(2)Ministry of Health, Labor and Welfare (in Japan). 2013. “New Waterworks Vision”, Tokyo.
http://www.mhlw.go.jp/stf/seisakunitsuite/bunya/topics/bukyoku/kenkou/suido/newvision/index.html
(May 1. 2014).
(3)Japan Small-Scale Water Supply Association.1975.“Two Decades of Small-Scale Water Supply”. Japan Small-Scale
Tokyo: Japan Small-Scale Water Supply Association.
(4)Hatsuko Hoyano. 1998. The Water Supply System towards Bankruptcy (“Suidou ga Tsuburekakatteiru” in
Japanese). Tokyo: Tsukiji Shobou.
(5)Japan Water Supply System Association.1967. “The History of Water Supply System in Japan” Vol.1.Tokyo:
Water Supply System Association.
(6)Jun Shimada, 2013, “Recent challenges for sustainable groundwater management at Kumamoto Area, based on
the regional groundwater flow system:-Pumping permission for the regional groundwater management-.” Journal
of Ground Water Hydrogy. Vol. 55. No.2. pp.157-164.
(7) Environmental Conservation Division Department of Environment and Residential Life, Kumamoto Prefecture
Government, 2010 “The Water Supply System in Kumamoto Prefectural Area”. Kumamoto: Kumamoto
Prefectural Government.
(8) E.Ostrom, 1990 “Governing the Commons: The Evolution of Institutions for Collective Action” New York:
Cambridge University Press.
(9)Spring-fed Ponds in Kumamoto Prefectural Area Study Group. 2004. Spring-fed Ponds in Kumamoto Prefectural
Area, Kumamoto: Kumamoto Denpakougyou Koutou Senmongakkou Shuppannkai.

THE NEW ROLE OF A LEADER OF VILLAGE HEALTH VOLUNTEERS IN A CHANGING THAI
VILLAGE: CASE OF THAKANVILLAGE, BAN KLANG SUBDISTRICT, SAN PA TONG DISTRICT,
CHIANG MAI PROVINCE
SATO, Yasuyuki
ABSTRACT
Thailand is a country where primary health care (PHC) have been fare well since the 1970s. The Thai administration has
conducted decentralization and national health reform since the 1990s. A few studies of roles of health workers and village
health volunteers (VHVs) have been done after 2001 of advent of Thaksin administration. Chuengsatiansup, a researcher and
bureaucrat, referred to the formation of civil society through conducting the National Health System Reform. Almost all
villager organizations have been formed in a rural area under the leadership of the official until now in Thailand. Villager
organizations, formed compulsory or spontaneous, may have been useful to foster villager’s ability of governance. In Thakan
Village, Chiang Mai Province, a support group for the elderly, a welfare fund, a funeral group of the elderly, a drinking water
group and others have been newly formed under the government leadership since the 2000s. A village headperson, two
members of Subdistrict Administrative Organization (SAO), and a leader of VHVs, or a chairperson of the VHV committee, are
chairpersons or members of the above-mentioned new villager organizations. In particular, a chairperson of the VHV
committee, without having power like a village headperson and two members of SAO, becomes members of new villager
organizations. In this village, a male chairperson of the VHV committee is also committee members of a support group of the
elderly, a drinking water group and a tourist group, and a subdistrict welfare fund. If civil society is composed of civil
consciousness, civil organizations and civic network as Dr. Wibulpolprasert told, in what meaning has civil society been
forming? This paper aims to examine this issue by focusing on the new role of a chairperson of the VHV committee in an
investigation field
INTRODUCTION
The Thai villages have been dynamically changed since the 1990s. The Thai administration has conducted
decentralization, forming Subdistrict Administrative Organization (SAO), ongkan borihan suwan tambon (O.Bo.To.)
in Thai, enacted in 1995. There has been the local administrative system of province, district (amphoe), subdistrict
(tambon) and administrative village (muban). Before the SAO Act, the subdistrict formally consists of several
administrative villages, because subdistrict council did not have any political power. However, after the SAO Act the
subdistrict council was abolished and the subdistrict has had political power because it has had an administrative
office, or SAO consisting of two delegates of each village, and the right of making decision of SAO budget.
Moreover, the Thaksin Administration has conducted the policy that the administration paid one million baht for
village fund to every village since 2002. The administration has provided the fund called SML 1 to every village every
year since 2008. Besides, VHVs have started to work hard to care the elderly with 600 baht as a reward per month
since 20092. Consequently, subdistrict health center has been changed into subdistrict promotion hospital in name
from 2011 in the whole country, and doctors have come to every subdistrict promotion hospital every two months
and teeth doctors come to subdistrict promotion hospital every three months.
As mentioned above, Thai rural areas have been changed since the 1990s, especially since Thaksin Administration
(Sato 2012a). A village headperson, two members of the SAO (So.O.Bo.To. in Thai), village health volunteers
(O.So.Mo. in Thai), in particular a chairperson of the VHV committee, have had important roles. The VHV has been
a medium between the official and the people until today, because they have been volunteers. In that point, they
may have possibilities to make the formation of civil society.
PREVIOUS STUDIES ON VHVS AND SUBJECT OF THE STUDY
Let’s briefly examine previous studies on VHVs studied so far. Many community participation studies on health
workers in subdistrict health center and VHVs, ex. empowerment of women as they were almost female, have
been conducted until the 1990s (Chanawongse 1991; Tassniyom 1997).

SATO Yasuyuki
Chanawongse has insisted that VHVs had many problems, for example they were lack of knowledge, inadequate
character such as indolent, lack of time, lack of willingness (Chanawongse 1991: 166-7). Further, he noted that they
only collected data and did not know the importance of prevailing information about health and VHVs’ work,
because the problem was what they did not know information (ibid.). Nowadays, if a VHV were lazy, he/she would
be elected to take turns due to the new policy. Since almost all scholars have used quantitative research, namely
statistics as a method of research, you cannot grasp the reason that problems occurred (ibid.: 161-2). We,
therefore, need to study by qualitative research.
After the new health policy in the 2000s, however, community participation research has entered a new stage,
because VHVs’ roles have been changed. Komatra Chuengsatiansup is a researcher and bureaucrat working at
Ministry of Public Health. After National Health System Reform, there is ‘a need to re-conceptualize the roles and
functions of health volunteer in health development’ (Chuengsatiansup 2007: 1). Above all, he referred to the
formation of civil society and recommended that ‘civic organizations will serve platforms to foster volunteer spirit
in society’ (Ibid.: 2). I think Chuengsatiansup’s ideas are just an ideal of VHVs to form civil society. It will need to
really study in an investigation field. If it is not so, we can say nothing at all.
Churat Phonamunuailat and Sunton Utratwikan researched satisfaction on job performance of VHVs in a case study
in northeastern Thailand by statistics analysis (Phonamunuailat and Utratwikan 2012). Findings are correlation
between VHV’s health management and role perceptions of management budget, health activity, valuation, a VHV
group, supporting of the government empowerment, abilities and skills of VHVs, and others. This research,
however, does not have any significant findings, because they are nothing useful.
The subject of this paper is the following. Chuengsatiansup (2008) referred to the formation of civil society through
conducting the National Health System Reform. Has civil society been really formed in Thai rural areas? If civil
society is composed of civil consciousness, civil organizations and civic network (Wibulpolprasert 2005: 450-451)3,
in what meaning has civil society been forming? This paper aims to examine this issue by focusing on the new role
of a chairperson of the VHV committee in an investigation field.
OUTLINE OF STUDY AREA
Study Area and Method of Study
The area I have studied is Thakan Village, mu5 (the abbreviation for village is mu, Thakan Village is number 5), Ban
Klang Subdistrict, San Pa Tong district, Chiang Mai province4. Population was 1,427: the male was 678 and the
female was 749, and the number of household was 454 in 2011 (Ban San Hau Health Promotion Hospital 2011: 6).
This place is famous as the Wiang Thakan Remains, a part of the Hariphunchai Kingdom, which had existed until
13th century. There is a small museum in this village, which exhibits the Wiang Thakan Remains.
I argue network between a chairperson of the VHV committee and villagers. As far as I have reviewed studies of
network analysis so far, I have to say that it is very confusing in index, factors and character of network as they are
various according to researchers. I focus on the number of committees of new villager organizations in which a
chairperson of the VHV committee, as a leader of VHV, is a member. I, therefore, adopt the idea that the more a
chairperson of the VHV committee becomes members in new committees, the more he/she has many network.
An Information about Ban Klang Subdistrict
In Ban Klang Subdistrict, SAO was established in 1994. SAO of Ban Klang Subdistrict is consisted of five villages:
mu1, mu5, mu7, mu8, and mu10. Mu1 is divided two: one division belongs to Ban Klang Subdistrict and another
belongs to Ban Klang Town. This is a very rare case. There are each village headperson respectively in two divisions
of mu1. Ban Klang Town is composed of half of mu1, mu2, mu3, mu4, mu6, mu9 in Ban Klang Subdistrict and
villages of other subdistricts.
There was a health center in Ban Klang Town but it is far from villagers in mu7, mu8, mu10 in Ban Klang Subdistrict.
Villagers of mu7, mu8 and mu10 hoped to build it in their near place. Villagers of mu5, mu7, mu8 and mu10
constructed San Hau Health Center in San Hau subdistrict by donation in 2004. The amount of donation was
1,640,787.50 baht at the time of construction 5.

SATO Yasuyuki
The population of Ban Klang Subdistrict was totally 3459: 1450 people in mu5, 760 in mu7, 747 in mu8, and 502 in
mu10. The number of elderly people, over 60 years old, is 754 of all 3459, 21.8% and the population under 20 years
old is 558, 16.1% on September 2012 (Ban San Hau Health Promotion Hospital 2010). In Ban Klang Subdistrict
there is the welfare fund, called kongthun sawadikan chumchon tambon ban klang, established in 2006. The brief
history is the following.
The village elderly leaders went to ask the public organization for elderly people called Thammapakorn Welfare
Development Center for Older Persons at Chiang Mai (sun phatthanakan chatsawadikan sangkom phusungayu ban
tham pakon chiangmai in Thai). This organization had been formed by the administration in 1955, and the function
and the name was changed later. At present, welfare policy including this organization is supported by Social
Development and Welfare Department, Ministry of Social Development and Human Security, established in 2002.
The number of member of Ban Klang Subdistrict Welfare Fund was 2,051 people of all five villages (half of mu 1,
mu 5, mu 7, mu 8, and mu 10) at 2010. A member has to pay one baht per a day as an insurance premium. The
fund property amounted to about 1.8 million baht until 2010. Further, the administration has supplied the budget
of 365 baht times the number of members from 2010 and the SAO of Ban Klang Subdistrict has supported one
hundred thousand baht to the fund from 2011. People of many subdistricts have made subdistrict welfare funds
due to this government policy.
The number of people in Thakan Village was 1453, male 686 and female 767, and then the number of households is
406 at 2011. Further, the number of elderly people was 324, 22.3% 6. The budget of VHV is generally 10,000 baht
for each village from the SAO budget. But 20,000 baht is divided between both mu5, Thakan Village, and mu10,
because the number of VHVs of mu5 and mu10 is too different: that of mu5 is 47 and that of mu10 is 16 at present.
Other villages can have 10,000 baht, as the number of VHVs is 26 in mu7 and 23 in mu8. In the Ban Klang Welfare
Fund, the number of dead among members was 80 people from 18 September 2010 to 10 October 2012 and the
average age of the dead was about 73.5 years old7. This figure is very interesting because it indicates that Thai
society reached to middle developed society.
VILLAGER ORGANIZATIONS IN THAKAN VILLAGE
For villagers, informal relations are generally more important than formal relations in the rural area. They are kins,
neighborhood groups, friends such as class mate or coworkers. These informal relations were particularly
important when villagers rent money, as Thai society has a problem that people have a lot of debts (Sato 2005: 65-
66). However, since Thai society is becoming unstable and risky through globalization, it needs organizational deal
with the debt problem because informal personal relations cannot deal with it. In this sense, it is not incorrect what
Thai administration has made villagers form a lot of villager organizations, from which villagers can borrow. As a
result, peasants are moving from lower class to lower middle class.
An Overview of Villager Organizations
Thakan Village has a village committee which is consisted of a village headperson: two vice-village headpersons,
two members of SAO (So.O.Bo.To.), headpersons of seven sub-committees, headpersons of thirteen neighborhood
groups (Sato 2009: 39). A village committee is the most important organization which decides everything
concerning to the village. In general, a village headperson has a power of decision-making. In this village, each
neighborhood group is named with respect to each ruin temple, a group which monthly cleans in each ruin temple.
Table 1 shows the villager organizations in Thakan Village. Most of the organizations have been formed by the
order of the administration.
There have been many formal organizations before the 1990s: the VHV committee, 13 neighborhood groups,
temple committee, a funeral group, a women group. Furthermore, new villager organizations such as a drinking
group, a help-group for the elderly, women savings group, a village fund and community welfare fund. For
example, a member of the funeral group must pay 21 baht per funeral. This has been organized by almost all
households.

SATO Yasuyuki
The volunteer group for the Wiang Thakan Remains had been formed at 1990. The member is 12 people. This
group treats with Thai or foreign tourists visiting to the Wiang Thakan Remains. The chairperson of the VHV
committee is also a member of this group. In addition to these, only elderly people have formed a funeral group
from 2003. The number of the member is 330 and a member must pay 10 baht per funeral. The member of the
village fund group is 251 in number and can borrow at 6 percent per year, as far as I checked in 2013. A drinking
water group has been financially supported by villagers to have the budget of SML in 2010.
Table 1 New Villager Organizations in Thakan Village

Organization’s name Founding year Number of member
help-group for the elderly 1999 12
village fund group 2002 251 at 2013
funeral group of the elderly 2003 350 at 2013
women savings group 2005 many women
drinking group 2005 almost of households
community welfare fund 2006 795 at 2006
Source: data of interviews from villagers.
Village Health Volunteer (VHV)
The Thai administration has conducted the policy that VHVs should positively support the elderly. Their role is
particularly becoming important to make quality of life of the elderly better (Sato 2012a). In Thakan Village, a
community basic health center was constructed by villagers’ donation, about 35,000 baht, in 1993. And the SAO
budget was later supplied to repair the center or buy goods for the elderly.
In 2009, the VHV committee of Thakan Village is consisted of 47 people: the male is 21 of all 47 and the female is 26
of all 47, the male: 44.7% and the female: 55.3% at rate. And then 55.3 percent of 26 people of VHVs is occupied by
women8. In almost all the villages, female VHVs are generally more than male VHVs in number, as it is the same in
this village. The chairperson of this village is 61 years old at 2013. He is also a committee of a drinking water group,
a tourist group, and a chairperson of the help-group for the elderly.
The members of VHV committee are 46 people, not 47, since one member was retired but not yet elected at 2009.
Regarding to the members’ occupations, rice cultivator is 1 people, fruit grower is 3, merchant is 3, and labor is 38
in number. The average age of 46 all members was appropriately 48.1 at 2008 and the average of their career
period is 10.8 years. Members of the longest period are 3 people continuing from 1982 and 4 people from 1983 9.
Besides, there are 13 people from 2006 and 2 people from 2008. Some members continue as they are very serious
and some resigned as they are idle.
VHVs have to collect data on health of household members in charge every month since 2006: eg. measuring the
blood pressure, filling out documents of people’s health. Once per month, they can earn rewards from a subdistrict
promotion hospital official only after handing over the data. A chairperson of the VHV committee is a member of
the village committee. A chairperson of the VHV committee was a male of 56 years old at 2009 and has still
occupied its post at 2013.
Thakan Village has the community basic health center. It is open from 10:00 to 16:30 on every Tuesday. Six to
seven members of the VHV committee go to the center on every Tuesday. Elderly villagers come to be measured
blood pressure to the center on Tuesday. The number of people coming to the center was from 25 at least to 45
people at most, as far as I checked in the notebook on September 2013. The blood pressure machine was bought
by the budget of VHVs.

SATO Yasuyuki
In 2009, the elderly over 60 years old coming to the basic health center was 240 people in total. The elderly of over
131 high-blood pressure was 96 people, 40.0 percent. Between 41 and 59 years old, the high-blood pressure
people of over 130 was 61 people of the total 374, 16.3 percent 10. The number of elderly people coming to the
community basic health center was about 29 people per day on average, as far as I found out that total people was
1,331 people for 46 days in 201311. In this village, a female VHV was elected a member of SAO in 2009 and again in
2013. She has been a chairperson of group of development women and a chairperson of women group in Ban
Klang Subdistrict from 2012 and 2013, respectively.
CONCLUSION
Main key persons are persons in three kinds of posts in a village: a village headperson 12, two members of SAO
(So.O.Bo.To.), and a chairperson of the VHV committee. The village headperson has decision-making power on
village matters, for example he can decide whether the village can accept the welfare fund or not. The members of
SAO have newly had power since 1995, because they can decide SAO budget. However, leaders of VHVs do not
have power, unlike the above two semi-official, because they do not have right to decide anything. They collect
data about villagers’ health to care villagers. The VHVs have strong connections with the elderly people and their
families, because they always take care of the elderly in a village. For that reason, they have strong network among
villagers, while most villagers have only weak network each other.
Further, the chairperson of the VHV committee becomes members of many new organizations. In this village, the
male chairperson of the VHV committee is also committee members of the support group of the elderly, the
drinking water group, the tourist group, and the welfare fund organized in subdistrict level. A chairperson of the
VHV committee, a leader of VHVs, is significant to extend network. As a result, he/she might contribute to form
civil society in Thai rural areas in this aspect.
If the formation of civil society is to form civil consciousness, civil organizations and civic network according to
Wibulpolprasert (2005), I will be able to find out only civic network in the investigation field, although the idea of
‘civic’ in Thailand is different from that in the western society because Thai people are not self-reliant in the same
meaning of the western people. Anyway, in this paper I only stand on the start line to study the formation of civil
society in Thai rural areas and need to continue studying this subject13.
Notes
1
S means ‘small’, M means ‘middle’, and L means ‘large’. The administration supplies three kinds of amount of
money according to three scales of village population.
2
There is benefit that VHVs and their families could visit a subdistrict health center, although they could not have
wage from the start until 2008. 1 Thai baht is equal to about 0.03 US dollar on 5 June at 2014
3
Dr. Suwit Wibulpolprasert is a researcher and bureaucrat in Ministry of Public Health, Thailand. He is also an
editor of Thailand Health Profile 1999-2000, Thailand Health Profile 2001-2004, Ministry of Public Health.
4
Ban and muban in Thai means ‘village’ in English.
5
The data are cited from Ban San Hau Health Promotion Hospital, Annual Brief Effects of Affairs 2010
(Rongphayaban Songsaem B.E.2553).
6
The data are cited from Ban San Hau Health Promotion Hospital, Annual Brief Effects of Affairs 2012
(Rongphayaban Songsaem B.E.2555)
7
The data are cited from documents which VHVs collected by themselves in 2009.
8,9,10
The data are cited from documents written in the community basic health center.
11
I counted number of deaths in a document of the Ban Klang Subdistrict Welfare Fund.
12
In northeastern villages a village headperson is used to be elected among old and dominated kins, and in the
election of a village headperson there is difference between northeast villages and northern villages.
13
I have conducted comparative study of several investigation fields in northern and northeastern villages (Sato
2012b, 2014).

SATO Yasuyuki
REFERENCES
Ban San Hau Health Promotion Hospital, Annual Brief Effects of Affairs 2010, 2011, 2012 (Rongphayaban songsaem
sukaphap tambon ban san hau tambon ban klang amphoe sanpatong cangwat chiagmai, sarup phonkan
damnaenan pingop praman B.E.2553, 2554, 2555).
Chanawongse, Krasae, 1991, “watashi no noson kaihatsuron (My Rural Development Theory)”, in the book Isan no
Isha (Doctor in the northeast) ed. by Sumit Hemasathol, Daido Seimei Kokusai Bunkakikin. pp.121-188.
Chuengsatiansup, K., 2007, Health Volunteers in the Context of Changes: Assessing the Roles and Potentials of
Village Health Volunteer in Thailand, paper presented at the Second Asia-Pacific Action Alliance on Human
Resources for health Conference, 12-14 October 2007, at Fragant Hill Hotel, Beijing, People’s Commission of
China.
Chuengsatiansup, K., 2008, Deliverative Action: Civil Society and Health Systems Reform in Thailand, Bangkok:
National health Commission Office.
Phonamunuailat, Chrat and Utratwikan, Suntra na Ayutaya, 2012, Factors Affecting the Health Management of
Village Health Volunteers in Suphanburi Province, Primary Health Care Division Journal, 6-2, pp. 14-23.
Sato, Yasuyuki, 2005, The Thai-Khmer Village: Community, Family, Ritual, and Civil Society in Northeast Thailand,
Graduate School of Modern Society and Culture, Niigata University.
Sato, Yasuyuki, 2009, Tai Noson no sonraku keisei to seikatsu kyodo (Village Formation and Life Cooperation in Thai
Rural Area), Tokyo: Mekong. [in Japanese]
Sato, Yasuyuki, 2012a, ‘Village Health Volunteer Activities in a Northeastern Thai Village: Consideration thorough
Social Capital Theory,’ Suzuki N. and Somsak S. eds., Dynamics of Civil Society Movement in Northeast Thailand,
Khon Kaen University Book Center: 75-106.
Sato, Yasuyuki, 2012b, Tai noson niokeru sonraku hoken borantia no atarashii yakuwari (The New Role of Village
Health Volunteers in Thai Rural Areas), paper presented at the 14th Conference of The Japanese Society for Thai
Studies, 6 - 7 July 2012, at Osaka University. [in Japanese].
Sato, Yasuyuki, 2014, Henbosuru tai noson no sonraku hoken borantia to siminshakai no keisei (Village Health
Volunteers and the Formation of Civil Society in a Changing Thai Rural Areas), paper presented at the 16th
Conference of The Japanese Society for Thai Studies, 5 - 6 July 2014, at Kyoto University. [in Japanese]
Tassniyom, N, 1997, Community Participation in Health Development in Thailand, Ph.D. Dissertation Massey
University.
(http://mro.massey.ac.nz/bitstream/handle/10179/2561/02_whole.pdf?sequence=1, accessed at 15 January
2014)
Wibulpolprasert, Suwit, ed.,2005, Thailand Health Profile 2001-2004, Ministry of Public Health.
(http://www.moph.go.th/ops/health_48/index_eng.htm accessed at 5 April, 2013 )

INCREASING INCOME OF FARMERS IN SOUTH SULAWESI:
CASE STUDY OF RICE AND MAIZE FARMERS
Nursini Mahmud1, Amrullah Majjika2, Sultan Suhab1, Tawakkal Ramli3

1
Department of Economis, Economic Faculty, Hasanuddin University
Email: nini_mahmud@yahoo.com
sultansuhab@yahoo.co.id
2
Department of Economics Social, Agriculture Faculty, Hasanuddin University
Kampus Unhas Tamalanrea KM 10
Email: amrullaham@gmail.com
3
Department of Accountant, Polytechnic Negeri Ujung Pandang
Email: tawakkal_1@yahoo.co.id
ABSTRACT
This research aims: (i) to identify the problems faced by rice and maize farmers, (ii) to design a model for the development of food
crops in South Sulawesi, and (iii) to know whether the model is effectively and appropriate implemented in the farmers. The d ata
used are secondary and primary data which are analyzed using descriptive statistical analysis model. This research is conducted in
Sidenreng Rappang, Pinrang, Bantaeng, and Jeneponto. The study found: (i) the problems face by rice and maize farmers include s
high production costs, declining land productivity, price instability, low level of income, the lack of infrastructure (irrig ation) and
low farm management and farmer groups role; (ii) the appropriate model for food groups development is the one that focuses on
strengthening farmer groups institution and improving sinergism among stakeholders, and (iii) the implementation of the model is
effective and strong supported by the farmers. This is because the farmers can improve their capacity to solve their problems and
to formulate program and activity planning which contributed to local/village planning mechanism.
Keywords: Farmers, Planning, Food Crops, Capacity Building, Model
BACKGROUND
South Sulawesi is the largest center for the production of rice and maize in Sulawesi Island. This is shown by the
contribution of rice production to the total production is 62.12 percent and maize production contribution is 49.73
percent of the total production of maize in Sulawesi Island. Although the contribution of the two commodities is
high enough but it is still faced with a number of complex issues that also affect the level of productivity of rice and
maize as a whole.
The research questions are (i) what are the problems faced by the farmers of rice and maize at four districts namely
Sidenreng Rappang, Pinrang, Jeneponto and Bantaeng, (ii) How to model the development of food crops rice and
maize that contribute to income generation farmers, (iii) Does the model developed viable and effectively
implemented at the farm level and whether it is beneficial to the improvement of planning mechanisms at the
village level?
OBJECTIVES
This study aimed to a) identify the problems faced by rice and maize farmers; b) design a model of the
development of crops commodity; c) know the effectiveness and feasibility of the model of food crops; d)
increase the capacity of the farmer in identifying needs and developing a plan of activities that will be
discussed to farmer groups forum; e) improve the mechanism of development planning at the
government local /village level; and, f) to increase productivity and income of farmers, especially rice
and corn farmers.

Nursini Mahmud ,et al
METHODOLOGY
The study used a field survey approach to identify the problems faced by farmers and design a models of the
development of food crops. The model is implemented to the farmer after disseminated to local governments to
know the effectiveness and feasibility of the model. Participants of socialization of the model is local government
and participants of training are farmer groups in Bantaeng (as maize production center) and Pinrang (as rice
production center). The data used is primary data and it analyzed using descriptive analysis.
RESULTS
Problems Identification
Problems faced by the farmers of rice and maize in four districts (Pinrang, Sidenreng Rappang, Jeneponto, and
Bantaeng) are commonly found on every stage of the production process, namely (i) inputs, (ii) the production
process, (iii) production, (iv) after harvest. The problem for rice farmers in Sidenreng Rappang and Pinrang are
more dominated by the issue of availability of input, infrastructure and production processes. Production inputs
include the availability of labor inputs, wages, availability of fertilizers, seeds, water and capital. While the problem
of production processes include the use of land, machinery, cultivation, harvesting, transportation cost and
marketing. List of problems faced by rice farmers in Sidenreng Rappang and Pinrang can be shown in Table 1.
Table 1. List of Problems for Rice Farmers in Sidenreng Rappang and Pinrang, 2012.
NO Problems
I. Inputs
Limited hired labor Soil fertility began to decline
Harvesting labor is often not available The availability of hybrid varieties is still limited
Availability of water is interrupted due to any
Higher wage (800 thousand/hektare) damage and repair irrigation channels
Limited family labor Limited capital
Many TSP seeds not original High fertilizer prices
II. Production process
Cultivated land is difficult because of the Officers only regulate water main sluice so often
muddy rice fields submerged paddy
Farmers do not want to apply the Legowo cropping
The used of machine is hard system because it is more costly
The presence of rat attack when flooding and Production is low because there are still many
stem borer farmers who use the traditional system
High fertilizer The role of the group began to decline
The use of fertilizers is determined by the land
owner Late harvest time
III Late harvest so the potential loss becomes
large The price offered by traders are still low
Lost production is still relatively high at harvest Transportation is difficult during the rainy season
Paddy less clean because not using the machine
harvest
Source: Nursini, Amrullah, Sultan. 2012.

Nursini Mahmud, et al
Problems faced by maize farmers in Jeneponto and Bantaeng (especially in Bontomanae and Kaloling) includes four
stages of production: (1) Problems associated with production inputs (amount of labor, capital, seeds/varieties,
fertilizers, technology, land) , (2) problems associated with the production process such as how planting, processing
methods, mean sweeding, fertilization method, spraying pests, (3) issues related to output, post-harvest and
marketing, and (4) institutional problems of farmers including farmer groups/Association of Farmers Groups.
Table 2. Problems Indentification for maize farmers in Bontonompo, Jeneponto District, 2012
NO
Problems identification
1
High wage labor
2
Limited labor
3
Less fertile land and rocky
4
Low Production
5
Low rainy season
6
Low durability seeds
7
Seeds will not grow
8
Seeds from goverment is always late
11
High seeds
12
High fertilizer prices
15
Rat
16
fertilization techniques not proper
17
Pest
18
Operational equipment less
19
Low output price
20
Marketing only at the local level
21
Institutional is not function
22
Sold by corn wet conditions
Source: Nursini, Amrullah, Sultan Suhab, 2012
While the problems faced by maize farmers at Kaloling village, was generally similar to Bontonompo village. In
Kaloling village, problems related to the production process, among others; limited water especially during the
planting season. This is caused by the lack of rain; labor is not available in Kaloling Village such that labor must be
from outside the village with a high daily wage, low knowledge about fertilizer requirements, no maximum dosage,
type of pest disease is unknown, there is no technology to harvest corn, seeds is late from the government, and
institutional farmers are not functioning.
These problems greatly affect the income earned by farmers. The central problems for maize farmers are labor
costs. In general, maize farmers hire labor for all stages of production that is planting, processing, up to the time of
harvest. Cost of labor is quite high with an average ranging between Rp 35,000-Rp 45,000 for one day in Kaloling.
While in Bontonompo, the average wage is Rp 40,000. Each farmers hire workers on average 3-5 people for one
day.

Nursini Mahmud ,et al
Model Development Design
By looking at all the problems faced by farmers in the survey areas, basically most of these problems can be solved
by the farmers themselves, both individually and in groups without intervention from the government. This means
strengthening the capacity of farmers and farmer groups need to be done. Institutional strengthening is
particularly in relation to planning. Each farmer groups should be able to draw up plans based on the needs of
members of farmer groups
The model developed to overcome the problems faced by farmers is institutional strengthening model for the
farmer groups which are directed at how each farmer group could identify their problem and how to solve it
according to their resources. Problems that are not able to be solved in groups will be proposed to the village/local
government, or district government through consensus building mechanism (Musrenbang), or to the donor, or to
the Higher Education. Therefore, each farmers group in the village is expected to draw up a plan or a list of
activities that need further reunited into one forum which is called forum farmer groups. The results of the forum
will be a discussion of farmer groups in Musrenbang at the Village. Output from Musrenbang will results a List of
Farmers Needs that could be financed by local governments and can also be financed by other stakeholders eg
Donors, Private sector, or University.
Source: Nursini, Amrullah, Sultan Suhab, and Tawakkal, 2012
Figure 1. Development Model of Crops Commodity
Socialization of Model
Model Development for Crop Commodities produced quite realistic and more operational. This means the model
can be implemented at the farm level. Participants (local government officials) are responding to the model
because it can improve the knowledge of the farmer groups to formulate their needs associated to their own
resources. So far, when planning forums (Musrenbang), a lot of activities plan from the farmers are not
accommodated because the proposal is basically not a requirement. The results of the study, 94 percent of
participants expressed the opinion that the model of development of food crops through the strengthening of
farmer groups can be applied, the remaining approximately 6 percent (one person) who declared unfit because not
all institutional system contains information about the requirements. Some of the reasons put forward by the
participants associated with the opinion stated "decent" as shown in Table 3.
Based on these reasons, it could be concluded that the development model of food crops through strengthening
farmer groups can be applied and can contribute to the improvement of regional development planning
mechanism. One purpose of the development model is to improve the system of development planning at the
lower level (in the village) through the integration of farmers' group forum. Based on the survey, all participants
stated that integration forum farmer groups can be applied in the planning mechanism and conducted before
Village Musrenbang.

Although the model can be applied, but did not rule conflicts during the implementation because of (i) many
farmer groups is not function as a group, (ii) There is no regulation that links between farmer groups forum and
Department of Agriculture, (iii) Focus on farmer groups only, (iv) Synergy between the groups and working units
(SKPD) is not yet maximized, (v) taking long time, (vi) Community participation is usually low.
The application of institutional strengthening model of farmer groups in rural areas is expected to increase the
capacity of farmer groups in solving the problem. In addition, farmers can be involved in the planning process so
that their need can be considered by policy maker. In other word, the existence of government and other
stakeholders are just as mediator. When farmers are not able to solve their problem or meet their needs because
of the limited resources they have, then government intervention is needed. Thus, if a farmer or farmer group is
improved their knowledge such that the farmers can increase their income in the future through increased scale
farming.
The results of the questionnaires showed that 100 percent of respondents stated that the application of the model
in the long term will increase crop production. The reason is (i) farmers propose real needs not their wants, (ii)
there is synchronization between top-down and bottom-up planning, (iii) proposed from the farmers associated to
programs and activities from government), (iv) harmonization between actors in rural development, (iv) the needs
of farmers can be precisely known.
Table 3. The Opinion from the participants” about decents or effective of the model
Farmer groups can truly improve their welfare
The model can synchronize between groups farmers forum and Works Unit of local government (SKPD)
List of farmers' needs in accordance with the plan of government programs
Farmers can help to identify the problem itself

Farmer groups are empowered to participate in the planning mechanism
To create synergy and synchronization between government programs and the needs of farmer groups
( bottom-up and top-down )
Farmers needs are more clear and focused
The model can accommodate / know the needs of farmers
The needs of farmers are more easily controlled and easier to extension
To increase the income of farmers
Farmers can plan what will be implemented
With the model, farmers are expected to resolve the problem
Source: Primary Data Processed , 2013
Model Implementation at Kaloling Village
The application of the model have done by training to farmer groups. There are three modules were delivered to
the participants, namely i) the module of Participatory Rural Approach (PRA), ii) Integration Group Farmers Forum
into Musrenbang, and (iii) preparation of budget plans for each activity. But the most interesting module according
to participants is PRA modules. In practical, the participants were divided into five groups and each group guided by
the head of the group.
Problems and needs for farmers can be grouped into two categories, namely physical and non-physical. Non-
physical such as needs related to the provision of knowledge in the form of training, while the physical
requirements include the provision of water pumps, drying floor, warehouse, irrigation, provision of seed and
seedlings. In the work plan documents (Renja) of the Department of Agriculture and Livestock, there appears the
local government's attention to the welfare of farmers in Bantaeng. This is illustrated in the first point of the 6
objectives listed in the work plan in 2014 that is "increase the income and standard of living of farmers through the
development of systems and agribusiness ventures". Consistency proposal from farmer groups with the activities of
Department of Agriculture and Livestock in 2014 are shown in Table 5.

Table 4. Classification of Farmers Needs at Kaloling Village

No Physical Needs Non-Physical Needs Name of Groups
1 Drying floor Training for how to sell the Bunga Harapan, PR Jatia
product Kaloling Village
2 Warehouse Training how to prepare seeds Amanah Group and Bunga
Harapan Group
3 Irrigation Training how to make toxic pest Kaloling II, Amanah Group
4 Water Pumps All groups (except Amanah

Group)
5 Seeds All groups (except Amanah
Group)
6 Seedlings Kaloling II
7 Artesian Well Lele Caddi and Jatia Kaloling
Source: Primary data, 2013
Table 5 . Consistency between activities proposed of Groups Farmers and Activities from SKPD
(Department of Agriculture and Livestock), in Bantaeng
No Programs of SKPD Activities Plan in 2014 Activities Proposed of Location

Groups Farmers (List of
needs Farmers)
1 The Increasing of Procurement of Hand Tractors Tractors Activities proposed is
farmers welfare Consistent but not
Programs consistent for the
location (Kaloling)
Procurement of Power Tresher No activities
Procurement of Com Seller No activities Kaloling Village
Rice Miling Unit No activities
Hand Sprayer No activities
2 Programs of the Data base for potential crops No activities
increasing of food productions
safety Monitoring and evaluation for No activities
agricultural subsidies policy
Operational Mentoring escort P2BN No activities
Utilization of the yard to the No activities
development of food
Development intensification of rice, No activities
pulses
Observations and pest control No activities
Development of horticulture crop No activities
diversification
Combating pest and diseases crop No activities
explicit
Development of infrastructure for Infrastructure
farmers and production
Development of hatchery / nursery No activities
Rice seed Rice seed Different location
Seed corn Corn Seed Different location
Paddy, maize (SL-PTT,BLBU, CBN, APBN- Seedlings Gattareng keke
P)

Cont. Table 5.
No Programs of SKPD Activities Plan in 2014 Activities Proposed of Location

Groups Farmers (List of
needs Farmers)
3 The increasing of Promotion of production No activities
production and
Development of agricultural production No activities
product marketing
center
Research and Technical Development No activities

Development of warehouse processing Warehouse At district level
seeds
Procurement drier No activities In Bantaeng district
Development of drying floor Drying floor In Bantaeng
Development networking irrigation Irrigations Different location

Water resources Development for crops Water pumps Different location
Development of participatory irrigation No activities
Extension application of agricultural Training Different location
technology
4 Increasing of Development patterns of SRI No activities
agriculture product Control of production loss No activities
Development of crop breeding centers No activities
Nursery of fruit trees No activities
Low land vegetable seedling No activities
development
Development of fruit nurseries No activities Kaloling
Source: Renja of Work Units Agriculture and Livestock (processed data), 2013
Table 5 shows the consistency between the proposed farmers' groups (Kaloling village) and the proposed work plan
of the Department of Agriculture and Veterinary Office in Bantaeng. It is seen that some of the activities planned
by the Department of Agriculture consistent with the proposal from farmer groups ( case of Kaloling Village). It
means that these activities is needed by farmers. However, farmers are not only in the Kaloling but also scattered
through out the villages and districts in Bantaeng, so eventhough the proposal of farmers is consistent with the
work plan of SKPD, but the determination of the location planned by the Department of Agriculture is different.
Proposed of the farmer groups is more related to marketing than other programs. This means that marketing
issues is more related to post-harvest aspects. This is due to the low quality of the harvest.
Model Implementation in Laleng Bata, Pinrang District
Each farmer groups produced a number of problems and identification of needs in accordance with its resources.
The problems can not be solved by farmer groups, it will be proposed to the village level through village budget
allocations (ADD) or district level through the district budget (APBD).
Table 6 shows that the proposed of farmers groups is more non-physical than physical needs namely
improvement of human resources capacity (farmer groups). While physical needs are the provision of seeds and
seedlings. To further examine the consistency between the proposals from the farmer and the proposed from the
Department of Agriculture is shown in Table 7.

Table 6 . Need Identification based on Physical and Non-Physical in Laleng Bata, Pinrang
NO Name of Farmer Group Physical Need Non-Physical
1 Jawi-Jawi Availability narrator
chili seeds, beans and
pumpkins.
Comparative study (farmers need to visit
other area
2 Proteksi Large pipe coaching or mentoring to the farmer groups
3 KT. Tellu TemmasarangE Need fingerlings and Activation / Coaching KUD and Gapoktan to
assistance to farmers provide loan capital
Development and Coaching Cooperation
Coaching, provision of chili seeds and
development of vegetable in the rice field
4 Mawar Women farmers need Women farmers needs counseling and

seeds of vegetables training
and plant pots
Need training utilization of manure as organic
fertilizer
5 Suka Maju hand tractor Capital provider

seed crops Capital for farmer groups
Source: Primary data, 2013 (discussion result)
Table 7. Consistency between the Action Plan of the Department of Agriculture and Livestock and the proposal from
farmer groups in Laleng Bata, Pinrang
No Programs from Activity plan in 2014 Proposed activities Location

SKPD of from Farmer group
Agriculture (List of needs)
1 Increasing farmer Training and coaching for farmer No activity Lempa (different
welfare Program group location)
Farm development studio No activity Teppo village,
Mattunrutunru,
Pakki, Marawi,
Maccorawali
villages
socialization agribusiness No activity Watangsawitto
development sub district
Counseling and coaching for The same Activities Different location
farmer: capital for women
farmer in Rajang Village
Capital The same activity Different location
2 Program of Promotion No activity

increasing
Development for centre No activity
marketing for
production
agriculture
Management of agriculture No activity
production
information
Marketing distribution No activity

Cont. Ta ble 7
No Programs from Activity plan in 2014 Proposed activities Location

SKPD of from Farmer group
Agriculture (List of needs)
3 Improvement of Research and Development No activity
agriculture Procurement infrastructure such The same activity Sabbangparu
technology as hand traktor, water pumps, village, Binanga
Rice transpainter, pumping and Karaeng, Watang
drill wells Kessa village
Development of home No activity
composting
Development of organic fertilizer No activity
processing unit
Training and operational The same activity
guidance technology
4 Increasing Counseling for production The same activity

agriculture increasing
production
Fertilizer for farmer group Mattiro Tasi Village
The strengthening of the No activity
supervisory fertilizer
Adjacent to the dealer fertilizers No activity
pesticides
Development of seeds as The same activity Different location
regional development chilies,
melon, strawberry area, red
onion
GAP field school No activity
Post-harvest handling No activity
Dross corn No activity
Paddy cutting machine No activity
SLPTT paddy commodity No activity
Seed development The same activity Different location
Provision of farm roads No activity
Source: Work plan of SKPD Agriculture in Pinrang, 2013
After identifying programs and activities planned by the Department of Agriculture and Livestock in Pinrang
District, there appears to be some proposal from farmer groups in Laleng Bata are consistent or equal to the
activities plan proposed by the Department of Agriculture and Livestock. However, the location of the
implementation of the activities are not in Laleng Bata.
In general, the application of the model through institutional strengthening of farmer groups responded positively
by the farmers for both the District of Pinrang and Bantaeng. Of all participants (farmers) are present in the
training states that this training models is very useful because it can be thought of farmers digging through
discussion and eventually produced the list of needs for each farmer group. Then the results of these discussions
can be proposed at the village level especially at Musrenbang Village.

SATO Yasuyuki
Source: Primary data, 2013
Figure 2. Responses of participants in Laleng Bata and Kaloling
CONCLUSIONS
The study reveals that the participants responded positively on the development model for food crops. This means
that the model implementation is feasible at farmers/farmer groups level. Capacity of farmers / farmer groups
increased after training although within a relatively very short. This is shown by the list of needs of each farmer group
as output from the discussion group. The increasing of knowledge for the farmers groups through training may
increase their income in the long run. It is recommended that each farmer group always interact with its members so
that the problems encountered can be solved together according to their potential. Unresolved problems will be
discussed at the Forum farmer groups.
REFERENCES
Abdullah Buang. 2002. Development of New Type Rice. Paper presented In Field Meeting Seminar BALITPA di KP.
Pusakanegara, Subang 26 September 2002
Adri Said (2007). Characteristics relationship Farmers and the Social Environment Technology Utilization Rate of
Rice Farmers in South Sulawesi in the set of Abstract Research Institute Research UNHAS 2006-2007.
Institute Research UNHAS.
Alihamsyah T., Muhrizal Sarwani dan Isdianto Ar-Riza. 2002. Main Components Technology Optimization of land
Tidal Rice Production as a Source of Future Growth. In Science & Technology Seminar Paper presented to
the National Rice paddy Week di Sukamandi 22 Maret 2002.
Ananto Eko. 2002. Development of Agricultural Land Tidal marsh to Support Increased Food Production. Seminar
Paper presented In Science & Technology to the National Rice paddy Week in Sukamandi 22 Maret 2002.
Anonim. 2003. Research and Development of Food Crops in Relation to Organic Farming Systems. Paper
Technology Development at the Emperor Hotel in March 2003.
Anonim. 2003. Research and Development for crops related to organic agriculture system. Research and
Development Center for Crops.
Anonim 2008. Corn Cultivation Technology. Agency for Agricultural Research and Development, Innovation Book
Series, TP/04/2008.

Anonim 2009. Development Analysis of Agricultural Commodities Prices. Center for Agricultural Data and
Information, Bulletin :1412-5102 August
Andi Mangkau, 2010. Early research studies the characteristics of corn cob briquettes burning with rice husk
composition. Mechanics, Journal of Mechanical and Industrial Engineering.
BPS 2011. Press Release No.72/11/Th XIV, November 7

Directorate of Food Agriculture-Bappenas (2011). Proceedings of the Agricultural Trade Policy in the Era of
Global Trade. Retrived from Internet dated 15 November 2011
Gurdev S. khush. 2002. Food Security By Design: Improving The Rice Plant in Partnership With NARS. Paper
presented in seminar IPTEK of rice. National Rice in Sukamandi March 22, 2002.
Purba S. dan Las I. 2002, Regionalization of Rice Production Enhancement Strategy Options. Paper presented in
Seminar ITPEK of rice at Sukamandi 22 Maret 2002.
Mahyudi Nakar (2011). Urgency Corn Development in Indonesia. Irrigation Indonesian Communication Networks.
No.32 thn X PSDAL-LP3ES. Retrieved dari Internet 15 Nopember 2011.
Mashar Ali Zum, 2000, Biological Technology Bio P 2000 Z In Effort to Spur Productivity of Organic Agriculture in
Marginal Land. Paper presented workshops and training in organic technology Cibitung May 22, 2000.
Moeljopawiro Sugiono. 2002. Biotechnology for Improved Productivity and Quality of Rice. Paper presented
seminar IPTEK of rice. Paper presented in Seminar ITPEK of rice at Sukamandi 22 Maret 2002.
Nursini, Amrullah, Sultan, and Tawakkal, 2013. Research Report on Development Model of food crops in increasing
income of Farmers in South Sulawesi. Report. Research Institute of Hasanuddin University
Nursini, Amrullan, Sultan, 2013. Development Model of Foor Crops In Increasing Income of Farmers in South
Sulawesi. Mimbar Journal of social and development. Unisba Vol 29 No.1 (June 2013): 1-122
Sri Adiningsih J., M. Soepartini, A. kusno, Mulyadi, and Wiwik Hartati. 1994. Technology to Increase Productivity
Wetland and Dryland. Proceedings of the Meeting of Consultation of Land Resources for Development in
Eastern Indonesia Palu 17 to 20 January 1994.
Work Plan (working plan) Department of Agriculture and Animal Husbandry Pinrang, 2014 Work Plan (working plan)
Department of Agriculture and Veterinary Office Bantaeng, 2014
Permendagri 54 of 2010 on Procedures for Preparation and Evaluation Regional Development Planning.

ASSESSMENT OF FOREST ECOSYSTEM SERVICE DEMAND-SUPPLY BALANCE FOR
SUSTAINABLE RURAL COMMUNITIES: A CASE STUDY IN TOTSUKAWA VILLAGE, JAPAN
Takashi Machimura, Shingo Kuniwake and Takanori Matsui

Osaka University
mach@see.eng.osaka-u.ac.jp
ABSTRACT
Sustainability of rural communities and sustainable rural natural resource use are closely related to each other. Aiming to
depict the dependency and contribution of rural communities on/to ecosystems at present and in depopulating future, this
study analyzed the demand-supply balance of non-provisioning forest ecosystem services in mountainous rural communities in
Totsukawa Village, Nara, Japan. As the indicators of service supply, the functional scores of forest compartments for
mountainous disaster protection, residential environment control and health and culture were extracted from a forest register
and averaged in each of 53 settlements in the village. As the proxy indicators of service demand corresponding to the supplied
services, weighted population in downstream, settlement population and integrated size and accessibility of cultural sites were
collected, respectively. In order to evaluate ecosystem service demand-supply balance, service sufficiency gap (SSG) was used.
Future settlement population was predicted until 2040 by means of the cohort component method and the SSG changes in
depopulating future were assessed. Distribution and statistics of SSGs in present and depopulating future were analyzed to
evaluate matching between service demand and supply. The settlements were classified into three clusters by SSGs and the
indicators of community sustainability was compared among the clusters. Different forest management prospects for
sustainable rural communities were proposed.
INTRODUCTION
Sustainability of rural communities and sustainable rural natural resource use are closely related to each other.
Ecosystems supply a variety of services to human including provisioning of wood and fuel, regulating environment,
controlling disasters, and inspiring mental and cultural activities. In turn, human societies demand ecosystem
services depending on its material, environmental and metaphysical requirements changing in place and time.
Especially, rural communities tend to depend much of life, industry, amenity and safety on ecosystem services.
However, the demand and supply of services does not match always and occasionally different services conflict to
each other. In order to establish effective and balanced ecosystem management to support rural communities,
assessment of service demand-supply balance for multiple ecosystem services is indispensable.
We recently proposed a comprehensive assessment method of multiple ecosystem services including regulating
and cultural services which are less quantitative (Machimura et al., in review). It compiled ecosystem service
demand and supply values having different physical unit into a index by statistical normalization and show the
effectiveness of the method in a case study of non-provisioning forest ecosystem services in mountainous rural
community. This stusy aims to apply the method and to extend the previous results in directing the forest
management policy for the sustainability of rural community.
METHOD
Study area
The demand and supply of non-provisioning forest ecosystem services was investigated in Totsuikawa Village, Nara
Prefecture, Japan. Totsukawa Village is located in the middle western part of main island of Japan, and in the upper
stream of Kumano River (Fig. 1). It is in Kii Mountains region, its elevation ranges from 35 m to 1747 m and the
topography is characterized by very steep valleys eroded by rivers and streams. Geographical area of the village is
672 km2 and 96% of the land is covered with forest.
We selected three societal issues concerning the sustainability of communities in Totsukawa Village; depopulation,
disaster and culture. Population of the village was 4,107 in 2010 and is continuously decreasing since 1960s.

Takashi Machimura, et al
Population aging rate (65 years old and above) was 0.38 in
2010, which was far higher than the national average of
0.23 (Ministry of Internal Affairs and Communication,
2012). Another big issue of the village is natural disaster
especially flood and mudslide induced by heavy rainfall and
steep slopes. Besides, the village holds a unique cultural
significance standing on a node of historical trails since
ancient times, which is a part of “Sacred Sites and
Pilgrimage Routes in the Kii Mountain Range” listed in the
UNESCO World Heritages Sites in 2004. Therefore in the
study area, the services of forest ecosystem to provide
profits, to protect residence and to ferment culture are the
key values of nature in the village.
Indicators of forest ecosystem service supply and demand
In this study following Machimura et al., the demand and

supply balance of forest ecosystem services was analyzed
Fig. 1. Map of Totsukawa Village indicating settlement
in the measures of gap between demand and supply boarders (dot), river channels (solid) and major roads
indicators. As the indicators of service supply, the (gray). Circle represents village office.
functional scores of forest compartments were extracted from
a forest register. Those of mountainous disaster protection,
residential environment control and health and culture were collected and averaged in each of 53 settlements in
Totsukawa Village.
Quantitative determination of the demands for non-provisioning ecosystem services requires tricks unlike demands
for provisioning services such as wood consumption. Following Machimura et al., we employed proxy indicators of
service demand corresponding to the supplied forest ecosystem services. As the indicator of demand for residential
environment control service, settlement population as beneficiaries was selected.
Mountainous disaster protection service is beneficial to not only residents in the settlement but also in the
downstream, therefore, the total population in downstream settlements weighted by runoff was the proper
indicator for the service. The demand for health and culture service was assumed to be proportional to the size of
interface to exchange recreational values between nature and human, and also to the accessibility to the interface.
Natural parks (Yoshino Kumano National Park and Koya Ryujin Quasi-national Park), a botanical garden (Kii
Peninsula Forest Botanical Garden), natural and historical trails (Kinki Natural Trail, and Kumano and Oomine
Pilgrimage Routes) were selected as the interface. Accessibility to the interfaces was defined by the inverted
distance from densely inhabited districts (DIDs) to settlement because the most tourists visiting the parks and trails
use auto routes from the DIDs, where the nearest DIDs to the settlements of Totsukawa Village is any of Tanabe,
Shingu or Gose Cities. The area of natural parks and botanical garden, and the length of trails converted to special
extent by fractal dimension were summed and then multiplied by accessibility.
Gap analysis between ecosystem service demand and supply
Because ecosystem service supply and proxy demand indicators defined above have different physical units, they
cannot be compared directly each other. In order to evaluate ecosystem service demand-supply balance,
(1)
Machimura et al. defined service sufficiency gap (SSG) of a settlement for a service as the normalized difference
between the ranks of service demand and supply indicators among the settlements,

where, and are demand and supply indicators of settlement for service , and
function represents the descending order rank of an indicator of settlement among
settlements. SSG ranging from –1 to 1 represents from the extremely demand exceeding to extremely supply
exceeding settlements, respectively. It should be denoted that SSG represents relative tendency of the settlement
to service demand exceeding or supply exceeding among all settlements.
Demographic prediction and ecosystem service demand-supply balance change in future
Future settlement population was predicted until 2040 by means of the cohort component method, which predicts
future population based on component rates consisting of fertility, mortality and net migration for each age class
and sex. National Institute of Population and Social Security Research (IPSS) publishes the latest prediction of
future population and the component rates of the village until 2040. We assumed the fertility and survival rates of
the settlements are the same to the published rates for Totsukawa Village.
Net migration rate of the village was re-calculated based on National Census in 2000, 2005 and 2010 because the
published rates was somewhat deformed by a few facilities exist in the village in which only residents of limited
ages and sex lives. The net migration rate of each settlement is different from the rate of entire village depending
on age structure and the migration among settlements. We defined a correction factor of settlement population as
the ratio of difference of actual and estimated population to population of reference year where the estimated
value was by using the component rates of whole village. Assuming the component rates and correction factor are
constant in future, settlement population was predicted every from 2015 to 2040 by every five years.
Future SSG for mountainous disaster protection and residential environment control services of settlements were
estimated using the projected settlement population in 2040.
Classification of settlement by SSGs and assessment of community sustainability
Settlements were classified by means of hierarchical cluster analysis of three SSGs with the Ward’s method was
performed. Population aging rate (the population rate of 65 years old or over) in 2010, population growth rate
between 2000 and 2010 and road distance from village center (village office) were selected as indicators of
community sustainability. The indicators were compared among the clusters classified by SSGs and prospects in
managing forest and communities were discussed.
Geographical distribution of SSGs
Figure 2 shows the maps of SSGs calculated in 2010. The supply indicator of mountainous disaster protection
a) Mountainous disaster protection b) Residential environment control c) Health and culture
-1.0 -0.5 0.0 0.5 1.0
Fig. 2. Distribution of the service sufficiency gaps (SSGs) for the functions of in 2010 (Machimura et al.).

service was high in stands along river channels and it looked reasonable to protect land and mud slides. However,
the map of SSG for the service indicating large negative values in upstream settlements suggests the importance of
service demand. SSG for residential environment control was near neutral in many settlements and the forest
management policy of this service was generally appropreate excepting a few very negative settlements. SSG for
health and culture was again demand driven considering that the negative settlements contain cultural service
facilities including parks and trails.
Statistics of SSGs in present and future
Figure 3 shows frequency distribution of SSGs in 2010 and 2040, and Table 1 shows statistics of SSGs. Because
ranks of ecosystem service demand and supply indicators have uniform distribution of the same range,
theoretically expected statistics of the SSG are known if the indicators are independent each other and distribute
randomly. Median and skewness are measures of bias from symmetry, and variance and krutosis are of the
matching between demand and supply. In 2010, all SSGs were distributed symmetrically around the mean (= 0) and
median and skewness were consistent each other for all services.
The variance of SSG for mountainous disaster protection was larger than the theoretical value and the kurtosis was
less showing mismatching between demand and supply for the service. In contrast, those statistics for residential
environment control were better than the theoretical value showing grid matching between demand and supply
for the service. The variance and kurtosis of SSG for health and culture showed an inconsistent result; smaller
variance and less kurtosis which were brought by the relatively small range of SSG caused by the fact that the proxy
indicator of demand was zero in more than half settlements. In 2040 under the progress of depopulation, the
mismatching between demand and supply of mountainous disaster protection was somewhat mitigated by
population migration from the upstream settlements to the downstreams. Statistical measures for residential
environment control did not change much between 2010 and 2040.
a) Mountainous disaster protection b) Residential environment control c) Health and culture

15 2010 15 15
2040
Number of settlements
10 10 10
5 5 5
0 0 0
~-0.8
~-0.6
~-0.4
~-0.2
~0.0
~0.2
~0.4
~0.6
~0.8
~1.0
~-0.8
~-0.6
~-0.4
~-0.2
~0.0
~0.2
~0.4
~0.6
~0.8
~1.0
~-0.8
~-0.6
~-0.4
~-0.2
~0.0
~0.2
~0.4
~0.6
~0.8
~1.0
Service sufficiency gaps (SSGs)

Fig. 3. Distribution of the service sufficiency gaps (SSGs) for the functions of in 2010 and 2040 (Machimura et al.).
Table 1. Statistics of service sufficiency gaps (SSGs). Random represents theoretically expected values for the
difference of two independent random numbers distributing uniformly (Machimura et al.).
Mountainous disaster Residential environment
protection control Health and
Variable Random
culture
2010 2040 2010 2040
Median 0.00 0.01 0.04 0.04 0.04 –0.03
Skewness 0.00 –0.09 –0.21 –0.10 0.06 0.05
Variance 0.17 0.23 0.21 0.15 0.16 0.10
Kurtosis –0.60 –0.85 –0.68 –0.33 –0.33 –0.88

Classification of settlements by SSGs and community sustainability
The settlements were classified by means of hierarchical cluster analysis of SSGs. Figure 4 shows the distribution of
three clusters, where distances among unmaerged clusters were farer enough than merged clusters. Table 2 shows
mean SSG scores of clusters. Cluster I consists of high SSG settlements for residential environment control. Clusters
II and III were clearly separated by SSG for mountainous disaster protection; cluster II having the large negative SSG
was distributed in uperstream and III in downstream. SSG for health and culture did not affect the settlement
classification.
Table 2 also shows a few indicators to assess the sustainability of settlement community; aging rate, population
growth and road distance from village center. According to the indicators, settlements included in clusters I and II
have difficulty to maintain community because of high aging rate, rapid depopulation and distant location from the
village center compared with cluster III. Cluster I has high supply exceeds for residential environment control and
neutral mountainous disaster protection. Some settlements contain cultural sites, therefore the forest
management to maintain cultural value is preferable. In cluster II, promoting mountainous disaster protection is
the highest priority to prevent the community extinction triggered by disasters. The cluster III settlements are
expected to keep function as the village center in future. Forest management aiming to raise residential
environmental value should be the right direction.
I
II
III
Fig. 4. Settlement clusters classified by three service sufficiency gaps (SSGs).
Table 2. Mean values of service sufficiency gaps (SSGs) and community sustainability indicators for the
settlement clusters.
Service sufficiency gaps (SSGs) Community sustainability indicators
Number of
Mountainous Residential Health Population Population Road distance
Cluster settlement
disaster protection environment control and aging rate growth rate from village
s
2010 2040 2010 2040 culture (year–1) center (km)
I 17 –0.08 a –0.01 a 0.37 a 0.38 a –0.13 a 0.51 a –0.034 a 17.4 a
II 16 –0.51 b –0.51 b –018 b –018 b 0.10 a 0.46 a –0.021 ab 22.9 a
III 21 0.45 c 0.39 c –0.15 b –0.17 b 0.03 a 0.42 a –0.015 b 13.3 a
abc: different letters denote difference in mean values between clusters at the significance level of 5%.

CONCLUSION
This study analyzed the demand-supply balance of non-provisioning forest ecosystem services in mountainous
rural communities in Totsukawa Village. As the indicators of ecosystem service supply, the functional scores of
forest compartments for mountainous disaster protection, residential environment control and health and culture
were extracted from a forest register and averaged in each of 53 settlements in the village. As the proxy indicators
of service demand corresponding to the supplied services, weighted population in downstream, settlement
population and integrated size and accessibility of cultural sites were collected, respectively. In order to evaluate
ecosystem service demand-supply balance, service sufficiency gap (SSG) was used. Future settlement population
was predicted until 2040 by means of the cohort component method and the SSG changes in depopulating future
were assessed.
The statistics of SSGs showed mismatching between ecosystem service demand and supply for mountainous
disaster protection, however it is predicted to be mitigated in depopulating future. The settlements were classified
into three clusters by SSGs and the indicators of community sustainability was compared among the clusters.
Different forest management prospects for sustainable rural communities were proposed.
Forest ecosystem supplies a variety of services to human society and human society demands services, however
the demand and supply does not match always and occasionally different services conflict to each other. This study
demonstrated a comprehensive assessment method of multiple ecosystem services including less quantitative
variables and its effectiveness on ecosystem management direction.
ACKNOWLEDGEMENT
This study was supported by Center of Environmental Innovation Design for Sustainability (CEIDS) of Osaka
University. Totsukawa Village Office kindly assisted our researches conducted in the village.
REFERENCES
Machimura, Takashi, Kuniwake, Shingo, Matsui, Takanori. “Gap analysis between demand and supply for non-
provisioning forest ecosystem services: A case study in a remote village in Japan.” Ecosystem services. In
review. Ministry of Internal Affairs and Communication. 2012. “National Census.” http://www.e-stat.go.jp/
estat/html/kokusei/NewList-000001039448.html (April 5, 2014).

HOW SERICULTURE BECAME MORE LOCALIZED IN GUANGXI CHINA?
Ni Hui
Kyoto University, Japan
ni.hui.niki (at mark) gmail.com
ABSTRACT
This research discusses how an entire agriculture sector became more localized and attempts to explain why the silk industry
made decisions regarding sericulture production locations, using the case of sericulture in Guangxi. In 2005, Guangxi Zhuang
Autonomous Region (Guangxi) became the largest sericulture region in China. In 2012, the cocoon output from Guangxi was
about 1.5 times the cocoon output from India according to FAO. However, Guangxi did not stop at the agriculture sector, but
pursued control of the commodity chain from sericulture through to silk industry. The extension of the silk industry’s commodity
chain led to an upstream structural change in the industry as well as a regional sericulture shift within Guangxi. Substantia l silk
enterprises have settled in north Guangxi because the area can provide large quantities of high quality cocoon material.
However, middle-class and smaller-scale silk enterprises have followed a different strategy. From this case, it is clear that the
region offering the most advantages in terms of sericulture region decided the location of the silk industry. Based on the
survey data provided by Guangxi Sericulture Technology and Extension Station (GSTES) and fieldwork by the author in 2012,
and using the method of location quotient (LQ), this research attempts 1) analyses of the basic situation of the sericulture and
silk industries in all 14 cities of Guangxi, and 2) of the developmental progress of the silk industry in Guangxi. This research was
supported by JSPS Asia Core Program.
INTRODUCTION
Sericulture, which includes mulberry trees cultivation and rearing silkworms, is a traditional agriculture sector in
China. The complex production process can be described as a sericulture mulberry-cocoon commodity chain. This
chain can be extended to silk yarns, silk textiles, and silk products. Sericulture combines naturally with the silk
industry and silk product enterprises. Sericulture is in the chain’s upstream, whereas the silk industry and silk
enterprises are in the downstream. The production quantity of cocoon depends upon the square and the
productivity of mulberry fields and farming labor. The quality of cocoon depends upon the technology used.
However, “technology” remains a parameter that cannot be easily measured in the case of sericulture.
Most Chinese silkworm farmers cultivate mulberry trees and rear silkworms simultaneously. Under China’s present
farming land policy, silkworm farmer households have become the basic operating unit of production. Most
silkworm farmers are small-scale or micro-scale farmers, producing less than 10 silkworm seed-sheets every year,
and in 2012, the average mulberry field for every family was less than 0.2 ha. Silkworm farmers are connected to
the larger silk industry by contract farming, as a type of cocoon producer and/or purchase contractor, which is
fulfilled with local silk enterprises. Two different styles of contract farming can be found in China, namely the
traditional region style and the new region style in Guangxi (Ni & Hisano, 2014).
In the early 1990s, in order to increase local farmers’ cash income, the Guangxi government introduced mulberry
cultivation and silkworm rearing technology to local farmers and provided sericulture production resources and
education to improve sericulture in the region. As a part of this scheme, GSTES also undertook research to develop
new mulberry and silkworm breeds. New breeds could be more suitable to the tropical weather in Guangxi than
traditional breeds. Over a period of 10 years, Guangxi became a main production region for cocoon material.
Prior to the year 2000, several silk industry plans were instigated and the silk industry in Guangxi was developed.
Scaled silk industries were named “Dragon Head Enterprise” (DHE). The expansion of DHEs improved both
sericulture and the silk industry in Guangxi. Government regulations also effected the development of sericulture
in Guangxi. Compared to the traditional region, Guangxi promoted a freer cocoon market with less regulation. This
freer cocoon market led to a geographic shift in sericulture and silk industry location.
This paper concentrates on the geographical area of sericulture and the silk industry and uses the method of
location quotient (LQ) at the city level to analyze how the shift in location of sericulture and the silk industry
affected the commodity chain. As a conclusion, this paper will present a region-commodity chain structure model.

Ni Hui
MAIN SERICULTURE AND SILK REGIONS IN CHINA AND GUANGXI
Jiangsu province and Zhejiang province, located in the east part of China, are traditional regional homes for the
country’s sericulture and silk industry. As Figure 1 shows, after 2000, the squares of mulberry fields in Jiangsu and
Zhejiang dropped, however the number of squares in Guangxi increased dramatically. By 2005, Guangxi had more
Mulberry squares than either Zhejiang or Jiangsu.
A similar trend can be observed for cocoon production. In 2001, only 7% of cocoons were produced in Guangxi
while the shares for Zhejiang and Jiangsu were 20% and 21%, respectively. In 2011, Guangxi’s share increased to
35% of total cocoon production volume while Jiangsu’s fell to 10% and Zhejiang’s dropped lower than 8%.
Guangxi’s quantity of cocoon production exceeded that of the two provinces around the year 2005. A clear
regional shift in sericulture occurred around 2005. The main sericulture production center moved from the eastern
part of the country to the southwest— to Guangxi, which became the main cocoon-producing region after 2005.
Sources: “Silk Year Book of China” and “China Year Book.”
Figure 1. Mulberry field in main sericulture region (mu)
Before the 1990s, sericulture was not very widespread in Guangxi. After 2000, silkworm rearing became an
important “cash crop” for farmer households, but sugarcane is the original cash crop in Guangxi. As can be seen in
Figure 2, following the year 2005, accompanied by the maturing sericulture sector, the share of cultivation output
and agriculture product structure begins to show small changes, with the exception of the oil crop. On the contrary,
farmers in Guangxi concentrated on sugarcane and cocoons as cash crops. The dual cash crop approach indicates a
balanced situation. These two cash crops will be analyzed at the local regional level.
Source: “Guangxi Year Book in 2010” and “China Year Book.”
Figure 2. Guangxi cultivation output share

Ni Hui
METHODOLOGY-LOCATION QUOTIENT
Model and parameter used for sericulture and the silk industry
The location quotient (LQ: SCij) approach measures the ratio of an industry’s share in a region (Isserman, 1977).
The LQ model is
SCij = [Aij /ΣiAij] / [ΣjAij /ΣiΣjAij]
where ‘i’ means a sector, j means a region, and Aij means the value of sector i in region j. The location quotient SCij
measures a value in order to describe the rate of concentration of sector i in region j. If SCij>=1, then sector i can be
said to be concentrated in region j. In the original theory, the variable A is always measured as the value of labor
or employment. However, in the case of agriculture, the value of A can be the cultivation area or agricultural
products. This paper uses the number of squares of mulberry fields and the quantity of cocoons to calculate the
LQ of sericulture and the silk industry in Guangxi.
Data explanation and fieldwork
This paper uses the squares of mulberry fields and the quantity of cocoons to calculate the LQ in Guangxi as well as
to compare and discuss the two results. From the macro statistics provided by the Guangxi Year Book as well as
gathered during the author’s own fieldwork, the squares of mulberry fields and the quantity of cocoons produced
were found to not be in direct proportion. If mulberry productivity can be neglected in the short term, a difference
in output will result, and the square result means that many mulberry fields are not being used either fully or at all
every silkworm rearing season per year . Consequently, LQ will be measured in 14 administration cities in Guangxi
by using the mulberry squares and cocoon output. All data are taken from the investigation data provided by
Guangxi Sericulture Technology Guidance Station (GSTGS), and the Guangxi Year Book. The author undertook
fieldwork in July–August 2009 and August 2012.
LQ RESULTS
LQ-cocoon Square and LQ-cocoon output
Compare Figure 3 and Figure 4, which show LQ-cocoon mulberry squares in 2005 and 2012, respectively. The 14
cities included in the study can be divided into three groups. The first group, HC city, has a high LQ value of square
bases. The second group comprises NN, LB, and LZ cities. The LQ value of this group is similar to that of the first
group. In 2012, NN city’s LQ reduced, but that of LB and LZ cities remained level. The remaining 10 cities comprise
the third group. The LQ of most cities in this group is smaller than 1, which shows that sericulture is not
concentrated in those areas.
Figure 3 LQ-cocoon mulberry squares in 2005

Source: Author
Figure 4 LQ-cocoon mulberry squares in 2012

Source: Author

Ni Hui
Comparing the LQ-cocoon output in the years 2005 and 2012, shown in Figure 5 and Figure 6, respectively, it is
evident that only the first group—HC city—maintains its high value. In 2012, the LQ-square of LB is 2.36, but its LQ-
output is 1.5. Its LQ-output score is lower than its LQ-square score, which is similar to that of LZ city. Unused
Mulberry fields in such cities can be prospected. The third group displays similar result as LQ-square.
Figure 5. LQ-cocoon output in 2005

Source: Author
Figure 6. LQ-cocoon output in 2012

Source: Author
LQ-sugar and LQ-cocoon
Sugar is a traditional cash crop in the Guangxi area. Sugar cane cultivation requires economies of scale and
substantial amounts of both land and farm labors, and is hard work. Sugarcane can be harvested only once every
year, meaning farmers can receive cash income only once per year. However, silkworm rearing provides cocoon
that can be sold every 40 days. Moreover, rearing activity occurs inside houses near the farmers’ living quarters,
and farmers can constantly adjust the quantity of silkworms they want to rear. It is necessary to analyze the
relationship between these two cash crops. The following Figures compare the LQ-out of both sugar and cocoons.
Figure 7 and Figure 8 compared the 14 cities included in this study by the value of LQ-cocoon and LQ-sugar.
Comparing the years 2005 and 2012, it is clear that high values of LQ-sugar and LQ-cocoon were maintained. Little
mutual influence can be seen between sugar and cocoons. Cocoons and sugarcane have scant impact on each other
at the city level. From the Figures, it is evident that the values of LQ-sugar and LO-cocoon are in inverse proportion.
Therefore, Guangxi can be said to be regional hubs for both cocoon and sugarcane production.
Source: Author creation.
Figure 7. Cocoon and sugar output, 2005

Ni Hui
Figure 8. Cocoon and sugar output, 2012. (Source: Author)
One central point in He Chi, and two layers outside the

circle structure
According to the LQ calculation results, the 14 cities can

be divided into three groups. These cities are marked on
the map of Guangxi below. The thick circle indicates the
first group, HC city; light circles are the second group.
Other 10 cities are located outside the light circle. From
the map, it can be seen that HC is centrally located, with
the other four cities in the second group surrounding
this core. The first and the second groups make up
Guangxi’s sericulture region. From the geographic
location, the one-core and two-layer sericulture
structure is obvious. Sources: Map from http://travel.sina.com.cn/z/2009gx/
index.shtml (Access 2014/06/17). Marked by the author.
Silk industry and rare cocoon material supply flow
According to the sericulture and silk industry commodity chain, sericulture lies in the upstream and silk industry lies
in the downstream; however, not all sericulture regions offer a complete commodity chain. The core city of HC
provides 27% of the silk reeling ability in Guangxi. LZ, NN, and LB cities comprise the silk industry region. In
contrast, the third group has few silk reeling factories (Figure 9). Figure 10 shows the cocoon supply and demand
situation in Guangxi. Cocoon supply in HC, NN, LZ, and LB exceeds the demands of the silk industry. On one hand,
Guangxi supplies cocoon material to traditional regions. On the other hand, excess supply of cocoon material
promotes the development of the silk reeling and silk textile weaving industries. Upstream sectors in the
commodity chain thus promote downstream sectors. QZ and BH city lack cocoon material; inter-city transport of
cocoon material can be a future option for them.
Source: “Silk Year Book of China” and fieldwork in Guangxi by the author in 2009 and 2012.
Figure 9. Silk industry

Ni Hui
Figure 10. Cocoon-silk yarn supply and demand (tons) (Source: Author)
CONCLUSION
Using the model of the sericulture and silk industry

commodity chain, this paper analyzed sericulture and silk
industry locations in Guangxi using the location quotient
theory method. The results clearly indicate a one-core
and two-layer sericulture structure. This structure is
displayed in Figure 11. The core region can complete the
commodity chain or have a chain longer than other areas.
The second layer covers the up-middle stream of the
chain; however, outside the region, further away from
the core, the chain becomes shorter. The structure of
sericulture can be concentrated but not decentralized.
However, this structure is also affected by the location
middle- and down-stream sectors. For future discussion, Figure 11. Region-commodity chain structure
analyzing the issue of power relations of the main actors
in the commodity chain remains necessary.
ENDNOTES
1
However, the global commodity chain (GCC) theory by Gereffi (1994) discussed the “buyer-driven” chain. This paper will not
focus on the power of actors inside the chain. The sericulture GCC explains the commodity relations existing from mulberry
leaves through to cocoons and silk products. Also see Ni and Hisano (2013).
2
According to data from GSTGS, the average level of Guangxi is 7~8 sheets every year per sericulture household.
3
According to data from GSTGS, the average level of Guangxi is 7~8 sheets every year per sericulture household
4
Dragon Head Enterprise (DHE) in Chinese: 龙头企业。
5
For example, in Nakamura et al. (2004), A was calculated as the output of agro-production.

Ni Hui
REFERENCES
Andrew M. Isserman, 1977, “The location quotient approach to estimation regional economic impact,” Journal of
the American Institute of planners, pp.33-41
Gereffi G, 1994, “The organization of buyer-driven global commodity chains,” in Commodity Chains and Global Cap-
italism Eds G Gereffi, M Korzeniewicz (Praeger, Westport, CT) pp.95-122
Ni Hui and Hisano S. (2014) “Development of Contract Farming in Chinese Sericulture and the Silk Industry.” Chap-
ter 9 in: Louis Augustin-Jean and Bjorn Alpermann eds., The Political Economy of Agro-Food Markets in China:
The Social Construction of the Markets in an Era of Globalization, Palgrave Macmillan, 2014 [ISBN: 978-1-137-
27794-7], pp.236-256
Edit Committee of Silk Year Book of China, Silk Year Book of China 2005~2009.
Tatsuya Nakamura, Seiji Keino, Masayuki Yoshida, 2004, “A change in demand for perishable fruits after trade lib-
eralization in Japan and its regional disparity: using the data by geographical areas and prefectures,” 共栄大
学研究論集，No3, 2004 (in Japanese)

THE VARIETIES AND THE ACQUISITION OF FOOD AND FUEL SOURCES BY RURAL
HOUSEHOLDS IN BANGLADESH -FROM THE COMPARISON BETWEEN TWO VILLAGES
UNDER DIFFERENT HYDROLOGICAL SITUATIONS
Keiko Yoshino
Tokyo University of Agriculture
yoshkk@gmail.com
ABSTRACT
Bangladesh is a country located on the huge delta with high population density. In rural areas, the problem of food deficiency
and micronutrient deficiency is reported, but the actual varieties and the sources of the foodstuff and fuel to cook have been
little studied. This paper discusses what kind of food materials and fuels do rural inhabitants use and how they acquire by
intensive surveys on two villages under different hydrological situation. One village is free from inundation in rainy season, and
the other is inundated during rainy season. From the surveys, it was clear that many foodstuffs were self-supplied, which
included gathering from local open-access commons such as water bodies and fallow fields. Gifts from relatives and neighbors
were also an important source of foodstuff for resource-poor households. Comparing two villages, in the villages that inundates
in rainy season, proportion of natural fish from open water bodies was larger, and the fuel sources from open were also
obtained more from open access commons because of the richness of natural fish and deficiency of fuel sources from the limited
size of homestead. The food varieties were larger in the village free from inundation, because the village has had transportation
advantages to access to markets and various profitable economic activities.
INTRODUCTION
Among 153 million people in Bangladesh, 70% live in rural areas. With high population density, landholding per
person is less than 10are, and more than 10% of the households own no farmland. With such limited land
resources, the food security and nutrition survey conducted in 2008-2009 reported that about 25% of the
households were experiencing food insecurity, which was more severe in rural areas. Recently, with the rapid
inflation of food price, more households are affected by food insufficiency (IPHN, UNICEF and WFP, 2009).
Food security Nutritional Surveillance project (JSGSPH & HKI, 2012) reports that about 70% households are under
the condition of food insecurity, and about one fourth of households are under the condition of food deficit, and
that the proportion of food insecure households was much lower than in wealthier quintiles in 2011.Deficiency of
micronutrients such as vitamin A is also a major public health concern (Bushamuka et al. 2005). In order to cope
with such problems, diversification of food intake is needed, and food aids including micronutrient supplements,
kitchen gardening programs (Bushamuka et al. 2005), health programs and other various educational programs
have been promoted. But how and where foodstuff is actually acquired has not been studied intensively. The
government has prioritized the mainstreaming of nutrition in all government systems (JPGSPH & HKI, 2012)
It is difficult to come up with effective measures for improving food conditions without understanding how people
interact with surrounding environments, and what kind of resources and access they have in order to acquire food.
Bangladesh is located on the huge delta formed by the Ganges, the Brahmaputra, and the Meghna, Hydrological
settings influence the livelihood of local people. Thus in this paper, the everyday food management of rural
households throughout the year is analyzed, with the focus on their surrounding resources, social networking, and
socio-economic backgrounds of two villages under different hydrological conditions.
RESEARCH AREAS AND METHODS
Research areas
Two villages with different hydrological conditions were selected as the case villages (Figure 1, Table 1). One is
Kazirshimla (K village herein after) village that is free from inundation during the rainy season, and the other is
Dakshin Chamuria village (D village herein after) that is often inundated during the rainy season.

Keiko Yoshino
highways
boundaries
floodplain
depressions
tracts
mountainous
plains
hilly areas
mangrove
Figure 1 Location of research villages

(source: author. topography by Johnson 1975)
Table 1 Basic information of research villages1)

K village D village National average
(2006) (2006) (2008 census)
(Hydrological condition) free from inundation inundated in rainy season (floodplain)
Total village area(ha) 177 185

Household number 362 627
Landhloding size / HH (m2) 4,695 2,784 3,683
Homestead size / HH (m2) 736 386 319
HH that own tanks/ditches beside homestead 69% 35%
Average size of tanks/ditches (m2) 206 67
Ratio of landless H.H.(%) 24% 45% 41%
1) Data from baseline surveys conducted by author in K village in 2006, and by Ando et al.(unpublished) in D village in 2006
K Village is located along the Dhaka Mymensingh highway, about 10km from the district capital, Mymensingh. Due
to its proximity to Mymensingh, and the fact that the highway is free from flood damages, many villagers
commute to Mymensingh. D village is located in the Tangail district, about 15km from the district capital, Tangail.
It is in a rural floodplain area, about 30 minutes’ walk from the Dhaka-Jamuna bridge highway. During the rainy
season, the dirt road from the village to the highway is often inundated.
Inundation influences not only the transportation accessibility, but also the living conditions. K village is free from
inundation, but it has suffered water shortages. Ponds are necessary to get water in the village. The individual land
size is larger than the national average, and many homesteads are twice as large as the national average. K village
also has abundant natural vegetation. D village has a lot of inland water, but homesteads need to be built on a

Keiko Yoshino
high ground to avoid water damage. The high cost of the construction limits the size of the living space and the
space for trees and plants.
For the food surveys, meals, used foodstuffs and their origins (acquisition routes), fuel source, person who cooked,
and people who ate were asked. In K village, the children of the subject households, junior high school students,
kept the records. In D village, field assistants visited and asked the household members to recall the meals of the
previous day. In K village, records were kept every day from March 2006 to July 2007. In D village, the recording
was done on the first seven days of every month from June 2007 to May 2008. The food survey was conducted with
six households in K village and five in D village. The subject households were selected for various economic
conditions because the differences in their own resources affected their food consumption. In addition,
cooperation from the family members was very important to conduct such demanding surveys
As mentioned above, food surveys were conducted with six households in K village. The household with the least
sufficient recordkeeping was excluded from the analysis, so that the number of the households would match that
of D village. The economic conditions of the subject households are shown in Table 1. As the criteria for measuring
the economic condition of the household, assets were added to the landholding and off-farm income. Households
that own a freezer and TV, and have a cement floor can be categorized as affluent and upper-middle class.
Households with earthen-floored houses are categorized as lower-middle class to poor family. Among the families
with earthen floors, Family A and G owned no farmland. The head of Family A ran a small business, and the wife
worked as a school janitor and did piecework at home. Family G consisted of a mother and a son. When the
husband had died, she had returned home with her son to live on her brother’s homestead. During the survey
period, the son was working as a weaver on a daily basis, which provided their only income.
Table 2 Economic information of informant families

land holding
income source Assets
(are)
K village Family A homestead only petty trade, school maid
Family B 26 farming, son is working in Arab
Family C 41 public officer, farming TV, cement floor
Family D 121 fishery owner TV,freezer, cement floor
11
Family E drugstore owner TV,freezer, cement floor
+ land outside the district
D village Family G none weaver
Family H 19 farming, construction labor leader
Family I 35 farming, construction labor leader
Family J 51 farming, NGO staff TV, cement floor
Family K 147 farming, public officer TV, cement floor
(source: Author, from field survey)
RESULTS
Meals
The meals recorded in both villages are shown in Table 3. The meal varieties differ between the two villages. In D
village, fish curry and lentil soup (dal) were the major dishes, followed by vegetable fries. On the other hand, the
menus in K village were diverse, and more oily deep fried (bhora) dishes were common. Rice porridge (kicchuri) and
soaked rice (panta bhat) are traditional dishes, and they were more common in D village. Menus in D village were
similar to those of K village in 1988-89. It can be said that the meals in D village are more traditional.
In K village, menus of Families A and B were similar to that of D village. The increase of cash income increased the
consumption of purchased oils and meats. It should be noted that in K village, meats and eggs were often
consumed during 1988-89 as well. D village has abundant inland water, but the water body in K village is not so
large. Fish culture used be much smaller in scale at that time, and meats and eggs were major foodstuffs since
then. In the 2006-07 survey, one Family caught wild birds for eating. Just like wile fish, wild animals were caught in
K village.

Keiko Yoshino
Foodstuffs
Figure 2 shows how often each food item appeared on the table and where it came from. The categories are
cereals, pulse, milk, sugar, egg, fish (fresh), dried fish, meat, vegetables, climbing vegetables, and fruits. Climbing
vegetables can be grown on the homestead, and therefore, they can be grown by families without farmland. For
this reason, they are shown separately. The figures on the horizontal line indicate the average number of days in
each season (14 days per season) when the food item appeared on the table. If different foodstuff in the same
category appeared in one day, it was counted as “two” (e.g. if radishes and eggplants were cooked in one day, it
was counted as two vegetable appearances).
Generally, the appearance pattern of each category’s foodstuff was similar in both villages, but less foodstuff in
every category appeared in D village. Less pulses were consumed in K village, and little dried fish were eaten in D
village. Dried fish is eaten more in great depression area (Haor) , southern coastal area, and inland area where
fresh fish is less acquired. Mymensingh district where K village is located is near the great depression areas, and
dried fish is consumed generally. More cultured fish were consumed than purchased fish in K village, while
purchased fish were most consumed in D village, followed by caught fish. Fish culture had become quite popular in
Bangladesh, and it was actively developing in K village. Regarding vegetables and fruits, more foodstuffs were self-
supplied in K village. With more spaces, various plants can be grown in K village.
Table 3 The menus used in both villages .

appearance rate
recipe main stuff
K village D village (Kvillage
　1988-89)１）
dal (lentil soup) 29% 44% 44%
torkari (curry) fish 44% 74% 56%
fish head (Murighanda ) 2% - 4%
dried fish 13% - 13%
meat 2% 11% 19%
egg 1% 6% 10%
vegetable (nilamish ) 12% 5% 7%
bhorta (mash) fish bhorta 1) 8% - 4%
dried fish bhorta 9% - 2%
dal (lentil) bhorta 5% 2% -
vegtetable bhorta 30% (12 kinds) 22% (10 kinds) 11%
bhaji (ｆｒｙ) egg bhaji 2) 19% 5% 22%

meat bhaji 13% 0% 3%
leafy vegetable bhaji 32% 20% 24%
vegetable bhaji 36% 27% 15%
bhona (deeep fry) fish bhona 3) 15% - -
meat bhona 6% - -
egg bhona 6% - -
dried fish bhona 1% - -
dal bhona 1% - -
vegetable bhora 2% 0% -
chacchori 4) 1% - -
puri 5) 0% - -
kicchuri (rice porridge with lentils） 4% 10% -
bhuna 　 kichuri (fried rice with lentils) 2% - -
polau （ pilaf） 2% - -
panta 　 bhat （ water soken steamed rice） 0% 2% -
total
1) Data of three households: Family B, C, D from November 1988 to February 1989 (Source: Author, from food survey)

Keiko Yoshino
K village showed larger variation of foodstuff in every category (Table 3). More various cereals, fish, and fruits were
eaten in K village(With regards to the fish varieties, it depends on the recorders, and it cannot be directly said that
K village is rich in varieties of fish) In D village, plants that grow in swampy areas, such as taro, and some
indigenous climbing plants—unique to this region—appeared frequently.
K village (days)
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
cereal
pulse
milk
sugar
egg
fish
dried fish
meat
vegetable(total)
vegetable（climbing)
fruits
buy own gather gift
D village (days)
0 1 2 3 4 5 6 7 8 9 10 11 12
cereal
pulse
milk
sugar
egg
fish
dried fish
meat
vegetable(total)
vegetable（climbing)
fruits
buy own gather gift
Figure 2 Appearance of food items by categories

(Source: Author, from food survey)
Consumption and origin of fish
As shown in Figure 3, acquisition routes of fish were more diverse than those of other categories. Figure 3 shows
the seasonal and individual variation of fish consumption and acquisition routes. There was a difference in the
seasonal pattern between the two villages. In K village, as the own fish resources, fish raised in the ponds in front
of the houses were the main sources. The fish in the ponds were raised for years, and enjoyed the delicacy with
married out daughters and other relatives. From Figure 2, it is known that fish from the ponds supply year-round
harvest to the inhabitants. Compared to the commercial fishery where fingerings were given at a time and fish was
also harvested at limited period within year, fish raring in ponds were more subsistence oriented, and could supply
the resource steadily throughout a year. Natural fish from the floodplain water bodies and swamps were more
harvested from the latter half of the autumn and in the first part of the late autumn, when water decreases and
fish becomes easy to catch.

Takashi Nachimura, et al
Table 3 The varieties of food items in two villages

K　village D village
major materials in both
characteristic materials to
villages kinds characteristic materials to K village kinds
D village
cereal rice 10 rice flor, sweet materials, biscuits, bread 4
sugariness sugar 3 sugar palm juice 2
fish pangas, small fish(mola ) fish head
dried fish semi fermented dried fish (chepa )
meats chicken 4 goat meat, duck meat, beef(more) 2
eggs chicken egg 2 duck egg (more) 2
cucumber, bitter bourd, bottle gourd gondo bhadail (herb),
vegetable(climbing) indian spinach, ash gourd 17 12
flower, country beans(more) smooth gourd(more)
jute leaves, sweet potate leaves,
vegetable(leafy) red amaranths 8 5 red amaranthus (more)
mustard leaves
vegetable(tree) papaya 6 banana、jackfruit(more) 3
vegetables(other) potato, egg plant, 12 tomato, sweet potato 11 taro (more)
amaranthus apple(imported), coconut, papaya,
fruits banana, jackfruit 10 4
mango(more), jackfruit(more)
The acquisition routes were also different between two villages. In K village, cultured fish was consumed most,
followed by purchased fish and fish received as gifts. In late autumn, the proportion of gifts was high. It is the main
harvest season of rice, and villagers enjoy the harvest and frequently visit relatives with souvenirs. Cultured fish
were constantly used as gifts throughout the year. The household with the highest gift ratio was Family A. Most of
the gifts were from Family E, the neighboring relatives, whom Family A’s daughter helped with chores.
All the families caught fish (days)

14 100%
in K village, and Family B K Village
90%
had the highest proportion 12
80%
of caught fish. Wild fish 10 70%
were caught in natural 8 60%
swamps located in the 6 gather 50% gather

40%
own own
southern part of the 4 30%
buy buy
village. The many natural 2 20%
10%
swamps have been 0
0%
privatized to be used as
farmlands in winter, but it
was still allowed to catch
fish freely in the swamps.
(days)
D Village
Wealthier families had 16 100%
higher proportions of self- 14 90%
supplied fish, but the 12 80%
70%
wealthiest Family E had 10 60%
the highest proportion of 8 gift 50% gift
purchased fish. It was 6 gather 40% gather
own 30% own

because Family E often 4 20%
buy buy
purchased expensive fish 2 10%
like hilsha (Tenualosa 0 0%
A family B C D E
ilisha; national fish of (LL) family(S) family(S) family(S) family(M)
Bangladesh) that cannot

be cultured. In D village,
Figure 3 acquisition routes of fish in both villages (season wise, and household wise)
the proportion of wild fish
was high. Fish was caught (Source: Author, from food survey)

Keiko Yoshino
at surrounding inland water bodies with different fishing gears for each season, type of fish, and water level. Only
one household, the wealthiest Family I, owned a pond and cultured fish. There was no one to go fishing in Family G,
and they purchased all the fish they consumed.
Fuel source
The fuel is necessary for cooking. Gathering fuel is one of the most important housework for women. Fuel sources
were different in the two villages (Figure 4). K village has many trees, and the branches were the main fuel source,
followed by rice husks. Purchased fuel was also generally used. In D village, the main fuel sources were cow dung,
rice straws, and fallen leaves. In K village, cow dung was mostly used as manure, and rice straws were used as
fodder and manure.
There were four households that raised cows in D village while there was only one in K village. This difference may
seem to affect the use of cow dung as fuel. But in K village, cow dung was rarely used as fuel, although 62% of the
households raised cows in 1985. In D village, only 28％ of the households raised cows in 1992, and 91% of them
used cow dung as fuel and 41% used cow dung as fuel only (Table 4). In D village, more households raised cows in
the past and there was a lot of fallen cow dung on the roads and in the fallow fields, and anyone could pick it up.
Cow dung was an important source of manure, too. With the increase of household numbers, trees came to be fell
down to make spaces to construct new buildings.
0% 20% 40% 60% 80% 100% K village
spring
summer leaves
branches
bamboo roots
rainy
jute stick
purchased fuel
autumun
rice husk
school yard leaves
late autumun
winter
0% 20% 40% 60% 80% 100%
spring
cowdung(+jute)
summer D village
fallen cowdung
leaves
rainy season branches
straw
autumun bamboo roots
jute stick
purchased fuel
late autumun
winter
Figure 4 Seasonal change of fuel sources in both villages


Keiko Yoshino
Table 4 Use of agricultural bi-products in D village in 19921)
cultivate usage(H.H)
(H.H) fuel
building
(all for fodder manure sale
material
fuel)
rice straw 330 169 146 156 2 21
51% 44% 47% 1% 6%
cowdung 147 137 63 44 2 1
93% 43% 30% 1% 1%
jute stick 116 113 5 1 1 104 7
97% 4% 1% 1% 90% 6%
wheat straw 49 18 9 3 32 2
37% 18% 6% 65% 4%
mastard plant 35 33 33 1 1
94% 94% 3% 3%
(cow owners:H.H) 151
1) Conducted by JICA Joint research project; ISRDE which author also took part in.
Trees decreased in number rapidly, and the fuel sources from trees (branches and leaves) also decreased. With the
decrease of trees and cows, cow dung came to be mainly used as fuel in D village. Rice husks were used as fuel in K
village generally, but little in D village. In D village, to supplement the shortage of manure source by using cow
dung as fuel, inhabitants use rice husk as manure source. They throw rice husk to the hole adjacent to the middle
yard together with other organic litters and make manure.
Fuel sources changed by season, too. Among various fuel sources, cow dung supply is quite stable. But during the
rainy season after March, the amount of cow dung decreased and the use of fallen leaves and rice straws
increased in D village. In K village, more leaves were used in the dry season, and branches were used in the rainy
season. Leaves can be obtained easily compared to branches, and more stable than agricultural by-products.
Leaves can be gathered by women by sweeping on the homestead, and they functioned as buffers at the time of
fuel shortage. The fuel shortages season slightly differed between two villages, and the peak season of use of
leaves as fuels also differed. For those households whose own resources were limited, open access commons was
the important fuel source. The wife of Family A gathered fallen leaves at a schoolyard, and the mother of G Family
gathered fallen cow dung at roadsides and fallow fields.
CONCLUSION
Research was conducted in two villages under different hydrological situations. K village, located in a suburban
area, is free from inundation and has plenty of space. D village is inundated during the rainy season, densely
populated with limited land, and rather remote.
As urbanization progressed in K village, their meals had changed to those that required more oil. Meals in D village
were similar to what were eaten twenty years ago, with a lot of traditional cooking remaining. Foodstuff was more
diverse in K village. In D village, plants that fit the hydrological condition of D village were grown. Besides being
purchased, fish were cultured in K village, and wild fish in inland water bodies were caught in D village. The
households with little of their own resources caught wild fish in K village, too. In D village, fresh fish were
commonly eaten and few dried fish were, while in K village purchased dried fish were consumed frequently. This
also reflected the hydrological situations of the two villages.
In K village, not ignorable amount of fish was received as gifts. In addition to the financial capability, the existence
of aquaculture ponds made that possible. Fuel sources differed by season and economic circumstances. In both
villages, families with less resources obtained fuels from the open access commons. The variety of meals and

Keiko Yoshino
foodstuff of each household was determined by their hydrological situation, the distance from urban areas, and
and had progressed rapidly. In both villages, resource-poor families relied on the open access resources in the
village.
Recently, open-access commons such as swamps, which used to be freely accessible for villagers, are becoming
occupied and privatized half-illegally. In rural areas, they are converted into capital-intensive fish culture ponds, or
factories or residences by mounding soil. Quarrels between fish farms that encroach upon natural swamps and
surrounding villagers are often reported in newspapers. Commercialization and materialization of food production
is drastic; monoculture cropping of HYV winter rice has been spreading, and backyard chicken farming has been
rapidly taken over by intensive cage farming of broilers. In both research villages, too, natural swamps and open
access water bodies continued to shrink rapidly since before and after the food survey. Especially when the land
revenue is revised, influential people would get the governmental land (khas land) very often handing bribes to the
governmental personnel. Measures to conserve natural resources against the privatization, commercialization and
enclosure are needed for the security of rural resource poor people.
REFERENCES
Bushamuka, V.N., de Pee, S., Aminuzzaman, T., Kiess, L., Panagides, D., Taher, A., and Bloem, M. 2005. Impact of a
homestead gardening program on household food security and empowerment of women in Banlgadesh. Food
and nutrition bulletin Vol. 26. No. 1. pp17-25.
Institute of Public Health Nutrition, United Nations Children’s Fund, and World Food Programme. 2009. Bangladesh
Household Food Security and Nutrition Assessment Report 2009. Pp 176. Web version.
http://www.un-bd.org/pub/unpubs/publication2010/Bangladesh%20Household%20Food%20Security%
20and%20Nutrition%20Assessment%20Report%202009.pdf. (March 15. 2014)
Johnson B.L.C. 1975. Bangladesh. London. Heinemann Educational Publishers.
Waid J., L.(Ed) 2012. State of Food Security & Nutrition in Bangladesh 2011. Dhaka. JPGSPH & HKI.

LIVING WITH TOURISM: A CASE STUDY OF A VILLAGE-BASED ECOTOURISM IN
SOUTHERN BALI, INDONESIA
Hiroi Iwahara
Graduate School of Arts and Science, University of Tokyo, Japan
hiroi.iwahara@gmail.com
ABSTRACT
Bali is known as Indonesia’s most prosperous international tourist destination. However, in Bali, particularly after the 2002
terrorist attack, environmental degradation, regional divergence and socio-economic marginalization have come to be
recognized as issues that are caused by tourism development. Among them, the decline of agriculture is perceived as the most
serious phenomenon. This is one of the main reasons why the Wisnu foundation, a Balinese NGO, has launched a village-based
community tourism program. The operational expansion of local NGOs’ activities on the small-scale community level is a
remarkable feature of the post Suharto regime era, as many NGOs’ activities were very limited under the authoritative Suharto
regime. Besides, this reevaluation of community is importantly linked with the nation-wide custom revival movement. In the
case of Bali, this is happening around custom villages. A number of NGOs now regard them as an essential political body to
achieve better community management in their programs. This paper focuses on the program conducted in K village of
Southern Bali. K village is a coffee-farming village in a mountainous area. The NGO implemented the program intensively in K
village from 1999 to 2002 and the coffee farming practice has been promoted as one of the principal tourist attractions. As a
result, K village started to accept tourists from 2002. This paper firstly outlines the NGO’s program in K village, and then
discusses how the village-based ecotourism program influenced the reorganization of the custom community in K village and
the rearrangement of villagers’ narratives about their culture and village life. Finally, it is concluded that although the program
was initiated by the NGO, villagers actively adapt it as a strategy in order to survive in a world dominated by mass tourism.
INTRODUCTION
When tourism comes to have significant, multiple and diverse forms of impacts on the lives of local people, how do
people react and try to deal with the phenomena? Today, Bali is the most popular and well-known international
tourist destination in Indonesia. Often described as ‘Island of the Gods’ and ‘the last paradise’, Bali was established
as a tourist destination in the Dutch colonial era. But Bali’s large-scale tourism development was planned when the
Suharto regime launched the first five-year development plan (Repelita I) in 1969. 1 Since then Bali’s tourism
development has been promoted on the principal of mass tourism by both the central government and outside
investors. In addition, the collapse of the Suharto regime, which brought about decentralization and
democratization, as well as creating new socio-political space, triggered off a new and remarkable phenomenon
concerning tourism development in Bali. This phenomenon saw local NGOs starting to become involved in the
setting-up of tours and advocating for alternative forms of Balinese tourism development. This paper focuses on a
project of one of these NGOs.
Although tourism development has been regarded as an important means for national economic development by a
number of states, since the 1980s large-scale tourism development projects have come to be widely criticized due
to their potential negative impact on local socio-culture and the natural environment. Since then, many
international organizations, NGOs and academics have begun to explore ‘alternative’ forms of tourism
development. Alternative forms of tourism are generally defined as ‘forms of tourism that are consistent with
natural, social and community values and which allow both hosts and guests to enjoy positive and worthwhile
interaction and shared experiences’ (Eadington and Smith 1992, pp. 3). The most well-known alternative form of
tourism is probably ecotourism: green tourism and cultural tourism can also be included in alternative forms of
tourism.2 Importantly, alternative forms of tourism are also linked to the discourse of sustainable development
(e.g. Farrell 1992, De Kadt 1992). Today, due to its potential economic benefits and its ethical image, small scale or
community level tourism development is adopted by international organizations and NGOs, and incorporated into
their programs to work towards sustainable development and poverty alleviation.
A Balinese local NGO, the Wisnu foundation3, started a village ecotourism program in four villages in 1999. Village
ecotourism can be classified as one type of the alternative forms of tourism. In line with the global expansion of the
negative view on the development of mass tourism described above, the Wisnu foundation became concerned

Hiroi Iwahara
about the fact that mass tourism appeared to cause significant negative social and environmental changes in Bali.
The Sehati foundation found the solution in alternative forms of tourism and initiated a village ecotourism project.
The aim of introducing village ecotourism was to rearrange tourism in Bali to protect society and the environment
from any further distress caused by the development of mass tourism. Interestingly, the Wisnu foundation has
ambiguous perspectives on the impact of tourism: while they believe that mass tourism destroys society, they also
maintain that tourism can contribute to sustainable development if it is appropriately managed. However, several
questions emerge: how do they define village ecotourism to be an ‘appropriate’ form of tourism for Bali, and how
it is actually managed at the village level?
This paper focuses one of these villages. Firstly, I will describe the history of tourism development in Bali and how it
came to be recognized as a social and environmental issue. Secondly, I will discuss how the Wisnu foundation
implemented the village ecotourism project by looking at their three-year project in the village. Thirdly, I will
examine how villagers in K village respond to the program by analyzing an actual village ecotourism tour. Village
ecotourism can be seen to be used for the revitalization of K village. However, it is concluded that village
ecotourism is a very dynamic phenomenon, since while it may initially be brought by the NGO, villagers’
interpretations are also constructed through the on-going interaction between tourists and villagers and the
improvised narratives that result from this interaction.
OUTLINE OF TOURISM DEVELOPMENT IN BALI UNDER THE SUHARTO REGIME
State Development Policy and Tourism Development in Bali
As has already been described above, full-scale tourism development in Bali began during the Suharto regime
(1968-1998)4 as a result of which Bali became the most well-known international tourism destination in Indonesia.5
‘Development’ was regarded as the fundamental principle in national development strategy, and tourism
development was incorporated into one of the significant projects for the economic development. Under the first
five-year development plan (started in 1969), Bali province was selected as one of the ten intensive tourism
development areas.
In 1971, a master plan was created by a French consulting company, SCETO, with the financial assistance of the
World Bank and the United Nations. The plan was later amended by the World Bank to confine the tourism
development zone. Consequently, Bali’s large-scale construction for tourism came to be mainly concentrated
within southern part of Bali: Kuta, Nua Dua and Sanur (Picard 1996). However, due to the lack of financial
resources and the oil crisis, the master plan was in fact only implemented from the beginning of 1980s. From then,
a number of large hotels were constructed in the Nusa Dua area, previously an area with fishing villages. Triggered
by this, mass tourism as a form of development expanded significantly (Yamashita 1999, pp.79-81). As the result,
while the number of international tourists reached 23,000 people in 1970, it rose to 436,000 people at the end of
1980 (Picard 1996, pp.52) and 1,293,657 people in 1997, a year before Suharto regime collapsed. 6
Tourism and Social Issues
Tourism, though attractive to the Bali society, has been seen as a sort of ‘headache’ since the 1990s. Tourism has
come to be narrated as a set of social issues: the increase of migrant workers from other regions of Indonesia,
regional imbalances in economic development, and the degradation of the natural environment due to
overexploitation. Out of the above, environmental issues have received the most attention. According to Carol
Warren (1994, pp. 6), a number of articles appeared in the Bali Post7 in the 1990s, which urged a greater awareness
of the environment. Through mass media, the recognition of environmental issues has effectively become widely
shared among the Balinese. Additionally, the rise of environmental awareness came to be seen as a protest
movement against large construction projects for tourism development.8
On the other hand, interestingly, it is suggested that these protest movements were not only initiated because of
environmental issues but also because of the political and social dissatisfaction of ordinary people. It is argued that
environmental protest played a role in helping people to voice their disagreement with government policies. Anna
Tsing has also pointed out a similar perspective. Examining the issues of land property and development of Dayak
society in Sumatra, she argued that ‘the environment was one of the few topics open for critical discussion under

Hiroi Iwahara
the state repression’ (Tsing 2005, pp.216). These perspectives suggest that social issues and environmental issues
are intricately intertwined. As such, various social grievances were presented as ‘environmental’ issues to the
public.
As well as leading to decentralization9 and democratization, the collapse of the Suharto regime in 1998 boosted the
emergence of local NGOs calling for alternative forms of tourism in Bali. However, it has to be remembered that
the mass tourism type of tourism development still continues in Bali and its promoters are Jakarta based investors
and regional government authorities.10 Therefore, NGOs’ activities can also be seen as an anti-mass tourism
movement. As shown in Table 1, the Balinese economy is becoming increasingly dependent on tourism.
Employment in the primary industry has declined. In 1987, the percentage of primary industry workers reached
50.9%. However, in 2012 the percentage decreased to 25.37%. The striking figures have helped to spread a
recognition that primary industry, especially agriculture, has been left behind – and this trend is likely to become
more pronounced in the future. For the above reasons, the Wisnu foundation started the village ecotourism
project at the end of 1999. In the next chapter, I would like to discuss how they implemented it in the case of K
village.
Table 1. GDRP composition by sector ratio of Bali Province (% of the total, nominal market price)
Main Industry 1970 1988 2002 2012
Agriculture, Forestry, Hunting and Fishery 55 40.7 14.08 18.5
Mining and Quarrying 0.6 0.3 0.21 0.7
Manufacturing Industry 2.1 4.7 15.45 9.8
Electricity, Gas, and Water 0.1 0.9 4.1 1.6
Construction 5.9 4.6 0.92 4.5
Wholesale Trade, Retail Trade, Restaurants
12.1 19.7 39.1 32.2
and Hotels
Transportation, Storage, and Communica-
4.3 8.8 16.13 11.0
tions
Financing, Insurance, Real Estate and Busi-
1.6 2.2
ness Service 6.86 7.2
Community, Social, and Personal Service 4.3 7.7
Others 14.1 10.4 3.16 14.4
Total (%) 100.0 100.0 100.0 100.0
Source: for 1970 and 1988 (Maotani 2000, pp. 190): for 2002 (Yoeti 2008, pp. 17): for 2012 (
Bureau of Statistics of Bali Province http://bali.bps.go.id/tabel_detail.php?ed=614002&od=14&id=14)
ESTABLISHING VILLAGE ECOTOURISM
K Village and its Challenges
K village is located in the northern part of Badung prefecture. 11 It is 42 kilometers from Denpasar, the capital city of
Bali province. According to the census of administrative villages, the population of K village is about 870 people and
the number of household was 187 in 2012.12 K village is a part of P village for administrative purposes, but it is also
a single customary village. Therefore, there are four political bodies at K village: administrative ward (dusun),
customary village (desa adat), customary ward (banjar) and agricultural cooperative (subak abian).
The area of the village is 242 ha, 187 ha of which is agricultural land. The elevation of K village is about 1100m.
Because it is suitable for coffee cultivation, 80% of its residents today engage in coffee farming. Although it was the
Dutch colonial government that brought coffee farming to the K village, it was the Indonesian government that
promoted full-scale coffee cultivation in K village. Starting in the beginning of 1980s, the regional agricultural
government agency started to introduce Arabica coffee as a substitute cash crop for rice. Until then, cultivation of
upland rice had been the main form of livelihood for almost all the farmers in K village. An elder villager told me
that it had become too difficult to make living by cultivating rice in light of the declining market price of rice caused
by the green revolution during the 1980s. This shows that not only due to the government policy, villagers were
also in need of gaining another way to make a living.

Hiroi Iwahara
Today, people in K village are faced with another challenge: the decline of agricultural sector caused by the
development of tourism. Tourism development and related social and economic changes are accelerating the out-
migration of young generations. The number of young people who seek higher education has been increasing, and
more and more young people graduate from university nowadays. They plan to work in the city after graduation,
and generally do not intend to continue in their parents’ line of work. Beside, most of their parents also hope that
their children find a job in the city. They believe that in Bali it is too difficult to make a living from farming due to
the large income difference between the people engaged in primary industry jobs and the people engaged in non-
agricultural industry work, especially those working in the tourism industry. This issue actually corresponds to the
growing problem of the regional development gap between the North part of Badung prefecture and the South
part of it. These social and economic changes prompted some villagers to collaborate with the Wisnu foundation to
establish village tourism in K village. In fact, it was the central members of the agricultural cooperative who made
the first move to actively promote village tourism project in K village.
Setting up Village Ecotourism
It was 1999 when K village became involved with the Wisnu foundation. A Bali-based national college, which had
already started supporting agricultural project in K village, invited the Wisnu foundation to participate in their
project as an expert advisor on agro-tourism development. As an outcome of this discussion, they assigned roles:
the college would be responsible for tourism policy analysis, and the Wisnu foundation would be responsible for
the substantial assistance on the village level. According to an interview with a villager, two other NGOs planned to
conduct social development projects in K village at the time. However, villagers discussed which NGO would be
most appropriate for the development of K village and well-being of the villagers. The Wisnu foundation was
‘chosen’ as the preferred option by the villagers.
To carry out the project, the Wisnu foundation wrote a proposal to a national level donor NGO for funding, and
they received funds for three years. The Wisnu foundation defines village ecotourism as ‘a customary community
based environmental tourism which utilizes preexisted objects and resources’, and identifies ‘customary
community’ as the most suitable institution for social management. This perspective is linked to the national-wide
revival of custom (adat) or tradition which has accelerated since the collapse of Suharto regime. Furthermore, it is
not difficult to imagine that the social changes that occurred after the Suharto regime have given validity to the
Wisnu foundation’s emphasis on the importance of custom village.
According to the Wisnu foundation, the three year project was conducted in the following way. They considered
community participation as important and adopted ‘Participatory Rural Appraisal’. In the early stage of the project,
two members of the Wisnu foundation lived in K village to work together with villagers. There were three main
goals for the first year of the project: improvement of in ecotourism management ability of villagers, expansion of
ecotourism awareness among villagers, and expansion of ecotourism awareness in the administrative village (Ida
Bagus Yoga Atmaja 2002). Additionally, to achieve these goals, the Wisnu foundation conducted two activities.
They organized a voluntary group (kelompok swadaya masyarakat) in the village and made a map of K village
illustrating the cultural and physical resources of K village by using GPS.
In organizing the voluntary group, 10 villagers were chosen to be facilitators of the project. Among them, the head
of the agricultural cooperative (kelian subak abian) became the representative of the group, and the head of the
administrative ward became his assistant. To make the map, the members of the voluntary group walked around
the area of the village with the members of the Wisnu foundation and identified objects that could possibly
become resources for tourism as features of K village. The identified objects were: vegetation, coffee, temples,
water springs, and arts. Based on a survey, villagers wrote them in the map measured by GPS.
In the second year of the project, the main activity was the promotion of the village tourism management plan
among villagers through customary meetings called (sangkep), which the voluntary group organised. Other
activities were: the establishment of customary laws for setting up village tourism, the creation of a trekking path,
and technical training in coffee farming. Since absence from the customary meeting constitutes a violation of the
customary law of K village and leads to social sanction, almost all village members participated in every meeting
according to the document. In the third year of the project, training to produce bamboo craft 13, revitalization of
traditional performing arts, and the establishment of the village tourism management organization were
conducted.
Hiroi Iwahara
The village tourism management organization (Figure 1) was incorporated into the agricultural cooperative. Thus,
all the members were farmers. These activities spread over three years were not merely about promoting
tourism, but also about constructing common recognition and knowledge about the features of K village among the
villagers. According to Carrol Warren who also studied the mapping project of the Wisnu foundation, the project
has brought about a revitalization of the local community and developed a strong sense of belonging among
villagers (Warren 2005, pp 59).
Therefore, it can be argued that the project made villagers recognize that they share some common resources in
the social space of K village, and redefined objects that were previously part of their mundane day-to-day existence
as tourism resources. Although the project was formally finished in 2002 and the Village Ecotourism Network
(Jaringan Ekowisata Desa) 14 was established to receive tourists, few tourists visited K village until 2006, except for
an inspection invited by the Wisnu foundation. However, after the Lonely Planet guide hailed the village
ecotourism tour as Bali’s most unique tourist experience in 2006, the number of tourist has been increasing. While
49 tourists came to K village in 2007, the number reached 256 tourists in 2012. This means that tourists visit every
two or three days.
Figure 1. Structure of Village Ecotourism Organization of K village

(Source: drawn by H. Iwahara based on the field survey)
Current Format of Tour in K Village
Table 2 shows the basic pattern of the tour. As seen in Table 2, the tour consists of the combination of objects
which were identified by the mapping process. Except for the cases in which tourists request specific activities they
hope to experience in K village, the tour is conducted as indicated in the schedule of table 2. In a majority of tours,
there are two participants. In the case of a small number of tourists (less than four or five people), the tour is
guided by one local guide in English. There are two local guides in K village, Mr. G and Mr. W. They earn their living
through farming. When tourists visit the village, they become tourist guides. Since K village normally only accept
one group a day, they have to work alternately.
Mr. G has direct work experience of the tourist industry, having worked in Southern part of Bali as a professional
guide, and speaks fluent English and Italian. He returned to the village when the tourism industry in Bali was
declining due to the Gulf War. Conversely, Mr. W does not have any tourism work experience. However, after the
Wisnu foundation started the community based ecotourism project, he studied English enthusiastically by himself
and then became a local guide. Through the Wisnu foundation’s training (Training of Trainers), he trained to how to
work as a guide, learning not only how to treat tourists but also how to represent the village as an ecotourism
destination. By gaining actual guiding practices, he improved his skills as a guide. As is shown in the table below,
guides try to achieve this by narrating various stories. Today, both guides take pride in the fact that they know
more than anyone about life in K village.
A remarkable feature of the village eco tour is the nature of the interactions between the tourist and the guide,
which are more frequent and intensive compared with a conventional tour. According to my participant
observation, there are two noticeable effects possibly generated by the interaction. The first one is that both
tourists and the guide share a typical narrative about Balinese tourism. At the beginning of the tour, it has become
a routine that the local guide gives a talk about K village as a place where the ‘real’ Bali resides, in contrast with
other tourist areas. This kind of essentialism is given validity by the tourists who accept the idea that K village is not

Hiroi Iwahara
influenced by mass tourism. Additionally, the tourists respond to it favorably since they decide to participate in the
village ecotourism to avoid areas that are mass tourism developed. The landscape of K village plays a significant
role in this effect. There is not evidence of new buildings built for ‘tourism’, and as shown in table 2, during the
tour tourists only see objects that seems have existed before or could easily be part of a convincing narrative.
Temples, villagers’ houses and the community’s meetings hall are not constructed for tourism and not decorated
for tourists: they are integral part of villagers’ daily life. Thus, the landscape, which seems not to be changed much,
becomes an important tourism resource for K village, and gives rise to a sense of sympathy between the tourists
and the guides about the narrative.
Table 2. Tour Schedule and its Main Contents (source: drawn by H. Iwahara based on the field survey)
Tour Schedule Contents

Monograph of K village; coffee farming and K village; reasons for
1. Introduction speech
introducing village ecotourism; villagers’ attitudes toward village
(Meeting place of Agricultural Cooperative)
ecotourism (given by local guide)
2. Tour of the residential area of K village Visit to villager’s houses; village temple; village assembly place
3. Lunch Cuisine using locally grown ingredients
Explanation about varieties of locally produced coffee; forest vegetation,
4. Trekking in the coffee forest rituals and life; visit to water spring; explanation about the spirits that
reside in the forest
5a. end of tour (in case of day tour) Exchange of impressions of tour; filling the impressions in the guestbook
5b. Chatting with guides at the cooperative
exchange of impressions of tour
meeting place（in case of overnight tour）
Rest at the homestay
Dinner with the local guide; watching Balinese dance performed by
6. Dinner and appreciation of performance arts
females of the village
Day 2
1.exchange of impressions of tour; (traditional sweets and fried rice)，
7.Breakfast
2.filling the impressions in the guestbook
End of tour
The second effect is that new and improvised narratives about culture of K village, which are not formulated by the
project, could be generated by the interaction between the tourists and the guides. This might be an attribute of
tourists visiting K village; tourists are not just passive individuals but react positively to the narratives of guides and
pose questions to the guides. In other words, they try to learn something from the tour. For example, one day a
Finnish woman who participated in the tour found a temple under renovation on the route of the tour and asked
the guide a number of questions about it. In response, the guides explained them in parables of village life, not
merely telling the facts. In another example, a Korean tourist found a four-o’clock flower and showed how Korean
children play with it. Then, the guide demonstrated how to make earrings out of the flower and presented this
activity as a typical example of play among children in the village. Following this incident, whenever the guide
found a four-o’clock flower, he repeated this demonstration and explanation. This illustrates the dynamics of the
narratives and representation of K village culture, which are possibly generated by the occasional observations of
tourists. Thus, the tour in K village is not simply a ‘sight-seeing’ tour: it is also social tour, supported by the frequent
and intensive interaction between the tourists and the guides.
CONCLUDING REMARKS
Imamura (2007, pp.357) argued that human interest is essential for objects to become a ‘resource’. It is probable
that the village ecotourism project led villagers in K village to develop a sense of K village as an entity that holds a
specific and common culture. However, according to observations of the tour, the interest of tourists is also
essential for villagers to strengthen and develop this awareness. Today, tourism is surely incorporated into their
forms of representation and narratives of village life. K village is located far away from the center of the more
touristy area of Bali, and is seemingly unrelated to tourism. If there are no tourists, K village is an ordinal
agricultural village. However, when tourists visit, some of the villagers become local guides, cooks, and homestay
hosts while remaining farmers.

Hiroi Iwahara
In Bali, mass tourism is still preferred to small scale or sustainable tourism by the government, investors and
ordinary tourists, contrary to the rising global tourism discourse. Under this situation, life in K village is objectified,
as a marked contrast to the touristy area of Bali, and becomes a new trend for tourists seek to avoid mass tourism.
Since villagers are satisfied about the fact that their tourism is attracting ‘anti-mass tourism’ tourists and
generating supplemental income, villagers hope to keep on living with small scale tourism despite the increasing
social and economic gap between the agricultural industry and the tourism industry in Bali. It is true that not all
villagers are receiving direct income from village ecotourism. Member of the village ecotourism management
organization do not intend to abandon farming and regard village tourism as a side business at present. Under the
hardship of the agricultural sector, they are living with a form of niche tourism that emerged from the avoidance of
mass tourism.
ACKNOWLEDGMENTS
This research was supported by the K. Matsushita International Scholarship (awarded in 2009) from the Matsushita
Konosuke Memorial Foundation.
NOTES
1
Due to the lack of adequate funds, in fact, the large hotel construction and intensive infrastructure facilitation have
not started until the beginning of 1980s.
2
On the other hand, this has to be reminded: ecotourism and other forms of alternative tourism are increasingly
becoming ambiguous term if the one look at it from the perspective which seeks ‘authentic’ alternative forms of
tourism. For example, since 1980s ecotourism has gained popularity in the international tourism market and
consequently tourism market also has started adopting the concept of ‘eco’ today. For the historical analysis of
sustainable tourism, see (Mowforth and Munt 2003).
3
Wisnu foundation is a local environmental NGO established in 1993 by the Balinese activists.
4
Bali was ‘found’ as an international tourism destination during the Dutch colonial era.
5
For the details of tourism development and its impact on the Balinese society during the Suharto regime, see
Picard (1996) and Yamashita (2002).
6
Badan Pusat Statistik (http://www.bps.go.id/tab_sub/view.php?tabel=1&daftar=1&id_subyek=16&notab=15)
7
Bali Post is a regional newspaper and has the largest circulation in Bali.
8
See Warren (2011)
9
By the decentralization and followed political reforms, the authority of local government on tourism policy has
enhanced.
10
As I noted that while during the Suharto regime they are central government, today they are officers of regional
government such as of province, prefecture and city.
11
Badung prefecture became the wealthiest prefecture of Bali due to the tourism development today. While the
southern part of Badung prefecture has become the center of tourism industry, the main industry of the north
part remains agriculture.
12
In Bali, there are two political institutions at the village level, administrative village and customary village.
13
Bamboo was identified a resource of K village at map making.
14
Village Ecotourism Network is a kind of umbrella organization for the four villages where Wisnu foundation’s
project was implemented.

Hiroi Iwahara
REFERENCES
Eadington, William & Valene Smith. 1992. “ Introduction: The Emergence of Alternative Forms of Tourism”. In
Tourism Alternatives. Smith, Valene & William Edington (eds.). pp. 1-12. Philadelphia: University of
Pennsylvania Press.
De Kadt, Emanuel. 1992. “Making the Alternative Sustainable: Lessons from Development for Tourism”. In Tourism
Alternatives. Smith, Valene & William Edington (eds.). pp. 47-75. Philadelphia: University of Pennsylvania
Press.
Farrell, Bryan. 1992. “ Tourism in Sustainable Development: Hana, Maui”. In Tourism Alternatives. Smith, Valene &
William Edington (eds.). pp. 115-134. Philadelphia: University of Pennsylvania Press.
Imamura, Hitoshi. 2007. “The Concept of Resource”. In Motomitsu Uchibori (ed). Anthropology of Resource volume
1: Resource and Human Being. Tokyo: Koubundo. pp. 357-371. (In Japanese)
Ida Bagus Yoga Atmaja. 2002. Ekowisata Rayat: Lika-Liku Ekowisata di Tenganan, Pelaga, Sibetan dan Nusa
Ceningan-Bali. Denpasar: Wisnu Press. (In Indonesian)
Maotani, Sakae. 2000. Contemporary Indonesian Development and Politics, Social Change. Tokyo: Keiso Shobo.(In
Japanese)
Mowforth, Martin & Ian Munt. 2003. Tourism and Sustainability: New Tourism in the Third World. London and New
York: Routledge.
Picard, Michel. 1996. Bali: Cultural Tourism and Touristic Culture. Singapore: Archipelago Press.
Tsing, Anna. 2005. Friction: An Ethnography of Global Connection. New Jersey: Princeton University Press.
Warren, Carol. 1994. Center and Periphery in Late New Order Indonesia: Politics, the Environment and Human
Rights in the Regional Press (Bali). Working Paper No.42. http://researchre
pository.murdoch.edu.au/12317/1/AR CWP42.pdf (October 15, 2013).
Warren, Carol. 2005. “Mapping Common Futures: Customary Communities, NGOs ad the State in Indonesia’s
Reform Era”. Development and Change. Vol. 36 . No. 1. pp. 49-73.
Warren, Carol. 2011. “ Tanah Lot: The Cultural and Environmental Politics of Resort Development in Bali”. In I
Nyoman Darma Putra and I Gde Pitana (eds.). Pemberdayaan and Hiperdemokrasi dalam pembangunan
Pariwisata. Denpasar: Pustaka Larasan. pp. 161-202.
Yamashita, Shinji. 1999. Bali: Lessons of Anthropology of Tourism. Tokyo: University of Tokyo Press. (In Japanese)
Yamashita, Shinji. 2002. Bali and Beyond: Explorations in Anthropology of Tourism. Oxford: Berghahn Books.
Yoeti, Oka A. 2008. Ekonomi Pariwisata Introduksi, Informasi, dan Implementasi, Jakarta: Kompas.(In Indonesian)

CORRESPONDENCE OF THE VILLAGE IN DISASTER
Nakamura Kiyomi
Graduate School of Waseda University
Tokyo, Japan
n_kiyomi@ruri.waseda.jp
ABSTRACT
Areas that sustain damage in a natural disaster are forced to choose between restoring the original area and relocating to
another area in order to reconstruct residents’ lives. At the same time, the government plan of disaster prevention is planned
in damaged areas in preparation for another disaster. And it required some time for consensus in generally. However, in case
of Mt. Unzen-Fugen Eruption disaster, it was able to earlier accept the consensus of village. Therefore, it has received a high
evaluation as a successful case to prevent the disaster expansion. The Mt. Unzen-Fugen eruption disaster was the first disaster
to establish a hazard area in a residential area after the establishment of the Basic Act on Disaster Control Measures. This
report focuses on the villages that fell within the debris control dam site under the plan to prevent expansion of eruption
damage to central city. However the government plan was accepted early although people in village faced difficult issues.
Although corresponding of government in Mt. Unzen-Fugen Eruption disaster is said to succeeded, today after 20 years, it
become clear that it can’t say that it has succeeded with review from the perspective of villagers. The purpose of this study is to
clarify why now after more than 20 years residents are discontent, despite their realization at an early stage based on
consensus of residents.
Keywords: Disaster response, Disaster prevention plan, Hazard area, Collective relocation
INTRODUCTION
The Shimabara disaster caused by the Mt. Fugen volcanic eruption is well known as an example of successful post-
disaster administrative support. The purpose of this study is to clarify why now after more than 20 years residents
are discontent with disaster prevention plans, despite their realization at an early stage based on consensus of
residents.
The Shimabara disaster, the focus of this study, is said to be unprecedented in that it was the first case in which a
hazard area was set up in an urban district after the enactment of the Basic Act on Disaster Control Measures. The
long-term nature of the disaster over a period of 4 years and 6 months, and the expansion of eruption damage to
all areas of the Shimabara Peninsula, which encompasses one city and 17 towns, also made it unique （Suzuki
Hiroshi，1998）. Moreover, outstanding disaster prevention measures during the disaster were carried out with
commencement of construction work at an early stage on the basis of residents’ consensus (Takahashi Kazuo,
2012), receiving high acclaim as an example of a successful administrative plan during disaster.
The subject of analysis for this study is one of three villages targeted for relocation by the administrative plan, the
village of Kamiorihashi. Due to the division of Kamiorihashi under the plan, the response as a community to
residents’ individual problems presented an even more difficult challenge.
The reason it is necessary to re-examine the perspective of residents more than 20 years after the Shimabara
disaster is because it has been pointed out in today’s disaster research that it is necessary to grasp the effects on
life structure and social structure in the recovery and restoration process over the medium to long term, rather
than just focussing on emergency response during a disaster and recovery measures from the perspective of
disaster prevention. Therefore, it is worth focusing on the Shimabara disaster of more than 20 years ago as a
research subject today.
HISTORY OF SHIMABARA DISASTER
From November 1990 when Mt. Unzen-Fugen erupted for the first time in 198 years, to May of 1996 when an end
to the volcanic activity was declared, the volcano produced pyroclastic flow and debris flow over a long period.

Nakamura Kiyomi
During this time, 44 people were left dead or missing, 2,511 buildings were damaged or destroyed, and the
economic toll was estimated to be \229,942,000,000 ($2,205,000,000). The disaster affected the residents and a
wide area of communities in the one city and 17 towns of the Shimabara Peninsula in Nagasaki Prefecture. (See
Tables 1, 2 and 3).
Forty-three people fell victim to a large pyroclastic flow on June 3, 1991, and because it was feared the disaster
would expand, a hazard area was set in an urban area for the first time since the Basic Act on Disaster Control
Measures, a law to promote comprehensive planned disaster management, was enacted in 1961. The boundaries
of the hazard area to which people were prohibited from entering were extended along with subsequent
enlargement of the disaster, and on September 10, 1991 were set at their maximum range in the Shimabara
disaster. In addition to post-disaster response such as emergency response and recovery measures due to the
establishment of the hazard area, new challenges had to be tackled such as the dealing with the impact of the
setting of the hazard area on local communities and life structures.
Table 1. Number of humans affected by the disaster.
Source; Shimabara Fugen kai. 2000. Experience in the Mt. Unzen-Fugen volcanic eruption disaster. Shimabara Fugen kai.
Table 2. Extent of material damages brought about by the disaster.
Source: Shimabara Fugen kai. 2000. Experience in the Mt. Unzen-Fugen volcanic eruption disaster. Shimabara Fugen kai.

Nakamura Kiyomi
On June 10, 1991, an evacuation order was issued for the upstream area of the Nakao River basin where the
subject of this study, the village of Kamiorihashi, is located. The repeated setting and lifting of the hazard area and
issuance and lifting of evacuation orders that ensued meant that residents drifted from the places they lived. The
affected region is characterized by the fact that after experiencing a temporary lull after the start of the evacuation
in June 1991, evacuation orders were lifted and the people who had evacuated, along with their livestock, to
evacuation shelters, temporary housing and neighboring towns returned to their village with the intention of
reconstruction only to be forced to re-evacuate when the disaster wreaked havoc once again.
Disaster struck again when 7 debris flows and one pyroclastic flow occurred between April and August of 1993.
The pyroclastic flow that occurred on June 23rd claimed the life of one of the village’s residents, bringing the death
toll of the Shimabara disaster to forty-four. During this time, some houses and structures in the Nakao River basin
were burned down, and many others were buried under sediment. This second disaster resulted in cases of
suicide by self-immolation due to despair over the future and the deaths of elderly citizens due to stress. People
lost not only their homes and fields during this time, but also old childhood friends and parents due to disaster-
related deaths.
Table 3. The chief events in Shimabara Disaster(1/2).
17 November 1990 Begins Mt.Unzen eruption

23 May 1991 Falling mass of the lava
26 May 1991 Pyroclastic flows occurred in sequential. The large amount of volcanic ash in the city. The
local residents of Mizunashi-river basin were warned to evacuate.
1 June 1991 2.5km of prefectural road was closed to traffic by volcanic ash.
3 June 1991 Large scale pyroclastic flow to Mizunashi river basin. (43 dead and missing, burned 179
buildings)
8 June 1991 Large scale pyroclastic flow (burned 207 buildings) The hazard area set up in residents area of
Mizunashi river basin.
1 October 1991 Evacuation order was issued for the upstream area of the Nakao River basin.
11 June 1991 Volcanic rocks were blown to Nakao river at 23:59. Orihashi branch school was closed in
temporary.
12 June 1991 The area of evacuation order was issued for 470 houses 1428 residents where live in a part of
Nakao River basin.
30 June 1991 Large scale debris flow occurrences (151 buildings damaged) Self-Defense Forces monitoring
system was formed.
26 August 1991 Pyroclastic flow occurred in Nakao river basin has reached approximately 700 m near the
residential area.
31 August 1991 Evacuation order was issued for the upstream area of the Nakao river basin.
10 September 1991 The hazard area set up in residents area of the upstream area of Nakao river basin and
evacuation order was issued for Kamiorihashi villege.
15 September 1991 Large scale pyroclastic flow (burned 218 buildings, Onokoba elementary school was burned)
27 September 1991 Water supply and the power failed with typhoon No.19
25 December 1992 Lifiting for evacuation area of Nakao river basin

Nakamura Kiyomi
The chief events in Shimabara Disaster (2/2)

1 February 1993 Orihashi branch school resumed the class.
28 April 1993 Large scale debris flow occurrences (579 buildings damaged at Mizunashi rivre and Nakao river)
1 May 1993 Pyroclastic flow occurred in the upstream area of Nakao river basin.
2 May 1993 Large scale debris flow occurrences in Mizunashi river and Nakao river
11 May 1993 Orihashi branch school was closed and moved to 4th elementary school.
21 May 1993 Pyroclastic flow down was three kilometers from the crater flows down to the Nakao River.
Evacuation order was issued for the residents area of Nakao river.
23 May 1993 Pyroclastic flows down to the Nakao river and forest fires occurred.
24 May 1993 Hazard area set up in the upstream area of Nakao river basin.
18 June 1993 Large scale debris flow occurrences in Mizunashi river, Nakao river and Mt. Mayuyama. (207
buildings damaged)
23 June 1993 Large scale pyroclastic flow occurred in the Nakao river at 3:25
24 June 1993 Large scale pyroclastic flow occurred in the Nakao river at 11:41. (One dead, 211 buildings
were burned and destroyed)
4 July 1993 Large scale debris flow occurrences in Mizunashi river and Nakao river (25 building damaged)
The city of Shimabara was isolated.
20 August 1993 Debris flow occurred and flow down to the central city (192 building damaged)
4 October 1993 Started to construction of urgent embakment at Kamiorihashi village
27 December 1993 Announced the disaster prevention plan in the Nakao River basin.
22 January 1994 Disaster recovery commission in Sugitani region was established.
29 May 1994 The disaster prevention plan in Nakao river basin was explained to inhabitantsts.
20 July 1994 Orihashi branch school was abolished.
31 October 1994 The part of Kamiorihashi village mitigate to evacuation area from hazard area, and evacuation
order area was lifted.
31 December 1994 The hazard area of Kitasenbongi village and Kamiorihashi village mitigate to evacuation area,
and evacuation order area was lifted the part of Kamiorihashi village.
31 August 1995 Pyroclastic flow has been not occurred for 200 days in succession
30 September 1995 No.1 soil saving dam in Mizunashi river started to construct.
16 December 1995 Self-Defense Forces withdraw from monitoring formation.
23 April 1996 Women's group held a last meeting.
1 May 1996 Last pyroclastic flow occurred.
3 June 1996 Declaration of Eruption closure. Dissolved each headquarters for disaster control.
30 June 1996 Ceremony of sanctifying ground of Orihashi shrine.
22 August 1996 Nagasaki prefectural started to construct check dams in Nakao river basin.
12 October 1996 Held an inauguration ceremony of Orihashi shrine.
1 April 1997 Entire Shimabara railway
19 June 1997 Housing estate for victims was started to sonctrust (32 blocks)
26 June 1997 Completed construction of check dams in Nakao river basin.
25 November 1997 No.1 soil saving dam in Nakao river started to construct.
8 December 1997 Held the editorial meeting of Kamiorihashi village is our spilitual home
22 February 1998 Closing ceremony for the neighborhood association of Kamiorihashi village
27 February 1998 Completed construction of housing estate for victims in Utoyama
Sources;
Shimabara sity. 1992. Publisity SHIMABARA1・2. Shimabara city office.
The neighborhood association of Kamiorihashi village. 1998. Kamiorihasi village is our spiritual home. The neighborhood
association of Kamiorihashi.
Shimabara Fugen kai. 2000. Experience in the Mt. Unzen-Fugen volcanic eruption disaster. Shimabara Fugen kai.
OVERVIEW OF KAMIORIHASHI VILLAGE
The Nakao River basin where the village of Kamiorihashi is located lies north of Shimabara City in Nagasaki
Prefecture. The village was established on the tip of an alluvial fan formed by Mt. Unzen and Mt. Mayuyama,
pioneered as a part of the village of Sugitani. In the second half of the 19 th century, about 100,000 wax trees were
planted and the wax produced from them was an important source of income for Shimabara’s finances. Up until
the disaster, the wax from the trees was referred to by the locals as the “farmer’s bonus”.
According to Sugitani history, in 1918 90% of the residents of Sugitani Village at this time were engaged in
agriculture, while the raising chickens and pigs and sericulture was practiced on the side. Rice, wheat, millet and
beans were the main crops produced. In 1940, Sugitani Village merged with Shimabara City, and the main industry

Nakamura Kiyomi
of agriculture gradually became a part-time occupation. In 1975, name and border changes took place in
Shimabara City and consequently the village of Kamiorihashi was born. Kamiorihashi is a compact village and the
Orihashi Shrine, affectionately referred to by the locals as “the incarnate of Orihashi”, was located here. A large
camphor tree grew on the grounds of the shrine, and the fresh water that springs up from its roots is the origin of
the stream that runs by the branch school. In summer, people would cool off by putting their faces in the stream.
This was also the stream where people floated their offerings at the end of the Bon Festival, and it always
quenched the thirst of the local children.
The Orihashi branch school near the shrine was established in 1925 as Mt. Mayuyama Elementary School and
served as a schoolhouse for first and second grade elementary school students of the Nakao River basin. After
World War II, telephones were not yet widespread in this village, so it was decided having a telephone in the
branch school would be desirable for the time being, and the village assisted in the installation of one. Thanks to
this telephone, it is said that fires in the village were reported promptly and dealt with before they got out of hand.
In addition, the schoolhouse of the branch school served as the venue for village assemblies, workshops, and block
meetings. In this way, for a period of time the branch school was key in crime prevention and information
transmission, and in addition to serving the function of educating children, it served a vital social education
function.
As of 1992 in the Shimabara disaster, 65 households lived in the village of Kamiorihashi, and organizations for all
age brackets were formed, such as a Children’s Club, Youth Association (ages 18 to 39), associations for those over
25 and over 45, a Women’s Association, and a Senior Citizens’ Association. A village newsletter was issued on a
regular basis. In fact, a variety of village activities were carried out. The village, strongly united via the various
events held through the shrine and branch school and through agricultural production and village activities, would
come to face such issues as the relocation of the shrine, the closing of the branch school, and the division of the
village, all due to the Shimabara disaster SABO (erosion and sediment control) plan.
DISASTER RESPONSE IN COMMUNITIES
Due to the fact that in July of 1992 a large-scale debris flow isolated the city of Shimabara raising fears about the
effects of an even broader disaster, the government was under pressure to stem the spread of damage with a
prompt disaster prevention plan. Subsequently, the national and Nagasaki prefectural governments set out to
initiate a permanent administrative plan.
In the Mizunashi River basin, however, where the administrative plan was addressed before the Nakao River basin
area, despite the fact that it was an administration plan of utmost urgency in disaster prevention, a delay in
consensus of the residents led to the expansion of volcanic damage. Therefore, with an eye towards learning from
their failure with the residents’ consensus building process, the government went about tackling the disaster
prevention plan in the Nakao River basin. The government disclosed information to the residents very early in the
planning stage and created the opportunity for residents’ involvement in the formulation of the plan.
Consequently, 2 out of 3 of the most upstream villages in the area that is the subject of this study promptly
announced their acceptance of a plan involving relocation of all houses. The plan was successfully made public as
an ideal disaster prevention plan that met the wishes of residents.
In the remaining village of Kamiorihashi, however, dividing lines ran right through the village in the plan’s zone
demarcation. Yet, under circumstances in which devastation caused by the disaster would not subside, there was
no choice but to accept the disaster prevention plan on the pretext of “protecting the Shimabara urban area”.
Therefore, a mere month after the plan was made public, a consensus was obtained from the residents, and the
spread of volcanic damage to the Shimabara urban area that the government had feared most was successfully
prevented.
Nevertheless, despite the fact that an early consensus had been reached by residents concerning the emergency
disaster prevention plan, in the restoration plan that followed the disaster prevention plan aimed at rebuilding
lives, Kamiorihashi village faced difficult internal issues and would end up losing the option of collective relocation
of all village households. Kamiorihashi had two major problems.

Nakamura Kiyomi
One was the issue of economic disparity concerning compensation that occurred between the 57 households
within the designated hazard zone targeted for relocation and the 8 households outside the hazard zone not
targeted for relocation. Because the evacuation of households in the designated hazard zone targeted for
relocation was ordered by the government, they received flexible assistance beginning in the evacuation stage
under the Disaster Relief Act, such as life stabilization provision projects by means of meal donation operations
and the Mt. Unzen Disaster Response Fund. Furthermore, compensation was paid for fields, houses and building
sites to be used as disaster prevention project sites, and it would also be possible to obtain life reconstruction
funds in the subsequent collective relocation. In the case of the 8 households that were not targeted for
relocation, however, because the actual extent of damage from the disaster was ash fall, damage due to volcanic
cinders, and damage to gutters due to hot air from the pyroclastic flow, evacuation of these households was
voluntary and they did not meet the criteria for government assistance. In other words, although both groups
were living under similar conditions as evacuees, there was already economic disparity between them caused by
government support measures, which was further exacerbated by the demarcation of disaster prevention project
sites.
The second issue was the conflict over the method of relocation. The village, which had requested an
environment similar to what the residents were used to, was against the administrative plan to provide reclaimed
land on the coast far from the disaster area as the relocation site, claiming, “Mountain people cannot live by the
sea,” and expressed opposition to the reconstruction plan. While the collective relocation of the other 2 upstream
villages actively progressed, Kamiorihashi village’s conflict with the government was prolonged, and the village
with its internal issue of economic disparity over compensation lost its option to collectively relocate the whole
village.
If collective relocation of the whole village had been accepted, disaster prevention collective relocation promotion
projects would be applicable to the households within the hazard zone targeted for relocation and they would
receive public assistance. However, the 8 households not within the hazard zone and not targeted for relocation
would not receive public assistance let alone support from the Mt. Unzen Disaster Response Fund. In other words,
by choosing collective relocation of the whole village, the already existent economic disparity due to
compensation would spread further, and the subsequent life reconstruction would have some households
receiving public assistance and households supporting themselves. Therefore, the option of collectively relocating
the whole village was not a viable option for the village.
With the loss of the option of collective relocation, people were forced to relocate individually. The resulting
conditions were equivalent to the dissolution of Kamiorihashi village, and at the same time, veered from the
framework of the restoration plan that the government had been promoting.
CONCLUSION
Disaster prevention planning currently encourages residents’ involvement rather than heavy-handed methods
carried out under the special circumstances of disasters. Therefore, it was natural that the plan in this region was
highly evaluated for its realization of disaster response at an early stage. Nevertheless, because of the subsequent
administrative plan involving life reconstruction, the local community lost the option of collective relocation and
the result was the equivalent of dissolution of the village, causing community life to collapse.
Administrative plans during a disaster have socially legitimate power of persuasion in terms of response to natural
disasters (first disaster). Thus, people need an administrative plan made from the perspective of urgent disaster
prevention in the immediate aftermath of a disaster. However, in the case presented here, the success of the first
disaster response was found to have caused the breakdown of the community and its dissolution. This is where
the root cause of the residents’ current discontent 20 years after the disaster can be found.

Nakamura Kiyomi
REFERENCES
Shimabara sity. 1992. Publisity SHIMABARA1・2. Shimabara city office.
The neighbourhood association of Kamiorihashi village. 1998. Kamiorihasi village is our spiritual home. The
neighbourhood association of Kamiorihashi.
Shimabara Fugen kai. 2000. Experience in the Mt. Unzen-Fugen volcanic eruption disaster. Shimabara Fugen kai.
Suzuki Hiroshi. 1998. Study in Urban disaster; Mt. Fugen and Shimabara city. Kyushu University Press.
Takahashi Kazuo. 2012. Towards the reconstruction of The Great East Japan Earthquake. Kolonshoin.
Yashuji, M. 1985. Sougou temple and Sugitani village. Showado Co. Ltd.

DISASTER CULTURE REPRESENTED IN THE VILLAGE LANDSCAPE: THE CASE OF LOCAL
COMMUNITIES IN THE LOWER REACHES OF THE TONE RIVER—
KANEKO, Hiroyuki
Graduate School of Waseda University
hiroyuki-kaneko@ruri.waseda.jp
ABSTRACT
Japanese society has continually prioritized countermeasures for coping with disaster when constructing public works. In the
case of flood, which is the subject of this report, advanced construction techniques for flood control were already in use during
the middle Meiji period. These dams, large-scale embankments, and other structures are referred to as modern flood-control.
Using these techniques, water damages resulting from flood disasters were minimized. There's no question that the
introduction of these flood-control construction techniques succeeded in substantially reducing flooding. However, people
began to realize that they also introduced new problems. Precisely because flooding was basically eliminated, the level of
damage resulting from the flooding disasters that did occur was worsened. On the other hand, the local community also
enacted disaster prevention measures on their own. These traditional methods are referred to as disaster culture, and have
recently been the focus of some attention. In order to mitigate the extent of damages resulting from disasters, rather than the
number of events, this disaster culture has been shown to be tremendously effective. This report examines the lower reaches of
the Tone River valley, the largest river area in Japan, clarifying how the people of these local communities cope with disasters. A
special focus is given to the landscapes of the villages, such as the personal efforts of residents, and structures they built with
their own hands. For this reason, focusing on this disaster culture will provide an easy-to-understand representation of the local
people's approach to disaster relief.
THE PERSPECTIVE OF DISASTER CULTURE
The objective of this paper is to clarify why local community residents feel uneasy about technological flood control
measures, which are typically welcomed.
Japanese society has continued to prioritize civil engineering measures for dealing with disasters. In the case of
floods, which are the focus of this paper, flood control measures based on sophisticated civil engineering
technologies were introduced as early as the middle of the Meiji era (the end of 19 th century). Advanced civil
engineering technologies such as dams and large-scale embankments are considered modern flood control
technologies. Such technologies have been deployed with the goal of completely eliminating floods, which are a
primary cause of water damage.
Thanks to modern flood control technologies, we have undoubtedly succeeded in quantitatively reducing floods.
However, it has become apparent that there are problems associated with modern flood control technologies. One
particularly serious problem is the increase in qualitative severity of water damage due to the very fact that we are
trying to fundamentally eliminate floods. The higher an embankment, the greater the energy released when that
embankment fails. Furthermore, because civil engineering measures have been adopted with the goal of creating a
society in which floods do not occur, not enough attention has been paid to measures for when floods do occur. In
other words, while modern flood control technologies function exceptionally well in terms of dealing with floods as
natural phenomena, they are lacking in terms of reducing damage to local communities which fall victim to
disasters.
Meanwhile, local communities have historically implemented their own measures for coping with disasters. At
present, such traditional disaster-coping methods have started to receive attention and are referred to collectively
as disaster culture. This is because it has started to become evident that the effective functioning of disaster
culture is necessary to mitigate the quality of disaster rather than the quantity of damage.
In this paper, I hypothesize that the residents’ feelings of unease stems from the relationship between disaster
culture and modern flood control technologies, To test this hypothesis, I investigated how a local community
situated adjacent to a river has traditionally coped with flooding and analyzed the relationship between

Kaneko Hiroyuki
technological flood control measures and disaster culture in this community. To this end, for the purposes of this
paper, I focused on the village landscape. The village landscape has been created by the residents themselves. I
have chosen this approach because I believe that the local residents’ disaster culture, which comprises measures
for coping with natural disasters, can be seen in the village landscape in a form that is easily understandable.
MEASURES AND LANDSCAPE OF INDIVIDUAL HOUSEHOLDS
The Fukama area (in Sakae-machi, Inba-gun, Chiba Prefecture) is

situated in the lower reaches of one of Japan’s largest waterways,
the Tone River. Originally, the Fukama area comprised an island of
rice fields (newly reclaimed during the Edo period) surrounded on
all sides by the Tone River. Currently, it is an agricultural area with
approximately 700 households comprising 2,000 individuals.
Let us first examine the landscape constructed by individual

households. In the Fukama area, one is presented with a unique
agricultural landscape in which cultivated plots seem to float like
islands in a sea of paddy fields. This landscape is referred to as
shimabatake [island fields] or shimakkobatake by local residents
Figure 1. A cultivated plot surrounded by paddy fields
(Figure 1).
According to interviews with residents, the maintenance of

shimabatake has much to do with floods. In the past, cultivated plots were frequently inundated as a result of
flooding. The shimabatake, which comprise raised beds that lie 50 cm or more above the level of the paddies, are
more resistant to flooding than the paddies. For example, it is said that during a flood that occurred in the first
decade of the Showa era (1926 to 1989), although the rice crop failed as a result of water logging, the residents
managed to survive thanks to the Japanese millet planted in the cultivated plots. While this is an example of
doyomizu, or water damage that occurs during the rice growing season, shimabatake have also been effective in
preventing water damage resulting from typhoons that coincide with the rice harvest season. Residents lower
flooding risk by leaving rice to dry on the shimabatake and not in the paddy fields.
Actually, historically speaking, during the Edo period, all the villages in the Fukama area maintained cultivated dry
fields rather than the paddy fields typically seen in low-lying marshlands. In Meiji 4 (1871), even in the ward with
the highest number of paddy fields, Ukekata ward, paddy fields accounted for only 3% of total cultivated area and
harvest. The residents had avoided cultivating rice, whose success or failure was dramatically impacted by flooding.
In this sense, the maintenance of cultivated dry fields by all villages in the area can be said to be an example of
“clever adaptation to the environment” (Kikuchi 1958:241). During the Edo period, the landscape was the exact
opposite of what it is today—i.e. a few scattered paddy fields existing near drainage ditches in a landscape
dominated by cultivated fields.
Rice cultivation began in earnest in the end of the Meiji era as modern flood control technologies began to be
introduced. Although the relationship between cultivated and paddy fields became reversed and paddy fields came
to dominate the landscape, the residents did not choose to exclusively cultivate rice. It was this decision to
continue utilizing cultivated fields based on previous flood experience that has led to creation of the unique
landscape seen today. In other words, the shimabatake landscape is also the result of “clever adaptation to the
environment” in the context of changing times and circumstances.
Another countermeasure to flooding implemented by individual households entails the construction of mizuka
[protective mounds]. The Fukama area is known for the landscape created by these mizuka. Mizuka are earthen
mounds that are part of a residential compound and were used as evacuation sites during floods. Area residents
were frequent victims of flood damage. As such, mizuka were a common feature of all old houses in the area.
According to Tsukasa Ayuha, 70 mizuka are confirmed to exist in the Fukama area (Ayuha 1987).
Demonstrating their critical importance, mizuka in the Fukama area have continued to exist while undergoing
various changes. Broadly speaking, there are 5 types of mizuka (Fig. 2): These are (1) mizuka shared by two
adjacent households; (2) mizuka comprising only an earthen mound; (3) mizuka comprising a warehouse built on

Nakamura Kiyomi
top of the earthen mound (the most common type), (4)

mizuka comprising a main house built on top of an earthen
mound, and (5) mizuka comprising an entire compound
built on top of an earthen mound. The oldest examples of
mizuka are of the shared type (1), examination of which
reveals the tremendous effort exerted in their
construction. Subsequently, residents began to choose
private mizuka belonging to individual houses over shared
mizuka. From the different types of mizuka, it is possible
to see a progression from small, temporary mizuka to
large, permanent mizuka. In the construction of
permanent structures on mizuka, which were originally
used as temporary evacuation sites, one can see the
residents’ desire to reduce flood damage, if only
incrementally.
Figure 2. Types of mizuka (protective mounds)
COMMUNAL COUNTERMEASURES AND VILLAGE
Prepared by the author
LANDSCAPE
Next, let us examine the landscape created by communal

countermeasures. I will focus on the use of roads as one
example of such countermeasures. According to Inbagun-
shi [Records of Inba-gun] (1913), since long ago, rules
related to customary water management stipulated that
certain roads in the Fukama area could not be above a
certain height while other roads were used as dikes.
In the Fukama area, there was a customary practice

unique to the island known as Dandan Mochizutsumi
[graduated self-embankments]. The practice, whose
purpose is to prevent flood water from draining to other
villages, entails the use of roads as embankments and was
developed through negotiations in the Edo period. Figure 3. Dandan Mochizutsumi [graduated self-embankments]
Whenever the level of the Tone River would rise, around village boundaries
residents in the Fukama area would find themselves in a Prepared by the author
predicament whereby rainwater could not be drained
because to do so would create backflow. If continuous rains occurred while the river level was high, the excess
water could not be drained, resulting in water damage known as uchimizu [internal water].
Dandan Mochizutsumi were a countermeasure to this uchimizu (Fig. 3). In the context of suffering continuously
from water damage, a system was developed using the roads demarking village boundaries whereby the water
damage would be shared by villages sharing the roads. This system, which has been maintained while undergoing
dramatic changes involving the redeployment of arable land and land improvement and the adoption and forsaking
of different properties, forms the landscape of the Fukama area.
Next, let us turn our attention to the region as a whole. In geography, the term wajyu [polder] is used to refer to
the landscape of areas that experience regular flooding. Wajyu precisely describes the geographical characteristics
of the lower reaches of the Kiso River.
Meanwhile, in folkloristics, the term funagata-shuraku [ship-shaped community] has been introduced by Kanichi
Nomoto (Nomoto 1987; 2013). The concept of funagata-shuraku comes from the concept of funagata-yashiki [ship
-shaped residence] and constitutes a model for describing the physical arrangement of a community to avoid
flooding. Specifically, it refers to the local landscape in which the leading edge of the village is tapered like the prow
of a ship, which disperses the energy of and reduces the damage caused by floods. Among Nomoto’s various
observations, the characteristic receiving the most attention is the designation of areas corresponding to a ship’s
prow as sacred places. In other words, the salient feature of funagata-shuraku is that the landscape is explained
Nakamura Kiyomi
not only by geographic characteristics, as in the case of wajyu, but

also by flood countermeasures that comprise a cultural component
in the form of a belief response.
Fukama area residents adopted a funagata-shuraku-type settlement

arrangement in order to be able to live in the massive river that is
the Tone River. In the past, a Suijinja [water shrine], a shrine
dedicated to the village god of the western district was placed at
the leading edge of the embankment protecting the western
district, which is tapered sharply like the beak of a tsubakuroguchi
swallow. A little further downstream from this point, the residents
have established a Soja-suijinja [water shrine to the whole area],
believed to protect the entire area, on the large embankment
protecting the entire Fukama area (Fig. 4). It is said that, when there
is a risk of flooding, these water gods ride around on white horses
monitoring the embankments. The Soja-suijinja also served as an
evacuation site at times when the Tone River would breach the
embankment and the Fukama area would become inundated.
DISASTER CULTURE AND FLOOD CONTROL TECHNOLOGY
In this paper, I clarified four elements of the landscape that are part
of the disaster culture created by Fukama area residents who live in Figure 4. The Fukama area as an example of a
the middle of the Tone River. These are the landscape created by funagata-shuraku [ship-shaped community]
cultivated plots known as shimabatate [island fields], the landscape Prepared by the author
created by residential compounds with evacuation mounds, the
village landscape created by the custom of Dandan Mochizutsumi
[graduated self-embankments], and the regional landscape created by the funagata-shuraku [ship-shaped village]
with a sacred area located in the “prow” area. As such, one is able to see countermeasures to flooding throughout
the landscape of the Fukama area. This is because the landscape was created through the strong will of residents to
somehow cope while living with the unstable conditions brought about by water damage. In this way, the residents
have assembled all they needed to continue living in the area while experiencing floods.
However, technological flood control measures weaken such disaster culture. Disaster culture was forged by the
residents while repeatedly experiencing floods and is based on the empirical knowledge of disasters that has been
passed down from generation to generation. In trying to ensure a high level of safety, technological flood control
measures end up causing unimaginable damage when floods do actually occur and render the empirical disaster
knowledge passed down from generation to generation invalid. It is for this reason that area residents feel uneasy
about technological flood control measures.
ENDNOTES
1
“Disaster culture” is defined as “cultural defenses devised by communities in disaster-prone areas” that “consist of
various elements shared by community residents including values, norms, beliefs, knowledge, technology
(ingenuity), and tradition” (Hayashi 1983: 246). In other words, it is a concept that encompasses the “shared life
wisdom” of a community regarding disasters (Hayashi and Tanaka 1998: 147).
2
For example, Tomoya Akimichi presented a case in which the adoption of flood control technology by a Laotian
village in the Mekong River Basin weakened the disaster culture and worsened the quality of water damage
(Tomoya Akimichi 2010).

Nakamura Kiyomi
REFERENCES
Akimichi, Tomoya. 2010. “Kozui to Ikiru [Living with Floods]” Mizu to Bunka [Water and Culture]. Ed. Akimichi et al.
Bensei Publishing Inc.
Ayuha, Tsukasa. 1987. “Tonegawa Karyuiki no Mizuka ni Tsuite [On Mizuka (protective mounds) in the Lower
Reaches of the Tone River]” Rekishi Chirigaku Kiyo [Journal of History and Geography] (29). Inba-gun
Government Office. 1913. Inbagun-shi [Records of Inba-gun].
Hayashi, Haruo. 1983. “Saigaibunka no Keise[Forming Disaster culture]” Shizen Saigaino Koudou Kagaku [Human
behavior of Natural disaster]. Ed. Abe et al. Fukumura Publishing Co. Ltd.
Hayashi, Haruo&Tanaka, Shigeyoshi . 1989 . “Saigaibunka Jyosetsu [The introduction of Disaster culture]” Syakai
Kagaku Toukyu [The Social sciences review] (101).
Kikuchi, Toshio. 1958. Shinden Kaihatsu [Development of Newly Reclaimed Rice Fields] Vol. 1. Kokon Shoin.
Nomoto, Kanichi. 1987. Seitaiminzokugaku Josetsu [An Introduction to Ecological Folkloristics]. Hakusuisha
Publishing Co. Ltd.
Nomoto, Ka 2013. Shizensaigai to Minzoku [Natural Disasters and Folkloristics]. Shinwasha.

HOW DID CONSUMERS RESPOND AGRICULTURAL PRODUCTS FROM TOHOKU REGION
AFTER THE NUCLEAR POWER PLANTS ACCIDENTS IN MARCH 2011? RESULTS FROM
QUALITATIVE AND QUANTITATIVE SURVEYS IN 2013
Midori Aoyagi
National Institute for Environmental Studies
aoyagi@nies.go.jp
ABSTRACT
After the nuclear power plants’ accidents in March 2011, farmers in eastern parts of Japan have been suffered from the
radioactive contamination of their products. Even after farmers’ made great efforts to produce almost no- or no- contaminated
foods in those three years, they have been suffering the rumors of radioactive contamination of their products. We carried out
a public opinion survey in February 2013, almost two years after the accidents, and simultaneously, we also carried a series of
focus group interviews, and found that there have been some problems in risk communication. According to our surveys,
people did not satisfied with scientific knowledge of radioactive risk assessment, and people could not feel relieved by this. We
could get several types of people in focus group interviews, those are, a) people who refused to receive any information
concerning health risk, they did not change their attitudes by the materials we showed that explain current science and policies
concerning this, b) people who happen to not have any chance to get information concerning this topic, they changed their
attitudes by our materials, c) people who have enough knowledge of health risks, but still they are searching for related
information, and they did not change their attitudes. Considering these results, we analyzed who refused to purchase
agricultural goods from Fukushima and the northern part of Kanto region, using the result of public opinion survey. The most
powerful variables that explain people who did or did not purchase agricultural products from those regions is that the anxiety
of health impact of future generations, and scientific knowledge variables are not significant. In conclusion, risk
communication researchers are trying to let people understand scientific evidence of health risk, but this is not an effective way
for relieving people.
INTRODUCTION
After the nuclear power plants’ accidents in March 2011, farmers in Fukushima and Northern Kanto region in Japan
have been suffered from the radioactive contamination of their products, as radioactive materials were blown out
and fell in those areas when the accidents occurred. In the summer of 2011, vegetables from the Northern Kanto
region had found to be radioactive contaminated, and vegetables but also mushrooms, meats, milks, and other
products are contaminated, and banned to be shipped. As agriculture, forestry and fishery are the one of the main
industry in those areas, not only victims of the Tsunami and earthquakes, but most people live in those areas are
resulted to suffer from worsened economy caused by this suspension of shipment. Even farmers could not sell
their products that were not radioactive contaminated, as retailers and consumers avoided purchasing agricultural
products from those areas.
Even after farmers’ made great efforts and succeeded in producing and shipping non-contaminated foods in this
three years, they have been still suffering the rumors that says their products are still radioactive contaminated.
We carried out a public opinion survey in February 2013, almost two years after the accidents, and simultaneously,
we also carried out a series of focus group interviews in 2013, and found that there have been some problems in
risk communication.
FOCUS GROUP INTERVIEWS
For exploring the reason of people’s attitudes and fears towards the radiation issues, we carried out a series of
focus group interviews from February, March and July 2013. Focus group interview is the method that several
participants (usually six to seven people) discuss one or two issues with a moderator. The moderator controls
discussion flow, and establishes a good rapport with participants, let participants talk about issues smoothly and
honestly. The flow of our FGI is shown at Table 1. In beginning the FGI, the moderator asked participants to make
self-introduction. This is the good chance for establishing rapport among participants and the moderator. Then the

Midori Aoyagi
moderator asked about the situation when the earthquake happened, and information sources about the disaster .
We asked our participants to bring “images” of radiation, radioactivity before their discussion, and asked explaining
those images at the discussion. This talk was followed by “knowledge quiz” to check participants knowledge for
radioactivity. Then we show some materials that explain science basis of radiation, farmer’s efforts for producing
safer foods, and short movie for waste treatment. Those discussions are concluded by the genera discussion about
the radioactivity.
Table 1. The flow of our FGI
 Introduction (self introduction by each participants)
 General discussion of the 3.11 accidents, knowledge, responses of radiation, risk perception, fear, anxiety.
 Talking about everyday information sources.
 Talking of images of radiation
 Knowledge quiz about radiation
 Introducing current policy using text materials and DVD
 Discussion
Two types of participants
Through interviews, we found (roughly) two categories of participants, one is “Information seekers”, and they are
active in collecting and understanding information. They try to access original information, sometimes they even
collect original data, e.g. measuring radioactivity level with friends by themselves. They regularly read newspapers,
and watch TV news programs. Another is “Non-information seekers”, and they are passive in collecting
information/or even refuse to receive information. Their information sources are often family members, and close
friends. They tend not to read newspapers. Their understanding of radiation issues are more likely to be false than
information seekers.
Risk perception on radioactivity is not based on the scientific knowledge, and is very ambiguous. This is almost no
differences found among information seekers and non-information seekers. But, there is a difference about the
Tsunami deposits, for contaminating radioactive materials or not. It is rather based on participants’ past experience
(class room study of Nagasaki, Hiroshima), and media exposure (TV programs for nuclear meltdown at Chernobyl,
Fukushima accident, Cartoon stories such as “Barefoot Gen”, “Grave of Fireflies”).
Images of radioactivity
Images of radioactivity from both information seekers and non-information seekers are rooted from each
individual’s personal experiences or documents, TV programs, few scientific evidence-based one, for example, TV
program on Chernobyl, atomic bombs on Hiroshima or/and Nagasaki. Japanese people usually learn those at school
class. Some participants watched same documentary programs, they told us about the “Chernobyl necklace”.
Contents of images are very ambiguous and sometimes “extreme”, invisible, unforeseen, not returnable, Fatal, no
recovery.
Response to our information materials
Participants were given information: watched short video, and read some materials that explain radioactivity,
producers’ efforts for safer foods, and safer waste treatment by Tsunami damage. Participants who have more
ambiguous knowledge or having low trust in government (information source) tend NOT to accept those scientific
(logical) explanations. Next, we will see the differences of “Images of radioactivity and Health Impact “by four
interview groups categorized by their concern levels of the accident. Our groups are, “A: Tohoku group (moved
from Tohoku region after the earthquakes)”, “B: Hot Spot group (Chiba area)”, “C: Low Concern group”, “D: High

Midori Aoyagi
Concern group”. The fourth (D) group can be sub-categorized into three “fear”, “swinger”, and “sympathetic”.
We observed changes of attitudes towards the radiation and radioactivity by our participants. One notable
observation was the response of one participant who was categorized as “(D) high concern/fear” group. He has
relatively high knowledge of radiation, and related issues, but he has images of “fear” for radiation, such as
Chernobyl necklace, elephant legs, and a broken clock. He has collected many information, because he is very
afraid of health impact of radiation. He told us that he has already known those information which we gave them.
He was the one of the participants who did not change his attitudes. The reason was not only he had already
known those information, but also “his head and heart are different.” He understood the science of radiation and
its effect on human health, but he still could not have food from so called possible contaminated are, as his heart
did not allow him to have them.
Our participants from Tohoku area (currently they live in the Greater Tokyo Area.) are actually Tsunami and
radioactivity victims. People in Tohoku area are now suffering “rumors”, that agricultural /fishery products are
contaminated with radioactivity, although producers and local governments are making great efforts against them,
and check products safety. One participants talked us as follows. “People in Tokyo are too sensitive with
contamination. Products from Fukushima are checked their safety, and they are really safe enough to eat. Those
too much sensitivity is caused our struggles.”
RESULTS OF THE FGI
After the accidents, there have been various false rumors both in Fukushima and nationwide. Not a few academics
have been working against those rumors. But, lack of basic knowledge, images of very anxious/emphasizing health
effects/no recovery, lost trust, willingness to rely on easy information (friends and family members) that are often
not endorsed information, tend to amplify false rumors.
As results of our focus group interviews, we would like to emphasize three points: a) head and heart, b) regional
differences, c) attitude towards the information. It is different for people who fears radiation that understanding of
science of radiation and having foods that are produced from possibly contaminated areas (“head and heart is
different.”). For regional differences, as our participants from Tohoku region told us, people in Tokyo are very much
aware of radiation impact on human health. Is this true in other areas? For the information, we found two types of
people. One is aggressive, who collect information about radiation very active. Another is passive, who refuse to be
exposed by original information. The problem is that aggressive information collector are not always positive to
have agricultural products from possible contaminated areas (that happened to the participant who told us “head
and heart” differences.).
PUBLIC OPINION SURVEY
From the result of FGI, we have several hypotheses. Here we focus on the “head and heart” hypothesis. If
“head” (understandings of science of radiation) matters, knowledge would be a significant for predicting
purchasing behavior. Instead, if “fear” matters, “fear” or “pessimistic attitudes for future impact” would be a
significant for predicting purchasing behavior.
Survey
Our public opinion survey was carried out in February 2013 by National Institute for Environmental Studies, with
support by the Ministry of the Environment, Japan. Survey Research Center Co., Ltd was in charge of field work.
Our sample was nationally representative 3,000 persons, drawn from Basic Residents’ Register. Effective number of
responses was 1,121 responses, 37.4% response rate, by face to face interview. We picked several variables up
from this survey for examining our hypotheses.
Knowledge
For the knowledge variables, we combine those three questions such as a) Radioactive material will change to
another material by emitting radiation, and does not remain forever in nature, b) There are some differences by
region, but even if people are living normally, and has received from nature the radiation of 2.4 mSv per year on
average in the world, c) Artificial radiation and the radiation you receive naturally, there is no difference in health

Midori Aoyagi
effects on the human body. “Yes” is the correct answer for each sentence. We make scores of number of correct
answers for knowledge score.
Future impact on human health
For the variables of future impact on human health, we use two questions separately, such as a) in general, how
much do you think environmental issues, to affect the health of future generations, such as children and
grandchildren generation?, b) in general, how much do you think that the nuclear power plant accident and the
associated diffusion of radioactive materials to affect the health of future generations, such as children and
grandchildren generation? The response options for each question was five Likert type scale options from “great
deal”, to “no effect at all”.
Purchasing behavior and knowledge, future impact on human health
For purchasing behavior, we asked a question of “When purchasing agricultural products, do you avoid the
production from likely radioactive contaminated area?” Its response options were four Likert type scale options and
one exceptional options of “not applicable.” This is a dependent variable, so we make things simple, we summed up
first two options (“always” and “often”) into one (“yes”), and the other two options(“sometimes” and “not at all”)
into another one (“no”). For verifying our hypotheses, we used chi-square test. Results are as follows:
There is a regional differences among purchasing (or avoiding) behavior. In short, people who live in Kanto region
and Kinki region are more likely to respond “yes” than people who live other regions. There can be several
explanations of this. One is the local market structure. As Kanto and Kinki regions are Japan’s first and the second
largest market, respectively, so that people in those two regions can have a chance to choose products from the
possible radioactive-contaminated area and other areas. Another explanation is that people in those two regions
are the most sophisticated urban people in Japan, they are the most “choosey” people for food.
In short, variables of “future impact on human health” (both from environment in general and radiation) are more
significantly related than variables of the knowledge level of science of radiation. Other demographic variables.
Females are more likely to avoid those foods than male respondents. Interestingly, respondents in older generation
are more likely to take avoiding behavior than younger generation.
DISCUSSION
In risk communication of the radiation effects, scientist tend to focus their targets as younger, child-bearing
mothers, and try to give “scientifically correct knowledge” for making them more ease, and feel secure. From the
purchasing behavior point of view, this targeting seems to be wrong. People who avoid purchasing products from
“possible radioactive-contaminated” area are older, who live in Kanto or Kinki region, and more likely to worry
future health impact by those radiations. Knowledge does not matter. Even people who have enough knowledge
avoid those products.
Then, what should we – academia- should do? What we have to do is re-consider whole strategy of so called “risk
communication”, or “science communication.” For whom should we tell? What contents should we include for
communication? Who are our targets? Our results in this paper tell us that we need to know our target before
approaching people.
ACKNOWLEDGEMENT
This research was supported by the Environment Research and Technology Development Fund (1 ZE-1202 and 1-
1406) of the Ministry of the Environment, Japan.

Midori Aoyagi
REFERENCES
Midori Aoyagi(2013) Report on the Japanese Lifestyles: a survey result. NIES in Japanese
Wouter Poortinga, Midori Aoyagi, Nick F. Pidgeon(2013) Public Perceptions of Climate Change and Energy Futures
Before and After the Fukushima Accident: A Comparison between Britain and Japan, Energy Policy, http://
dx.doi.org/10.1016/j.enpol.2013.08.015
POORTINGA Wouter, PIDGEON Nick, CAPSTICK Stuart, AOYAGI Midori (2014) UK Energy Research Center Synthesis
Report, UKERC: London

AGRICULTURAL REFORMS PERTAINING TO THE COLLECTIVE OWNERSHIP OF
MOUNTAIN FARMLAND IN CHINA
Wenjing Liu-Würz
Iwate Prefectural University, Japan
ryu@iwate-pu.ac.jp
ABSTRACT
In China one special feature of rural reform was the introduction of a contracting system based on the collective ownership of
land. The contracting system laws and regulations including property and ownership rights will remain a permanent feature of
the agricultural reform policy for the foreseeable future. In the past, several attempts were made to apply the principle of
collective ownership to mountain and forest areas, but incentivizing commercial developments in such areas was unsuccessful.
Since 2008, the implementation of the new collective mountain land policy reforms has made rapid progress. These reforms are
now part of the policy of “rural reconstruction” to modernize agriculture and rural infrastructure. Their main aim is to develop
and maintain the ecological infrastructure, while at the same time reducing the socio-economic gap between rural society and
the towns. On the border of Hebei Province by the Taihang Mountain Range, there are ongoing attempts to find ways to
partition the mountain land by establishing various patterns of ownership rights. The aim of this paper is to outline the reforms
around the collective ownership of mountain farmland in Hebei based on historical changes pertaining to collective ownership,
the system of agricultural contracting, and the creation of a legal framework. Reference will be made to the special structural
features of rural society in order to investigate the nature and future direction of the collective ownership of land which in this
experiment now includes mountain farmland.
INTRODUCTION
In China one special feature of rural reform in areas with arable land was the introduction of a contracting system
based on the collective ownership of land. The establishment of a body of laws and regulations governing contracts
and property and ownership rights will remain a permanent feature of the agricultural reform policy for the
foreseeable future. In the past, several attempts were made to apply the same principle of collective ownership to
mountain and forest areas, but incentivizing commercial developments in such areas was unsuccessful. However, in
2003 another attempt was made to introduce the system of junshan into mountain regions. This time promising
results led to the decision in 2008 to extend the reforms to the whole country. Since 2008 the implementation of
the new collective mountain land policy reforms has made rapid progress. These reforms are now part of the policy
of “rural reconstruction” to modernize agriculture and rural infrastructure. Their main aim is to develop and
maintain the ecological infrastructure, while at the same time reducing the socio-economic gap between rural
society and the towns.
THE MAIN FEATURES OF THE REFORMS PERTAINING TO OWNERSHIP RIGHTS OF MOUNTAIN AND
FOREST LANDS
1) The obligation to uphold the village contracting system and to guarantee the equal right of individual villagers
to make contracts.
2) The obligation to give each villager equal access to the benefits from mountain land, while ensuring the
preservation of the natural environment.
3) The wishes of the villagers must be respected and their right to information and participation in all decision-
making must be guaranteed.
4) All transactions must be based on existing laws and changes to the status quo should conform to the peculiar
requirements of the local conditions.
5) All contracting rights must be transparent. The inviolability of collective ownership rights is the legal basis for all
contracts and land transactions whereby each household being a member of the collective has the right to
make contracts concerning land-use. On this legal basis mountain land may be divided up equally under the
system known as junshan. In cases where particular tracts of land are not allocated to individual households
the land-use rights may be instead granted to outside parties for development with the consent of the

Wenjing Liu-Wurz
collective whose members have equal shares of the usufruct. The partition and use of land may be subsumed
into three patterns: junshan, jungu and junli. Whatever system is employed the consent of the villagers is the
sine qua non for its adoption. This latter condition is considered to be of the utmost importance in
strengthening the democratic credentials of the reforms.
6) Each household is given a certificate (Linquanzheng) documenting the land area for which they possess land-
use rights and this nationwide system of certification provides the essential documentation for all land-use
contracts and transactions. Leases on the land are given for 70 years and all transactions must be documented.
The possession of a Linquanzheng allows for sub-contracting third-parties to work the land, renting out the
land, transferring land-use rights to third-parties, enjoying the usufruct of the land as a shareholder or using the
land as collateral. Villagers are, of course, expressly forbidden to buy or sell land as all land belongs to the
cooperative.
7) Deed-holders are entitled to all profits from their allotments. If the government expropriates land belonging to
the village collective, each member receives equal compensation as well as financial assistance if it is necessary
to move to another location.
A CASE STUDY IN HEBEI
This paper will examine the reforms pertaining to the mountain and forest lands designated as belonging to the
collective. Much of the collective forest land is found in the south and south west of the country such as in Fujian,
Jiangxi etc., but this paper will describe the research undertaken in North China where collective forest lands are
less common and little data is available.
The Basic Situation of Forestry in Hebei
In Hebei Province the land area available for forestry amounts to 8,581,364 hectares (45.7% of the total land in the
province) although the tree coverage is only 4,340,000 hectares (in 2009, 23.2 5% of the whole province), which
indicates a shortage of wood resources in Hebei.
The Special Characteristics of the Mountain Areas of Hebei Province
Hebei Province is intersected by two mountain ranges: in the north the Yanshan Range straddles the province from
East to West, while the adjoining Taihang Range runs from North to South along the border with Shanxi. These two
ranges form natural green barriers and provide water resources that are crucial to the ecological well-being of the
whole of the Beijing Metropolitan Area. Consequently, the
ecological development and conservation of the natural
resources of the Taihang Range play a key role in maintaining
the ecological health of the entire Huabei area (Map2).
The mountainous areas include 9 cities and 61 counties

amounting to 35.5% of the rural area in Hebei Province with
its 172 counties. The population of the mountainous regions
comprises 35.2% of the total rural population (24,470,000). In
Hebei Province 39 counties are classed by the central
government as impoverished, with 21 of these counties lying
in the mountainous areas which thus amount to 54% of
Hebei’s impoverished counties. The areas surrounding Beijing
and Tianjin come in for special treatment as part of the
“Socialist New Rural Reconstruction” policy because the
poverty in these areas has been difficult to ameliorate.
Figure 1. Location map of Hebei, China
On the Hebei side of the Taihang Range lie 4 cities, Baoding,
Shijiazhuang, Xingtai, Handan to which belong 25
surrounding counties, 9 of which are classed as impoverished. The number of poor living within the area of the
Taihang Range is relatively high and thus presents an especially difficult challenge. Taking up 3 cases in the region
of the Taihang Range, this paper will describe some preliminary findings from the research of the new policy

Wenjing Liu-Wurz
Yanshan Mountain
Beijing
Taihang
Shanxi
Tianjin
Hebei
A Beimazhong Village Wentang Township

★ Pingshan County B Siyu Village Tumen Township
Shijiazhuang
★ Zanhuang C Qiannanyu Village Xingtai County
Xingtai
Figure 2. Location map of research areas
THE TAIHANG RANGE: THREE CASE STUDIES
Xingtai County: Qiannanyu Village
Qiannanyu Village is located in the southern part of the Taihang Range lying on the eastern slope. With 386
households and a population of 1,342, it was designated a special area for economic development in the 1990s: its
status was elevated to that of a zhen (township) although its size was only equivalent to that of a village. The
cultivated acreage is 746 Mu (1Mu=6.67ar. 0.6 Mu per person) with 8,300 Mu (7 Mu per person) available for
forestry. In order to solve the problem of poverty in the community Qiannanyu Village initiated various economic
activities which went under the rubric of “Shengtainongye” (bio agriculture). The outstanding feature of this
mountain region was the extensive damage that had resulted in bald terrain. Where the bare rock was gneiss it was
possible to pulverize it to create soil suitable for planting trees.
This mountain ecology was able to support three zones of economic activity: the top part of the mountain was used
for commercial timber, the central part for fruit trees and the base served for the terrace farming of crops. In the
valleys so-called “economic channels” were established to support the harvesting of chestnut trees, a valuable
source of income for the community. This became the foundation of the subsequent investment in factories and
mining, so that on the basis of these “three pillars” of agriculture, forestry and industry Qiannanyu Village became
quite prosperous and was held up as a development model, not only for Hebei Province, but for the whole country.
It must be pointed out that the continued success of “Shengtainongye” in “regreening” the mountain terrain
leading to the subsequent development of the area was made possible only by the local population’s refusal to
follow the central policy of redistributing the land to individual farmers in the 1980s.
Working under the system of the collective ownership of land the people of Qiannanyu organized their economic
activity by forming three teams responsible for the “3 pillars” respectively of agriculture, forestry and industry. The
reforms pertaining to the collective ownership of land introduced in 2008 had produced no noticeable changes in
the economic activity of the local population when our follow-up survey was made in 2011.

Wenjing Liu-Wurz
Zanhuang County: Tumen Township Siyu Village
In Zanhuang County the reforms of 2008 produced three distinct patterns: junshan (20%), jungu (40%) and junli
(40%). The lower percentage of the junshan model may be explained by the fact that in the county many of the
young people had left to work in other parts of China, thus necessitating other ways of working the land in the
remaining 80% of the villages. Tumen Township Siyu Village with 311 households and a population of 972 is
located at a lower elevation. The area of arable land is 700 Mu and the area of mountainous terrain is 7, 200 Mu of
which 3,700 Mu is forestland available for commercial use (Jingjilin). The three main products are apples (1,200
Mu), jujube (1,100 Mu) and walnuts (400 Mu). These fruit products have been quite profitable for the farmers,
boosting their post-reforms average income to 5,000 Yuan for the year 2009.
One important aspect of the reforms was the necessity to organize working groups whose task it was to establish
clear boundaries between the village landholdings and assess their value. In 1989 there had been some distribution
of land rights to individuals, but the 2008 reforms required that these transactions be scrutinized again and where
necessary revised. The cultivation of fruit trees has lent itself well to the junshan model, while the land-use rights
of mountain areas unsuitable for the junshan system were auctioned off. The money obtained from the latter
(1,000 Mu) amounted to 56,000 Yuan which belonged to 342 shareholders, but it was decided to use the money to
pay for road repairs and irrigation channels. On the higher reaches and summits the village has 3,500 Mu of
remaining unused land consisting of old-growth forest and woodland important for maintaining the ecological
health of the environment. The value of this land was assessed by the village cooperative at 150,000 Yuan and the
disposal of this remote area was deemed suitable for the junli system, whereby the monies obtained would be
equally divided among the villagers. It was decided that 40% of any sums would accrue to a common fund to be
used for public utilities, while the remaining 60% would be allotted to each family for their personal use.
Pingshan County: Wentang Township Beimazhong Village
Pingshan County is famous for the large-scale production of walnuts. Compared to other areas of Hebei this county
boasts a high percentage of tree coverage (48.9%) and has become one of the eco-models for the whole country,
attracting eco-tourism. However, with a population of 450,000, the average income of the county is only 3,300
Yuan per year per person, lower than the average for Hebei.
Beimazhong Village has 520 households with 20,000 Mu of mountain forest land (2009), of which 3,000 Mu
supports peanut production and 4,000 Mu is used for the production of the sour jujube. Among other products,
persimmons and chestnuts are important. On the higher slopes of the hills the sour jujube orchards attract tourists
who come from Shijiazhuang and surrounding urban areas. Since the area is also popular for its hot springs, a ski
resort is now under construction to provide an additional boost for the tourist industry. Under the reforms of the
1980s the arable and mountain land was redistributed among individual farmers, but around 2003 the farmers
decided to pool the mountain forest areas and put them under collective administration. At the same time some of
the farmers formed a special team (Linyedui) to work the mountain forest land.
A similar change took place in 2006 when it was decided to put 2,000 Mu of arable farmland under the
administration of a cooperative body, thus enabling the purchase of machinery for the mechanization of
agriculture. The pressure for these changes came from the success of local mining. The relatively high wages from
mining induced farmers to abandon their individual plots and the average yearly income of a villager reached
10,000 Yuan per annum (2010). The farmers who chose not to enter the mines were persuaded to form
cooperative teams to work the land, previously a task for each individual. The members of these teams worked as
salaried employees of the village cooperative.
Beimazhong followed the jungu pattern of development and although there are many similarities with Qiannanyu,
the outstanding difference is that the latter started from replanting bare mountain tops and developing forestry,
later using the profits to invest in mining and industry, whereas the former started from mining, later using the
profits to invest in agriculture and forestry products and, significantly, changing to a collective mode of production.

Wenjing Liu-Wurz
CONCLUSION
Background Factors Influencing Reforms to Mountain Forest Property Rights
The first factor is the industrialization of China which has caused severe environmental problems such as
increasing desertification and the manifest degradation of the ecological health of the country. Consequently, for
China it has become a most urgent task to introduce reforms that can reverse this trend and tackle the problem
of developing and administering forest lands in an ecologically sound manner.
The second factor is the sannong problem that the policy of the New Rural Construction Reforms sought to
solve. The economic gap between the coastal and inland areas is well known, but there is also a serious gap
inland between the low-lying regions and those at a higher elevation. The development of the latter mountain
regions has been especially difficult. Thus the aim of the reforms is to develop the infrastructure of the mountain
regions, and to make them economically viable by incentivizing the local population to work the forest land in
order to encourage diverse income-generating forestry products.
The third factor is the problem of the scarcity of natural resources such as oil which has surfaced in tandem with
the rapid development of industrialization. Forest resources are also threatened with depletion and so it has
become an urgent task to utilize mountain forest regions for development and conservation. To this end it was
necessary to introduce clear, legally binding measures governing land-use and demarcating ownership rights in
the mountain forest areas.
The fourth factor is the idea that by organizing the various modes of production in the mountain and forest
regions on a clear, legal basis, this will bring stability to these communities so that they can provide a safety net
for the many who sought employment elsewhere and who may be forced to return to their home villages by a
downturn in the job market. The land-use and property rights reforms thus create a higher degree of flexibility by
allowing returning villagers easier reintegration into their home communities.
The result of the mountain forest property rights reform in Hebei
In Hebei Province three distinct patterns in the structural changes brought about by the reform of mountain
forest property rights may be discerned: the systems of junshan, jungu and junli. The word junshan contains the
word jun which means dividing up the mountain into equal parts, each household receiving an equal share
depending on the number of members.
The gu in Jungu means a share of something. In this case, the land belongs to the village as a body, and the
household members each receive a share of the land they work or as a share in the form of money or a salary.
The junli system means monies from land rented out to large-scale farmers or outside entities contracted to
work the land accrue to the village communities which own the land. All the cases described fall within the
framework of the reforms around mountain and forest property rights. It should be noted the Qiannanyu and
Beimazhong are not typical models, but their choice of a collective solution based on their special conditions is
significant.
Since the three patterns of land development which have appeared under the reforms of property rights were
not dictated from above, but arose spontaneously from a local, grass-roots level, it leaves open the possibility
that other development patterns may evolve in the future. What is the future for the collective ownership of
agricultural land? The general consensus is that the reforms around the issue of mountain and forest property
rights have been a necessary step in the right direction. In practical terms farmers have been able to increase
their income and have experienced a rise in their living standards. The villagers’ personal investment in the
collective ownership of the land together with a heightened awareness of ecological issues has resulted in
development schemes that have improved the health and sustainability of the natural environment.
However, problems still remain because the concept of collective ownership is difficult to define and therefore
the legal framework is still inadequate to regulate disputes over the disposal of land. The collective ownership of
land is still considered by many to be an essential institution in order to guarantee a measure of social security

Wenjing Liu-Wurz
REFERENCES
[1] 国家林业局『中国林业统计年鉴2012』2013、中国林业出版社。
[2] 劉文静「農村の近代化と新農村建設―山東省鄒平県の事例を通して―」2010、『総合政策』第11巻第2号、岩手
県立大学総合政策学会。
[3] 劉文静「集団所有林地の制度改革に関する政策的分析」2011、『総合政策』第12巻第2号、岩手県立大学総合政
策学会。
[4] 細谷昂・米地文夫・平塚明・佐野嘉彦・小林一穂・佐藤利明・劉文静・山田佳奈・吉野英岐・徳川直人「「生態
農業」における個と集団－中国河北省邢台市邢台県前南峪経済試験区の事例－」2004、『総合政策』第5巻第1
号、岩手県立大学総合政策学会。
[5] 何安华・郑力文・毛飞・孔祥智『集体林权制度改革对林区农村基本经营制度稳定的影响研究』2011、『中国合作
经济论坛』2011年第四期。
[6] 特定非営利活動法人、国際環境NGO FoE Japan編「中国における合法性証明制度の実態調査報告書」2010年。
[7] 温铁军『中国林权制度改革困境与出路』2010、华中科技大学出版社。
[8] 柳澤和也「中華人民共和国農村土地請負法」の検討:土地利用の効率化と土地財産の保障の実現の視点から」

REVITALIZING OPEN GRASSLAND THROUGH AGROFORESTRY AND NATURAL/
ORGANIC FARMING IN OCCIDENTAL MINDORO
Susanita G. Lumbo, Ph.D.*
Professor & Director for Research, Development, & Extension
Occidental Mindoro State College
San Jose, Occidental Mindoro, Philippines
ABSTRACT
This paper highlights the efforts of a private enterprise to revitalize unclassified and open grassland. This case work specifically
looks into the mode of farming, cropping system, cultural farm practices, and resource management employed by the owner.
Agroforestry specifically the agrisilvipastoral system and natural/organic farming were used to revitalize grassland previously
utilized for pasture. Diversified farming, multiple cropping, crop rotations, and integrated pest management were practiced.
Zero tillage, alley cropping and multistory cropping were done for hilly areas. The principles of sustainable agriculture such as
ecologically sound, socially just/equitable, culturally appropriate, and appropriate technology were observed. All efforts were
directed towards achieving the ultimate goal to harmonize economic profitability and environmental sustainability.
Key words: agroforestry, agrisilvipastoral, natural and organic farming, economic profitability, and environmental
sustainability
INTRODUCTION
Imperata cylindrica grasslands are found throughout Southeast Asia (Friday, Drilling and Garrity (1999). These are
about 35 million hectares in Asia and comprise 17% surface cover of the Philippines (Magcale-Macandog, 2002).
Except for pasture, these areas are often not economically productive as they are fire-prone, infertile, and difficult
to cultivate and manage. However, due to shrinking agricultural land, ballooning population, and scarcity of jobs,
some sectors found the upland areas and grasslands potential for economic activities such as agroforestry and
timber plantation.
The Philippine grasslands constitute part of the public domain. Since the ‘70s, the Department of Environment and
Natural Resources (DENR) opened 1.5 million hectares of grasslands for grazing to qualified groups. This is through
the Pasture Lease Agreement (PLA) and Forest Land Grazing Lease Agreement (FLGLA) (Moog, 2006). The vast
grasslands of the province of Occidental Mindoro have been opened to FLGLA applications. One FLGLA applicant
has invested in the rehabilitation of open and unclassified grasslands by establishing an Eco-farm Project (EFP) that
showcases agroforestry and organic/natural farming technologies. How this EFP has been conceptualized and
managed is the focus of this case work.
This paper highlights the best practices of EFP in revitalizing open grasslands. Specifically, this presents the
project’s vision, mission, objectives, and corporate values; determines the management strategies employed;
characterizes agroforestry system and cultural farm practices implemented; and presents some recommendations.
METHODOLOGY
Triangulation method of data collection was employed. This included focused-group discussion, field visitation, key
informant interview, and use of secondary data.

The Eco-Farm Project
The EFP covers an area of 234.5 hectare- unclassified and open grassland located in Sitios Amaling I and II, Barangay
Manoot in Rizal, Occidental Mindoro. This is acquired through Forest Land Grazing Management Agreement
(FLGMA) with the Department of Environment and Natural Resources-Region IV.

Susanita Lumbo
The area covered was formerly under the Provisional Pasture Permit No. 189 of another person who relinquished
all his rights and interest including improvements in favor of the present entrepreneur. Document shows that the
area is within unclassified public forest which is suitable for grazing purposes .
The EFP Vision, Mission, Goals and Corporate Values
The pasture application indicates the EFP’s statement of purpose (objectives) as well as the vision, mission, and
corporate values which shall serve as fundamentals for planning and decision-making as follows.
Vision. It envisions to becoming the best natural and organic farm/ranch in the island of Mindoro.
Mission. To run a highly profitable business operation for all involved through the production and marketing of
branded, guaranteed, and certified natural agricultural products. For community and employee development, it
endeavors to provide complete benefits to its work force and partners; provide opportunities for adequate
incomes for dignified living; provide opportunities for holistic personal development; and share tested technologies
with the community to improve incomes and quality of life.
Objectives. The area covered by the pasture application shall be used for agro-livestock projects following these
general principles:
1) Concern for the environment. The area covered will be utilized and managed with utmost concern for
environmental improvement and sustainability through:
 Reforestation, planting of lumber and fruit tree, and bamboo propagation
 Planting of various grasses and legumes for forage and slope stabilization
 Preservation and development of existing natural water resources
 Implementation of fire prevention practices
2) Use of natural farming technologies. Only natural and organic farming methods shall be used in animal and
crop production. The specific projects lined-up are:
 Cattle/animal breeding
 High value and cash crops production
3) Community development. All natural and organic farming technologies utilized and found effective will be
shared to the community using the approach “Do first, then teach,” through:
 Natural farming technology seminars
 Livelihood projects for natural and organic products with production agreements for natural and
organic products
 Socio-cultural development projects in support of the indigenous community.
Corporate Values. The EFP is guided by the following management values: (1) Faith in God’s Divine Providence, (2)
Personal sanctification through work, (3) Industriousness and diligence, (4) Excellence and attention to small
details, (5) Social responsibility to the community, (6) Environmental sustainability through natural practices, and
(7) Living up to the teachings of patron saints: Blessed Virgin Mary, St. Josemaria Escriva, Bishop Alvaro del Portillo,
St. Michael the Archangel, and Guardian Angels.
The EFP’s management is a devout-Catholic. The strong faith is mirrored in the kind of activities engaged in and the
manner it relates to the community. The EFP’s vision, mission, and values are pro-God, pro-people, and pro-
environment. Having a well-defined vision, mission, objectives and corporate values suggests the EFP is on the
right track. As Friday, Drilling and Garrity (1999) opined “rehabilitation of grasslands starts with vision and
objectives.”

Susanita Lumbo
EFP’s Management Approaches
Dealing with personnel. The EFP believes people are the most important productive resources of any organization.
It employs sound personnel management. It provides employees complete benefits and opportunities for
adequate and dignified living. It also gives them opportunity for holistic personal development. They are sent to
seminars and trainings while their children are given scholarship grants. This explains why the personnel are well-
motivated and loyal to their employer. Even with very minimum supervision; the owners come “once in a blue
moon,” the personnel effectively and efficiently accomplish the tasks expected of them.
Securing work environment. The EFP sets rules and security procedures to ensure productivity, efficiency, and
safety. Some rules include no burning to dispose of wastes and practice of zero waste management. There is a
need to find use for everything. Hunting is neither allowed nor shooting of animals except in self-defense. The 6s
for productivity: sort, set to order, shine, sanitize, standardize, and safety is strictly encouraged. There is also a
standard operating procedure to follow in terms of maintaining animal health and nutrition, work hours, housing,
handling and care, and income generation. The security procedures include prohibiting smoking, gambling and
drinking among personnel within the EFP’s premises. Fences are inspected twice a week.
Agroforestry System Adopted
The existing vegetation of grassland occupied by EFP is Imperata cylindrica with scattered shrubs, rippers, and
patches of second forest. Pioneer tree species such as Acacia manguim, and Pterocarpus indicus are found in the
area. The upper portion which is yet to be developed is heavily covered with Imperata cylindrica (Fig. 1).
Figure 1. Eco-farm Project
There is gallery forest vegetation along the creek in the area. The gallery supplies water for the trees especially in
dry months. The EFP’s operation is only on its third year. So far, it has developed only about 15 hectares of the
total grassland area. About 22,000 trees have been planted. Tree species planted alternately are Acacia manguim,
Swietenia macrophylla, Gmelina arborea, Pterocarpus indicus, and Terminalia microcarpa. The following
interventions are made in the area:
1) Maintaining a fire line five meters on each side to prevent brush fires.
2) Installing a water system connected to the creek for cultivation and emergency purposes.
3) Constructing perimeter fence, gate and rail system.

Susanita Lumbo
4) Planting of bamboo and Gliricidia sepium in fences.

5) Planting of bamboo in eroded areas.
6) Rehabilitating spring areas and delineating watershed for water security.
7) Producing vermi-cast and vermi-compost for plant needs.
The agroforestry system designed for EFP is agrisilvipastoral. In the meantime, cash crops are not yet integrated in
the tree plantation to prevent entry of trespassers. Cattle graze outside the fence while the trees are still young.
Cash crops, fruit trees, and ornamentals are planted at the lower level. Free range animals area raised near the
EFP’s administration office, bank house, and vermin-compost plant. A creek demarcates the tree plantation and
agricultural crops.
Mode of Farming and Cropping System
The EFP’s mode of farming is low-external input as it advocates organic and natural farming. Cropping systems
employed are diversified farming and crop rotation. Cultural farming practices and resource management adopted
are enumerated as follows.
Cultural Farming Practices
Seeds and varieties Inbreed, native
Tillage practices Minimum, zero
Weeds and weed control Mechanical (hand pulling and use of bolo)
Fertilization and fertilizers Mulching, vermin-compost, Use of Oriental Herbal Nu-

trients (OHN),
Pest & diseases and control Use of botanicals, IPM
Water management Use of drip method, repair canals
Nutrient management Use of fermented plant juice, re-fertilize,
Soil management Plant drought prone crops and grasses
Resource Management
Drainage and irrigation Rehabilitate spring areas, delineate watershed, repair

canals
Livestock Set policies on animal health and nutrition, work-hours,

handling and care
Crop residues handling practices No burning, zero waste, residues used as feed stock and
ingredient in organic fertilizer production
Manure handling practices Utilized for organic fertilizer production
Farm equipment and machineries Set policy on care and maintenance
The above data show the mode of farming, cropping system, cultural farming practices, and resource management
employed by the EFP are people and environment-friendly. Considering the indicators of sustainability (Perlas,
1993) such as ecological soundness, socially just and human, and cultural acceptability, to name a few, it is safe to
say that EFP is an advocate of sustainable agriculture. It can be gleaned from above that the EFP is in the right
direction of achieving its vision and mission. Similarly, the manifestation and influence of management’s corporate
values on its activities are evident.

Susanita Lumbo
Best Practices
The EFP exemplifies best practices worthy of emulating, as follows:

1) Revitalizing grasslands through adoption of sustainable upland farming practices.
2) Harmonizing economic profitability and environmental sustainability.
3) Employing pro-God, pro-people, and pro-environment management approaches
I
CONCLUSIONS
The EFP manifested vision, mission, objectives, corporate values, and management approaches that are pro-God,
pro-people, and pro-environment. Rehabilitation of grasslands employed sustainable upland farming practices.
EFP efforts are heading towards harmonizing economic profitability and environmental sustainability.
RECOMMENDATIONS
1) Provide friendlier rules and requirements for FLGLA application to encourage more noble individuals and
groups to engage in a similar undertaking.
2) The government should give rewards and incentives to people or groups that successfully converted grasslands
to sustainable use. Pasture leases under FLGLA effective for 25 years should be extended to give entrepreneurs
sufficient of time to recover their big investments.
REFERENCES
Daft, R.L. 2002. Management. 5th Edition.Manila: Thomson South-Western.
FAO. 2013. Advancing on the Policy Agenda: A guide for decision-makers, by G. Buttoud, in collaboration with O.
Ajayi, Detlefsen, F. Place & E. Torquebiau. Agroforestry Working Paper No. 1. Food and Agriculture
Organization of the United Nations. FAO, Rome. 37 pp.
Friday, K. S., M. E. Drilling, and D. Garrity. 1999. Imperata Grassland Rehabilitation Using Agroforestry and Assisted
Natural Regeneration. International Centre for Research in Agroforestry, Southeast Asian Regional
Research Programme. Bogor, Indonesia. ISBN 979-95537-0-5. Printed by: SMT Grafika Desa Putera, Jakarta,
Indonesia. www.worldagroforestry.org. Retrieved: October 4, 2013.
Magcale-Macandog, D. B. Soil Erosion and Sustainability of Different Land Uses of Smallholder Imperata Grasslands
in Southeast Asia. Proceedings of the First Grassland Congress of the Philippines. ERDB. University of the
Philippines Los Banos, College Laguna. September 26-28, 1995. tucson.ars.ag.gov. Retrieved: October 4,
2013.
Miranda, G.S. and C.M. Miranda-Gow. 2002. Management Principles and Practices. Updated Edition 2002. Binan,
Laguna: L & G Business House.
Moog, F. A. 2006. Country Pasture/Forage Resource Profiles. Bureau of Animal Industry, Diliman, Quezon City.
www.fao.org. Retrieved: October 4, 2013.
Perlas, N. The Seven Dimensions of Sustainable Agriculture. Paper presented during the Second Asian
Development Form, 22-27 February 1993. Xavier University, Cagayan de Oro City, Mindanao, Philippines.
Philippine Council for Agriculture, Forestry and Natural Resources Research and Development. Philippine S&T
agenda on Climate Change in agriculture, forestry and natural resources sectors (2010-2016). Los Banos,
Laguna:PCARRD-DOST, 2010. 122p. (Book Series No. 180/2010).

Susanita Lumbo
Acknowledgement. The author expresses heartfelt thanks and gratitude to the following whose kindness made
this case work possible. The Eco-farm project’s managers-Mr. Dionesio Samino, Mr. Florentino Alingcumot and Mr.
Paquito Arevalo; RDE colleagues- Mr. Nelson Orfiano, Mr. Garry Calitang, Ms. Mary Yole Apple Declaro-Ruedas, and
Ms. Venessa Casanova; and BSAED Crop Science students- Ms. Leizel Samino and Mr. Reynante Bartolome.

INFLUENCE OF TREE CROP HARVEST PERIODS ON THE LIVELIHOODS OF SETTLEMENTS OF
THE LANDLESS PEASANTS MOVEMENT IN THE LOWER AMAZON
1
Kanae Ishimaru, 1Shigeo Kobayashi, 2Sayaka Yoshikawa.
1
Graduate School of Asian and African Area Studies, Kyoto University,
2
Tokyo Institute of Technology, Department of Mechanical and Environmental Informatics
ishimaru@asafas.kyoto-u.ac.jp
ABSTRACT
Settlements of the landless peasants’ movement in Brazil (Movimento dos Travalhadores Sem Terra) are frequently observed in
the Amazon area where vast tracts of land suitable for cultivation are available. The majority of these settlements engage in
agricultural systems consisting of mixed plantations of tree crops combined with annual crops. A substantial proportion of the
settlers participating in this movement have succeeded in producing sufficient harvest to improve their standard of living. One
of the characteristics of mixed tree-crop cultivation is wide variety in harvesting periods. Seasonal variation in the crop harvest
directly affects sales income and the amount of subsistence yield, and accordingly an ineffective harvest schedule will result in
the loss of cash income and food availability. We examined the monthly variation in the energy gained from subsistence and
sales generated from harvested crops in the households of two settlements with different post-immigration periods. In this
report we discuss the influence of combined crop harvest seasons on household income and on the energy gained from
agricultural products in two settlements of the landless peasants’ movement in the lower Amazon.
INTRODUCTION
Despite Brazil’s prominent economic growth in recent years and associated reductions in economic inequality,
social disparity drives people in the lowest economic strata to seek land. The landless peasants’ movement in Brazil
is a movement in which poor people who have been eliminated from the urban labor market and landless peasants
to squat in abandoned pastures and forests and use the land for cultivation. This movement is an issue that is
gaining national attention since it is presumed to cause forest deterioration and deforestation (Fearnside 2008),
and violence and conflicts (Simmons 2005, Mitidiero 2004), even as it garners international renown as a well-
organized public-led land reform. However, the majority of the people settling in the Amazon area engage in
agricultural systems consisting of mixed plantation species of annual crops combined with tree crops (Smith et al.
1996, Leite et al. 2004, Hoch et al. 2009), and a substantial proportion of the settlers that participate in this
movement successfully harvest sufficient produce to improve their standard of living (Kondo 2005).
The settlements of this movement are frequently observed in peri-urban areas of the Amazon, where both land for
squatting and access to a market town for daily necessities are available. Our research thus far has revealed that in
some households without sales income, the crop varieties and number of tree crops cultivated did not fulfill the
demand for commercial or even subsistence needs (Ishimaru et al. (in press)). According to Millikan (1992), the
reason for the failure of the immigrant settlers to meet these necessities is attributable to their preferential annual
crop cultivation and cattle rearing, despite perennial crop cultivation being a far more sustainable option. However,
preferential cultivation of tree crops by itself would be insufficient to meet these commercial demands and
subsistence needs. Rather, the primary factor responsible for the inability to maintain agriculture has been
identified as a lack of agricultural knowledge and experience (Fearnside 2008, Ishimaru et. al. (in press)).
One of the characteristics of mixed tree-crop cultivation systems is the considerable variation in the timing of the
fruit harvesting, which varies among crop species. The seasonal variation in the harvest period directly affects sales
income and the amount of subsistence yield. Therefore, an ineffective annual harvest schedule will result in the loss
of cash income and the availability of subsistence food. We hypothesized that some of the households had
difficulty in maintaining constant subsistence and cash crops due to a lack of harvest during certain periods of the
year. The impact of the subsistence deficit may have a more serious impact on livelihood than a deficit of cash
crops because the tree crop harvest cannot be stored, whereas cash does not decay. In this report we examine the
monthly variation in the energy and sales obtained from harvested crops to determine the influence of a combined
crop harvest season on household income and energy gains from agricultural products in settlements of the
landless peasants’ movement in the lower Amazon.
Kanae Ishimaru, et al
STUDY SITE
The study site for this research was located in Santa Barbará province (geographic coordinates of the municipality’s
headquarters: 01°13’ 56” S and 48°17’41” W), approximately 40 km northeast from the center of Belém, the Pará
state capital, in the northern part of Brazil (Fig.1). As Belém is located near an estuary of the Amazon River, it has
functioned as an important trade hub for the lower Amazon. The populations of the Belém and Santa Barbará
municipalities at the time of the survey were approximately 1.4 million and 17,000 people, respectively. Santa
Barbará province covers a total area of 278 km2, has a population density of 61.1 people/km2, and a per capita GDP
of approximately 3,900 Brazil Reals (R$) (IBGE http://www.ibge.gov.br/at Aug. 2011), which is equivalent to about
2,500 US$.
Two adjacent settlements in the Santa Barbara province were chosen for our household survey. Inhabitants of
settlement A had occupied an abandoned forest area belonging to an oil palm firm four and a half years prior to the
time of the survey. All households from settlement A had squatted around a water spring for one year before
dividing the land among themselves. Therefore, all crop species were younger than three and half years old. Each
household is allowed discretion to decide on their own agricultural production system, e.g., what species to
cultivate, the quantity and timing of the harvest, etc. In accordance with the Brazilian Forest Code (4771/1965),
80% of the distributed forested area needed to remain intact. As a consequence, each household transformed
forested area into a crop field area to a comparable extent, except for a few households
that retained a greater intact forested area for water conservation. Inhabitants of settlement B migrated to this
area 20 years earlier. These settlers obtained land after about five years of occupation as result of negotiations with
previous landholders led by the National Institution of Colonization and Agrarian Reform (Instituto Nacional do
Colonização e Reforma Agrária: INCRA) (Fig.2). Electricity was available in settlement B but not in settlement A. The
average number of people per household was 3.9 and 3.8 in settlement A and settlement B, respectively.
Fig.1 Location of Santa Barbará province
Fig.2 Crop fields in settlement A (left) and settlement B (right)

METHODS
Data were collected through face-to-face interviews with household members, except for members who were
regularly absent. Information about monthly income and the number and gender of adults and children in a
household, as well as the name, number, age, harvest quantity, sales, and consumption of cultivated species was
collected. Interviews were conducted with household members working in the fields and those with an
understanding of income and expenditures. Hence, in most cases, the family head and/or housewife were
interviewed.
The total number of households in settlements A and B at the time of the survey was 36 and 17 respectively; a total
of 29 and 14 households, respectively, were used for data analysis. Two households in settlement B lived outside of
the settlement and were therefore excluded from the subsistence crop analysis. The survey was conducted during
July 2010. Data were analyzed using Student’s t-test to examine the difference in mean measurements between
the two settlements. Energy supplied from agricultural products was calculated using the unit energy of each crop
listed in The Brazilian Institute of Geography and Statics (Instituto Brasileiro de Geografia e Estatística: IBGE) food
composition tables (1999), multiplied by the amount consumed. Daily energy requirement per household was
estimated based on the average daily calorie consumption in the northern region of Brazil (IBGE 2010), by
classifying family members as adult men, adult women, and children (younger than 15). The average daily calorie
consumption values used were 2356 kcal for adult men, 1850 kcal for adult women and 2199 kcal for children. One
household in settlement B had sales income from fish and chicken breeding but they were excluded from the
energy gain and crop sales analysis.

Harvest periods of crop species
In most cases, the mixed plantations included both annual and perennial crops. The harvest periods of the main
crops cultivated in the two settlements are presented in Table 1. The harvest periods and the amount of produce
harvested varied greatly among households, even though they were located in close proximity to one another (all
the households were located within a 7-km2 radius). The harvest periods of some fruits in the Amazon region are
known to vary widely (Shanley and Medina 2005). It is likely that microclimate (i.e.,
Table 1. Harvest periods of the major crop species planted in the two settlements.
Table3. Harvest periods of the major crop species planted in two settlements.
No. of HHs cultivating
Type of harvest Local name Scientific name settlement A settlement B Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Annual crops or Mandiocca Manihot esculenta 26 11 ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++
harvestable
Macaxeira Manihot utilissima 21 11 ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++
within a year
Abacaxi Ananas comosus 20 9 ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++
Cana Saccharum officinarum 7 7 ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++
Arroz Oryza sativa ssp. 4 3 ++ ++
Early fruitive or Banana Musa paradisiaca 20 11 ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++
harvestable Caju Anacardium occidentale 20 11 + ++ ++ +
Biribá Rollinia deliciosa 11 11 + ++ ++ + + + ++ ++
Mamão Carica papaya 13 7 ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++
Acerola Malpighia emerginata 11 4 ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++
Ingar Inga edulis 8 7 + + + + ++ ++ ++ +
Late fruitive or Cupuaçu Theobroma grandiflorum 25 14 ++ ++ + + + + ++
harvestable Açai Euterpe oleracea 23 12 + + ++ + + ++ + + ++
Pupunha Bactris gasipaes 10 14 ++ ++ + + ++
Manga Mangifera indica 17 11 ++ + + ++ ++
Limão Citrus limon 15 11 ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++
Abacate Persea americana 14 9 ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++
Laranja Citrus sinensis 14 6 ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++
Muruci Byrsonima crassifolia 15 4 + + + + ++ ++ ++ ++
Coco Cocos nucifera 11 5 ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++

variation in the amount of rainfall) strongly impacts the fruiting periods in this region where the annual
temperature fluctuation is small and torrential downpours are frequently observed. At the time of the survey,
most of the late-fruiting species were not harvestable in settlement A: therefore, the data for the harvest periods of
the late-fruiting crops were collected only from the households in settlement B. Crops with a high market value,
such as cupuassu (Theobroma grandiflorum), assai palm (Euterpe oleracea) and pupunha palm (Bactris gasipaes)
were found in most of the households surveyed even though these can only be harvested after at least three years.
Manioc (Manihot esculenta) was also cultivated by the majority of the households. Toxic manioc, a representative
annual crop, can be processed into a staple food (farinha) in the northern Amazon region. Most households in both
settlements cultivated manioc (26 households out of 29 in settlement A and 11 households out of 14 in settlement
B). In addition, banana and papaya are cultivated in many households since they are frequently consumed
throughout the year.
Energy gain from subsistence crops
The average self-sufficiency rate, which was based on the estimated daily energy requirement, was lower in
settlement A than settlement B. The self-sufficiency rates were 54.4±10.8% and 132.5±33.0% in settlement A and B,
respectively (Table 2). Less than half of the households in settlement A were unable to fulfil 40% of the daily energy
requirement, while in settlement B, only one household was unable to do so. In settlement A, five out of six
households that surpassed 80% of the daily energy requirement consisted of a single person, thus the gross
estimated energy requirement was low.
Because farinha, processed from manioc, is a staple food ingested daily, the proportion of the energy intake from
manioc relative to the total energy intake from all harvested crops was high, especially in settlement A. The average
energy intake from manioc relative to the total energy intake from subsistence crops was 63.4±5.6% in settlement
A and 44.3±6.5% in settlement B. This reflects a lower crop variation in settlement A compared with settlement B.
Some of the late-fruiting crops were only available in settlement B because these crops had not yet fruited in
settlement A. The values we used to calculate the estimated daily energy requirement were based on an average
level of widely varying labor intensity. Therefore, it is likely that our daily energy requirement values under-
estimated the actual energy requirement in many cases.
The proportions of months in which the energy intake from subsistence crops surpassed 80% of the estimated
energy requirement in each settlement are shown in Table 3. Since daily food consumption includes other
nutritional sources such as protein, i.e., chicken meat, eggs and fish, we used 80% as a criterion for self-sufficiency
of agricultural crops. Most of the households in settlement A could not fulfil 80% of the energy requirement at any
time, and only 4 out of 29 households (13.8%) could produce sufficient subsistence crops throughout the year.
The proportion of households categorized as 0 months was the highest among all the categories, the value of this
category in settlement B was half of the value in settlement A, and approximately 40% of the households in
settlement B produced sufficient subsistence for more than six months. Coefficients of intra-annual variation in
the energy gained from subsistence crops were higher in settlement B than in A (0.100 and 0.476, respectively),
indicating that the seasonal variation in the subsistence crop harvest was higher in settlement B than in A.
This contradicts our hypothesis that settlement B had a more sophisticated annual harvest schedule than
settlement A, which would have allowed constant energy production. Twelve households in settlement A did not
exhibit intra-annual variation, suggesting that the harvests of these households were not seasonal in nature. In
contrast, all the households in settlement B exhibited some variation in the intra-annual crop harvest, indicating a
seasonal harvest. Furthermore, the high values of the variation coefficients in settlement B were somewhat
influenced by the harvest of rice, which can be stored and consumed throughout the year.

Table 2. Frequency distribution of the number and proportions of households with an
average self-sufficiency rate.
Settlement A Settlement B
0% 1 3.4% 0 0.0%
1%～40% 13 44.8% 1 8.3%
41%～80% 9 31.0% 5 41.7%
80%< 6 20.7% 6 50.0%
Table 3. Frequency distribution of the number and proportions of households where the
estimated energy intake surpassed 80% of the estimated energy requirement.
Settlement A Settlement B
0 month 21 72.4% 4 33.3%

Less than 6 months 2 6.9% 3 25.0%
Less than 12 months 2 6.9% 2 16.7%
12 months 4 13.8% 3 25.0%
Cash gain from sales crops
Nine out of 29 households in settlement A and 11 out of 14 households in settlement B generated cash income
from sales of harvested crops. The average monthly income per household was 145±49 R$ and 296±97 R$ in
settlement A and B, respectively. The minimum monthly salary in Brazil at the time of the survey was 510 R$, which
is equivalent to 290 US$ (based on the exchange rate in July 2010). Among the households with sales income in
settlement A, three households sold crops only, two households sold crops and farinha, and four households sold
farinha alone. In contrast, four households in settlement B sold crops only, four households sold crops and farinha,
and three households sold farinha alone. Therefore, the dependence on farinha as a source of income was higher
in settlement A.
Only one household in settlement A and seven households in settlement B generated income from the sale of
seasonal crops. In settlement A, seven out of eight households sold year-round harvestable crops and/or farinha.
Inga (Inga edulis) and corn were sold by the only household selling seasonal crops in settlement A, and the
proportion of seasonal crop sales relative to total crop sales was 54.0%. Ten seasonal crop species were sold in
settlement B. These species included cupuassu, assai pam, pupunha palm, cashew (Anacardium occidentale) and
inga. The average proportion of seasonal crop sales relative to total crop sales from the seven households with
seasonal crop sales in settlement B was 49.3%. The coefficients of the intra-annual variation in sales crops were
0.075 and 0.376 for settlements A and B, respectively, indicating a similar trend to the subsistence crops.
CONCLUSION
While a mixed cultivation system consisting of a combination of annual crops and tree crops with a variable harvest
season was adopted in the settlements, it is likely that the impact of manioc in particularly was great on subsistence
and sales. Manioc can be collected throughout year regardless of seasonal changes and the processed product is
the region’s staple food, which has a high market value. Therefore, manioc cultivation forms the basis of agriculture
in these settlements as a combined subsistence and sales crop.
Contrary to our hypothesis, the coefficient of variation of the intra-annual harvest was higher in settlement A than
settlement B, indicating that settlement A had a more constant harvest than B. However, this could simply be
attributed to a shortage of seasonal crops in settlement A, which relied mainly on the harvest of annual crops and
year-round crops with short growth periods, such as manioc, banana and sugar cane. In the older settlement (B),
among 11 households with sales income, seven had seasonal crop sales that comprised half of the total crop sales.
Seasonal crops such as assai palm and cupuassu significantly impacted household income because of their high
market values.

Dependence on annual crops and manioc is high during the early stages of immigration, and then income
sources gradually shift to seasonal crops during the post-immigration period. It is necessary to combine
seasonal and year-round crops (e.g., manioc) such that annual crops and crops with a short harvest period can
be grown for subsistence and late-harvest crops can be grown to generate cash income.
ACKNOWLEDGEMENTS
This work was supported by the Global Environmental Research Fund, the Ministry of the Environment, and JSPS
KAKENHI Grant Numbers 808101300002 and 24602002. The authors gratefully acknowledge two anonymous
reviewers for their helpful and constructive comments that improved the quality of this manuscript. The authors
would like to thank Dr. Roberto Porro of EMBRAPA, Professor Paula Bastos of the Federal University of Para, Prof.
Takushi Sato of Tokyo University of Agriculture, Professor Marcel Botelho of the Federal Rural University of
Amazonia, and Ms. Maruluce Amorlin of Asflora for their kind support regarding the survey, significant comments,
suggestions, and information. We also thank the inhabitants of settlements A and B (the research sites) for their
cooperation and Gunma Kenjinkai-do Norte for their support during the field survey. My cordial thanks goes to the
late Marcos Antonio Mendes dos Santos for all his support, affection and leading me to undertake this study.
REFERENCES
Fearnside, Philip. M. 2001. "Land-tenure issues as factors in environmental destruction in Brazilian Amazonia: the
case of southern Pará" World Development. Vol. 29. No.8. pp.1361-1372
Fearnside, Philip. M. 2008. "The roles and movements of actors in the deforestation of Brazilian Amazonia" Ecology
and Society, Vol.13. No1. pp.23.
Hoch, Lisa., Pokorny, Benno., De Jong, Wil. 2009. "How successful is tree growing for smallholders in the Amazon? "
International Forestry Review. Vol.11. No.3. pp.299-310.
IBGE Instituto Brasileiro de Geographia e Estatistic, available online: http://www.ibge.gov. br/home/ (Accessed on
26th May 2013)
Ishimaru, Kanae., Kobayashi, Shigeo., Yoshikawa, Sayaka. (in press) "Impact of agricultural production on the
livelihood of landless peasants settled in the lower Amazon" Tropics.
Kondo, Edson K. 2005. Sustainable Communities in Brazil and Japan : Building a Social Business Model for
Sustainable Societies Part I,’ Area Studies. Tsukuba. No.25. pp.51-69
Leite, Sérgio P., Heredia, Beatriz., Medeiros, Leonidle, Palmeira, Moacir., Cintrão, Rosângela. 2004. Impactos dos
assentamentos: um estudo sobre o meio ambio rural brasileiro. São Paulo. Instituto Intermericano de
cooperação para Agricultura: Núcleo de Estudos Agrários e Desenvolvimento Rural. Fundação Editora da
Unesp.
Ministério do Planejamento, Orçamento e Gestão Instituto Brasileiro de Geografi a e Estatística (IBGE) Diretoria de
Pesquisas Coordenação de Trabalho e Rendimento. 2010. Pesqisa da Orçamentos Familiares2008-2009:
Avaliação nutritional da disponibilidadedomiciliar dea alimentos no Brasil Rio de Janeiro: Instituto Brasileiro de
Geografi a e Estatística (IBGE)
Mitidiero, Marco A. 2004. "A Luta pela Terra no Campo Brasileiro: uma analise de dados" Revista Cadernos do
Logepa. Serie Pesquisa. Vol.2. No.2. pp.36-52.
Shanley, Patricia., Gabriel, Medina. "Frutíferas e plantas úteis na vida amazônica" Belém:Center for International
Forestry Research (CIFOR). 2005.
Simmons, Cynthia S. 2005. "Territorializing land conflict:Space, place, and contentious politics in the Brazilian
Amazon" GeoJournal. Vol. 64. No.4. pp.307-317.
Smith, Nigel H., Falsi, Italo C., Alvim, Paulo T., Serrão, Emanuel AS. 1996. "Agroforestry trajectories among small
holders in the Brazilian Amazon: innovation and resiliency in pioneer and older settled areas" Ecological.
Economics. Vol.18. pp.15-27.

SOCIOECONOMIC AND CULTURAL CHARACTERISTICS OF RURAL SOCIETY AND THE
POSITION OF RURAL DEVELOPMENT IN MYANMAR
Hee Suk Kim
Chonbuk National University,
Department of Archaeology and Anthropology, Ph.D. candidate)
pax-sincera@hanmail.net
Suhong Chae
Chonbuk National University,
Department of Archaeology and Anthropology, professor)
schae@jbnu.ac.kr
ABSTRACT
Myanmar society has experienced rapid changes in accordance with its open door and reform policy. Other countries’ interests
in Myanmar which is probably the last untapped territory in Southeast Asia visualize in the various forms of capital investment.
As a consequence, the influx of foreign capitals instigates significant changes in the multifarious arenas of Myanmar society.
Official Development Assistance(ODA) is one of the crucial stimulants for such changes. Many projects in the form of ODA that
pursue the reciprocal co-existence between donor and recipient countries have been implemented in Myanmar. However, it is
questionable that those projects can substantially contribute to “the improvement of local people’s life quality” as they
rhetorically represent in slogans. Most of all, we need to remember the fact that Myanmar’s rural economy has been
incorporated into the world economy for several decades even before the recent open-door and reform policy. Without
considering such fact, it is dubious that many ODA projects can achieve their intended goals. In fact, there are many projects
that incur various conflicts among the local people rather than improve their life quality. Comparing the cases of two rural
communities in the suburban area of Yangon, this study explores the effects and limitations of the development projects based
on the past Korean experiences of Saemaeul Undong(SMU, new village movement) and led by Korean project managers and
native cooperators in Myanmar.
Keywords: Myanmar, ODA, rural development project, Saemaeul Undong, new village movement, indigenization
RESEARCH BACKGROUND
This study deals with the processes of the project under the name of ‘Saemaeul Undong (SMU, new village
movement)’ in the two rural villages of Yangon, Myanmar. SMU was a development project popular in Korea in the
1970s that was led by the state first for the development of rural areas and spread to the various social spheres
later. Since then, SMU has been introduced to the world as a model of development projects which stipulated the
rapid economic growth in Korea. Taking advantage of the reputation, the Korean government has christened and
practiced some ODA (Official Development Assistance) projects under the name of SMU.
This phenomenon reveals the perspective of the Korean government that regards the situations in the ODA
receiving countries as similar to those in the 1970s of Korea. Although the importance of indigenization is
emphasized in the projects recently, the ODA projects basically still follow the modules of SMU practiced in Korea
in the past. As a token, the projects emphasize the spirit of SMU such as diligence, self-help, and cooperation. They
also focus on executing the two targets such as the improvement of living environment and the enhancement of
income. Besides, to cultivate SMU leaders in the future, the Korean government invites to Korea the villagers and
public officers of the area in which SMU projects are being implemented. The annually invited ones go to field trip
to successfully modernized Korean rural villages as well as get some educations of SMU spirit epitomized by the
slogan of “we can do.”
This study explores the cases of two villages in the sub-urban area of Yangon where a couple of the SMU projects
have been executed since the end of 2012 and many Korean governmental/non-governmental organizations
visited as a consequence. The SMU projects ostensibly constructed some facilities to help the improvement of life
environment in the villages and contributed to create amicable relationship between the Korean and the Burmese.
However, if we consider the ultimate goals of the projects, they simultaneously produce many problematic results
betraying the superficial outcomes. Above all, the relationship of the project managers and the villagers is vertical
Hee Suk Kim and Suhong Chae
or hierarchical and their mutual communications are not so effective. To make matters worse, serious conflicts take
place among the villagers in the process of projects, which continuously disturb the progress of the projects.
Despite the situations, the projects managers and their supporting agents attribute the cause of predicaments of
the projects mainly to the ignorance, incompetence, cultures or “cultural genes” of the indigenous people and
society.
As James Ferguson(1990) argued in his book ‘the anti-politics machine’, this kind of cultural accusation of
indigenous people would happen when an international ‘development apparatus’ produced unintended outcomes
due to the so-called non-intentionality or counter-intentionality of structural production that Michel Foucault(1979)
and Paul Willis(1981) respectively emphasized in their analysis of prison and school. Considering the unintended
side effects of international development projects, this study attempts to explain the causes of delay in the projects
by focusing on the thoughts and practices of both the project managers and the indigenous people to overcome
the kind of one sided interpretation by the projects managers.
OVERVIEW OF THE VILLAGES AND THE SMU PROJECTS
The two rural villages located near Yangon, the biggest city and former capital of Myanmar, will be called as P and T
villages hereafter. In this chapter, I will briefly describe the characteristics of the two villages and the projects aided
by outsiders, i.e. Koreans, and executed there.
The social and economic characteristics of P village
P village is located at the place 80km away from the downtown of Yangon. The second biggest hydroelectric dam in
Myanmar is at the northern edge of the village that was built from 1992 to 1995. As the people scattering and living
in the submerged areas flowed into the village, the population now increases to 4,435 people in 1,043 households.
The village has many, both native and foreign, visitors since there is an education college for public officers at the
entrance and it is located near the Yangon-Naypyidaw highway. Besides, even though it is relatively far from
Yangon downtown, the village is provided electricity exceptionally. These conditions must be considered in the
process of selecting the SMU project sites.
The village has a dense forest full of trees such as teak and bamboo, which is very rare in Yangon Region where
majority parts of lands consist of wide plains. Thanks to the environment, the villagers maintain their livelihood by
collecting scrubs and bamboos. When the conditions of electricity were not good, villagers made charcoals from the
forest and sold them to outside markets for subsistence and there are still many shops along the roads selling
bamboos that are renowned as a special product of the area.
On the way to the village, there are wide agricultural areas but the villagers engaged in agriculture are composed of
only 11 percent among the whole villagers and 113 households owned 510 acres in total. They cultivate rice and
bean in turn during the rainy and dry seasons. It is noticeable that some peasants increasingly reclaim the forests
and transform them into rubber plantations. The rest non-agricultural populations are doing manual work (58%),
commercial business (17%), and office jobs including teachers and public officers (14%). Among the villagers, the
monthly average income of farmers and wood collecting workers is around 60-80 thousands kyats with which they
can eke out their living. They live with unfavorable economic conditions compared to other people such as
merchants in the village.
The social and economic characteristics of T village
Village T is located at the place 30km away from Yangon. 693 people in 162 households are living in this relatively
small village. Among the whole households of the village, 52% engage in agriculture, 21% are manual workers, and
the rest are merchants and office workers. The total cultivation acreage is around 958 acres which are two times
bigger than P village with much wider area. In other words, cultivation acreage per household in T village is
relatively bigger in comparison with that of P village. The reason is that T village is located at the plain areas of
lower Yangon River and the main means of living in the village has been agricultural work.
The manual workers which occupy the second biggest number next to farmers in T village also engage in different
kinds of works compared to the manual workers in P village. They usually work in the construction sites of Yangon

or in the industrial zone 10 minutes away from the village by motorbike. The monthly income that they get outside
is around 60-70 thousand kyats and very helpful to the maintenance of household economy. Since the early 2000s,
the households that get their main income from the jobs outside village has been increased, which makes the
agricultural households getting hard to secure necessary agricultural labor. As a result, while the daily wage of
agricultural labor is 2,000-2,500 kyats in P village, that of T village is 4,000-5,000 kyats since they have to get
workers from the neighboring villages.
Summary of ongoing SMU projects
There are two SMU projects in the village whose working periods and agents are different each other, even though
both of them attach a title of SMU in accordance with the Korean government’s intention. The first SMU project
started from the end of 2012. For 2 years, this project succeeded in the maintenance of inside roads, the
construction of wells for drinking water, the improvement of house roof, the construction of bridge and so on in
the two villages. The project agent is now attempting to build a foundation for microfinance before the termination
of the project in the first half of 2014.
The other project that is managed by a Korean institute for agricultural development just started in 2014 and will
be continued for next three years. The main goal of the project is the improvement of living environment and the
enhancement of villager’s income. As a first step, the project managers are working on the pavement of inside
roads. After completing this work, they plan to help the live-stock breeding in the two villages.
Generally speaking, there are three targets or directions in the project that is attached the name of SMU. First, it
intends to improve living environment. For example, following the Korean experiences in 1970s, the project
attempts to pave small roads and renovate house. The reason why the SMU project mostly focuses on such activity
is that it can make an outcome as fast as possible and it is easy to attract people’s attention. Second, the project
searches a way of increasing villager’s income. For the purpose, it implements such activities as seed spreading,
greenhouse building for vegetables, live-stock breeding, agricultural machinery provision and so on. Lastly, the
SMU project engages in spiritual or mental education for the villagers, which becomes the foundation for the
physical and economic mobilization in the process of implementing the project. As we will see later, this kind of
mental education becomes a factor oftentimes to threaten the continuity of the project since it eventually
overemphasizes the importance of self-reliance.
These three targets or directions of the SMU project are a repetitive imitation of the SMU project practiced in
Korea in the past. The imitation can result in problematic outcomes since there is an obvious difference in the
political economic and social cultural conditions between Korea and Myanmar. I will explain the problems in detail
in the next chapter.
DISLOCATED PROJECT
The SMU projects carried out in the two villages create some problems that delay the progress of the projects.
Basically, the delay derives from the fact that the ways of implementing SMU projects and their specific activity
items are inappropriate to the local contexts.
Marionette Show
The problem that stands out conspicuously in the place of project aided by outsiders, more than anything else, is a
matter of communication. Needless to say, the miscommunication between the indigenous people and foreigners
whose languages and cultures are different is expectable. Recognizing the problems, the foreign project managers
in the villages usually have a capacity to deliver their ideas and intentions in English. However, English cannot be a
proper means of communication in the local villages simply because the villagers are incapable of speaking English.
Under the circumstances, the SMU project managers cannot help communicating with the villagers with the help
of interpreters who can speak Korean. Despite the efforts, the communication is still incomplete since most of the
interpreters cannot understand and deliver the complicated and detailed contents of the projects.

For example, when they try to pave roads, the organizations in the two villages can prepare wrong materials due to
the awkward interpretations. This kind of repetitive trial and error requires additional time and expenses far
beyond originally planned ones.
The problem is not only a matter of miscommunication but also the negative effects of top-down project processes
and promotion methods. The project managers do not stay in the village and have an everyday conversation on
impending matters. They organize villagers who can do work, make an order what to do, and check out the
fulfillment of their instructions several days later when they come back to the village. If they stay in the village and
discuss matters with the villagers on daily bases, they can considerably reduce the waste of time, materials, and
expenses generated, for example, by selecting wrong aggregates for construction. In fact, most of the project
managers take it natural and necessary that they have a right to give an order and the indigenous people are
required to listen and follow it.
In the same vein, miscommunication caused by improper interpretation also derives from this kind of unidirectional
and hierarchical relationship between them. It conjures up a marionette show; People, i.e. project managers,
behind stage make a plan and provide necessary funds, the project is then performed by the villagers on the stage,
and the blame for awkward performance is finally attributed to the incapability of villagers. As we will see later, this
kind of marionette show is justified by a plausible slogan such as “by the villagers’ voluntary will and efforts.”
Plastic surgery of local agricultural conditions
The ways of selecting concrete items of projects reveal a different kind of problem. In short, they show project
agents’ ignorance of local agricultural conditions and situations. This kind of problem is predictable since the
governments of both Korea and Myanmar approve the project based on only proposals full of general statistics and
empirical data getting from short term fieldwork. In other words, from the beginning, while not familiar with the
local agricultural conditions and contexts, the project proposals boldly suggest a radical change of the agricultural
structure in Myanmar. It conjures up an attempt of plastic surgery by an inexperienced surgeon.
One suitable example is a project item that attempted to install plastic greenhouse in the two villages. This item
was proposed by the second SMU project team that aimed to assist agricultural technology to the villagers. This
team intended to build some plastic greenhouses to instruct the technology of cultivating greenhouse crops. For
the purpose, they attempted to utilize not only local workforce but also bamboos abundant in the area. However,
this plan did not consider local situations seriously since it was true that the villages were “rich bamboo areas” but
the obtainment of bamboos in the forests was not easy task at all. The indigenous people took a risk of being
stricken with malaria to obtain bamboos. That was why bamboos were sold as a valuable commodity. Despite the
fact, the foreign project managers assumed that bamboos were not only rich but also could be easily acquired by
“the natives in the level of food-gathering economy.”
More serious predicament was whether the cultivation of crops was technically possible in the greenhouse. In
addition, even if it was possible, it was uncertain whether or not the crops could be sold in the market. Regardless
of the unpredictable future outcomes, following the project managers’ instruction, some villagers procured
bamboos and began to build greenhouse. However, it was very much difficult not only bending bamboos but also
assembling an arch-shaped greenhouse. Besides, it was not strong enough to endure for a long time since the bent
bamboos were often broken.
The villagers appealed to me more serious problems than the difficulty in building plastic greenhouse. They
believed that plastic greenhouse was not suitable in the hot countries like Myanmar. They argued that crops might
not shoot out buds and even the sprouted buds could be withered. They continued to complain that the cultivated
crops could not compete with cheap vegetables imported from China and Thailand even if they managed to
succeed in the cultivation. In response to the villagers’ skepticism and complaint on the project item, the Korean
project manager’s answer was that “huddles must be overcome at full blast and at once.” As a result, the opinions
of the local people were not accepted and the project item is still alive.

Forcing a united effort to the poor villagers
One of the most serious debates in the SMU project is about the principle of self-help that demands the villagers to
contribute to the projects in various forms. To get a financial and technical assistance from the SMU project teams,
the villagers are supposed to not only provide labor but also share financial burdens required to them. This
principle derives from SMU spirit that emphasizes self-help and self-reliance to change their fates for themselves
by taking advantage of outside assistance. The SMU project agents believe that this kind of spirit creates pride and
self-confidence that they can do anything for themselves.
Regardless of the political correctness of the principle, it is obviously not easy to practice it in the real world. The
villagers live in the country where the peasants cultivating more than 20 acres of rice fields can earn around 2,000
USD of net revenue per year. Even if staples are self-sufficient, it is extremely hard for them to handle basic life
expenses and the educational fees for their children with the total net income. Besides, the households that make
such amounts of income are not many and half of the villagers maintain their livelihood by selling their labor in and
outside the village. Under the circumstances, it is burdensome for the majority of the villagers to participate in the
united efforts for self-reliance and self-help required by the SMU project teams, even though the demanded
amounts are meager from the perspective of outsiders.
In fact, when the first SMU project team carried forward the task of paving the village roads, the ways of sharing
the parts of expenses created some headaches and controversies among the villagers. Afterwards, when the
second SMU project team announced a plan to pave additional roads, the villagers rejected it and asked the team
to propose a different kind of project item. As a result, the project team had to promise to pay all the expenses for
the road pavement. However, the provision of labor was still burdensome for many villagers since both the
peasants and workers did not have enough time to work for the joint projects under the stringent economic
conditions.
It is well-known fact that global development projects often create the trap of foreign aids to the native people in
the developing countries. It is undeniable that foreign aids can deepen the dependency of the native people and
deprive them of autogenic power in many cases. However, it is not an easy task to make a proper balance between
the avoidance of foreign aids trap and the reality of lack of self-reliance capability. It is even harder for the foreign
aids projects that do not have enough knowledge of local situations and only try to practice their own plan and
spend the given budgets.
WANDERING VILLAGERS
While the three problems pointed out above derive mostly from the institutional limitations of a development
project, the contents that I will deal with from now on are about the discrepancy between the project managers’
intentions and efforts and the changing local situations and conditions. The discrepancy is often ignored by the
agents and managers of a development project since the structural conditions and their changes in the local area
are not easily visible to them. I will show some aspects of such socio-economic and cultural changes that took place
in the local villages.
The political economy of lands in the post-socialist era and Myanmar peasants
Myanmar recognized the failure and abandonment of “Burmese way to socialism” officially after the pro-
democracy movement in 1988. Since then, the transformation from Burmese socialism to capitalistic economic
system has been gradually progressed. Especially, we are witnessing a rapid systematic change in recent three
years. In the processes, producing many kinds of confusion, there have been a lot of collisions between the
resisting old system and the new one.
The changing land system is an example of such confusion. Lands are still owned ultimately by the state but the
private trade of lands is officially allowed by the new laws. This kind of contradiction must not be overlooked in an
international development project that deals with a rural area in the Third World. However, it does not seem that
this sort of changing political economic characteristics does matter much in the project managers’ plans and
decision makings. Let me explain it more in detail by taking examples of P and T villages.

Only 11% of the whole population engages in agricultural work in P village and T village has 58% of agricultural
population in contrast. However, these ratios are just an official number and the reality is far more complicated in
terms of the geography of the two villages and the economic policy of the state. A good example of the complicacy
is the land price of T village. The land price that was 400–500 thousands kyats per square around 7-9 years ago is
now 35 million kyats. The main reason that the land price soars like this is that SEZ (Special Economic Zone) is being
constructed not far from T village. “The rich Yangon people” who had information of SEZ construction plan bought
the lands even before the official announcement of the plan. When the road in front of the village became a part of
the roads connecting industrial zones in Yangon and the SEZ, the price of lands reached a peak. In the meanwhile,
many villagers sold their lands to outsiders when the price of lands became 5-6 million kyats.
The lands sold out in this way were around 400 acres, almost a half of the whole lands in the village. When the SEZ
construction plan was officially announced, the villagers had already sold their valuable lands to outsiders. The
main reason that the villagers sold their lands hastily as this was their income getting from agricultural work was
exorbitantly low.
The villagers who did have little chance of having cash in their hands had to sell their lands rashly to liquidate their
accumulated debts or to engage in other commercial business. In addition, the villagers believed that they could
continue the agricultural work even after selling their lands since the alteration of use of farmlands purchased by
outsiders were prohibited in accordance with the Agricultural Land Act. Thus, the villagers thought that it was a
wise decision to sell their agricultural lands to outsiders who could not help but to ask them the management of
the farmlands. The ratio of agricultural population in the village, i.e. 58%, grasped by the SMU projects teams
includes the villagers who already sold their lands based on the kind of calculative consideration.
In contrast with villagers’ naïve belief, most of the “rich Yangon people” had a connection with the powerful
governmental officers and politicians. It is unlikely that they will just hold their lands and passively wait the change
of governmental land policy. Considering the reality, unstable future is latent for the farmers who currently manage
to maintain superficial status quo. Under the circumstances, it is dubious that the rural developmental projects can
achieve their goals mainly by providing agricultural machines and technologies.
In addition, it is also noticeable that there has been a rapid socio-economic differentiation among the villagers. The
villagers who sold out their lands along roadsides have bought other agricultural lands in the village with the sale
money. As a result, poor peasants lost their lands so that the economic gap between the land owners and the
landless becomes wider in the village. In the situations, it is uncertain that the benefits of the development projects
can be distributed fairly to the villagers including many poor and non-agricultural residents.
The development projects in political tension
The most crucial factor for the success of the joint projects on the level of local village is the cooperation among the
villagers. Nevertheless, various headaches and conflicts take place in P and T villages so that the solidarity of the
villagers is getting weak. Some problems occurred in the processes of the SMU projects implementation and others
derived from the effects of political fluctuations in Myanmar.
Let me explain the conflicts among the villagers caused by the SMU projects first. Most of all, there has been an
evident conflict between the people leading the project organization within the village and other villagers. The
Korean project agents and managers made an organization in the village that could lead the projects with the sense
of responsibility and took care of most of works through the organization. For the purpose, they first selected some
villagers and trained them in Korea.
The SMU organization in the village is led mostly by the villagers who got SMU educations in Korea. The problem is
that the indigenous leaders of the SMU projects usually do not get much credibility from other villagers. The main
reason is that the allocation and use of the project budgets are a source of discords and conflicts as usual. Some
villagers eventually raise a question of the transparency of budget use and the fairness in terms of benefits of
project results. For example, they would complain that the construction of bridges and roads were favorable to
some SMU organizational leaders in the villages. Even though many of the accusation and complaint turns out to be
untrue and groundless, it is undeniable fact that the projects themselves produce unnecessary rumors and

antagonism in the villages. As a result, some villagers show a callous attitude to the project activities that require
the cooperation of the whole residents in the villages.
Interestingly enough, in response to the criticism, the members of the SMU organization in P village often blame
the “NLD (National League for Democracy) people” who, they argue, oppose many project activities intentionally
and provoke conflicts. For example, in P village, an episode is on everyone’s lips that the head of the village, as a
NLD party member, does not cooperate with an administrative procedure and thus tries to delay the progress of
the project. Despite this kind of repetitive argument, it is unclear how much the political orientation of the head
actually has an influence on his response to the project activities. What is certain at this moment nevertheless is
that the mutual distrust in the villages is growing and the solidarity among the villagers is getting loose.
The weakening centripetal force of temple
It is certainly surprising and impressive that the villagers spend quite an amount of money for their religious
activities. For example, a widow of a public officer in P village spends her husband’s whole pensions to invite
Buddhist monks and acquaintances in religious ceremonies three times a year. A retired female teacher in P village
also donates all of her pensions to a Buddhist temple. If you participate in an initiation ceremony called shinpyu,
you must be surprised by the enormous expenses for the event and the participants’ donation of thick money
envelopes. Considering the villagers’ financial conditions, their religious life is too costly from an outsider’s
(especially foreigner’s) perspective. In addition, the spontaneity witnessed in the villagers’ religious activities is
sharply contrasted with the involuntary participation in the SMU projects. Life in afterworld might be more
important than life in this world in the context of Burmese culture.
The donation activity called ahlu in Myanmar is an important aspect of communal life and also deeply associated
with Buddhism. The concept of ahlu originated from religious spirit but it encompasses all kinds of donation, for
example, to hospital, school, poor neighborhoods and so on. Yet, Buddhist temple still takes a pivotal role in ahlu.
As it is, Buddhist temple takes a centripetal role in the social activities in Myanmar and it is more remarkable in the
small villages such as P and T.
Despite the considerable influential power of Buddhism in Myanmar, we can get an impression that the traditional
functions of Buddhist temple are getting reduced and weakened. In fact, there has been a conflict for 10 years
between a Buddhist temple and people in P village. According to the villagers, two events aggravated their
relationship more than anything else. The first event is purely related to the religious belief and practice. A
Buddhist monk who was invited by the villagers to succeed to a passed phonggyi(monk) was so strict and rigid in
interpreting and applying religious norms that he opposed the variety of community events accompanying religious
ceremonies such as shinpyu. The villagers were not satisfied with the denial of traditional community events and
expressed the feeling of disappointment explicitly. As a result, more than half of the residents moved to a small
temple located at a relatively far place where they can enjoy the communal events as before.
The second event is triggered by the SMU project. The SMU project managers planned to build a village
(community) hall and the villagers in the SMU organization decided to provide an empty lot next to the temple
mentioned above. However, a phonggyi insisted on the temple’s ownership of the space and the aggravating
relationship between them by the first event became worse. As a result, a villager reported corruption of the
phonggyi to the religion department of the provincial government office. The indictment accused the phonggyi of
the embezzlement of temple property. The government reached a verdict that the phonggyi did not commit such
immoral behaviors and did not have to leave the temple. However, the department also made an authoritative
interpretation that the empty lot was owned not by the temple but by the government. Thus, the SMU project
team supported by the state secured the land for the construction consequentially. As a result of the event, the
relationship between the temple and the villagers supporting the SMU project became irreparable. This event
divided the villagers into two parts; the ones who continued to go to the temple and the others who did not. It
became then only a legendary episode that the deceased phonggyi encouraged the villagers to unite to build the
facilities for electricity and extend narrow roads.
Fortunately, T village does not have such explicit and serious conflicts between the temple and the villagers as we
saw in P village. However, it is sometimes witnessed that the villagers informally despise the phonggyi of the
village temple as an outsider who is not familiar with the social and cultural contexts of the village. In response, the

phonggyi also expresses various kinds of complaint. For example he argues that the villagers eat the foods of
temple without permission. Even though the temple in T village still functions as a place for various religious
ceremonies such as shinpyu and provides a staying space for the grown men entering Buddhist priesthood
temporally, it does not seem to be a focal point for the communal activity and solidarity for the villagers as before.
As it is, the centripetal force that the temple exerted in the past is getting weakening in T village too.
It is uncertain that whether and to what extent the weakening influential power of the Buddhist temples is related
to the loosening solidarity in the two villages. However, it is getting clear that Buddhist temples still take an
important role for the political economic and social cultural dynamics in Myanmar but their influential power is
getting diminished in the medium of modernization projects such as the SMU ones.
CONCLUSION
This study is only an incomplete ethnographic description or interim report of an ongoing ODA project that is
sponsored by the Korean government and revolving around the idea of propagation of SMU spirit. Thus, this study
has a serious limitation in that it just exposes the conspicuous problems that the ongoing SMU projects reveal at
the moment. I am also afraid that this study might attempt some bold and presumptuous generalizations and
predictions for the nature and future of the SMU projects in Myanmar.
However, I believe that the record and evaluation of an ongoing project is also meaningful in itself. Most of all, this
kind of interim evaluation can capture the problems that the people from different cultural backgrounds create
together at least temporally and that the final report and evaluation of a project is easy to ignore and forget to
mention later. Thus, while focusing on “cultural meanings and practices” in “undeveloped” local areas (Escobar
1988:438), I tried to uncover the problems of an international development project as many as possible openly in
terms of the practicality of original ideas and plans, the methods and procedures of implementation, and the local
factors easily overlooked by foreign project managers.
“Saemaeul Undong (SMU, new village movement)” was a state-led and pan-national development project forced by
the Korean military dictatorship. It was introduced at the time when the social economic gap between the urban
and the rural areas were increasingly wider and thus the sense of relative deprivation was culminating among the
Korean peasants. Besides, some successful cases propagated by the Korean government resulted actually from not
the governmental leadership and the effects of SMU but mostly the individual efforts of rural peasants to enhance
their living conditions under the stringent circumstances (Kim Yeong-mi 2007; Lee Hwanbyeong 2012). Moreover,
despite the apparent improvement of appearances in Korean rural villages at the time of SMU, various SMU
projects to increase the income of farmers incurred a lot of debts to them and could not stop the rapid
disintegration of the Korean rural communities. The negative impacts of SMU were expectable since the Korean
government at that time interpreted the cause of poverty in rural areas not in economic and structural terms but in
the concept of “culture of poverty” (Lewis 1959), which could give the government an excuse later by attributing
the failure of SMU to the backward culture in rural communities (Kim, Daeyeong 2004; Moon Sangseok 2010).
The historical backgrounds and the problematic results of SMU have been concealed and then reconstructed or
reinvented under the spirit of SMU, which currently emphasizes only “the voluntary aspects of Korean SMU” (Kim
and Jemal 2012) and introduces successful cases to other developing countries. Thus, the original SMU projects in
Korea are different from the demonstrative or exhibitive small projects being currently operated in Myanmar. In
addition, even though the government of Myanmar recognizes the SMU projects, they do not obviously get such
driving power that we experienced in Korea in the past. It is also dubious that the top-down process of
implementing the SMU projects can be well-suited to the social contexts of Myanmar even though they might be
arguably successful in Korea in the 1970s. Considering such differences and problems, what is necessary more
urgently is an effort to build an international development project that has in mind the ideas of contextualization,
localization and indigenization.

ENDNOTES
1
Teak is strictly controlled by the Myanmar government.
2
It is noticeable that this percentage is higher in comparison with P village.
3
Especially, the change of roof is emphasized to improve appearance of the rural village
4
Plastic greenhouse is not made of bamboos in Korea because of the problem of durability.
5
A minority and progressive party led by Aung San Suu Kyi. NLD has been getting popular among people since 1988 political
movement for democracy
6
Spiro (1966) argued that the immoderate investment of money and efforts to the religious life was a rational choice to the
7
Burmese since it was more profitable to spend money for next life in their cultural contexts. In comparison, Nash(1963)
critically maintained that the Burmese religious devotion rather facilitated individualistic personality and atomized families,
which precluded social development and integration in Myanmar.
REFERENCES
Journal Articles
Escobar, Arturo 1988, “Power and Visibility: Development and the Invention and Management of the Third
World”, Cultural Anthropology 3(4):428-43.
Kim, Daeyeong 2004, “A study on the mechanism of Park Chung Hee regime's state-mobilization: Focused on
the New Community Movement”, (written in Korean), Economy and Society 61: 172-207.
Kim, Kyung-Ryang and Abafita, Jemal 2012, “Agricultural Development in Myanmar: Lessons from Korean
Experience”, (written in Korean), The Korean Society of International Agriculture 24(2): 136-151.
Kim, Yeong-mi 2007, “Life Story of a Rural Activist and Rural Modernization Movement in 1950~1960s”,
(written in Korean), The Study of Korean National Movement 51: 329-363.
Moon, Sangseok 2010, “The Saemaul Undong and Reform in Humanity: The Growth of De-politicized Peasants”,
(written in Korean), Social Theory autumn/winter:35-69.
Nash, Manning 1963, “Burmese Buddhism in Everyday Life.” American Anthropologist 65: 285-295
Spiro, Melford E. 1966, “Buddhism and Economic Action in Burma”, American Anthropologist 68(5):1163-
1173.
Books
Ferguson, James 1990, The Anti-politics Machine: “Development,” Depoliticization, and Bureaucratic Power
in Lesotho, Cambridge: Cambridge University Press.
Foucault, Michel 1979, Discipline and Punish: The Birth of the Prison, New York: Vintage.
Lee, Hwanbyeong 2012 “ Increase of Exemplary Farmers/Villages and Rural Saemaeul Movement”, (written in
Korean), Ph.D. dissertation, Sungkyunkwan University.
Lewis, Oscar 1959, Five Families: Mexican Case Studies in the Culture of Poverty, New York: New American
Library
Willis, Paul 1981, Learning to Labour: How Working Class Kids Get Working Class Jobs. New York:

THE ANTHROPOLOGICAL STUDY OF FAIR TRADE
A CASE STUDY OF COFFEE FARMERS IN LAO PDR
Arihiro Minoo
Faculty of Sociology, Toyo University, Japan
minoo@toyo.jp
ABSTRACT
The fair trade movement is one of the social movements aiming to improve trading conditions for marginalized farmers and
workers, especially in developing countries, not through aid projects but through trading goods which they produce. This
presentation focuses on the impact of Fair trade on the coffee producers in the Bolaven plateau of Lao PDR. This presentation
especially examines the relationship between farmers and coffee middlemen, and the role of the middlemen engaged in the
local transaction of coffee beans. Middlemen are usually viewed as opponents of the fair trade initiatives because they are
known as the agents exploiting the farmers. However, the coffee middlemen in Lao PDR can provide the farmers with monetary
benefits at times when the farmers are faced with difficulties. The middlemen possess significant amounts of cash in order to
be able to purchase coffee immediately when the farmers need cash. Even if the farmers can gain much more by selling coffee
to the cooperative which is certified by FLO, they actually tend to sell it to the middlemen instead of the cooperative because
the farmers consider that the second payment by the cooperative comes too late. Although the farmers are discontent with
the transactions carried out by the middlemen, they do not cease selling their coffee cherries to the middlemen because they
usually do not save their money and thus run out of cash by the time of the next picking season when they can gain the
advance payment. Therefore, the middlemen meet the needs of farmers and establish a remarkable transaction system with
the farmers in the coffee producing area of Lao PDR. Anthropological studies of fair trade therefore need to investigate the
practices of interaction between middlemen and farmers in order to understand the impact of fair trade more deeply.
Key words: coffee, middlemen, cooperative, Lao PDR, distrust
THE PURPOSE OF THIS PAPER
Small scale coffee farmers are often regarded as an icon of impoverished people in developing countries.
Fluctuations of the international market price of coffee is said to hinder their ability to live a sustainable life. In
response to this problem a number of poverty alleviation programs have been conducted for coffee farmers
around the world. Fair trade is known to be one of these effective programs aiming to reduce farmers’ poverty.
This paper examines the impact of Fair trade on the coffee farmers in the Bolaven plateau of Southern Laos,
focusing on the relationship between farmers and coffee middlemen. In Fair trade studies middlemen have usually
been described as opponents of Fair trade initiatives because they are considered to be the agents exploiting the
farmers. However this study focuses on the role of middlemen engaged in the local transaction of coffee beans for
farmers’ livelihood strategies.
Fair trade began with a social movement aiming at both criticizing multinational companies which may exploit the
producers in developing countries and establishing alternative ways of trading which retain long term partnerships
with buyers and producers. Nowadays Fairtrade International (FLO) which is the umbrella organization of national
initiatives constructed the certification system to attest that commodities are produced and traded under the fair
and ethical conditions. According to the 2011-2012 annual report, FLO has three producers’ networks and
nineteen national initiatives, supporting over 1.2 million farmers and workers (FLO 2012:3).
Many scholars from several academic fields have been attracted by this proliferation of the Fair trade movement.
And then, various kinds of papers concerning Fair trade have been published. For example, sociologists and
development economists have been considering the monetary distribution through the fair trade market to
examine the economic impact on producers’ households (e.g. Jaffee 2007, Bacon2005). Among them, Sarah Lyon
suggested that although there are a range of economic benefits for the farmers, in order to fulfill the certification
and quality requirements, the cooperative manager has come to conduct a strong influence on the members by
acquiring skills to negotiate with the traders in developed countries exclusively (Lyon 2011). In some cases, while
FLO requires regular audits with the producers’ group in order to confirm whether they meet the standards of
certification, the audit may change social relationships within the producers’ community. It is a remarkable study,

Arihiro Minoo
in which Lyon described the impact on the social relationships in the community engaged in Fair trade in detail. On
the other hand, Lyon’s study hardly mentions the practices of middlemen even though they play an important role
in the trade with the farmers. Will the role of middlemen in the existing local transaction of coffee come to
decrease by the establishment of the farmers’ cooperative which is governed by the Fair trade certification? In
order to consider this question this article clarifies the features of a local transaction of middlemen and farmers by
comparing it with the transaction of farmers’ cooperative and its members 1).
BACKGROUND OF COFFEE FARMING IN

BOLAVEN PLATEAU
Bolaven plateau is the main coffee producing area
in Laos and extends over the Champasak, Sekong,
Saravan and Attapu province of southern Laos
(Figure1). At the center of this plateau there is a
Paksong district of Champasak province, situated at
1200m above sea level. The average temperature
of this district is from 15.3 to 24.2 Celsius while that
of Pakse which is at the foot of Bolaven plateau is
from 22.5 to 32.2 Celsius (JICA 1996:8-9).
Therefore, Bolaven plateau is relatively cooler than
the Mekhong basin of southern Laos. On the other
hand, the average amount of rainfall of Paksong is
3374.1mm per year while that of Pakse is
1920.4mm per year (JICA 1996:8-9). At the top of this
plateau there is a Thevata mountain which is Figure 1. Bolaven plateau
known as the extinct volcano.
It was the French colonial period when the coffee was brought in Laos for the first time. It is said that the
temperature and soil conditions as such were suitable for coffee growing. During the 1910s coffee seedlings were
introduced in Bolaven plateau with other seedlings of fruits or tea. In the 1930s French veterans lived with growing
them by hiring Vietnamese (Ducourtieux 1994:63). At that time, one of the ethnic minority groups, Laven 2) (also
called Jru), already inhabited this plateau. Until then, they were living on a combination of hunting and gathering
and slash-and-burn cultivation. After the French introduced coffee, Laven stole coffee seedlings and sold them to
Chinese brokers with other non-timber products after harvesting it.
During the 1960s the majority ethnic group, Lao, began to migrate to the Bolaven plateau from the Mekhong basin
of southern Laos. Like Laven, Lao were also engaged in slash-and-burn cultivation as well as coffee growing. At that
time, Some Lao families came to manage 10 to 20 hector of coffee plantation. On the other hand, some Vietnamese
also came to live on Bolaven plateau in order to manage coffee plantations of the same scale as Lao (Ducourtieux
1994:71-72).
After the socialist government was launched, the collectivization of agriculture was conducted in Bolaven plateau as
well as other regions in Laos. All the Lao and Vietnamese plantations were confiscated by the socialist government
and some of these plantations became government-owned collective farms, Nikhom (Ducourtieux 1994:78-79). The
government brought soldiers’ families who lost the war to Nikhom and let them engage in coffee growing after the
government granted them the thought reform program. On the other hand, the government established a
cooperative, called Sahakhon, in several villages of Bolaven plateau in order to administrate the trade of coffee
from the farmers to the export officers. However, both programs fell into dysfunction a few years after launch
because problems such payment delays arose 3).
After 1986 when the Lao government introduced the new market mechanism, the aid programs by L’Agence
Francaise de Developpement (AFD) have been conducted in Bolaven plateau until the present day. First of all, Laos
Upland Agriculture Development Project (LUADP) funded by AFD conducted an experiment to find the suitable
varieties of coffee for Bolaven plateau among 43 varieties brought from all over the world from 1993 to 1994 at the
Coffee Research and Experiment Center (CREC) in Paksong district (CPC 1995:24). As the result of this experiment,

Arihiro Minoo
T5175 and T8667 of Catimor variety was introduced and promoted to grow among the farmers (Winston and Op
de Leal 2005:11). From 2005 a new project by AFD, Point Application Bolaven (PAB), was launched and installed
the equipment for improving the quality of coffee. From 2007 PAB also established a new farmers’ cooperative
named Association des Groupements de Producteurs de Café du Plateau des Bolovens (AGPC) and acquired the
fair trade and organic certification to export the coffee to western countries. Finally, the coffee cropping area has
been increasing and almost all the farmers living in this plateau mainly grow coffee in the present day (Minoo
2014).
Coffee Trading and the Farmers’ Cooperative
Farmers in Bolaven plateau are not only growing coffee but also various kinds of crops in order to meet their
households’ needs. For self-sufficiency they plant tomatoes, eggplants, chilies, potatoes, corns and so on.
However, they importantly do not grow rice which is the staple food for them. Therefore, to purchase rice they
need to gain income by selling coffee. When funds are insufficient to meet the household’s rice needs, they have
to engage in wage working or to borrow the money from either relatives or from the middlemen. Thus, it is very
important for farmers to have strategies concerning the sale of their coffee as well as the use of their lands and
choice of the varieties of crops they produce.
4 5 6 7 8 9 10 11 12 1 2 3
P
r
o
c
Arabica Weeding Picking
e
s
si
n
P
i
c
Robusta Drying
k
i
n
H H
S a S a
e r e r
e v e v
Cabbage d e d e
li st i st
n i n i
g n g n
g g
Figure.1 shows the annual cropping schedule of farmers in Bolaven plateau. As it is shown farmers are usually
engaged in the weed cutting during the rainy season from the beginning of May to the end of September. On the
other hand, their everyday life dramatically changes during the dry season which starts and ends due to the
harvest. From the beginning of October they start to pick the Arabica coffee cherries. After finishing the picking of
coffee cherries at the end of November, the picking season of Robusta coffee cherries starts from January. Before
PAB and AGPC were introduced, almost all the Arabica cherries are sold to the middlemen who come to buy them
directly from farmers and sell them to exporting companies.
Coffee trading in Bolaven Plateau had been born by Chinese people as middlemen since the colonial era until
recently. Their purpose of purchasing several kinds of non-timber tree products including coffee was to utilize

Arihiro Minoo
some of them as traditional medicine in main land China. However, since the scale of coffee trading has expanded,
the number of middlemen has also increased. Along with this, local Lao and Laven came to participate in the
trading as middlemen. Nowadays, middlemen in Bolaven plateau are dominated by them. They do not belong to
the specific companies officially but are independent traders. On other hand, many of them borrow the money for
purchasing coffee from an exporting company without interest after they gained the acquaintance with the
company’s officers of the exporting company.
However, in 2007 when AGPC began with the purchasing of coffee from farmers, they came to process some parts
of their Arabica coffee cherries to the parchment beans according to the rules imposed by AGPC. AGPC is the
umbrella organization which has production groups in 53 villages as of 2008. Each production group is composed of
four officers: a representative, an accountant, a treasurer and a quality control manager. These officers owe
responsibilities for both producing coffee which meets the criteria given by AGPC and sending it to AGPC’s
warehouse until the due date 4). On the other hand, group members have the duty to sell the predetermined
amount of coffee to AGPC. After picking the coffee cherries, each member brings them to the processing site in
their village immediately and measures the amount together with the officers.
Because AGPC’s direction is on the FLO scheme, the Fair trade minimum price is adapted when it purchases the
coffee from farmers. However, in 2008 when AGPC was certified by FLO, the conventional market price was above
the fair trade minimum price 5). This means that the effect of fair trade price became invalid and automatically
AGPC’s advantage over the middlemen’s buying power might decrease. In spite of this difficult situation for them,
in 2009 AGPC could pay 4000kip/kg more than the middlemen’s price for coffee cherries 6). Middlemen set the
price according to the price of the exporting company. Middlemen’s price in 2009 was from 2200kip/kg to 3400kip/
kg for coffee cherries 7). Therefore, AGPC’s price was higher than the middlemen’s price. Since 2008 AGPC’s price
has remained high until 2013 even if there was a little fluctuation.
However, it is seen that the number of the cooperative members has decreased in several villages since 2008. For
example, village A, which is composed of 179 households, had 113 members in 2008 while the number has
decreased to 12 in 2012. On the other hand, village B, which is composed of 52 households, had 39 members in
2008 while the number has decreased to 25 in 2012. A question arises: even though the purchasing price remains
relatively high, why do some farmers stop joining the cooperative or refuse to sell their coffee to the cooperative?
Middlemen’s role for coffee farmers
One of the reasons to reject selling coffee is the timing of the payment by AGPC. Farmers who want to sell coffee to
the cooperative said the timing of its payment is so slow that they cannot wait for it. Actually, they are paid in two
installments. The first payment is done about one week after farmers hand over the coffee to the officers at the
processing site in the village. The second payment is done about six month after the first payment. On the other
hand, middlemen pay directly at the moment when farmers hand over to them at the front of the farmer’s house.
If comparing middlemen with the cooperative, the farmers consider that the cooperative owe a debt to the farmers
because the farmers give the coffee to the cooperative without any payment at this timing.
Why is the waiting for payment problematic for farmers? Coffee farmers’ annual cropping schedule provides the
answer to this question. Coffee farmers earn cash from October to April at the moment of coffee picking and
processing season. On the other hand, farmers do not have other crops to sell and earn extra cash, except for
cabbage. Therefore, the cash usually runs out at the end of the rainy season from August to September. Farmers do
not often have enough cash to pay for medical bills even if a family member becomes ill or injured. In other words,
some farmers are vulnerable to finding themselves in urgent need of cash. For this reason, even though the total
amount of payment is lower, the farmers are eager to acquire cash as soon as possible after the picking season
starts.
In addition to this, another interesting point on the farmers’ preference to middlemen was found. Even though the
farmers have to wait for the payment, it seems that it is not so slow as not to be able to wait the first payment
because it only takes one week. As the result of a long term participant observation, it is revealed that farmers’
distrust towards other professions and outsiders can be significantly influencing their behavior. For example, the
farmers more or less distrust the government conducts and programs which come from outside their life-world.
One of the farmers said that it is only farmers whom farmers really trust, while people who live in cities break their

Arihiro Minoo
promises to farmers easily. Another farmer complained that while people living in the city command us and we
work, they earn a lot of money but we are still poor. AGPC employs management officers who live in the Pakse, the
second largest city in Laos and located at the foot of Bolaven plateau. These farmers’ utterances do not mean the
officer’s actual incapability but represent the stereotypical image of people living in the city, which is partly
constructed by coffee trading.
This stereotypical image is formed by the accumulation of the farmers’ experiences. Farmers often shared
unfavorable experiences with the former cooperative which was established on 1980s; at that time, they could not
obtain their reward for coffee in spite of providing coffee to the officers. Even in the present day, rumors that
agents of the foreign import traders who live in cities deceive the farmers and withhold payment have been
circulating all around the farming area. In other words, farmers who have been more or less cheated directly by
the buyers and agents convey their experiences and stories. Consequently, farmers have been careful about selling
coffee to outsiders, including government staff.
This chapter examined the farmers’ choice in selling coffee to middlemen instead of the cooperative. It is found
that, despite selling significant amounts, farmers importantly trust neither middlemen nor the cooperative. This
correlates with the wide spread rumors that farmers were cheated by middlemen. Notwithstanding, the crucial
factor of farmers’ selling to the middlemen originates in the way middlemen purchase coffee: middlemen pay cash
directly to the farmers, instead of the cooperative. Thus, middlemen are preferred as the purchasers for some
farmers.
The Role of Coffee Middlemen in Bolaven Plateau
This paper illustrated the farmers’ distrust toward outsiders as it appeared in local communities where coffee
trade is the foundation of farmers’ subsistence. Thus, the farmers do not prefer to fall into the debtor-creditor
relationship with outsiders such as middlemen and the cooperative officers. Even though the total price is not high,
coffee middlemen in Lao PDR hold considerable amounts of cash in order to be able to purchase coffee cherries
immediately when the farmers need cash. Therefore, when farmers conduct transactions with middlemen they
avoid falling into the debtor-creditor relationship, and so famers tend to prefer the middlemen to the cooperative,
which forces farmers to wait for payment.
Although farmers are discontent with the transactions carried out by middlemen, they do not cease selling their
coffee cherries to them because they usually do not save their money and thus run out of cash by the time of the
next picking season. Even though the farmers can gain much more by selling coffee to the cooperative which is
certified by FLO, they actually tend to sell it to the middlemen instead of the cooperative because the farmers
consider that the second payment by the cooperative comes too late. Therefore, the middlemen meet the needs
of farmers and establish a remarkable transaction system with the farmers in the coffee producing area of Lao
PDR.
As is well known, FLO demands that traders pay some percentage of a consideration in advance to the producers’
organization so that the cooperative in Lao PDR utilizes this advance payment rule. However, because the traders
pay the remaining amount when the containers arrive at the port of Bangkok, the place of exporting, the AGPC can
receive it a long time after farmers send their coffee beans to the warehouse. Fair trade studies have not
mentioned the role of middlemen in producers’ communities even though they are pivotal in trades between
producers and exporters. However, this study clarified the needs of the middlemen for the farmers’ livelihood
strategy in the situations where complicated social relations are mixed and confused. Although these trails of
studies may suggest the difficulties of the introduction of the fair trade system into local farming communities by
showing the complications of social interactions, these studies do not seem to discourage the fair trade
movement. They indicate that fair trade initiatives and ethical consumers should move ahead to consider their
ways of engagement based on the outcomes of anthropological studies of fair trade. Although these studies have
been gradually conducted over these ten years, the accumulated ethnographic data is still not enough to grasp the
whole picture of the fair trade movement.

Arihiro Minoo
ENDNOTES
1
This paper is based on the author’s two years of intensive fieldwork in Paksong district concerning livelihood strategies of 150
household in three villages, the relationships of relatives in the two villages, the resource capturing in six households and
participant observation on the cooperative activities.
2
Laven is classified in the Austro-Asiatic language family and they speak the Bahnaric language, which is different from the Tai-
Kadai language family (Schliesinger 2003).
3
A government official told the author another reason which is different from farmers. He considers that the reason of the
dysfunction was farmers’ misunderstanding of the system of the cooperative.
4
AGPC imposes on the members 10 regulations in order to control the quality, including bringing the coffee cherries to the
processing station on the day farmers picked them and processing them in the station, not in their own house.
5
FLO set 125cent/pound as the fair trade minimum price of Arabica washed coffee and 0.10 cent/pound as the social premium
in 2008 (http://www.fairtrade.net/fileadmin/user_upload/content/ 2009/standards/ documents/2010-12-
22_EN_Fairtrade_Minimum_Price_and_Premium_table.pdf[2011.3.2]). These are FOB (free on board) prices. On the other
hand, the conventional coffee price averaged 139.78cent/ pound in 2008 (Other Mild Arabicas) (http://www.ico.org/prices/
p2.htm [2014.3.21]).
6
The exchange rate of 1000 kip was 0.120USD in 2009.
7
For example, if the exporting company sets the price at 2600kip/kg, a middleman purchases the coffee at 2500kip/kg from
farmers. And then, he sells it at 2600kip/kg to the exporter. Thus, the profit margin for a middleman is 100kip/kg.
REFERENCES
Bacon, C. 2005 Confronting the Coffee Crisis: Can Fair Trade, Organic, and Specialty Coffees Reduce Small-Scale
Farmer Vulnerability in Northern Nicaragua?, World Development 33(3): 497-511.
CPC (Comite pour le plan et la cooperation, Lao PDR). 1995 Project de Development Plateau des Bolovens.
Vientiane : National Statistical Center.
Ducourtieux, O. 1994 L’Agriculture du Plateau des Bolovens (Evolution du systeme agraire de la region de
Paksong- Sud-Laos), Paris: Institut National Agronomique Paris-Grigon.
FLO (Fair Trade Labeling Organizations International) 2011 For Producers, With Producers: Annual Report 2011-
2012, Fairtrade International. [http://www.fairtrade.net/fileadmin/user_upload/content/2009/
resources/2011-12_AnnualReport_web_version_small_FairtradeInternational.pdf, accessed on January 05,
2013]
Jaffee, D. 2007. Brewing Justice: Fair Trade Coffee, Sustainability, and Survival, California: University of California
Press.
Japan International Cooperation Agency (JICA) 1996 The research for a total development plan of the agriculture
and farming area in Bolaven plateau of southern Lao PDR: the main report (In Japanese), JICA.
Lyon, S. 2011. Coffee and Community: Maya Farmers and Fair-trade Markets, Colorado: University Press of
Colorado.
Minoo, A 2014 The Emergence of Wealthy Farmers in the Coffee-planting Area of Southern Laos (in Japanese),
Japanese Journal of Southeast Asian Studies, 51(2): 297-325.
Schliesinger, J. 2003. Ethnic Groups of Laos: Volume 2. Profile of Austro-Asiatic-Speaking People, Bangkok: White
Lotus.
Winston, Edward. and Op de Leal, Jacques 2005 Arabica Coffee manual for Lao-PDR, FAO Regional Office for Asia
and the Pacific.

POVERTY REDUCTION AND ENVIRONMENTAL CONSERVATION THROUGH FAIR TRADE
Rie Makita
Rikkyo University
E-mail: rie.makita@rikkyo.ac.jp
ABSTRACT
As a framework for simultaneously analyzing two crucial objectives of rural development in the global South— environmental
conservation and poverty reduction—this paper proposes a hypothetical means–end relationship between the two objectives
that can be linked by the Fair Trade initiative as an intermediary institution. To examine under which conditions this
theoretical means–end relationship works in real settings, three cases of producer groups in Asia were observed. The three
cases, which were in different contexts, showed three different means–outcome paths. Only one of them corresponded to the
theoretical means-end relationship. A comparative analysis of these three cases suggests two general lessons: first, the end
(poverty reduction) should be interpreted not only as an increase in income but also as the reduction of tangible and intangible
burdens imposed on participant producers; second, only when the means (environmental conservation) intermediated by Fair
Trade can be compatible with other means for the end, do small farmers incorporate the designated means.
INTRODUCTION
Although poverty reduction and environmental conservation are two crucial objectives of rural development in the
global South, simultaneously realizing both objectives remains an open question (Sanderson 2005). Governments
and development agencies have implemented integrated conservation and development projects (ICDPs) to link
the livelihoods of people living on or near natural resources to the conservation of those resources (e.g., Mahanty
2002).
Strategic concepts on which these projects are based, such as community-based natural resource management
(CBNRM) and market-based conservation (MBC), in essence embrace the dual goals (e.g., Lepper and Goebel
2010). However, the main goal is conservation, and poverty reduction is an afterthought (Sanderson and Redford
2004): income-generating opportunities are designed as incentives to participation in conservation activities or
“compensation for resource use forgone by resource dependent communities” (Mahanty 2002, p.1370). Although
the ICDP approach uses poverty reduction or income generation as a means of environmental conservation, under
this approach, the two objectives are regarded as independent from each other.
To shape a framework within which both issues of rural development can be analyzed simultaneously, this paper
sheds light on possibilities of the Fair Trade or ethical-trade movement in the agricultural sector. Fair Trade is
designed to “[contribute] to sustainable development by offering better trading conditions to, and securing the
rights of, marginalized producers and workers—especially in the South” (WFTO & FLO 2009, p.4). The terminology
“sustainable development” connotes environmental, social and economic sustainability (e.g., WCED 1987).
Although environmental conservation is not central to Fair Trade, it is an important aspect of Fair Trade, which is
clearly shown in the charter of Fair Trade principles:
All parties to Fair Trade relationships collaborate on continual improvement on the environmental impact of
production and trade through efficient use of raw materials from sustainable sources, reducing use of energy
from non-renewable sources, and improving waste management. Adoption of organic production processes in
agriculture (over time and subject to local conditions) is encouraged (WFTO & FLO 2009, P. 7).
Under the Fair Trade initiative, participant producers are expected to contribute to environmental conservation for
the purpose of increasing their income and communal assets. In other words, in contrast to the ICDP approach,
Fair Trade can use environmental conservation as a means of poverty reduction.

Rie Makita
THEORETICAL PROPOSITIONS
A hypothetical means–end relationship embedded in Fair Trade
Although the Fair Trade initiative gives priority to poverty reduction, more specifically, increase in income, it is
possible to view Fair Trade as an institution for natural resource management. On the practice level, Fairtrade
certification encourages producers to adopt sustainable production practices by using compliance with them as a
requirement for the certification. Fairtrade’s mechanisms for poverty reduction—which include access to
specialized export markets, guaranteed minimum prices, Fairtrade premiums, and organic price premiums in the
case of Fairtrade–organic double certification—are expected to function as incentives for participant producers to
protect their environmental resources. In brief, conservation is used as a means to the end, that is, poverty
reduction.
Fair Trade can be interpreted as an intermediary institution linking the environmental conservation (means) with
poverty reduction (end) at the policy level and sustainable production practices (means) with increase in financial
and other benefits (end) at the practice level. Institution means “mediators of people–environment relations” and
as “regularized patterns of behavior between individuals and groups in society rather than as community-level
organizations” (Leach et al. 1999, p.226). As Figure 1 shows, the two objectives in rural development come to form
a means–end relationship by introducing the Fair Trade mechanisms.
Figure 1: Basic concept of the means-end relationship
Plausible means–outcome paths
The emerging question is: Under which conditions does this means–end relationship work? Even if such a
relationship is embedded in the Fair Trade initiative, the relationship is not always observed in real settings. An
intended end does not necessarily appear as an outcome. Theoretically, four means–outcome paths are conceived
(Table 1):
I: Sustainable production practices conducted under Fair Trade lead to increase in income and/or other financial
benefits.
II: Despite using sustainable production practices conducted under Fair Trade, the practices do not lead to financial
benefits.
III: Under Fair Trade, sustainable production practices were not conducted, which nevertheless results in an
increase in income and/or other financial benefits.
IV: Under Fair Trade, sustainable production practices were not conducted, which does not result in financial
benefits.
Of these four, only Path I denotes a successful means–end relationship through Fair Trade. To know actual paths
in real settings and to identify influential factors in shaping different outcomes, this research draws on three case
studies on producer cooperatives.

Rie Makita
Table 1: Four plausible means–outcome paths
Means Sustainable production practices Unsustainable production practic-

es
Outcome
Tangible benefits I III
No tangible benefits II IV
Source: Author.
CASE STUDIES
The selection of cases
Three cases were selected to observe different means–outcome paths. The first case is an association of small
farmers organized in Kerala, India, for the acquisition of Fairtrade and organic certifications. In this case, whereas
sustainable production practices were adopted by farmers to pursue the certifications, they were confronted with
difficulties in fulfilling the requirements, without enjoying any benefit from certifications. This case falls under
Path II. Primary data were collected in November and December 2008 and in October 2010.
The second case is a Fairtrade-certified association of cotton producers who pursued organic certification in
addition to Fairtrade certification in Andhra Pradesh, India. This case was expected to show Path III or IV because
the predominance of genetically modified (GM) seeds or Bacillus thuringiensis (Bt) seeds—which conflicts with
environmental standards of Fair Trade—was well known in cotton cultivation in India (e.g., Choudhary and Gaur
2011). Primary data were collected in December 2010 and in February and March 2011.
The third case is a Fairtrade–organic double-certified sugarcane producer cooperative in Negros, the Philippines.
This cooperative was certified as organic in 1995 and as Fairtrade in 2004, and it has successfully maintained its
cooperative activities for the past 17 years. This case was judged as suitable for the observation of Path I. Primary
data were collected in July and August 2011.
Analytical perspectives for case studies
The analysis of the three cases is aimed at identifying factors that show the differences between Path I and the
other paths. In the analysis of Path II, the central question is why sustainable production practices have not led to
any tangible benefits. It is therefore important to clarify hidden burdens of certification.
The analysis of Paths III and IV inevitably includes the exploration of why sustainable production practices were not
conducted under Fairtrade certification. Two guiding hypotheses are raised for interpreting findings from the case
studies. One is that participant producers have alternative income-generating opportunities for which they do not
have to depend on natural resources. The other is that participant producers do not perceive environmental risks
or the necessity of environmental protection. Both hypotheses might apply at the same time, or one or both of
the hypotheses might be combined with other reasons.
On the premise of these analytical perspectives, data collection in each case focused on (a) producers’ perceptions
of primary and fringe benefits from Fairtrade certification, (b) their perceptions of additional costs and burdens, (c)
their perceptions of environmental risks, and (d) the availability of income-generating opportunities that compete
with farming for Fairtrade markets.
OUTLINES OF THE CASES
Case 1: Fairtrade and organic certifications-pursuing coffee producers in Kerala, India
A project led by an Indian NGO called Agriculture and Organic Farming Group India (AOFG) aimed to organize an
association of small farmers who own fewer than five acres in highland Kerala in South India and to convert them

Rie Makita
into organic farmers. The goal of the small farmer association was to export their certified crops to foreign organic
markets. When the project site was first visited for this study, seven months had passed since the official
establishment of the association. A variety of activities, detailed later, were still in an experimental stage. Fifty-
two groups had already been formed, and each group was composed of about 10 to 15 farmers. The majority of
the members were below the national poverty line. Member farmers cultivated a wide range of crops, including
coffee, rubber, cocoa, pepper, ginger, nutmeg, tapioca and banana, in small plots of steep land.
The primary intervention AOFG provided was the introduction of a bio-fertilizer to members of the association. At
the start of the project, some members depended on chemical fertilizers, whereas some were traditionally organic
farmers relying only on locally available manures. The introduced bio-fertilizer was effective not only as a
substitute for chemicals but also as a supplement to traditional manures. It was expected to cure the diseases of
some crops, as well as to increase productivity at a lower cost than was required for chemicals. Appointed
members took charge of producing the completely concentrated bio-fertilizer, and it was then distributed to all
members wishing to buy it. Member farmers had only to dilute the liquid with water and then apply it to crops
within 24 hours.
Becoming completely organic is a long process. Only after obtaining an organic certification are farmers allowed to
sell their products to organic markets. AOFG considered it necessary to give member farmers some tangible
benefit from being organic even during the transitional period. AOFG therefore decided to pursue a Fairtrade label
for coffee from member farmers. Coffee—a major Fair Trade item—had traditionally been a cash crop in highland
Kerala. AOFG established a large drying space and a primary processing unit in the project site. AOFG also
nurtured seedlings of a specific variety suitable for the selected processing method and distributed them to
member farmers at a subsidized price. To show a benefit of pursuing Fairtrade certification, AOFG began to
purchase fresh ripe coffee berries from members at a higher-than-market price. Because the association had not
yet obtained Fairtrade certification, collected coffee was actually sold to a local non-organic market.
Case 2: Cotton producers under a Fairtrade-certified cooperative in Andhra Pradesh, India
Despite having the largest area under cotton cultivation in the world, India is known for its low productivity
because of severe pest rages and its predominant cultivation under rain-fed conditions. The inevitable use of
pesticides not only increases the financial burdens of farmers but also creates health hazards and environmental
risks; these financial burdens are related to a high incidence of poor farmers’ suicides in the cotton-growing areas.
The introduction of GM or Bt seeds was expected to improve this situation. The use of Bt seeds has spread rapidly
since 2002. In 2010, Bt cotton was estimated to cover 86% of India’s cotton area. Whereas Bt cotton has, in
general, brought benefits such as the increase in crop yield, reduction in pesticide use, the generation of more
employment and the increase in returns to labor, nonetheless, the introduction of Bt seeds has been criticized to
the extent that it has aroused anti-GM organism movements worldwide.
As another countermeasure against the indiscriminate use of pesticides, the same Indian NGO, AOFG, introduced
organic farming to small cotton farmers in one of three major cotton-producing states of India, Andhra Pradesh
(AP) and attempted to link such farmers with Northern markets through Fairtrade and organic certifications.
AOFG’s attempt to convert farmers to organic cultivation began in 2006, and 2,700 small farmers were organized
into eight clusters of an association whose primary purpose was obtaining Fairtrade and organic certifications (as
of December 2010). During the conversion period, the association was certified as Fairtrade in 2007.
Case 3: Sugarcane producers of a Fairtrade-organic double certified cooperative in the Philippines
In the Philippines, which is well known for its strong association between rural poverty and inequality of land
ownership, land reform remains an important agrarian issue. Whereas earlier land reform programs were
primarily limited to rice and corn fields, the latest program promulgated in 1988, for the first time, extended the
opportunity of farmland ownership to landless sugarcane plantation workers. As the country’s largest non-cereal
crop in terms of planted area, sugarcane has long played an important role in the Philippine economy. As
expected in the face of plantation owners’ strong resistance, the government was compelled to assign low priority
to the redistribution of sugarcane lands. By 2005, only 61% of targeted land had been redistributed in Negros
Occidental, one of the two provinces in the island producing about two-thirds of the country’s total sugarcane.

Rie Makita
To improve land reform outcomes, some NGOs have been working to develop farms on redistributed lands. Land
reform is a long and money-consuming process. Land reform beneficiaries need to pay lease fees until they obtain
official ownership certificates, after which they also need to amortize acquisition fees. One of such local NGOs has
supported associations of former plantation workers in Negros Occidental with organic and Fairtrade certifications.
The NGO, Alter Trade Foundation Inc. (ATFI), provides technical assistance and production loans for 14 associations
(as of August 2011) , and its associated company, Alter Trade Corporation (ATC), purchases sugarcane from these
associations and exports traditional brown muscovado sugar to Fairtrade and other ethical markets in wealthy
consumer countries in Europe and Northeast Asia. Unlike many cooperatives that were formed by individual land
reform beneficiaries but eventually disbanded, those under the auspices of ATFI and ATC have continued to
cultivate sugarcane collectively to maintain the economies of scale in former plantations.
COMPARATIVE ANALYSIS
These three cases showed different means–outcome paths: I, II and III.
Case 1 (Kerala, India) for Path II
The association of small farmers organized with assistance from AOFG smoothly accepted the bio-liquid fertilizer
and other organic practices to pursue organic certification. Subsistence farmers were not so keen on investing in
farming, i.e. increasing production with chemicals or improving soil fertility, nor were they satisfied with traditional
natural farming. Some of them were worried about diseases observed on their crops. For most members of the
association, the new organic method was a preferable way of improving their farming. In brief, they adopted
sustainable production practices as a means to increase their income.
During the conversion period, however, focus on coffee as a Fairtrade crop did not bring any tangible benefits to
the majority of the association members. Three major reasons were revealed. First, to maintain their modest
living, the small and marginal farmers gave priority to ensuring an income throughout a year, rather than to
maximizing annual income, such as by planting a variety of crops with different harvest periods. A most marginal
member of the association, owning only 0.5 acres in total, expressed his ambivalence:
It is attractive to sell coffee to AOFG at the higher-than-market price, but in such tiny plots of my land, there is
no more space for increasing coffee bushes. Coffee brings income only once a year. I do not want to decrease
space for other crops.(Makita 2011, p.211)
Second, some members were not able to sell any coffee berries to AOFG because coffee was their only cashable
asset. When they needed a large amount of cash urgently, such as for the payment of medical bills or dowries for
their daughters’ marriages, they leased out coffee bushes to local traders before the harvest season. Third, many
members’ interest seemed to have shifted from coffee to rubber as a new alternative cash crop. Before AOFG’s
intervention in coffee, the world coffee price remained very low until 2004. During this crisis period, many farmers
in this area reduced their coffee bushes and planted rubber newly. The good producer prices of rubber (as of
December 2008) allowed them to look forward to future profits. Rubber was also attractive because of its year-
round income-generating nature. As a result, AOFG failed to collect a sufficient volume of coffee from the
association to export to future Fairtrade markets.
In Case 1, most members of the association did not enjoy any financial benefits from Fair Trade in exchange for the
sustainable production practices they conducted. Fair Trade did not work as an intermediary institution. They
accepted the means not for the Fair Trade mechanisms but because the means were simply in harmony with their
subsistence farming that was associated with few inputs in the nature and with the diversity of their crops.
Case 2 (AP, India) for Path III
Unlike Case 1, the association of small cotton farmers was smoothly certified as Fairtrade in Case 2. However, the
Fairtrade mechanisms also did not intermediate between the means and the end in this case. When member
farmers joined the association, the organic price premium to be delivered at the farm gate strongly motivated them
to practice organic cotton cultivation. The members also highly valued organic farming for its positive impact on

Rie Makita
the soil and on the farmers’ health, and for its reduced production costs. However, more than half of the members
failed to continue organic cotton cultivation.
Fairtrade certification did not work as an incentive for members to continue organic practices in the process of
pursuing organic certification. Because the local market prices of cotton remained fairly high after they joined the
association, they never had an opportunity to enjoy the benefit of a minimum price guaranteed by Fairtrade. The
members did not highly evaluate Fairtrade premiums for which producers had to wait several months after
shipping. Although organic farming with Fairtrade certification did not bring perceivable benefits, cotton farmers
were satisfied with an increase in income from cotton cultivation with the recent trend of high local market prices.
In Case 2, with Fairtrade certification, the end (increase in income) was achieved, but it was rather the outcome of
unsustainable production practices.
Organic certifications clearly ban the use of Bt seeds (IFOAM 2007). The Fairtrade standard also prohibits Fairtrade
-certified producer organizations from using GM seeds, but not as definitively as organic certifications do (Fairtrade
Foundation 2011). This slight but significant difference between the two initiatives might have allowed members
of the association to relinquish sustainable production practices. Because local input-trading shops that members
could access had dealt with Bt seeds only, AOFG arranged the distribution of non-Bt seeds exclusively for
members’ organic cotton cultivation.
Fairtrade premiums were, first of all, used as interest-free loans for purchasing non-Bt seeds for organic cultivation.
Payment for production inputs at the beginning of each season was usually a financial burden on small and
marginal farmers. Poor farmers tended to buy seeds on credit, which increased their debt; therefore, member
farmers welcomed the cashless purchase of cotton seeds through AOFG and then repayment of the loan after the
harvest. The Fairtrade premiums were originally used for promoting organic cultivation, but ironically, this
tentative financial surplus enabled the members to purchase Bt seeds with cash.
In the local shops, there were two different prices for a single packet of Bt seeds, one for cash and one for credit—
for instance, Rs. 700 in cash and Rs. 750 on credit. Most member farmers started organic cotton cultivation in
parallel with conventional cultivation, planting both Bt and non-Bt seeds. They purchased Bt seeds from a local
shop in cash and non-Bt seeds from the NGO on credit without interest. In other words, the interest-free loans
from Fairtrade premiums enabled the members to get Bt seeds more cheaply than before. Fairtrade certification
not only facilitated organic cultivation but might have paradoxically supported the increase of Bt cotton.
Case 3 (Negros, the Philippines) for Path I

In contrast to Cases 1 and 2, Case 3 empirically showed the theoretical means-end relationship. The associations
of former plantation workers were certified as organic long before they obtained Fairtrade certification. In this
case, benefits from Fairtrade were an addition to those from organic certification. These associations were not
confronted with substantial difficulties in converting from conventional to organic farming, although small farmers
or landowners, in general, hesitated to switch from conventional to organic farming for fear of appreciable
decreases in productivity (Eyhorn 2007, pp. 141-144). When association members were employed by plantations,
they were all ordered to use chemical fertilizers and pesticides, but they did not have to pay attention to yields on
the plantations. Only after land was distributed to them did they begin independent sugarcane cultivation.
Although there might have been a decrease in yields from the same plots of land, it was impossible for association
members to compare the productivity of conventional farming on the plantations and organic farming on their
own communal land. They accepted and continued organic practices easily, simply appreciating the opportunity to
export to Northern organic markets.
Although organic sugarcane cultivation with Fairtrade certification contributed to association members’ better
livelihoods, at the time when this fieldwork was taking place, increases in household income were more largely
dependent on economic activities other than sugarcane production on communal land. For the past 17 years,
members’ households achieved livelihood diversification to a fairly high degree, while keeping farming on the
communal land as their secondary or tertiary income source. It is possible to say that poverty reduction (the end)
was caused by such livelihood diversification rather than by organic sugarcane production. Nevertheless, the long-
term use of organic and Fairtrade certifications shows that the members took advantage of organic sugarcane
cultivation (the means) as a stable basis for diversification. The means contributed to the end by allowing the
means to be compatible with other income-generating opportunities.
Rie Makita
Determinants of the differences
Although these three cases have different contexts, they can be compared and summarized, as shown in Table 2,
in terms of (a) indirect benefits from the means, (b) the unexpected burdens that Fairtrade certification brought,
(c) other income-generating opportunities not related to sustainable production practices, and (d) the producers’
consciousness of natural resources.
Table 2: Comparison of the three cases

Indirect benefits Unexpected burdens Competing income- Consciousness of
generating natural re-
opportunities sources
Case 1 (Path II): Reduction in pro- Difficult coffee sup- Other cash crops Weaker
duction costs ply; constraints in
Coffee, Kerala
organic fertilizer pro-
duction
Case 2 (Path III): Reduction in pro- None Cotton cultivation Middle
duction costs with Bt seeds
Cotton, AP
Case 3 (Path I): Reduction in pro- None Non-farm employ- Stronger
duction costs; the ment; farming in
Sugarcane, Ne-
sales of organic another form
gros
fertilizers
Source: Author.
Participating producers in Case 3 received more benefits, in addition to the Fairtrade mechanisms, than producers
in Cases 1 and 2. An additional benefit that sustainable production practices brought was common to all three
cases: reduction in production costs. This substantial financial benefit led to the end (poverty reduction) as long as
the same level of income was maintained. Furthermore, in Case 3, the organic practices of the Fairtrade-certified
cooperative brought not only the marketing value but also a new income-generating activity of the cooperative,
that is, selling organic fertilizers, which they had originally produced for the cooperative’s communal farmland, to
farms outside the cooperative.
Even if more income were generated by adopting the designated means (environmental conservation), such
financial benefits might be cancelled when the means accompanies unexpected burdens. In Case 1, many
members perceived difficulties in supplying the Fairtrade product, coffee. Furthermore, there were some
constraints in the supply of the newly introduced bio-fertilizer. A quantity of the bio-fertilizer was produced on
fixed dates and should have been applied to crops within 24 hours. This fixed production schedule was
inconvenient to some members, especially part-time farmers who were engaged in other off-farm work. Even the
production schedule was sometimes changed for personal reasons of the members in charge of the production. It
is assumed that these burdens had negative influences on the potential means-end relationship in Case 1.
Farming with sustainable production practices is not a single option of rural livelihoods in many parts of the global
South. Whether the theoretical means–end relationship works or does not is greatly influenced by other
competing income-generating opportunities. In Case 1, coffee as the potential Fairtrade crop competed with other
cash crops, especially rubber. In Case 2, the majority of the association members judged conventional cotton
cultivation with Bt seeds as more productive and profitable than organic cultivation with non-Bt seeds. In these
two cases, the means that was planned to work with Fairtrade certification was neither able to compete nor to
coexist with other available means to achieve the end. Although many member producers were also engaged in
off-farm activities in Case 3, members’ individual activities were made compatible with farming with sustainable
production practices on their communal land. They had a compelling reason to continue both certification-
supported farming and other economic activities, such as the payment of the land acquisition fee, and a
mechanism through which members could make both compatible—the communal land management scheme.

Rie Makita
In addition, some members individually leased land as a form of livelihood diversification and applied organic
practices they had learned from the communal land to their individual plots. In Case 3, the designated means was
linked with the end not only through Fair Trade but also through another channel.
Finally, there was a clear difference in participant producers’ consciousness of natural resources, especially
agricultural land. In highland Kerala of Case 1, the majority of the association members were from a “scheduled
tribe.” In the long colonial and post-colonial eras, tribal people were deprived of their land by British and Indian
settlers (Kjosavik and Shanmugaratnam 2007). They were given only possession rights of their land, in place of
formal titles. There were also officially small but substantially large farmers who customarily encroached farmland.
Although subsistence farmers tended to be organic by default, the lack of official land ownership might have
allowed them to give priority to the economic value rather than to the ecological value of their land.
The importance attached to economic value was also observed on leased land in Case 2. Even members who
adopted organic practices on their own land usually applied chemical inputs with Bt seeds on leased land. Such
farmers gave priority to the maximization of profits from the leased land with more reliable technologies. In
contrast, in Case 3, the original reason that the associations of land reform beneficiaries started organic farming
was to gain land ownership. Although they had to maximize the profit from their land to obtain ownership
certificates, their strong consciousness of their promised land might have facilitated their continuing sustainable
production practices on the land.
CONCLUSION
In this paper, Fair Trade has been interpreted as an intermediary institution linking the means (environmental
conservation) and the end (poverty reduction), and the reality of three theoretical means-outcome paths have
been observed through three case studies. In Case 1 (Kerala, India), although sustainable production practices
were adopted, they were not linked with Fairtrade mechanisms. The project faced unexpected burdens such as
difficulties in the supply of the Fairtrade crop and extra work for the production of an organic fertilizer.
Participating small farmers also had opportunities to compare the Fairtrade crop with other cash crops in profits
and in other aspects. In Case 2 (AP, India), participating small farmers chose an alternative means which
accompanies unsustainable production practices for better incomes. In this case, the competing income-generating
opportunity—Bt cotton cultivation—was more appealing than the opportunity with sustainable production
practices. The Fair Trade mechanisms unintentionally supported the intrusion of this competitive means. The first
of the two guiding hypotheses apparently applies to this case (see Subsection 3.2). Regarding the second
hypothesis, participant farmers’ weaker consciousness of land resources in Case 2, compared with that in Case 3,
might imply the lack of perception on the necessity of environmental protection.
Two general lessons can be drawn from the comparison of these three cases. First, in linking the means with the
end, the end should be interpreted not only as an increase in income but also as the reduction of tangible and
intangible burdens imposed on participant producers. Second, small farmers compare several accessible means to
pursue their end; only when Fair Trade-supported production entailing environmental conservation can be
compatible with other means for achieving the end, do farmers incorporate the sustainable production practices
into their livelihood strategies. To make the means-end relationship work, supporting practitioners need to reduce
accompanying costs or burdens and provide some mechanism for allowing participant producers to make
sustainable production practices compatible with other economic activities .
ENDNOTES
1
Case 1 is based on Makita (2011).
2
Case 2 is based on Makita (2012).
3
Case 3 is based on Makita (under review).

Rie Makita
REFERENCES
Choudhary, B. and Gaur, K. 2011. Adoption and Impact of Bt Cotton in India, 2002 to 2010. New Delhi: The
International Service for the Acquisition of Agri-biotech Applications.
Eyhorn, Frank. 2007. Organic Farming for Sustainable Livelihoods in Developing Countries?: The Case of Cotton in
India. Zurich: Vdf Hochschulverlag AG an der ETH.
Fairtrade Foundation. 2011. “Q&A: Fairtrade Standards and Genetically Modified Organisms (GM)” http://
www.fairtrade.org.uk/includes/documents/cm_docs/2011 (June 14, 2011).
IFOAM (International Federation of Organic Agriculture Movements). 2007. The IFOAM Basic Standards for Organic
Production and Processing (Version 2005). Bonn: IFOAM.
Kjosavik, Darley. J. and Shanmugaratnam, N. 2007. “Property Rights Dynamics and Indigenous Communities in
Highland Kerala, South India: An Institutional-historical Perspective.” Modern Asian Studies. Vol.41. No.6. pp.
1183-1260.
Leach, Melissa, Mearns, Robin and Scoones, Ian. 1999. “Environmental Entitlements: Dynamics and Institutions in
Community-based Natural Resource Management.” World Development. Vol.27. No.2. pp. 225-247.
Lepper, Caitlin M. and Goebel, Jessica S. 2010. “Community-based Natural Resource Management, Poverty
Alleviation and Livelihood Diversification: A Case Study from Northern Botswana.” Development Southern Africa.
Vol.27. No.5. pp. 725-739.
Mahanty, Sanghamitra. 2002. “Conservation and Development Interventions as Networks: The Case of the India
Ecodevelopment Project, Karnataka.” World Development. Vol.30. No.8. pp. 1369-1386.
Makita, Rie. 2011. “A Confluence of Fair Trade and Organic Agriculture in Southern India.” Development in Practice.
Vol.21. No.2. pp. 205-217.
Makita, Rie. 2012. “Fair Trade and Organic Initiatives Confronted with Bt Cotton in Andhra Pradesh, India: A
Paradox.” Geoforum. Vol.43. No.6. pp. 1232-1241.
Makita, Rie. Under review. “Livelihood Diversification with Certification-supported Farming: The Case of Land
Reform Beneficiaries in the Philippines.”
Sanderson, Steven. 2005. “Poverty and Conservation: The New Century’s ‘Peasant Question’?” World
Development. Vol.33 No.2. pp. 323-332.
Sanderson, Steven and Redford, Kent. 2004. “The Defence of Conservation is Not an Attack on the Poor.” Oryx.
Vol.38. No.2. pp.146-147.
WCED (World Commission on Environment and Development). 1987. Our Common Future. Oxford: Oxford
University Press.
WFTO (World Fair Trade Organization) and FLO (Fairtrade International). 2009. A Charter of Fair Trade Principles.

THE GOVERNANCE COMMUNITY IN A POSTMODERN SOCIETY
Hiroyuki Torigoe
Waseda University
torigoe@waseda.jp
ABSTRACT
The term “governance” has been popular since the 1990s in the field of international affairs. This is mainly due to the fact
that many difficult problems arose, such as currency crises, environmental pollution, terrorism, and the drug trade, and each
nation’s government could not effectively cope. In this situation, outside organizations such as NGOs functioned well with
national governments. The meaning of “governance” is that it is a controlled situation, with the organizations and
institutions concerned offering mutual help. In the 2000s, the new category of “local governance” was being accepted by
people who had participated in local issues such as environmental degradation, child care, and immigrant affairs-issues that, in
their view, would not be handled well by a local government, such as a village office or a city hall. In this presentation, I will
discuss recent trends in local governance in postmodern society using the term “governance community,” which involves a
kind of merging of regional community and local government. Namely, a governance community represents the aggregate
activities achieved through the cooperation of community associations and a government. The meaning of the term
governance community might be unclear for the audience, not only because it is a new term in the field of sociology but also
because it seems to indicate an idealistic blending of two types of organization. However, when we think about severe
problems such as pollution in local areas, the role of the governance community is significant.
GOVERNANCE IN POSTMODERN SOCIETY

“Postmodern society” in this paper describes a society in which people place more emphasis on living together
happily than on economic development. D. Gabor (1972) characterized postmodern society as a “mature
society.” An opinion poll commissioned by the Japanese government in 2011 (Figure 1) found that respondents
clearly preferred a society that offered safety and security (63.9%), or whose members cared for others (53.4%), or
whose members felt happy (43.7%) to a society with a high gross domestic product (31.1%). The audience gathered
here from various countries would notice their countries already have or are in the process of acquiring some of
the characteristics of postmodern society.
In a postmodern society, the powers and roles of both the central and local governments decrease. By contrast,
other institutions and organizations such as NGOs and community associations increase their power and role in
society. The term “governance” was coined to indicate the typical approach to controlling this new society.
Soon after the term “governance” became globally popular, social scientists started using the term local
governance, because the pattern that occurred in local areas was the same as that in the international sphere. The
objective of this paper is to discuss governance community, which is a type of local governance.
The recent trend in the usage of the term “local governance” in Japan is as follows. Local governance is a
controlled situation in which such actors as NGOs, local communities, private and public local institutions, and such
public offices as village offices participate in resolving an issue on an equal basis (Iwasaki, 2001). Each actor enjoys
freedom, independence, and equal status. This scheme has become very popular recently because society faces a
variety of local issues that only a local government cannot cope with, such as garbage problems, the isolation of
senior citizens, childcare, some problems of immigrants, and environmental degradation by developers.
TYPICAL LOCAL GOVERNANCE ACTIVITIES
In this section, a typical example of local governance will be shown. A population-dense area usually has
contaminated rivers. Kobe city is one such area. For example, while crossing a bridge, some middle-aged men
started arguing about the dirtiness of the river Togagawa. When they were boys, they were able to play in the
river. They considered dirtiness to be shameful, because, as residents, they felt responsible for the contamination.
They began to volunteer to clean the river by gathering garbage and asking residents living by the river not to put
domestic wastewater into the river. One of them told me it was rather difficult initially because some residents

Hiroyki Torigoe
strongly resisted their requests not to put

drainage water into the river, and
complained that improvement of the sewage
system was the responsibility of the city
office.
This continuous activity, publicized in

newspaper articles, made the group rather
famous. Further, it created a powerful
network with other organizations, as several
NGOs and community associations wanted to
participate in these activities. As a result,
the water gradually became cleaner. The Figure 1. Lifestyle preferences
local government (i.e., city hall), however,
did not support the network at first for fear
of being blamed for their late sewage system plan. In addition, sometimes this citizen group made “nonsense”
requests of the office. For example, they asked the government office to permit a waterway of the river to be
blocked to make a temporary pool to allow children to swim in nature.
The government office’s resistance to the plan was understandable-it violated the River Act, which is a very rigid
law of the Japanese government. In spite of the River Act, which strongly prohibits putting obstacles into a river, the
network requested doing so to make a swimming hole. However, the network’s good reputation among citizens
led the local government to the negotiation table. City officials decided to pile several long wooden boards
tentatively to make a depth of around 1 meter (3.3 feet).
This was the only way to avoid the rigidity of the River Act. Although water escaped between the boards, they
were able to make a pool for children. Surprisingly, many children gathered at this “natural pool” in the river.
Perhaps, they found that they could amuse themselves in the natural sand bed and natural water, which differs
vastly from artificial chlorinated pools. Where children gather, mothers gather. That effect put more adults in the
network. A pamphlet issued by the city hall cites this activity as a good example of citizen activity. At the spring
opening ceremony of the river, NGOs, PTAs, community associations, city hall officials, and many organizations and
volunteers belonging to the network attended, and the Kobe City Fire Bureau Band played for the audience.
This is a typical example of local governance in which all actors participate equally and deliberate, while enjoying
clean activities. Although citing a typical example is important to understand some of the implications of local
governance, the example given is somehow an ideal type. The success of an ideal case like this, however, is not as
frequent as we expect. In the next section, we will discuss the recent common successful type, and through this
example, discuss a new pattern of local governance-“governance community.”
GOVERNANCE COMMUNITY
Activities for ensuring clean water in a stream
Two cases will be discussed in this section. One involves cleaning a stream and another involves modification of a
road. The Fukui village community in Takarazuka city area mostly consisted of farmers, but the population of this
settlement recently changed from a farming village to a mix of farmers and residents who commute to neighboring
large cities. The increase in population led to the pollution of a stream running through the village.
A leader of the community association ( Jichika in Japanese) which consists of about 300 households-worried
about contaminated water, because he remembered the clear and pure water of the past, in which a variety of fish
swam. He decided to put several colored carp in the stream. A carp is able to live even in rather dirty water. The
children were the first to notice the red and white colored carp swimming in the stream. They were surprised
because they had never seen fish swimming in the stream and did not think it possible.
The children talked excitedly about their findings with their parents and grandparents. The first adults to act were

Hiroyki Torigoe
the mothers. Some mothers put flowerpots along the stream. Several grandparents changed the routes of their
morning walks to walk along this “dirty” stream to be able to talk with their grandchildren. The presence of the
flowerpots also led them to change their routes. Children living with their parents in large cities asked repeatedly
to visit their grandparents’ houses so they could watch colored carp in a natural stream. Repeated visits by their
children and grandchildren were a great joy to the grandparents. Senior members of the community association
proposed at a meeting to clean the contaminated stream.
The community association members started cleaning the stream on a regular basis. At that time, broken bicycles,
bits of glass pots, rusted cans, and other detritus were scattered in the steam. Local newspapers wrote about this
clean-up activity. The newspaper articles and clean-up activities helped put a stop to residents throwing garbage
into the stream. Factories and developers located at a headwater became careful of not putting their wastewater
into the stream out of fear that they would be blamed if the carp died. PTAs of the primary schools in and around
the community and other community associations and NPOs wanted to help in this clean-up activity.
Even the mayor, in a newspaper column, called on residents to support these activities and budgeted for the
maintenance of the stream. Local government support was quite effective in forming the governance network for
the stream. Citizens were able to accept this activity affirmatively because it was backed by the authority of the
local government. At each step at which new organizations and institutions, including the local government,
helped the community association improve the water quality, and when the objective of the network of
governance was fulfilled, the stream was found to be running with clean and pure water, with a variety of fish,
including natural carp, collected upstream. This case differs from the river-cleaning case of Kobe (Section 2)
because a community association is a nexus and other organizations enjoy the position of helping the community
organization.
A road adding to a park’s functionality
The second case concerns a road. Although Gujyohachiman in Gifu Prefecture is a small town, the business area of
this town did not have a park. Representatives of the community association visited their town office asking for a
road to be changed to a park. A rather narrow road connects two main streets, as shown in Figure 2. The residents
of this community wanted to change it to a park. It is usually relatively rare to see cars and pedestrians on this
road. The road was poorly lit, with a stream running alongside, dirtied by drainage, but the road was indispensable
to connect the two busy streets. Sometimes, small trucks, and cars drove
through. The executive authority considered this idea to be absurd. The
section chief of the town hall told me that he found the idea of changing
a road to a park to be incredible. He tried to listen to the proposals.
Understanding man that he was, he felt it was his duty, as a town
servant, to listen to the opinions of the representatives of the
community associations, as the town office always tries to keep a good
relationship with the organizations.
As a result, the town hall changed the road to a kind of a park. There are Figure 2. Narrow road
several benches along the stream and trees planted between the
benches. When I visited there, a woman was walking a dog and a bench
was occupied by two senior citizens. The point is the change of the surface of the road, which was planted with
plenty of small pebbles by concrete. Still, small trucks and cars were going through, but they were moving quite
slowly, like toddlers, because the road was not even. Several months after changing the road to a park, the
community association decided at the meeting to clean the contaminated stream periodically. Neighboring
communities and NGOs supported these activities. Consequently, this road was changed to a substantial park with
clean running water alongside it.
The point of these two cases is that a community association played the most important role and the local
government was indispensable, while other organizations and institutions played a supporting role.

Hiroyki Torigoe
CONCLUSION: THE WAY TO GOVERNANCE COMMUNITY
A recent trend in regional control is a model of local governance in which all stakeholders, including community
associations, NGOs, and the local government, come together and decide something on a basis of equality. This
ideal type of local governance is shown as a case study in section 2 of this paper. However, that is an ideal type and
is not common. In section 3, as a rather recent common type, two cases have been described. Comparing these,
regional societies involving local governance can be of the following types.
a. A community association is an organization based on a community. The Japanese call it Jichikai. It represents a
local community and consists of most community members, enjoying rather independent decision-making
rights from the local government. The usual size of this community association is around 200 households. This
association has a history of sometimes more than two hundred years, which started with a village organization
or one block of a city area. A similar type of community association can be seen everywhere in southeast Asia
and east Asia.
b. A governmental community refers not only to a government as a political institution, but also includes
sociocultural community elements or a layer of the government itself. An analogy may make this more
understandable. A country such as Japan or South Korea has two categorical layers-one is a state layer; the
other is a national layer. The term “state” refers to a legal and political entity having an organized territory
under a unified political system-its government. It focuses on the political system or political institution as a
government. The term “nation,” on the other hand, may refer to a community of people who share a
common language, culture, ethnicity, descent, or history, and is a sociocultural entity. Similarly, even a local
government may have two layers-one as a political institution and the other as a sociocultural community.
c. A governance community refers to the aggregate activities achieved through the co-operation of community
associations and governmental communities. However, strictly speaking, one layer of a governance community-
a sociocultural community-serves as glue between the government as a legal institution and community
associations.
Although governance community is a new term in this paper, it has been a commonly and steadily observed type, at
least in Japan, as shown in the two cases in section 3. During the 1990s, the new term “governance” gained
currency in Japan (Rosennau and Czempiel 1992).This new concept, as applied to local society, was referred to as
“local governance.” At first, especially in the environmental field, the round-table method shown in section 2
was popular, but stakeholders began to realize that this way was not so effective because of the many cases in
which talks broke off after failure to reach an agreement. Although equality of all actors is desirable, differences in
roles and responsibilities of actors is a conclusion of these talks.
“Governance community” refers to governance activities as shown in section 3, in which there are three-layer
formations based on” community associations”. The second layer, the” sociocultural community”, is a
part of the government community; the third layer is the “government as an institution.” If these three layers
together can be envisioned as a pole, around this pole is a variety of community organizations, local institutions,
and NPOs as supporting organizations of a network.
This idea of a governance community is becoming popular in villages and towns, and even in cities. This idea of
governance is believed to be the best method for local governance in a postmodern society.

Hiroyki Torigoe
REFERENCES
Cabinet Office, Government of Japan. 2011. National Survey of Lifestyle Preferences. www5.cao.go.jp/seikatsu/
senkoudo/h23/23senkou_03.pdf
Gabor, Denis, 1972. The Mature Society: A View of the Future. London: Secker and Warbung.
Iwasaki, M., 2001. The New Age of Governance (Kyochi jidai wo Kirihiraku) Gabananse 1. Tokyo.
Rosenau, J., and Czempiel, E., 1992. Governance Without Government. Cambridge: Cambridge University Press.
Torigoe, H., 1994. Community Association in Japan (Chiiki Jichikai no Kenkyu). Tokyo. Ochanomizusyobo.

CHANGES OF THE RURAL ORGANIZATIONS AND THE VILLAGE DEVELOPMENT UNDER THE
EXTERNAL INTERVENTION: A CASE STUDY FROM HENAN PROVINCE, CHINA
Huan Yang, Dacai Deng

Institute of China Rural Studies, Central China Normal University
Rural Reform and Development Collaborative Innovation Center
yanghuan11180@163.com
ABSTRACT
After rural reform in 1980s, rural society in China has experienced fundamental changes in social, economic and political
domains. “san nong” (agriculture, rural area and farmer) has become hot and sensitive topic in political and academic circles.
One of the key issues is that how the rural society sustains its development when facing the intensified interactions with wider
environment. This research followed these changes of a village in Henan province from the 1980s, especially its cooperative
movement after 2004. By taking the actor oriented perspective, this research focuses on the attitudes and actions of different
types of farmers - the village leaders, the economic elites, the ordinary villagers – in the interactions with different types of
external actors, including local governments, researchers, traders, consumers and religion group. The findings from this
research showed the tensions between farmers’ atomization and their demand or potential need on collective actions in
economic and social life in the rural society. The opening up of the rural society to wider environment offers kinds of
opportunities to farmers to improve their life within and beside agriculture. And the increased heterogeneity between farmers
in terms of their economic status, capacities and expectations to rural life lead to the difficulties in collective actions. Even so,
some farmers still have strong motivation to organize collective action to improve their life in different ways, especially under
the inspiration or initiation of external actors as demonstrated by our case study. But the external intervention from different
actors put pressures on farmers to change their organizational structures or rural institutions. This led to the frequent structure
changes and instability of rural organizations.
ORGANIZATIONAL CHANGE AT VILLAGE LEVEL AFTER RURAL REFORM
Farmer cooperative (FC) is regarded as an important institution arrangement to voicing needs of and provide
services to farmers through intermediating rural community and its environment (Esman、Uphoff 1984, Rondot、
Collion 2001). In contemporary China, it is introduced into rural context by government agencies, NGOs and
research institutes to promote farmers’ collective action for agricultural development. From early 1990s, Ministry
of Agriculture (MoA), China Association for Science and Technology and national Supply and Marketing
Cooperative System are the main government department and agencies who carried out serious of projects to
promote and support FC development with different emphasis on FC’s role in technical or marketing services (Han
2007, RAF 2004, Yuan 2007). As demonstrated by Deng (2010), government policies supply multi-dimensional
support, including official documents down to village level to introduce relevant policies, financial support, tax
exemption, insurance of credits and awards in cash, to stimulate FC development from 1990s. And the supports are
intensified after the implementation of Farmer Cooperative Act in 2007.
From the early stage of relevant policies, FC is defined as autonomous organization collectively own by members.
The newly implemented Act further clarifies rights and obligations of members which are consistent with the
cooperative principles identified by International Cooperative Alliance, but with the focus on economic aspect.
MOA introduced exemplary charter of cooperative to demonstrate the structure and operation rules of cooperative
after the implementation of the Act. Principles, including voluntary and open membership, one member one vote,
members’ economic participation, are operationalized in the exemplary charter. However, in practice many FCs
deviate from the regulations and law. Zhang等 (2007) show that nearly half of FCs are not formal or functional
according to principles listed above and formal registration in government. Many studies find that FCs are
dominated by leaders and core members in their establishment, share-holding and decision-making, and the
participation of members varied greatly between FCs (Bijman、Hu 2011, Hu等 2007).
Some researchers argue that structural and managerial diversities of FCs relates to different economic
development level in different regions according to evolution of cooperative structure in western context and the
emergence of new generation cooperatives in north America (Xu、Huang 2005, Guo 2001, Guo 2011). Xiong (2009)
points out that this phenomenon results from government bureaucracy’s strengthening of its relations with rural

Huan Yang and Dacai deng
economic organization through development projects, and rural economic elites and their organizations strategic
adoption of nominal institutions, including farmer cooperative, to attract resources from projects to construct
autonomy space for their profit. Other studies suggested that erosion of traditional norms in which trust based on
personal relations is embedded and un-established trust based on modern rules and regulations in transformation
period lead to lack of coordination mechanism in collective actions and low trust on leaders (Huang 2012, Guan
2005, Zhang 2004). These researches provide interesting perspectives to understand how FC practices are
influenced by structural change of society – economic and cultural transformation and governmental structure.
Though some discussions on farmers’ behaviours, either it only considered leaders’ strategic actions (Xiong 2009),
or it just discussed the conflicts within FC (Huang 2012). Taking actor-oriented perspective, this article will
demonstrate both farmers and leaders’ struggles to meet their needs in daily practice within FC and with external
actors, like researchers, government, supermarket and consumers, and explain why it deviates from what defined
in government regulations and law.
Nanmazhuang Village and Establishment of Nanmazhuang Cooperative
Nanmazhuang Farmer Cooperative is located in Nanmazhuang village, Lankao county in Henan province. The
village is 8 km away from the county town and the road to county is in good condition. It has households with
about 1500 residents. Every household has their own land and the size depends on the number of family members
when the last time the village equally re-allocate land in 1990s.The village has 190 ha farming land in total, all of
which has access to irrigation. Two crops a year are taken , mainly wheat in winter and rice or maize in summer.
The per capita net income of the village is at the average level of the province and about 10% below the national
level (per capital net income of rural residents): 2900 yuan (about 420 US$) in 2005, 4700 yuan (about 680 US$) in
2010. Crop and non-farm work are the two main income sources, each accounting for more than 50% of total
income of about 40% farmer households.
Dr. He, a researcher on sociology from China Agricultural University, is considered to have played significant role in
the cooperative development. She was delegated to Lankao county as deputy mayor in 2003 and is working as
mayor assistant of Kaifeng government. She developed “cooperation within village and with urban citizens”
approach from her working experience at local level. Cleverly using her the dual identities (researcher and official),
she is able to channel and integrate financial, personnel and policy resources from government, universities,
college student associations, voluntary citizens and NGOs to support the cooperative initiatives in the county and
six villages involved, including Nanmazhuang.
The NMZ cooperative was established in 2004. In August of that year, four farmers (Fu Yuping, Zhou Mengqi, Fan
Baoan and Zhao Senyan) in Nanmazhuang was invited to attend a training about farmer cooperative in another
village organized by Dr. He. They found cooperative could be a good approach to promote development in the
village, then initiated the NMZ Farmer Cooperative in September. 48 farmers joined the cooperative and selected
cooperative chairman (Zhou Mengqi), management committee and supervisory committee. As the farmers learnt
from the training that a cooperative has its own autonomy and should be independent from village committee and
party branch, village cadres from village committee and party branch were excluded from the leader group of
cooperative and joined as ordinary members. Both Dr. He and leaders interviewed recollect that the reason for
this was the tensions between farmers and village cadres at that time. Before abolition of agricultural taxes and
fees in 2006, one important responsibility of village committee and party branch was tax and fee collection. On
one hand, village committee relied on it for public affairs and clerical cost; on the other hand, it led to tensions
between farmers and village cadres, sometimes serious conflicts.
When considering activities to organize, the cooperative took advice from Dr. He and other researchers to start as
a credit cooperation as to control the risk within cooperative. After two months preparation, four day cooperative
training was held in December 2004, under support of Dr. He. Experts on credit cooperation and leader of one
famous credit cooperative were invited to introduce their experiences and operation regulations. In the training,
cooperative’s rules were formed mainly following introduced regulations: 86 members were required to buy at
least one share (200 yuan) and the maximum possible investment of one member was limited to 5% of the
cooperative’s total capital stock.

Started from being a credit cooperation, the cooperative organized series of activities, including seed and fertilizer
supply, integrated lotus and crab farming and agri-products production and marketing project. A part of revenues
from marketing is used for public services. In the following section, we will focus on non-pollution rice and
ecological pig raising projects to illustrate the dynamic of interactions among farmers and between farmers and
external actors and their influence on the institutional change in the cooperative.
Non-pollution Rice Association in the cooperative
Non-pollution Rice Association was initiated by three farmers in 2005 when they got to know about the non-
pollution certification system from the county Agricultural Bureau and wanted to obtain a higher price for local rice
through the certification. The association was formally registered in county Civil Affairs Bureau and obtained non-
pollution certification for the rice. At the beginning, only six members who mainly were leaders each invested 8000
yuan to start the project based on voluntary contributions. Soon after that the association received 10 thousand
yuan from a Farmer Association Support project of MoA with a proposal about organizing non-pollution rice
production and marketing project in association.
In 2005, farmers were trained on non-pollution rice technologies and were divided into groups. The group leaders
were responsible for distributing inputs and guiding farmers’ practice. Unfortunately after the harvest, the
association met difficulties to find buyers for the product by itself . it transported 10 tons of rice to Beijing and
turned to Dr. He for help. Together with other researchers and social activists in Beijing, Dr. He introduced the rice
to citizens through social activities, like public lectures and promotion seminars. The emphasis on farmers’
commitment to producing safe food and their collective action to reach this objective attracted the attention of the
mass media, like newspapers and TVs , and reaching more consumers through these media. The association
delivered rice to consumers directly when they made reservation through telephone. It sold about 50 tons of rice
before Chinese New Year of 2006.
In 2006, the association’s non-pollution rice entered into a supermarket chain in Beijing through intermediation of
a business man who wanted to help them. Another marketing opportunity also emerged when a consumer showed
his interests to keep long term relationship with the association. A “contract farming with consumers” project was
initiated with the help from Dr. He in coordination of consumers in Beijing. However, both cooperation projects did
not last very long. The cooperation with supermarket ended in 2007 and the second one was implemented in
production seasons of 2007 and 2008 only. The main reason for discontinuation was that the association could not
make money from the business.
Critical events of the association described above were indicated in Fig. 1. Four key moments were identified and
will be described in details in following sub-section.
Started non-pollution
rice project and association
under cooperative (a)
contract farming
Establishment of Funding support from with consumers
cooperative and start MoA FC project
of credit cooperation (d)
(b)
2 2 2 2 2 2
004 005 006 007 008 009
Received support in mar- Started to cooperated
keting from researchers in with a super market chain
Beijing and reported by mass in Beijing for one year
media
(c)
Figure 1. Timeline of critical events in Non-Pollution Rice Association

The critical events of the Non-Pollution Rice Association
1) Integration of cooperative arrangements, farmers’ experience in technology and marketing and contract
farming model
In the establishment of non-pollution rice association farmers have their own understanding of farmer’s
cooperation though they first learnt the term “farmer cooperative” from researchers and accepted their
suggestion of starting with credit cooperation. Fu Yuping, one of the association’s initiators, still vividly recalls:
“Some experts, including Dr. He, always warn us not to cooperate in production and marketing for the high risk
involved. I have different opinion with them. Farmers are producers. If we do not cooperate in production, what
should we cooperate for? Every cooperation activity relates to production.”[Fu Yuping, NMZ, 02-08-2010].
So three farmers, Fu Yuping, Zhou Mengqi and Fan Zhenyu, identified non-pollution rice production could be an
opportunity in agricultural production and initiated the non-pollution rice project in the cooperative. Fu and Zhou
tried rice marketing in 2000 together. Zhou and Fan were trained in agricultural technology in 1980s and are
agronomists recognized by local government. And Fan had about ten years experiences working in public
extension system.
In Jan. 2005, Non-pollution rice association was established. It was agreed that the association was a subunit of
Farmer Cooperative and kept separate accounting books. Fan Zhenyu became the chairman of non-pollution rice
association with acquiescence from members for his working experience in extension system and enthusiasm for
the project, though he was also the treasurer of the village committee at that time. Different from the credit
cooperative which requires members to buy at least one share, the investment in association was voluntary based
for the uncertainty of profit even the initiators were quite confident in the project . Fan recalled:
“When we discussed about the non-pollution rice project in cooperative training in Dec. 2004, Only 7 farmers
showed interests to invest. When the association established, only five really put in money, including Fu Yuping,
Zhou Yongli, Zhang Yanbing, Yang Yingzeng and me. Zhou Mengqi joined later. Each of us invested about 8500
yuan in the project.” [Fan Zhenyu, NMZ, 31-07-2010]
8500 yuan is about three times of farmers’ annual average net income at that time. All the members invested were
better-off ones and Zhang Yanbing is the chairman of village committee until now. The money was collected mainly
for non-pollution certification, trade mark application, input supply and so on. But no agreements were made
between these investors about the cost and benefit sharing at that time. In order to reach economies of scale in
ideal cooperative, the association mobilized other farmers to join through friends, relatives or local influential
people, like headmaster of village school. In total, 310 farmers participated in non-pollution rice production in
2004. 150 were from NMZ village and 160 from nearby villages. Contracts were made between the association and
the members about the requirement on production process and the price at farm gate.
b) Integrating “equal sharing of public funding” principle enforced by government fund into existing
association institutions
When the non-pollution rice project just started in 2005, the association was informed by Dr. He that they could
write a proposal to apply to MoA farmer association support project that subsiding associations’ development
plans. The association submitted a proposal about non-pollution rice production and marketing and got approved
with support from Dr. He. Fan attended training organized MoA about project management and financial
requirement of the government umbrella project. It was required that fund from MoA should be equally shared by
members and transparent to members, and government would evaluate the fund management selectively.
To meet the requirement of equal sharing, the association appealed members to invest in the project and locate
government funding to investors accordingly. The rule was that farmers invest according to the area they use for
non-pollution rice production – 20 yuan/mu, and receive 60 yuan/mu from government funding. In the end, 69
farmers invested under this rule and had a shares certificate from association. These shareholders had right to
share profit from the project. So among the 310 farmers, six invested 8500 yuan from beginning; 69 (including the
six above) invested to share government funding and profit from project running; other 241 farmers who did not

invest but produced rice for the association had the right to access to association services and sell the rice to
association at the same price as invested members - 0.1 yuan/kg higher than market price.
c) Privatizing association’s business in Beijing for the disagreement between key investors on market prospects
After the harvest in 2005, the association purchased rice form members at price 0.1 yuan/kg higher than market
price as agreed. And the association also followed the rule that poor families had priority to sell their products. But
marketing did not go as smoothly as they expected. When they were searching for buyers in Zhengzhou, the capital
city of Henan province, the company which they made contract with was a swindler and did not plan to pay them.
They had to get back the rice with help from local media and Dr. He. They lost 6000 yuan in the process. After
several un-successful trials, they turned to Dr. He for help to sell rice in Beijing. Together with other researchers,
social activists and under graduates who concerned rural development, Dr. He organized rice taste events, public
speaches to potential consumers emphasizing farmers’ efforts to improve food safety and the need to support
them with higher price. These activities attracted several mass media in Beijing.
In 2006, the association’s rice entered a supermarket chain in Beijing. It was a breakthrough for association’s
marketing experience as mentioned by Zhang Yanbin: “When we signed contract with the manager of the
supermarket, we had a forum with consumers with media. I still remember that there were nine cameras from
those big media there.”[Zhang Yanbin, NMZ, 30-07-2012]. But a lot of problems came up later in the cooperation:
“Supermarket gave us 4.4 yuan/kg, and sold at 5 yuan/kg. Our association was responsible for all the damage to
the product, even in the supermarket. At beginning, they paid us every half month and gave us an area big as
dining table for products display. After a period, we were not treated specially anymore. The display area became
only for one package. The account was set every three months and we had to fill 16 tables for it every time. It was
not worth for us to stay there. We hired an old man for 600 yuan/month to take care of the logistics. He could not
speak fluent Mandarin and was not taken seriously by supermarket. But we had no enough money to hire young
people who had to be paid more. It took me one month and twice travels to Beijing to settle the account before we
withdrew from supermarket. The sales went down with the less reports of media, and the cost went up for the
rent for places for products. Until March 2007, we lost money in cooperation with the supermarket.” [Zhang
Yanbin, NMZ, 30-07-2012]
Consequently, conflicts arose within committee members (who were also investors) in 2007 when they found they
could not make money from Beijing market. Except Fan Zhenyu and Zhang Yanbin, others wanted to withdraw
from the market. After negotiation, they came to agreement that Fan and Zhang took over the business in Beijing
and the association sold them the rice at the price 3.5yuan/kg in the village. Zhang recalled:
“Fan and I were in the same line at that time. We wanted to stay in Beijing for longer time to explore the market
and tried to find a person capable of marketing. Dr. He criticized us that we took the association’s market for
ourselves. We knew it was a transition, not real cooperative activity.” [Zhang Yanbin, NMZ, 30-07-2012]
d) Involvement of other village cadres into “contract farming with consumers” activity
In 2007, “contract farming with consumers” project was implemented and one area near the entrance of the
village was chosen for the production. Village committee and party branch led by Zhang Yanbin took over the role
of association to coordinate production and marketing with consumers. The three non-pollution rice project
initiators insisted that “village committee and the party branch hijacked the association” by excluding them from
this activity. However, Zhang explained this in different way:
“When the project started, Dr. He helped us hold a rice price hearing with consumers. Some consumers hoped
to visit our village and paddies producing for them. So the contracted paddy fields need to linked to each other. Fan
was against this project for the uncertainty. And the land plots of members were scattered between non-members’
plots. How to include non-members in the project was a problem. Then the village committee signed contracts with
them with support from other village committee members. ” [Zhang Yanbin, NMZ, 30-07-2012]
Yang Shiquan, a village party branch member, described why they joined in the project: “Contract farming with
consumers started in 2007. Zhang Yanbin mobilized us (village cadres) to join in the project. Five of us, including

Fan Zhenyu, invested 5300 yuan each in the project. We did not make profit that year and Fan withdraw in 2008
because of that. The training on cooperative said that village committee and party branch should not be involved in
the cooperative management, but we did a lot of work in the association from 2005.” [Yang Shiquan, NMZ, 30-03-
2010].
According to interviews of different people involved, the other investors already left the association gradually
before this project. Zhou Yongli and Yang Yingzeng did not participate relevant activities after the association lost
money in input supply and marketing. Zhou Mengqi took his money back from project for housing building.
Conflicts in deal with accounting issues led further break-up of the relations between leaders. Fu Yuping shifted his
responsibility of association account to Fan Zhenyu for the disagreement in accounting. He blamed Zhang Yanbin:
“Zhang Yanbin was reimbursed more than 10,000 yuan for his stay in Beijing in Feb. 2006. I did not agree
this.” [Fu Yuping, NMZ, 02-08-2010]
Zhang Yanbin described a much more complex situation: “The first thing is that we lost about 30,000 in input
supply for the bad quality of the pesticide. How to share the cost is a problem. The second is they do not want to
reimburse Fan’s expenditure on buying mobile phone and my mobile phone bill in Beijing. The third is 20,000 was
taken out of the MOA fund for building offices shared by cooperative and village committee. This cannot formally
included in the fund. Another problem is rice was robbed twice in transportation under charge of Fan Zhenyu and
Zhou Mengqi respectively. The second lost was suspicious. So The account was difficult to balance.” [Zhang Yanbin,
NMZ, 30-07-2012]
To this point, the Non-pollution Rice Association’s activities were taken over by village committee and party branch.
Village cadres think they just “take up what others do not want to go on anymore” and they are paying for some
public expenditure, like electricity for streetlights, street cleaning and cleaning up of the irrigation channel. They
admit that this is not real cooperative, mainly because other investors and farmer-producers were reluctant to
remain members and share costs.
DISCUSSIONS AND CONCLUSION
The findings from this research showed the tensions between farmers’ atomization and their demand or potential
need on collective actions in economic and social life in the rural society. The opening up of the rural society to
wider environment offers kinds of opportunities to farmers to improve their life within and beside agriculture. And
the increased heterogeneity between farmers in terms of their economic status, capacities and expectations to
rural life lead to the difficulties in collective actions. Even so, some farmers still have strong motivation to organize
collective action to improve their life in different ways, especially under the inspiration or initiation of external
actors as demonstrated by our case study.
From the critical events shown above can be derived, in line with the viewpoint noted by Long (2001) and Wolf
(1990), that FC is an on-going structuring process rather than a final product or a fix model as described in
cooperative chart. And the process is not fully fit into the rational design model (Ostrom 1994), but made up by
FC’s actions responding to opportunities and challenges came up in the critical events. In the first place, it is clearly
illustrated in the events that opportunities embedded in the wider market and government structure and taken by
NMZ FC are always companied by challenges to existing institutions of the cooperative (cf. Giddens 1984), like the
preconditions to obtain governments’ project funding, consumers’ expectation, government.
As a collective actor made up by small farmers, NMZ FC’s capacity to mobilize financial and human resources is still
limited as shown though cooperative is expected to pooling recourses from members (Esman、Uphoff 1984). So it
absorbed resources from external actors, like government. To deal with consequent challenges from the structure,
it picks up elements from different institution stocks to reshape the cooperative institutions (Lévi-Strauss 1966).
Some elements, like mobilizing farmers through relative relations and influential people, do not endanger
cooperative institutions. Some elements, like the appointment of village committee treasurer as association
chairman, privatizing business in Beijing, do jeopardize the cooperative principles. However, the overall takeover of
cooperative by a few village cadres which was clearly against the principle clarified at the beginning does not
happen in one night, but in an incremental way in a series of sequential critical events.

This article provides insights on the dynamic institutional changes. It comes clear that FC principles are blended
with other institutional arrangements through the creative action of the leaders and members to catch the
opportunities and respond to the challenges from the social structures at the same time. The current institution of
FC is the product of compromised orders of worth and values of different actors involved, not only the farmers, but
also the government agencies, researchers, consumers and so on. Within the FC, elite-capture does not necessarily
mean elite control, because the leaders ‘power and authority are limited by the scale and stability of the networks
build through cooperative’s projects. In the interaction with external world, FC is able to access to opportunities
and resources embedded in structures by actively mobilizing actors who can span the boundaries and plug it to
external networks. However networking building cannot fully tackle the constraints imposed by the structures. In
the process of bringing different institutional elements together, actions taken by the FC are driven to different
directions by the inconsistent elements and lead to unintended outcomes in the FC institutional setting.
REFERENCES
BAKER T, NELSON E R 2005. Creating Something from Nothing: Resource Construction through Entrepreneurial
Bricolage. Administrative Science Quarterly [J], 50: 329-366.
BIJMAN J, HU D 2011. The rise of new farmer cooperatives in China: Evidence from Hubei Province [M], EAAE 2011
Congress: Change and Uncertainty; Challenges for Agriculture, Food and Natural Resources; Zurich,
Switzerland.
DENG H, HUANG J, XU Z, et al. 2010. Policy support and emerging farmer professional cooperatives in rural China.
China Economic Review [J], 21: 495-507.
ESMAN M J, UPHOFF N T 1984. Local organizations : intermediaries in rural development [M]. Cornell University
Press; Ithaca.
GIDDENS A 1984. The Constitution of Society. Outline of the Theory of Structuration [M]. Polity; Cambridge.
GUAN A 2005. From mutual help in kinship to modern cooperation - empirical analysis of moral aspects of farmers'
cooperation in China. Journal of University of Science and Technology of Suzhou:Social Science [J], 21: 48-
51.
GUO L 2001. Institutional Economics Analysis of Cooperative Institutions and Professional Association Practice.
China Rural Survey [J], year 2001: 36-48.
GUO L 2011. Farmer Professional Cooperative Needs Institutional Innovation. Rural Economy [J], 2011: 3-6.
HAN J 2007. Survey on Farmers' Cooperatives in China [M]. Shanghai Far East Publishers; Shanghai.
HU Y, HUANG Z, HENDRIKSE G, et al. 2005. Organization and Strategy of Farmer Specialized Cooperatives in China
[M], ERIM Report Series Research in Management. Erasmus Research Institute of Management.
HU Y, HUANG Z, HENDRIKSE G, et al. 2007. Organization and Strategy of Farmer Specialized Cooperatives in China
Economics and Management of Networks [M]. Physica-Verlag HD: 437-462.
HUANG J 2012. The Logic of Trust and Cooperative Reason in Rural Field:A Case Study on Zhaicheng Village. China
Agricultural University Journal of Social Sciences Edition [J]: 81-92.
L VI-STRAUSS C 1966. The Savage Mind [M]. University of Chicago Press
LONG N 2001. Development sociology : actor perspectives [M]. Routledge; London [etc.].

NUIJTEN M 1992. Local organization as organizing practices-Rethinking rural institutions [M] //N. LONG, A. LONG,
Battlefields of Knowledge-The interlocking of theory and practice in social research and development.
Routledge; London.
OSTROM E 1994. Constituting Social Capital and Collective Action. Journal of Theoretical Politics [J], 6: 527-562.
RAF 2004. Comprehensive Survey Report on FPA in China [M]. RAF Institute for Rural Development Beijing.
RONDOT P, COLLION M-H 2001. Agricultural Producer Organizations- Their Contribution to Rural Capacity Building
and Poverty Reduction [M]. World Bank; Washington, D.C.
TH VENOT L 2007. The Plurality of Cognitive Formats and Engagements: Moving between the Familiar and the
Public. European Journal of Social Theory [J], 10: 409-423.
WOLF E R 1990. Distinguished Lecture: Facing Power - Old Insights, New Questions. American Anthropologist [J],
92: 586-596.
XIONG W 2009. Unintented consequences of institutionalizing processes. Sociological Studies [J], 29: 83-109.
XU X, HUANG Z 2005. Current Trend of Farmer Cooperative Organizations in China: Institution, Legislation and
International Comparison. Journal of Zhejiang University (HUmanities and Social Sciences) [J], 35: 59-65.
YUAN P 2007. What is the difference between cooperatives initiated by local supplying and marketing cooperative
and dragon head enterprise? China Co-Operation Economy [J]: 41-42.
ZHANG L, HUANG J, ROZELLE S 2007. Farmer's Professional Associations in Rural China: State Dominated or New
State-Society Partnerships? [M]. Center for China Agricultural Policy; Beijing.
ZHANG M 2004. On the Cultural Condition for the Formation of the Cooperation in Countryside. Journal of
Huazhong Normal University (Humanities and Social Sciences) [J]: 35-37.

CHINA’S POPULATION PROBLEM: A SOCIOLOGICAL SURVEY OF 1900 SUBJECTS
NIE HAISONG
Tokyo University of Agriculture and Technology
E-mail: nie-hs@cc.tuat.ac.jp
ABSTRACT
By October 2011, the population of China represented 19% of the global population and regardless of the One-Child Policy,
continues to grow by 6 million every year. The strict One-Child Policy introduced in 1979, considered one of the greatest
environmental countermeasures against the population explosion, unarguably contributed to the efforts to manage the global
population problem. However, the sex ratio imbalance at birth, declining labor force, and rapidly aging population due to the
dwindling birth rate are examples of challenging issues with a major impact on Chinese society and which can all be attributed
to the very same One-Child Policy. The One-Child Policy was originally planned to take place over the course of one generation,
a 25-30 year span. At 33 years in, we are clearly at a turning point. Researching and evaluating the conditions in real time at
this turning point has a deep meaning for sociological studies. Thanks to Grants-in-Aid for Scientific Research from the
Japanese Government we were able to examine the challenges currently facing China and focused our research on 3 rural areas
and 2 urban areas. With the cooperation of 1500 subjects we looked at current living conditions and social security for the 60+
population. The project included both paper-based questionnaires and interviews with local people. We also surveyed over 400
subjects aged 50+ (August-November 2012) in urban and rural Beijing regarding their lifestyle and consumption yielding a
glimpse of their current situation as well as potential opportunities. For all the surveys, we were fortunate to work with many
local institutions in addition to universities.
Keywords: China, Aging, Problem, Senior Care Industry, Challenges and Opportunities
INTRODUCTION
Defining an Aging Population
The benchmark indicator most frequently referred to is the “old-age dependency ratio” established by the UN in
1956. According to this ratio, a country becomes an “Aging Society” when the percentage of the elderly population
reaches 7%, an “Aged Society” at 14% and a “Super-Aged Society” when it exceeds 21%. Basically, as the old-age
dependency ratio increases, the aging of the society also increases. In order to make comparisons worldwide, 65
has been accepted as the definition of elderly. However, in the 1980s, population aging, a problem found primarily
in developed countries, became a problem found in developing countries, too. In the 1982 UN World Assembly on
Ageing held in Vienna, many expressed strongly that the definition of elderly in developing countries should be 60.
As such, both countries where the 60+ population exceeds 10% and countries where the 65+ population exceeds
7% are labeled ageing societies.
In China, 65 has become widely used in recent years in order to make international comparisons. However,
according to Chinese law, 60 is the age of retirement and also when people begin collecting pension payments.
Therefore China uses both 60 and 65 to define the elderly population. As such, both age 60 and 65 where used for
this research.
Causes and Current Trends of China’s Aging Population
By the end of 2013, Mainland China’s 60 and over population (excluding Hong Kong, Macao and Taiwan)
represented 14.9% of the entire population at 200.243 million. The 65 and over group made up 9.7% of the
population at 131.61 million, a number exceeding the entire population of Europe making this group alone equal to
one of the largest countries (Source: National Bureau of Statistics of China 2.24.2014 “Statistical Communiqué
of the People's Republic of China on the 2013 National Economic and Social Development”) . From the
international perspective, the results of China’s rapid economic development and lowered birth rate are
remarkable. In the next 20 years the population growth will come to a standstill and in 40 years India will overtake

Nie Haisong
China as the world’s largest population. However, every year, China’s 60 and over population continues to increase
by 8.6 million. According to the 2012 UN population projections, the number of 60 and over in China will exceed
300 million by 2027, 400 million by 2045 and reach 454.36 million in 2050 (32.8% of the population, or 1/3 people).
China’s 65 and over population will represent 14% of the total population by 2026 making it an Aged Society. By
2040, the 65 and over population will reach 316.72 million (21%) making it a Super-Aged Society. Interestingly, the
80 and over population increases at a rate of 1 million every year. Projections for the 80 and over population are 28
million by 2025 (10.1% of China’s elderly population) 90 million by 2050 (10.1% of China’s elderly population) and
100 million by 2055.
Figure 1. Population by Age Groups:1950-2100

Source: Population Division of the Department of Economic and Social Affairs of the United Nations Secretariat, World Population Prospects:
The 2012Revision
An aging population is not unique to China. For example, Singapore is expected to make the transition into an aging
population within a 16 year span and Korea within an 18 year span. Japan is already an aging population and made
the transition in a 24 year period.
Two baby booms (1953-1957 and 1985-1991) are the cause of the aging population which will experience two
peaks as these baby boomers become elderly (2013-2017 and 2022-2033). Additionally, the population momentum
from the second baby boom resulted in a third baby boom (1985-1991). These baby boomers will become seniors
in 2045-2050 at which time the level of again in China is expected to peak.
Aging in Rural Areas

According to the 2000 Census, unlike the aging population in rural Japan, China’s aging population was especially
apparent in major cities where the one-child-policy was strictly enforced. In Shanghai, for example, the 65 and over
population represented 11.5% of the population whereas the total population of 65 and older was only 6.9%
nationwide. By the 6th census in 2010, the 65 and older population rate (nationwide 8.9%, 119 million) soared in
major cities such as Shanghai (11.7%) and Beijing (10.1%) where population migration was noticeably high. The rate
in Guangdong province where so many young people from rural areas gather was 6.8%. In contrast, the 60 and
older population in rural areas was 15.4%, 2.1% higher than the 13.3% nationwide rate. The sudden and rapidly
growing number of workers migrating out of rural areas is clearly connected to the rapidly growing rate of aging in
rural areas. Like Japan, China’s rural areas are rapidly aging.
The difficulties facing China as the population Ages
The aging population is without a doubt one of the greatest concerns for the process of socioeconomic
development in 21st century China. The changes brought about by the aging population will have profound
ramifications on the overall society, economy, culture and lifestyle.

Nie Haisong
In addition to the rapid rate of aging, the internal make-up of this population group including elderly 75 and over,
elderly who cannot live without assistance, elderly suffering from chronic illnesses, empty-nest elderly whose
children have moved out, and orphaned elderly parents whose children have already passed away will further
increase the severity of the impact of the aging population （Dong，Zhai 2013：3). Further, unprepared elderly
or those who grew old before they had prepared properly for their golden years are increasing daily. China’s elderly
are struggling with poverty, illness, and deterioration and facing difficulties with senior services, care services and
mental care. In 2011, the government announced the 12th Five Year Plan (2011-2015) which introduces a new
policy allowing central and local governments to actively seek and/or promote an increase in private capital to help
grow the senior care industry and related industries.
Research Questions and Purpose
As mentioned above, the aging population issue is not unique to China. However, we can’t find a model outside of
China for how to deal with an aging population of this magnitude. It can’t be overstated how this will have a major
impact on the economy and society. Among the questions which must be considered are:
 What kinds of income or financial resources are available?

 What social welfare programs or assistance are available?
 Can elderly afford to see a doctor when they need one?
 Does the hospital take insurance?
 Are systems and facilities in place to meet the needs of the elderly?
 What challenges and opportunities are available to the elderly?
 If the aging population in rural China is already facing difficulties, what can we do to help them now and
prepare for the increasing demands of the future?
We need to develop solutions that both meet the current conditions in China and support the future demands of
elderly care. Before a plan for how best to support the elderly can be created and deployed, a clear indication of
the current situation and especially the difference between urban and rural areas must be fully grasped. The
purpose of this research therefore is to examine the current living conditions of the elderly in China and identify the
consumer reality of the senior care industry, the services the industry provides to support elderly lifestyles and the
market trends.
THEORY AND METHOD
Previous Studies
In recent years, research focusing on social issues related to China’s aging population has gained attention including
how people are aging before they have financial resources (Cai 2012：7‐23), or before they are prepared (Li
2013：225‐231), regional differences (Du, Wang 2010：3‐10), impacts on the economy(Bao 2012：1‐7), old-
age pension and rural pension (Tian 2013：307‐358), policies (Li, Zhang 2009：1－242), aging styles (Tian
2007a：174‐177) and elderly services (Liu 2012：104－112).
Population (Tian 2007b), society (Tian 2007c) and the economy (Tian 2007d) have also been researched from the
perspective of the aging population in China. Substantiative research has been conducted on different aspects of
the elderly including elderly left living alone while their children work (Sun 2010：203‐212), empty-nest elderly
(Zhang，Sun，Mu 2010：181‐20) the elderly care risks in one-child families (Pan 2009), nursing homes (Xi 2010),
welfare services (Wu 2009), and the relationship between community activity and mental care (Zhang 2009).
However, a quantitative sociological survey of the challenges and opportunities facing the aging population in China
comparing rural and urban areas has not been done. Therefore, this study specifically looks at the current living
conditions of the elderly, the important role the silver industry plays in alleviating any problems and the consumer
reality and market trends of the industry.

Nie Haisong
Data and methods
To gain an understanding of the challenges facing China, we conducted surveys in 3 rural areas and 2 urban areas.
With the cooperation of 1500 subjects we looked at current living conditions and social security for the 60 and over
population. The project included both paper-based questionnaires and interviews with local people.
Table1: Breakdown of Surveys by Location
To gain an understanding of the potential opportunities, we also surveyed over 400 subjects aged 50 and older
(August-November 2012) in urban and rural Beijing regarding their lifestyle and consumption with the cooperation
of related organizations. The 476 subjects interviewed were drawn from four districts in Beijing as Beijing is the
benchmark in terms of population structure, economic development, medical and social support. The survey
focused on their basic conditions, financial situation, health and medical conditions, living circumstances and
consumption.
RESULTS
Challenges - Personal Finances & Social Security for Seniors
One important difference we found between urban and rural areas lies in the sources of income. In addition to any
personal savings or assistance from their children, people in urban areas are guaranteed to receive pension on a
monthly basis. The average monthly income including all sources of income is 1,481.6 CNY in Shanghai and 1,921.1
CNY in Beijing. In rural areas however, people are primarily dependent on income from their own labor. It is
important to note that farming and other labor intensive work does not necessarily provide income on a monthly
basis. Furthermore, although the pension system has changed in rural areas and people are eligible to receive
pension payments, in reality they often do not. Therefore, annual rather than monthly income was measured.
Including all sources, average annual income is 12,488.1 CNY in Hunan, 12,886.8 CNY in Hainan and 7,642.8 CNY in
Inner Mongolia.
In urban areas over 90% of the respondents enrolled in the social security system receive pension payments with
only 3 out of 600 respondents reporting they do not. In stark contrast, 55-91% of rural respondents are not
receiving payments. Furthermore, in Inner Mongolia, 24.3% are receiving the Rural Minimum Life Security because
they are at the poverty level and without it cannot survive. In comparing expenditures, it is readily apparent that
people in rural areas can only afford basic necessities whereas people in urban areas have money to spend on

Nie Haisong
clothing, internet and entertainment. Similar to pension, medical insurance coverage is markedly different
between urban and rural areas. In urban areas, over 85 percent of the seniors make use of the urban personnel
medical insurance to pay for their medical expenses. Less than 2% use personal funds. In rural areas, most seniors
depend on their children, relatives or personal cash to cover medical expenses and very few use the medical
insurance. More than 30% reported they use personal funds to cover medical expenses.
How the New Rural Cooperative Medical Insurance is perceived clarifies why elderly in rural areas are not using the
medical insurance more First, although many people are enrolled and are aware of the insurance, many are unsure
about the background behind the program and how to use it. Moreover, there are many obstacles in using the
insurance. The prime obstacle being that insurance is not accepted at most private clinics. Though the New Rural
Cooperative Medical Insurance was established to provide social security for the aging population in rural areas, it
is not functioning effectively and people must depend on their children or pay out of their pocket for medical
expenses.
Opportunities：Consumption and Market Trends in the Senior Care Industry

Whenever a new plan or policy is introduced by the central government, Beijing is where it is typically first put into
practice. Based on Beijing’s example, then each region in turn initiates the policies according to the relative
conditions of their region. However, it’s been noted that the farther away from Beijing, the longer it takes for the
new initiatives to be established and the greater the variances. Therefore, because it is so important to gain a clear
understanding of the consumers and market trends, we chose to conduct a substantive sociological study in Beijing.
Table 2 shows the results of surveying the 50 and older population in Beijing divided into seven categories –
medical exams, vitamins and supplements, home medical equipment, sightseeing, continuing education for seniors,
finances, nursing-care services. The medical exam results were particularly content-rich and will be the focus of this
paper.
Table2. Consumption & Market Trends for Beijing’s 50 years and older Population
Medical Exams
The results of the study regarding Medical Exams were extremely valuable. Generally speaking, the subjects have a
medical exam once a year and obtain information about the exam from their community or employer. The majority
of the subjects recognize that medical exams have an effect on their health. 86.2% said they have a positive effect.
58% indicated that while although the exams helped them ascertain their current physical condition and get
warnings signs and or preventive measures, the exams did not lead to improved health. 28.2% indicated the
medical exams play a vital role in ascertaining their current physical condition and early disease detection.
The study revealed a difference in how the medical exams are perceived in urban and rural areas. Only 5.8% of the
respondents from urban areas indicated they were unsure about the role of medical exams compared with 12.3%
from rural areas. We also found a correlation between age and understanding of how the medical exams can have
a positive effect on health. Basically, the older the respondent, the less they recognized the importance of the
exams. 91.2% of the 54 and younger indicated the exams have a positive impact on their health. 82.8% of the 70-74
year old group, 76.7% of the 80-84 year old group and 37.5% of the 85 and older group answered the same. Based

Nie Haisong
on these results, we can predict a growing demand for medical exams in the future as the current younger
generation ages. In addition, promotion of the medical exams should be focused in rural areas and towards the 50
years and older population.
For the purpose of this study consumption refers to the use of industry-related products in 2011 and the potential
consumption by the elderly of these products.
a) Medical Exams - Current Consumer Conditions
On average, elderly have 1.06 medical exams per year and the majority listed hospitals as their chosen facility.
60.3% of respondents had a medical exam in 2011. The urban area was slightly higher at 61.0% and the rural area
reported 58.2%. Regarding the cost of medical exams, 250 people from urban areas and 78 people from rural
areas responded. Of those who reported their medical exam was not zero, 78 were from urban areas and 13 were
from rural areas. Based on these 91 respondents we calculated the total costs for medical exams and the portion of
which the respondents themselves must pay. Based on these calculations we found the average cost of medical
exams for elderly in Beijing is 984.8 RMB but 1067.4 RMB in urban areas which is 488.9 RMB higher than rural
areas. Although the total cost was different between urban and rural areas, the amount the elderly themselves
must pay was over 450 RMB for both groups.
Based on the above results we estimated the size of the senior care market industry for the 50 years and older
population to be 2.98 billion RMB: 984.4 RMB (Average medical exam cost in 2011) x 5,011,712 (50 years and older
population in 2011) x 60.3% (percentage of people who had a medical exam in 2011). As for the facility, 76.9% of
the 294 respondents reported they go to hospitals for the exam and 13.6% chose facilities devoted to medical
exams. In addition, 4.1% and 5.4% of respondents reported they go to their employer’s in-house health clinics or
local public health centers respectively.
Overall, 37.8% of elderly reported they are prompted by their employer to get an exam and 32.3% by their
community while 27.5% are self-motivated. The results showed a marked difference between urban and rural
areas. 48.4% of respondents from urban areas reported they were prompted by their employer and 31.7 % were
self-motivated. In rural areas, only 14.3% were self-motivated to get a medical exam and 80% were prompted by
their community. In terms of satisfaction, there was no major difference between urban and rural respondents.
73.7% of the overall respondents reported they were satisfied with the medical exam. 19.5% reported it was
average and 6.9% were unsatisfied.
b) Medical Exams – Potential Demand
Overall, 86.4% of the elderly responded that they want to have a medical exam compared with 15.4% who have no
intention of getting a medical exam. Their main reasons were “I’m healthy right now so I don’t need an exam,” or “I
can’t afford and exam.” The results also show that where respondents currently go for their exam resembles the
responses they gave for where they would go in the future. 75.6% intend on using hospitals while 17.1% report
they will use facilities dedicated to medical exams. The important point to note here is that while only 13.6%
previously chose facilities devoted to medical exam, 17.1% (21.2% in urban areas) responded they would use a
facility devoted to medical exams in the future, an increase of 3.5%. From this we can presume that the type of
services or needs elderly are expecting include medical advice and treatment.
Looking at the cost of the medical exams reveals a high degree of consumer confidence among the elderly. By
2020, it is expected that the average personal cost for a medical exam will 641.7 RMB 41.7% higher than the
current average of 453.0 RMB. From this we can estimate the medical exam market size for the 50 years and older
population in 2020 to be over 9 billion RMB: (2020 personal cost of medical exam, 641.7 RMB, divided by 2011
personal cost of medical exam, 453.0 RMB) x 984.4 RMB (Average medical exam cost in 2011) x 7,285,159 (50 years
and older population in 2020) x 84.6% (percentage of people predicted to have a medical exam in 2020) x 1.06
(average number of annual medical exams per person) = 9.11 billion RMB.
This estimate is based on three assumptions. 1) The current percentage of consumers is equal to the future
percentage of users. 2) The current consumption possibility of the medical exam is equal to the future consumption
possibility. 3) The population will equal the Beijing’s Department for Elderly Care predictions for 2020. The medical

Nie Haisong
exam market size estimate does not take into account future changes in pricing, consumer income, demand or
other factors. However, it is considered a viable method to predict the future development of the market.
c) Characteristics of Medical Exam Consumers
We compared the characteristics of medical exam consumers both existing and potential from five angles – place
of residence, age, sex, education level, and income. The results show that residence, education level and income
influence whether or not a person takes a medical exam and their intent to do it in the future. More specifically,
the percentage of people intending to get a medical exam is higher in urban areas than rural areas. People with
higher levels of education are more likely to get a medical exam than people with lower levels. Further analysis
indicated that the differences between the growth potential and current consumption level for each income level
do not correspond. For example, although the current and future levels of consumption are highest in the highest
income bracket (38,401 RMB), the growth potential in the medical exam industry is only 14.6%. The growth
potential for the 10,801-24,000 RMB income bracket is 32.1%. These results indicate the necessity for the medical
exam industry to define the consumer level and analyze the current and potential increase.
DISCUSSION AND CONCLUSION
Models of Elderly Care
Home care, community-supported care and institutional care are the three models of elderly care found in China.
Home care is the traditional model and still plays a leading role. Alongside economic development however, the
declining birth rate and aging population have grown serious placing the burden of care on fewer people. “421” is a
recent new term for adult children of the One-Child Policy generation who marry each other. The 4 refers to the
married couple’s parents, the 2 is for the married couple and the 1 is for their own child. This upside down pyramid
of dependency is becoming a common family structure and weakens the traditional model of elder care. The
socialization of caring for the elderly is a new and serious social issue.
In order to better support the three models of care, the Chinese government proposed the “9073” system which
promotes providing services and support for seniors with the understanding that 90% would be cared for at home,
7% could receive support from community services and 3% would be placed in nursing homes. Communities have
made great efforts such as establishing senior care centers and training programs for caregivers to achieve this goal
by 2015.
Current Conditions and Issues Facing the Industry
Heretofore, the Central Government and related departments lead the way in establishing policies and expanding
care services for elderly. Now, local governments are establishing services based on the national plan and adjusting
them to each region’s economy. According to the government plan, elderly care services were to be established
first in urban areas and then spread in stages to rural areas. Currently, the financial condition in rural regions has
not made this possible and the services have primarily developed in urban areas. Even so, since the government
has made strides in socializing and expanding the elder care service industry, private sector contributions have also
increased.
In urban areas the private sector has begun introducing a variety of new services. Rural areas however lack
infrastructure and therefore enjoy less development from the private sector. This is disturbing considering the gap
between the elderly population in rural and urban areas. As of the end of 2011, nearly 60% of China’s total elderly
population resides in rural areas. 16.3% of the population in rural areas is elderly, 5% higher than in urban areas.
Moreover, the younger generation’s tendency to leave home for work is accelerating the aging of the population in
rural areas. As both the government and private sector continue to expand services, several new issues have come
to light. 1) Related departments or systems are unready and the local government systems are inadequate. 2)
Financing is disproportionate and urban areas do not have enough facilities to meet the demand. 3) Existing elder
care facilities are underdeveloped. 4) There is a lack of trained professionals.
In recent years, the government has increased funding and made great strides overall regarding the pension
system, medical insurance, and welfare services for elderly and at the same time increased the percentage of the

Nie Haisong
budget set aside in rural areas for old-age insurance and dedicated funding specifically for the care of the elderly.
The private sector has also expanded services by making use of subsidies for private sector managed care facilities
and preferential measures for acquiring property.
China’s elder care service market, part of the world’s largest consumer population, is influenced by lack of funding
from related fields, lack of trained professionals, lack of understanding about elder care itself and lack of policy
support and therefore lags behind. There is a massive potential market and yet demands both soft and hard are
overwhelming the supply and the reality is that China cannot keep up with the needs of the aging population.
ACKNOWLEDGMENTS
First, from China, I would like to thank the institutions and related organizations, their staff, as well as the
universities and their faculty and students who helped make this study possible. Second, I would like to give my
heartfelt thanks for the three grants which made this study possible. The section regarding challenges conducted in
Shanghai was supported by the 2008 Research Grant of the Japan Securities. The surveys conducted in Hunan,
Hainan, Beijing and Inner Mongolia were supported by the 2008-2011 Scientific Research (B) (Overseas Academic
Research) of Grants-in-Aid for Scientific Research (#20402036). Both grants were awarded to Professor Keiko
Wakabayashi and I am grateful she allowed me to participate in the research. Finally, the section regarding
opportunities conducted in Beijing was supported by the Funds for the Development of Human Resources in
Science and Technology.
I also want to give special thanks to the staff of the Shanghai Academy of Social Sciences for their help conducting
the survey. Finally, I want to give my deepest appreciate to both my family living in
Zhuozhou City, Hebei Province, China for their ongoing support and love and to the many people in Japan who
have supported me.
REFERENCES
Bao Yu-xiang, “Analysis of the Effect of Population Ageing on Regional Economic Development: Basing on the
Model of Neoclassical Economic Growth”, School of Economics 1：1‐7.
Cai Fang 2012, ‘Demographic transition, Demographic Bonus and Lewisian Turning Point’, Cai Fang “whether
China crossed the Lewis turning point”, Social Sciences Academic Press,7‐23.
Dong Pengtao, Zhai Dehua, 2013, ‘Elderly population actively Applied Producers of becoming the center of the
Strategy deployment’, Wu Yushao “Blue Book of Aging: CHINA REPORT OF THE DEVELOPMENT ON AGING
CAUSE 2013 “Social Sciences Academic Press, 1‐24.
DuPeng, WangWulin, ‘The Difference of Urban and Rural Ageing and Its’Transition’, “Population Research”,
Center for Population and Development Studies & Institute of Gerontology, Renmin University of China, 2：3‐
10.
Li Bin, Zhang Kaiti, 2009, “The Study on aging Public in China ”, China Social Press
Li Jiangbo, 2013, ‘Advancement of Aging Population Studies’, Wu Yushao “Blue Book of Aging: CHINA REPORT
OF THE DEVELOPMENT ON AGING CAUSE 2013 ” Social Sciences Academic Press, 225‐231.
Liu Xiaomei, 2012, ‘The Situation and Path Selection of China’s Social Support System for the Elderly’,
“Population Research”, Center for Population and Development Studies & Institute of Gerontology, Renmin
University of China, 5：104-112．
Pan Jinhong, 2009, “Study on the Risk in the Support for the Elderly in One-child Family ” China Social Press
Sun Juanjuan, 2010, ‘Sociological Perspectives on the Aging of Rural Areas’，Ye Jinzhong,He Congzhi,Lv Huifan,
“Left-behind Population in Rural China”, Social Sciences Academic Press：203‐212.

Nie Haisong
Tian Xueyuan, 2007,Reasearch of Chinese Population Development strategy in 21th Century, Social Sciences
Academic Press
Tian Xueyuan, 2007b, “The Senior Citizen in China(Population)”, Social Sciences Academic Press
Tian Xueyuan, 2007c, “The Senior Citizen in China(Social)”, Social Sciences Academic Press
Tian Xueyuan, 2007d, “The Senior Citizen in China(Economy)”, Social Sciences Academic Press
Tian Xueyuan, 2013, “China‘s Population Aging and Risk ‘Middle Income Trip’” Social Sciences Academic Press
Wu Canping, Wan lin, Miao Ruifeng, 2003, ‘Scaning the Chinese of Population Policy of China from World
Population During a Hundred Years(1950-2050) “Population Research” ’, Center for Population and
Development Studies & Institute of Gerontology, Renmin University of China, 4：6‐12.
Wu Xiaolan, 2009, “Research on Well-being Status of Rural Elderly in China”, China Social Press
Xi Mina, 2010, “Tale from a Nursing House ” China Social Press
Zhang Kaiti, 2009, “Study on Social Activity and Mental State of the Elder in Urban/Rural China ” ,China Social Press
Zhang Kaiti, Guo Ping, 2009, “Study on Social Activity and Mental State of the Elder in Urban/Rural China ” ,China
Social Press
Zhang Kaiti, Guo Ping, 2009, “Blue Book of Population Aging and Elderly” ,China Social Press
Zhang Kaiti, Sun Lujun, Mouxinyu, 2010, ‘Empty-Nest Elderly in Rural China’, Ye Jingzhong, He Congzhi, Wu
Huifan, “Left-behind Population in Rural China”, Social Sciences Academic Press：181‐202.

POVERTY-AGRICULTURE INSTITUTIONAL NEXUS IN INDONESIAN RURAL AREA
Muhammad Arsyad
Department of Socio-economics of Agriculture/Agribusiness,
Faculty of Agriculture, Hasanuddin University, Indonesia
arsyad_uh@yahoo.com; arsyad@unhas.ac.id).
Andi Nuddin
Department of Socio-economics of Agriculture
Faculty of Agriculture, Muhammadiyah University of Parepare
Sitti Bulkis
Department of Socio-economics of Agriculture/Agribusiness
Faculty of Agriculture, Hasanuddin University
Syarifuddin Yusuf
Department of Economics and Development Studies
Faculty of Economic, Muhammadiyah University of Parepare
ABSTRACT
Poverty-agriculture institutional nexus still becomes serious issue in developing countries and Indonesia is no exception, especially for cocoa
smallholders development. Poverty trap for cocoa smallholders is a result of: (i) low quality of human resources, (ii) lack of agricultural assets,
(iii) lack of access to social facilities, information and communication, and (iv) lack of income gained in economic activity. All this, however,
cannot be separated of the weak role and inter-agency coordination, indicating the weak of smallholders institutional. By employing an
Interpretative Structural Modeling (ISM), the research objectives are; (i) identifying the role of institutions in agriculture institutional, (ii)
assessing the interest of education and training materials in smallholder development. The central point of ISM results show that, (i) Local
Office for Forestry and Estate (Hutbun), (ii) Local Field Extension Officer for Plantation (PPL), and (iii) Marketing Institutions are the key
institution actors in strengthening institutional of cocoa smallholders. This leads us to argue that maximizing the role of Hutbun, PPL, and
Marketing Institutions could help agriculture institutional development, improving welfare of smallholders in other words. Similarly, the role
of education and training is also needed in helping smallholders. ISM results revealed that, materials set of (i) post-harvest management, (ii)
marketing, and (iii) provision of agriculture inputs are the key elements in educating smallholders. An important implication of this finding is
that, introducing intensively these three materials in educating and training smallholders could become a potential way to break poverty-
agriculture institutional nexus in rural area.
Keywords: agriculture institutional, cocoa smallholders, interpretative structural modeling
RATIONALE
Poverty-agriculture institutional nexus still becomes serious issue in developing countries and Indonesia is no
exception, especially for cocoa smallholders development. Poverty trap for smallholders is a result of: (i) low quality
of human resources, (ii) lack of agricultural assets, (iii) lack of access to social facilities, information and
communication, and (iv) lack of income gained in economic activity. All this, however, cannot be separated of the
weak role and inter-agency coordination, indicating the weak of smallholders institutional.
Libecap (2011) gave an important example in agriculture, that the irrigation expansion required investment in
infrastructure for capturing, storing, and delivering water, facilitated by institutional adaptation through new water
rights and new water supply organizations. Even in theoretical ways, Beckert (1999) identified that, one of the
persistent problems facing institutional organization theory has been the question of how to deal with interest-
driven behaviour and institutional change. If organizational structures and strategies are shaped by institutional
environments, what is the role of `strategic choice' in the management of organizations? Therefore, there is no
doubt as Parada, Nordqvist & Gimeno (2010) depicted that institutional champion bridges the gap between micro-
level change [as their case, at the firm level] and the professional association’s macro-level discourse.
In fact, many institutions are not institutionalized. This becomes a principal reason to identify the role of
institutions in strengthening institutional of cocoa smallholders as a puzzling current issue. The issue is also
examined by Nuddin (2007) in his research on watershed institutional that, the main cause of poor performance of
the coordination functions between agencies is a very weak cooperation commitment of government official in the
region and agency coordination ambiguity. Empirical results conducted by Jari & Fraser (2009) in South Africa

Muhammad Arsyad, et al
persuasively show that, market information, expertise on grades and standards, contractual agreements, social
capital, market infrastructure, group participation and tradition significantly influence household marketing
behavior. The next important factor in identifying poverty (welfare, in other words) is access to information for
the poor. The study conducted by the CRIEC-World Bank (2002) in Indonesia reveals the importance of information
availability. It was found that 30% of the households surveyed receive an income just sufficient for food
requirements. The poor are usually farmers who lack assets, both land and equipment as well as information
(market, technology, capital and business opportunity).
The World Bank classified the main factor that determines the gap between the poor and the rich, namely access
to information. This is one finding. Another interesting finding is from Kawamura’s study (2002) on the causal
factor of poverty in South Sulawesi, Indonesia, by using an index “Transportation and Communication”. He found
that “Radio Communication Access” has no statistically significant path coefficient (β weight) in relation to the
“Lowest Income Level” as a poverty proxy in his study, meaning there is no direct impact on poverty. However,
“Radio Communication Access” shows a significant β weight in relation to the “Dependency on Agriculture” as one
of the intermediate variables in his work. Thus, “Radio Communication Access” will eventually have an indirect
impact on “Lowest Income Level” or poverty through the variable “Dependency on Agriculture”.
Two studies above lead to clearly state how important information accessibility is (Arsyad & Kawamura, 2009;
2010) in bridging smallholder institutional towards their welfare or real income increasing in the future. However,
it is also important to emphasize that, the direction and level of changes in real incomes brought about by
structural adjustment are determined by a variety of factors, including sources of income (Sahn & Sarris, 1999)
both agriculture and non-agricultural economic activities as crucial dimension in improving smallholder social life.
Another crucial thing in identifying a possible path to strengthen agriculture institutional is educating smallholders
to have good skill and marketing aspect as well. Therefore, a linkage between smallholders and training for
technical aspect of farm management as well as marketing cannot be neglected. A study conducted by Chibanda,
Ortmann & Lyne (2009) revealed interesting results. It centers the impact of institutional and governance factors
on the performance of 10 smallholders agricultural cooperatives. They persuasively show that, the performance of
selected smallholder cooperatives is influenced by institutional and governance problems. Institutional problems
give rise to low levels of equity and debt capital, reliance on government funding, low levels of investment, and
subsequent loss of members. Governance problems are strongly linked to the absence of secret ballot, low levels
of education, lack of production and management skills training, weak marketing arrangements and consequent
low returns to members as patrons or investors.
It is also facts that with many reasons, education system is not currently supporting the development of agriculture
industry (Alam et al., 2009). Therefore, on the job training by providers could become essential way to lead
smallholders have good skill in agriculture, provision strategy of input and marketing aspects in rural agriculture.
Given the current situation, a weakness of smallholder institutional, less education and important training
materials for smallholders becomes serious issue as revealed by some studies above. Therefore, it is really
necessary to construct the research on Poverty-Agriculture Institutional Nexus. Two specific purposes of the
paper are; (i) identifying the role of institutions in institutional of cocoa smallholders, (ii) assessing the interest of
education and training materials in smallholder development.
METHOD
Data Collection
To achieve the objectives, it is necessary to have primary data (qualitative). The stages of data collection activities
carried out are shown in Table 1.
Determining Elements and Sub-elements
There are two elements used in the analysis; (i) institutions actor in strengthening institutional of cocoa
smallholders, (ii) education and training materials are needed to develop smallholders. Each element is derived
into sub-elements by considering: (1) research objectives, (2) analytical models, and (3) the results of experts /
practitioners consultation, including officials relating to the institutional organization of cocoa smallholders. To

identify the role of institutions and training materials required by position of respective interests, the analysis
involves 20 sub-elements of institutions, and 14 sub-elements of training materials (Figures 2 and Figure 3).
Table 1. Primary data gathered during the study.
Nu Data Characteristic Function Sources

1 Information Institutions as actors in To identify and Interview with
about institutions strengthening institutional of determine the role of respondent
in strengthening cocoa smallholders, according to institutions in
institutional of the position: independent, strengthening
cocoa linkage, dependent, autonomous institutional cocoa
smallholders smallholders
2 Information Level of interest of education and To identify and Interview with

about the training materials for cocoa determine the respondent
position / level of smallholder development, interest of education
interest of according to the position: and training
education and independent, linkage, dependent, materials for
training materials autonomous smallholders
for developing development
smallholders
Preparing Questionnaire
The questionnaire used in the research consists of two series (A and B), which is based on the research objectives.
The number of questions in the questionnaire as follows; (i) Series A has 190 questions, and series B has 105
questions (Table 2).
Table 2. The Number of Questions Each Element by Data Characteristics

Number of Number of
Element*) Data Characteristics
Sub-element Question
Institutions actors in strengthening institutional of cocoa
A 20 190
smallholders
Training materials needed in developing cocoa
B 14 105
smallholders
*A is an element (variable) of institutions actors and B is an element of education and training materials
Sampling
The research employed an expert system approach (Eriyatno, 1999) using a survey method by purposive sampling
technique with the provisions of representing personnel in the fields/institutions respectively. The number of
experts/practitioners in the sample was 18 people who have a high level of understanding, controlling, and/or
directly involved in the field of cocoa plantations task. The 18 individuals sample was distributed, 9 people in Sidrap
District (West Sulawesi) and 9 people in Polman District (West Sulawesi), Indonesia.
Data Processing and Analysis Method
The research used an Interpretative Structural Modeling (ISM) in analyzing data/ information on both (1) the role of
institutions, and (2) training material interests in strengthening institutional of cocoa smallholders. There are four
subsequence step undertaken in the analysis (see Figure 1) as follows; (i) constructing a Structural Self‑Interaction
Matrix (SSIM) by using a questioinnaire tabulation, (ii) arrange a table of Reachability Matrix, by replacing the
symbols V, A, X, O in the questionnaire with numbers 1 and 0, (iii) Compiling a Matrix Driver Power Dependence
(DPD), consists of four quadrants as presented in Figure 2 and Figure 3, (iv) constructing a Structural Model of each
element.
Based on the Matrix Driver Power Dependence (Figures 2 and Figure 3), it can be specified the interest of each sub
-element, through four positions; (i) Autonomous Position, indicating the sub-element that is not related to the
development program of smallholders, (ii) Dependent Position, indicating the sub-element that has a low
contribution in development program and depends on the other sub-elements. Therefore, a sub-element in this
position is not so important in relation to the program, (iii) Linkage Position indicating the sub-element that is very
important and should be studied carefully, because their relationship to the other sub-elements is unstable. Any
action on a sub-element will send an impact on this sub-element, and its feedback effects can enlarge and/or
create impact and/or new problems. In other words, every action in the sub-elements (linkage position) will result
in success, whereas lack of attention to the sub-elements will lead to failure, (iv) Independent Position, indicating
that the sub-element in this quadrant is independent variable, that have a high driving force (driver power),
however, having a low dependency on the other sub-elements.
PROGRAM
Program to planning
Element to sub-element
Contextual Relationship among sub-elements
Construct SSIM Each Sub element
Form RM Each Sub-element
Matrix Test with Transitivity Rule
No
OK ? SSIM Modification
Yes
Define Level via Explaining RM to Lower Tringular Fixing DP and D each sub-
Grouping RM Format element
Defining Rank &

Hierarki of Sub-element
Construct Diagram of
Determining Driver-
Lower Tringular RM
Dependence Matrx
Ploting sub-element on
four sectors
Constructing ISM Each

Element Classif. Sub-element on four
cathegoric variable
Figure 1. Flowchart of Interpretative Structural Modeling
Source: Eriyatno (1999)
To be more precise position of each institution in contributing to cocoa smallholders development, 19 institutions
are represented in a Matrix Driver Power - Dependent (DP-D), shown in Figure 2.

R
20 Q
C
19 M T B D
18 G
17 Independent Linkage
16 N S E
15
14 H P
13
12
11 K F
10
9
8 J
7 I
6 A
5 Autonomous Dependent
4
3 O
2 L
1
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
Figure 2. Position of institution in strengthening smallholders development

Note: I = International Cocoa Organization Q = Extension Officer (PPL*)
A = Regional Development Board (ICCO) R = Marketing Institution*)
B = Agriculture J = Indonesian Cocoa Association S = Home Industry
C = Forestry and Estate*) K = Farm Partners Superv. (PMT) T = Transport Business Services
D = Industrial and Trade L = Non-Government Organization
E = University M = Farmers Group/FG
F = Environment Agency N = Joined FG (Gapoktan)
G = Banking O = Brokers
H = Cooperative P = Traders/Collectors
*indicates a key institution in the analysis
14 IJ A
13 D N
12 F
11 Independent Linkage
10
9 H K
8 E C
7 G
6 B
5
4 Autonomous Dependent L
3
2 M
1
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14
Figure 3. Position of material interest in educating and training smallholders for agriculture
Note E = Technique of making/utilizing J = Marketing*)
A = Provision of agriculture input *) organic fertilizers K = Cocoa farming institutional
B = Seeding F = Trimming and Sanitation L = Farm financial management
C = Planting/contour strip cropping G = Replanting/rejuvenation M = Farm accounting
D = Management and plant H = Plant rehabilitation N = Access to capital resource
maintenance I =Post-harvest management and
fermentation*)
*indicates a key institution in the analysis

The Role of Institutions in Strengthening Smallholders
ISM analysis results show that, of the 20 sub-elements (institutions) in the analysis, 15 sub-elements are
institutions that play an important role in strengthening institutional of cocoa smallholders. Three out of 15
institutions, have a high driver power in developing smallholders program (DP> 0.50), and these institutions have a
low dependency on the other institutions (D ≥ 50) (see Table 3). Furthermore, there are 12 institutions have both
driver power and dependency on strengthening institutional of smallholders. Table 3 also shows that among the
15 institutions, there are three of them that act as key institutions, namely: (i) Local Office for Forestry and Estate
(called Hutbun), (ii) Extension Service Officers for Plantations (PPL), and (iii) Marketing Institutions. In addition,
there are five other institutions have a very weak contribution to the cocoa smallholders development (DP ≤ 50),
namely (i) Regional Planning Board- (Bappeda), (ii) Non-Government Organizations (LSM), (iii) International Cocoa
Organization (ICCO), (iv) Indonesian Cocoa Association (Askindo), and (v) Brokers. These five institutions have a
high weight dependent (D> 50). It means that, these institutions do not indicate a real contribution to the cocoa
smallholder development in the region. It is important to emphasize that this finding should not be interpreted to
mean that these five institutions have no contribution (as DP is not zero) in cocoa development at all. There is a
contribution, but it is very weak in strengthening agriculture institutional, especially in the local/smallholders level.
Table 3. Position and weight of the role of institutions in strengthening cocoa smallholders institutional
Institution Weight
DP>0,50 (High) D≤50 (low)
1. Farmers Group (Kelompok Tani) 0.95 0.40
2. Transportation Business Services 0.95 0.50
3. Combined Farmers Group (Gapoktan) 0.80 0.50
Average 0.90 0.47
DP>0.50 (High) D≥50 (High)
1. Environment Agency (BLH) 0.55 0.55
2. Loc. Office for Forestry & Estate (Hutbun) 1.00*) 0.65
3. Loc. Office for Industrial &Trade (Perindag) 0.95 0.85
4. Loc. Office for Agriculture (Pertanian) 0.95 0.80
5. University 0.80 0.85
6. Banking (Perbankan) 0.90 0.65
7. Cooperative (Koperasi) 0.70 0.65
8. Farm Partnership Supervisor (PMT) 0.55 0.75
9. Extension Service Officer for Estate (PPL) 1,00*) 0.55
10. Traders/Collector 0.70 0.70
11. Marketing Institution 1.00*) 0.55
12. Home Industry 0.80 0.75
Average 0.83 0.69
DP<50 (Low) D≥50 (High)
1. Regional Development Board (Bappeda) 0.30 0.55
2. Non-Government Organization (LSM) 0.10 0.85
3. International Cocoa Organization (ICCO) 0.35 0.55
4. Indonesian Cocoa Association (Askindo) 0.40 0.85
5. Brokers 0.15 0.90
Average 0.26 0.74

Institutions at Independent Position
ISM analysis results indicate that, the role of Farmers Groups (Kelompok Tani), Combined Farmers Group
(Gapoktan) and Transportation Business Services (Usaha Jasa Angkutan/Transportasi) (identified as an
independent institution) are very important, and they have a great potential in developing institutional of cocoa
smallholders. This means that, as an institution that has an independent power, these three institutions can
contribute in supporting the increase in cocoa production and improving the welfare of smallholder community.
Cocoa smallholders in the field revealed that, the Local Extension Service Officer (PPL) has a very positive role in
developing cocoa smallholders, but one of the obstacles occurred in the field is transportation issue. On one hand,
the production has been successfully increased, the smallholders are not able to access the market due to limited
transportation infrastructure on the other hand. Even in institutional context, the institution that houses
transportation affairs (Perhubungan) does not yet feel responsible as one of the components in institutional
smallholder development. Therefore, the results of this research reminds us that, the role of PPL and improving
transportation infrastructure must be run in a synergistic institutional arrangements, as important actors in
encouraging welfare of cocoa smallholders. As a component in independent position, Kelompok Tani, Gapoktan
and Jasa Angkutan/Transportasi have a great power driver in developing cocoa smallholders. Instead, these three
institutions have a very low dependency on the other sub-elements. Therefore, as a component in cocoa
smallholders institutional, these three institutions should be maximized their role wherever possible in order to
contribute concretely to the cocoa smallholders development.
Institutions at Linkage Position
ISM analysis results show that there are 12 institutions in linkage position (see Table 3 and Figure 2). In
strengthening institutional of cocoa smallholders, these 12 institutions must be managed carefully. As the agency in
linkage position, these institutions have not only a high potential driver power, but also a high dependency to the
other sub-elements. This means that, these institutions serve as “influencing and influenced variables” to the other
variables. Therefore, it is possible that among the 12 institutions have not only a positive influence on the cocoa
smallholder development program, but instead may be a limiting factor in development program.
Among theses 12 institutions in this position, there are three key actor agencies, namely: (i) Local Office for
Forestry and Estate (Hutbun), (ii) Extension Services Officers for Plantations (PPL) and (iii) Marketing Institutions. It
is easy to find the farmers group opinion in the field that, the role of Hutbun and PPL is evident in efforts to
increase production. However, the increase in production is not coupled by price stability in the market. It is a
common phenomenon that when cocoa production increases, the market price plummeted. This situation, of
course, has a negative impact on profitability decline in cocoa farming. In addition, it was also found that farmers
are reluctant to do fermentation of cocoa beans, simply because there are almost no differences in market price
between fermented beans and unfermented ones. This phenomenon proves that marketing--marketing institutions
in this case-- in fact, played a key role in the development/improvement of cocoa smallholder welfare. This is also
examined by Arsyad (2010) that, linking smallholders directly to district markets, can avoid the strong influence
brokers exert in terms of price discrimination.
Efforts to increase cocoa production without coupling a stable market, it is impossible to obtain smallholders
welfare as strongly expected. This finding could be the answer to the question why even if cocoa production as
mainstay of exports, it cannot improve smallholders welfare in the country. Another interesting point is these 12
institutions that are in linkage position--of course, in the context of institutional-- can have multiple roles. It means
that the 12 institutions, not only be expected to improve the smallholders welfare, but it can be an inhibiting factor
in achieving development program. A major implication of these findings is maximizing the positive contribution of
these institutions could be a potential way to speed up the strengthening of cocoa smallholders institutional.
Strengthening Smallholders Institutional through Education and Training
The findings of study, at least give an initial warning to the stakeholders that, it is true in developing or improving
cocoa smallholder welfare, Local Office for Forestry and Estate (Hutbun or Perkebunan) is not a single agency that
should be responsible. It has been argued earlier that, there are 15 institutions are expected to play an active role
in strengthening cocoa smallholders. The 15 institutions distributed into two groups; three institutions in

Independent Position, and 12 in Linkage Position. In institutional development, education and training is still
considered as a powerful tool. Therefore, in strengthening institutional of cocoa smallholders, training is deemed
as a possible option. Training for the development of cocoa smallholders has been done by (Perkebunan), needless
to say, without any coordination with other agencies. This is caused by the erroneous assumption that Perkebunan
is a single institution or the only institution that has the duties and functions (called TUPOKSI) relevant to the cocoa
development--as estate crop--, including institutional of cocoa smallholders. Given the number of agencies
involved in cocoa smallholder institutional, the educational and training materials for smallholder development are
also increasingly varied. ISM results showed that, of 14 main subjects as alternative and training materials in the
analysis, there are 10 considered important (as clearly depicted in Table 4). Of these 10 subjects, four of which are
in Independent Position, and six other materials in Linkage Position. In addition, it is important to note that, four
other main subjects; (i) replanting/rejuvenation of plants, (ii) seeding, (iii) farm financial management, and (iv)
farm accounting, located in Dependent Position. This means that, there may be a close relationship between these
four materials with smallholder development, but its position can be ignored by strongly considering that, these
material contents are already summarized or depends on the other materials.
Table 4. Position and weight of materials interest in educating and training cocoa smallholders for
agriculture institutional development
Materials Weight
DP>0,50 (High) D≤50 (Low)
1. Post-harvest management 1.00*) 0.43
2. Marketing 1.00*) 0.43
3. Management and plant maintenance 0.93 0.29
4. Trimming and sanitation 0.86 0.43
Average 0.95 0.39
DP>0.50 (High) D≥50 (High)
)
1. Provision of agriculture input 1.00* 0.78
2. Planting/countur strip cropping 0.57 0.86
3. Technique of making/
utilizing organic fertilizers 0.57 0.64
4. Plant rehabilitation/rejuvenation 0.64 0.71
5. Cocoa farming institutional 0.64 0.93
6. Access to capital resource 0.93 0.93
Average 0.72 0.81
DP≤50 (Low) D≥50 (High)
1. Replanting 0.50 0.78
2. Seeding 0.43 0.78
3. Farm Financial management 0.28 0.86
4. Farm Accounting 0.14 0.93
Average 0.34 0.84
Note
A = Provision of agriculture input *) H = Plant rehabilitation
B = Seeding I = Post-harvest management and fermentation*)
C = Planting/contour strip cropping J = Marketing*)
D = Management and plant maintenance K = Cocoa farming institutional
E = Technique of making/utilizing L = Farm financial management
organic fertilizers M = Farm accounting
F = Trimming and Sanitation N = Access to capital resource
G = Replanting/rejuvenation
*indicates a key materials of education and training

Sub-elements Education and Training in Independent Positions
ISM analysis results (Table 4), shows that there are four fundamental training materials have a high driver power
(weight of DP> 0.50) and low dependency (D ≥ 50), namely: (i) post-harvest management, (ii) marketing, (iii)
management and plant maintenance, and (iv) trimming and sanitation. Figure 3 also clearly shows that, all four of
these materials are in an independent position, meaning that these materials have a high driver power, in addition
to their low dependence on the other materials (sub-elements).
Among the four sub-elements/materials in Independent Position, two of which are key sub-elements; (i) post-
harvest management, and (ii) marketing. Post-harvest management is important because its links with quality
improvement of cocoa beans, such as fermentation. Through fermentation, the beans are expected to have
competitiveness in the market, creating a high added value. Similarly, marketing is also the key training material
that is needed by stakeholders. This is in line with the findings of Ali & Rukka (2012), who suggested increasing the
efficiency of the marketing of cocoa through three factors: (i) the need for control of the government in terms of
cocoa distribution traffic, (ii) accumulation and traders cooperation are institutionalized, and (iii) necessary to
design a microfinance institutions in cocoa production centers, so that smallholders have an easy access to capital.
It is important to note that the institutional elements and training material elements strengthen one another in
cocoa marketing. In other words, marketing agencies is a key sub-element in the institutional, while marketing is
key sub-element in terms of education and training materials. All these bring an important message that, marketing
sub-element is an essential training material needed by stakeholders in strengthening cocoa smallholders
institutional, particularly in improving smallholder welfare. This indication is also supported by Jari & Fraser (2009)
that, access to market information has a positive sign for both formal and informal market choices, which is
consistent with the a priori expectations. The significance values of 0.011 for the informal market choice and 0.006
for the formal market choice imply that there is enough evidence to support that an increase in the availability of
market information results in an increase in both informal and formal market participation. The larger values in
odds ratios show that households are most likely to increase participation in both informal and formal markets with
the availability of market information. As shown by the coefficients, the increase in formal marketing, resulting
from market information availability is about twice the increase in informal marketing.
Sub-elements Education and Training at Linkage Positions
The matrix in Figure 3 shows that, there are six sub-elements in Linkage Position; (i) the provision of production
inputs, (ii) access to capital resources, (iii) plant rehabilitation, (iv) cocoa farming institutional, (v) technique of
making/utilizing organic fertilizers, and (vi) planting/contour strip cropping. Of these six, the supply of production
inputs is a key sub-element, followed by access to capital resources (DP = 0.93). Furthermore, four other sub-
elements include plant rehabilitation and farms institutional have the same weight (DP = 0.64), technique of
making/utilizing organic fertilizers, and planting /contour strip cropping also have the same weight (DP = 0.57).
Indeed, the order of the six sub-elements of interest is determined by the weight of driver power (DP). However, as
a sub-element in linkage position, deserves special attention and careful management. The accuracy in the
management and implementation will result in success for development of cocoa smallholders, but if it is not
managed seriously will lead to failure and even raises new problems that can hinder cocoa smallholder institutional
development.
CONCLUSION AND POLICY IMPLICATION
Some principal findings are; first, of the 19 sub-elements as agencies are expected to have contribution in
strengthening institutional of cocoa smallholders, only 15 of them showed significant role. Among these 15
institutions, three of them; (i) Farmers Group (Kelompok Tani), (ii) Combined Farmer Groups (Gapoktan), and (iii)
Marketing Institutions, are in independent position. All these three institutions have a high driver power in
strengthening institutional of smallholders. Therefore, they are considerably important in institutional
development, meaning increase smallholder welfare. Furthermore, 12 other institutions are in linkage position,
three of which are key actors; (i) Local Office for Forestry and Estate (Hutbun or Perkebunan), (ii) Local Extension
Services Officer for Estate (PPL) and (iii) Marketing Institutions. This leads us to argue that, maximizing positive role
of Perkebunan, PPL, and Marketing Institutions could help agriculture institutional development or improving

smallholder welfare. Second, in educating and training steps, there are 10 materials can strengthen agriculture
institutional. Four of which are in independent position; (i) post-harvest management & fermentation, (ii)
marketing, (iii) management & plant maintenance, and (iv) trimming & sanitation.
This indicates that, all these four have a very high driver power as training materials in smallholder development.
The other six is in linkage position; (i) the provision of production inputs, (ii) access to capital resources, (iii) plant
rehabilitation, (iv) cocoa farming institutional, (v) technique of making/utilizing organic fertilizers, and (vi) planting/
contour strip cropping can also be possible materials. However, as a sub-element in linkage position, deserves
special attention and careful management. The accuracy in the management and implementation will result in
success for development of smallholders, but if it is not managed seriously will lead to failure and even raises new
problems. Of the 10 principal recommended materials, three of which are sub-key; (i) post-harvest management &
fermentation, (ii) provision of agriculture inputs, and (iii) marketing. An important implication of this finding is that,
eventhough education and training are not a single factor to break poverty-agriculture institutional nexus,
introducing intensively these three materials in educating and training smallholders could become a potential way
to break poverty-agriculture institutional nexus in rural area.
REFERENCES
Alam, G.M., K.E. Hoque, M.T.B. Khalifa, S. B. Siraj & M F.B.A. Ghani, 2009. The Role of Agriculture Education and
Training on Agriculture Economics and National Development of Bangladesh. African Journal of
Agricultural Research, 4(12):1334-1350.
Ali, D. & R.M. Rukka., 2011. The Role of Cocoa Traders in Increasing Market Efficiency in South Sulawesi. Journal of
”Sosial Ekonomi Pertanian”, 8(1): 16-23. (In Indonesian).
Arsyad, M. & Y. Kawamura, 2009. A Poverty Causal Model of Cocoa Smallholders in Indonesia: Some Initial Findings
from South Sulawesi. Ryukoku Journal of Economic Studies, 49(2):1-27.
Arsyad, M., 2010. The Dynamics of Cocoa Smallholders in Indonesia: An Application of Path Analysis for Poverty
Reduction (in Abstracts of Doctoral Thesis on the Indonesian Economy). Bulletin of Indonesian Economic
Studies, 46(2):251-254.
Arsyad, M. & Y. Kawamura, 2010. Reducing Poverty of Cocoa Smallholders in Indonesia: Is Agricultural Economic
Activity Still the Pioneer?. Economics and Finance in Indonesia, 58(2):217-238.
Beckert, J., 1999. Agency, Entrepreneurs, and Institutional Change. The Role of Strategic Choice and
Institutionalized Practices in Organizations. Organization Studies, 20(5):777-799.
Eriyatno. 1999. Ilmu Sistem: Meningkatkan Mutu dan Efektivitas Manajemen. Bogor: IPB Press. (In Indonesian).
Jari, B. & G. C. G. Fraser, 2009. An Analysis of Institutional and Technical Factors Influencing Agricultural Marketing
Among Smallholder Farmers in The Kat River Valley, Eastern Cape Province, South Africa. African Journal of
Agricultural Research, 4(11):1129-1137.
Center Research Institute for Estate Crops (CRIEC) & World Bank, 2002. The Performance Analysis of Cocoa (Report
Studies on Smallholder Tree Crops Production and Poverty Alleviation). CRIEC-World Bank.
Chibanda, M., G.F. Ortmann & M.C. Lyne, 2009. Institutional and Governance Factors Influencing the Performance
of Selected Smallholder Agricultural Cooperatives In Kwazulu-Natal. Journal of Agrekon, 48(3):293-306.
Kawamura, Y. 2002. Role of Social Statistical Analysis in Participatory Rural Community Development Programs for
Poverty Alleviation; Case of JICA Project in South Sulawesi, Indonesia. JICA Commissioned Research Report.

Libecap, G.D., 2011. Institutional Path Dependence in Climate Adaptation: Coman’s “Some Unsettled Problems of
Irrigation”. American Economic Review, 101(1):64–80.
Nuddin. A. 2007. An Analysis of Institutional System in Planning and Management Strategy of Critical Land in Bila
Watersheet. Doctoral Dissertation, Graduate School, Bogor Agricultural University. In Indonesian.
Parada, M.J., M. Nordqvist & A. Gimeno, 2010. Institutionalizing the Family Business: The Role of Professional Asso-
ciations in Fostering a Change of Values. Family Business Review, 23(4):355–372.
Sahn, D.E. & A. Sarris, 1991. Structural Adjustment and the Welfare of Rural Smallholders: A Comparative Analysis
from Sub-Saharan Africa. World Bank Economic Review, 5(2):259-289.

DYNAMICS AND TRANSFORMATION OF ALTERNATIVE FOOD NETWORK (AFN) IN
SOUTH KOREA
Sungwoong JUNG, Shuji HISANO and John XXV Paragas LAMBINO
ABSTRACT
While an immense attention has been paid to the astonishing growth of the South Korean economy, the concomitant impacts
on its agrifood system have been relatively overlooked. As the South Korean agrifood system has been thoroughly subordinated
under the prevailing food regime, some actors have confronted the conventional agrifood system by seeking an ‘Alternative
Food Network’ (AFN) to the dominant structure. As a consequence, the Sintoburi network as a manifestation of the ‘resistance
identity’ and ‘food nationalism’ emerged against the neoliberal globalization, and at the same time the organic food network as
a reflection of concerns about the food quality and safety produced by the industrialized—and also, globalized— agriculture
was constructed. Although the Sintoburi network was not able to withstand the gale of globalization, the organic food network
has evolved as the locality-oriented AFN in which multiple actors have appropriated AFN discussions and ‘locality’. Ultimately,
the debates to seek alternatives to the conventional agrifood system have been re-appropriated and instrumentalized just as a
method for capital accumulation while providing the multiple actors with a ‘niche’ competitive market rather than for social re-
embededness of the relationship between food producers and consumers. Overcoming these limitations, food sovereignty-
based AFN is emerging, which could be a transformative alternative to challenge the conventional agrifood system.
Keywords: AFN (Alternative Food Network), Food regime, Food Sovereignty, KWPA (Korea Women Peasant Association),
Locality, NH (Nong-hyup, the Korean National Agricultural Cooperative Federation), Organic farming, Sintoburi, SKG
(Sisters’ Kitchen Garden)
INTRODUCTION
While many of the mainstream economists have simply looked into the astonishing economic growth in South
Korea, its concomitant outcomes and costs in agriculture have been mostly overlooked. In particular, under the
prevailing food regime, represented as “development project” and “globalization project” (McMichael 2000), South
Korea’s food security has increasingly worsened with the devastation of rural communities, and its food self-
sufficiency ratio has plummeted to around 23.6% in 2012 (KREI 2013). In addition, the Korean consumers have
recently become much more concerned about food safety due to the broad media coverage of incidents of BSE
(bovine spongiform encephalopathy) and Chinese milk scandal in 2008. Furthermore, after the signing of a series of
Free Trade Agreements (FTAs) with large economies such as the E.U. (2011), the U.S. (2012), and Canada (2014),
there have been growing concerns in the country on additional damages to rural communities and on the
suspicious quality and origin of imported food.
Confronting the challenges and concerns, the country has witnessed a series of agrifood-related movements to
seek out its own alternative system such as the organic food movement, the local food movement, and the food
sovereignty movement. Concerning such movements that seek out ‘alternative’ to the conventional agrifood
system, some social scientists, particularly in the West have conceptualized a framework of Alternative Food
Network (AFN) which aims to re-socialize and re-spatialize the relationship between food producers and consumers
by emphasizing ‘shorter’ or ‘closer’ supply chains and ‘transparent’, ‘quality’ and ‘ecological’ food that have been
undermined and marginalized under the prevailing food regime.
However, even if AFN has been theoretically conceptualized, substantive version of AFN may represent different
aspects and attributes according to multiple actors. Also, considering the emerging actors who have different
agendas and goals for AFN and the rapid industrialization within the globalization which has disturbed and
encroached on the national agrifood system and rural communities, it is still questionable what would be the
substantive and the transformative alternative to the conventional agrifood system. In this context, this paper aims
to enlarge the concepts of ‘alternative’ and ‘food network’ beyond how they are used in existing AFN discussions
by simultaneously exploring and examining the dynamics and local specificity of AFN in South Korea with an actor-
based analysis.

Sungwoong Jung, et al
ALTERNATIVE FOOD NETWORK (AFN)
With growing food-related concerns, active debates have been made to find alternatives to the conventional food
system as seen in the discourses of the organic food movement, the local food movement, the slow food
movement, the fair trade movement, the Community Supported Agriculture (CSA) and so forth. Even though the
ostensible objectives and spatial ranges of these food movements differ from one another, they share common
values in terms of confronting the current food regime. In their efforts to scrutinize the social movements, some
scholars have engaged themselves in revealing the social dynamics by focusing on the conceptualization of the
Alternative Food Network (AFN), which aims to seek an alternative to the conventional agrifood system (Murdoch
et al. 2000).
Although there is no clear definition of AFN (Venn et al. 2006), what have been largely discussed is the extent of
how the social value can be reproduced to confront the conventional agrifood system by focusing on “reconfiguring
the relationship between food producers and consumers” (Marsden et al. 2000; Renting et al. 2003; Sage 2003).
Due to the industrialized capitalist methods of the prevailing food production system and the growing complexity
of the distribution channels, both producers and consumers find it difficult to appreciate exactly where and how
food is produced and processed from the “seed to shelf” (Morris and Young 2000). Within this opaque network,
consumers have often been vulnerable to corporate falsification of food labels concerning food safety and quality.
Therefore, one of the representative and marked aims of AFN by using novel methods is to resolve the ‘information
asymmetry’ that is inherent in the conventional agrifood system.
The major foci of AFN have been to “resocialize” and “respatialize” the agrifood arena such that the relationship
between producers and consumers become “closer” or “shorter” and “authentic” (Marsden et al. 2000; Renting et
al. 2003; Venn et al. 2006). With regard to the discussion of physical and social ‘distancing’ problems in the
conventional food exchange system, “Short Food Supply Chains” (SFSCs) (Marsden et al. 2000) allow consumers to
make value judgments more easily. In effect, SFSCs have played a key role in the rural development of some
European communities in sustaining organic farming, quality food production and direct transactions of food
(Renting et al 2003). Furthermore, fostering “closeness” or ‘proximity’ and “connectedness” would be a key factor
to establish an ethical relationship between producers and consumers (Holloway and Kneafsey 2004).
Within the shorter and transparent network, AFN represents a transformation of food production from
productivism to a quality-based system (Wiskerke 2003). Even though quality food production can be involved and
evolved by the conventional production system, AFN has a stronger goal towards more quality production and
consumption closely linked to the nature and social embeddedness of supply chains in the local ecologies (Murdoch
et al 2000). That is not to say that the recent popularity of well-being and LOHAS (Lifestyle of Health and
Sustainability) may not provide a market niche for large capitalist corporations to enter at the same time. Rather,
this suggests that the trend of new consumption patterns reflects an aspiration to quality and environment-friendly
food, i.e. food that is embedded with values of social justice and ecology beyond economic benefits.
There have been only a few relevant AFN discussions, however, concerning these growing alternative food
consumption patterns. Venn et al. (2006) points out that existing AFN studies have almost always posited novel
food networks as driven by producers, despite the fact that consumers are increasingly becoming aware that
structural problems are embedded in the prevailing food regime and that they are no longer passive recipients in
such networks. In addition, albeit AFN discussions aim to reconfigure the relationship between producers and
consumers, it has to be remembered that a network is formulated by multiple actors and agencies. In this context,
the following sections aim to explore the particularity of enlarging AFN dynamics in South Korea by facilitating
some of the connotative ideas of AFN as discussed above, while not only considering the relationship between
producers and consumers but also other influential actors within the network.
ALTERNATIVE FOOD NETWORK (AFN) IN SOUTH KOREA
The AFNs in South Korea are going to be discussed according to two key concepts for intelligible debates:
‘Alternative’ and ‘Network’. Due to the complexity in defining AFN as mentioned above, regardless of micro versus
macro analyses, this study sets the bounds to the definition of ‘alternative’ to mean as ‘any way or effort to
confront the current food regime’. Second, in contrast to the comprehensive and the connotative term of

‘movement’, the term of ‘network’ will be used ‘wherever the consumers are actively mobilized making affinity
relationship with the producer’.
Background of Korean AFN: Network of ‘Sintoburi’
In a perspective of international political economy of agriculture and food, South Korea was thoroughly
subordinated under the food regime (Friedmann 1987; McMichael 1989). With the rise of the second food regime
(1940s-1970s) (McMichael 2009) accompanying the “development project” (McMichael 2000), its agricultural
production system began to be industrialized by the capital-intensive Green Revolution with the introduction of the
heavy use of chemical fertilizers, pesticides, irrigation, and machinery (Hewitt de Alcantara 1976; Holt-Gimenez
2011). At the same time, food surplus from the U.S. supported the industrialization of the Korean economy through
food aid schemes such as the Government and Relief in Occupied Areas (GARIOA) and the Public Law 480 (PL480)
(Kim 1990). Even though this was able to relieve the country’s food insecurity and to promote rapid-
industrialization that came with capital accumulation in the new urban economies, the domestic price of food
plummeted due to the large influx of food surplus from overseas (Ibid).
During that time South Korea had been conceded as an exceptional contractor for international trade since the
economy was “experiencing balance of payments difficulties arising mainly from efforts to expand their internal
markets as well as from the instability in their terms of trade” according to the section B in Article 18 in GATT (GATT
1947). However, with its rapid economic growth and within WTO-driven third food regime (1980s-present), it
became a general contractor in 1989 while participating in the negotiation of the Uruguay Round (1986-1994) and
agreed to open its agricultural market in 1993 in signing the Agreement on Agriculture (AoA) without any national
public consensus, whereby farmers and agrarian associations launched a series of counter-movements against it
(Hyun and Lim 2009).
Confronting this sensitive issue of market opening and relevant counter-protests all across the country, Nong-hyup
(NH)—the National Agricultural Cooperative Federation—launched a campaign in 1989, called ‘Sintoburi’, in order
to encourage consumption of domestically-produced food. The term ‘Sintoburi’, which stemmed from Buddhist and
Korean traditional philosophies, means that ‘the human body and the earth are interconnected, so that human
beings should respect the value of the earth’. It originally emphasizes a desirable dietary life of human beings that
follows the laws of nature and that practices a close connection between human beings and nature (Hyun and Lim
2009). To develop the traditional meaning of the term, the NH offered a catchphrase for ‘Sintoburi’ by
reinterpreting it as ‘the food produced on Korean ground is the best for Koreans’ and promoted the idea of
appropriateness of home-based food for the people (Ibid).
With a shared “resistance identity” (Castells 1997; Han 2000) to confront the structural challenges of the neo-
liberal food regime among the government, producers and consumers, the network of ‘Sintoburi’ in 1990s became
popular as a means to assuage the people’s concerns about the opening of the agrifood market. However, it was
unable to withstand the gale of globalization not only by cheaper imported foods but also by NH’s undemocratic
and contradictory business style. Even though NH was originally established in 1958 to promote the farmers’
welfare as a cooperative (National Agricultural Cooperative Federation Act 2002), it was fundamentally operated
like a national body for the government rather than for farmers such that the decision-making system was
undemocratic and top-down. For an instance, the militaristic and autocratic administration from 1961 led by
President Park (Park, Chung-hee) strengthened its control of the National Agriculture Cooperative Federation to the
extent that he directly nominated the board chairman. Some farmers and agrarian associations made objections
against the undemocratic mechanisms such as the compulsorily deduction of withholding tax and the pressure to
buy and plant new-improved rice seeds (Yoon 2010). Consequently, agrarian criticisms to NH became stronger.
Furthermore, while encouraging the consumption of homegrown food, NH simultaneously sold imported goods in
its own retail shops, e.g. in NH-hanaro-mart. This distribution channel owned by NH was established in 1995, and
had rapidly grown in a short period on the strong popularity of ‘Sintoburi’. Yet, it was disclosed that NH sold various
imported goods in their shops. One of the relevant cases (Cho 2003) that were heavily condemned by producers
and consumers was the NH marketing of imported liquors. Even for traditional liquors the NH distributor only
displayed what had been recommended by the local government or examined by an evaluation organization for
taste, quality or safety, so small producer members lost marketing channels. Ultimately, the contradictory business
practices of NH resulted in loss of trust in the ‘Sintoburi’ network (Ibid).

It is impossible to thoroughly examine the ‘Sintoburi’ network according to AFN as discussed above, since each level
of analysis has different requirements. Also, the focal actor in the network, the National Agriculture Cooperative
Federation, has been still often criticized not only by farmers but also by the public because of its contradictory
behaviors. However, the significance was in the fact that the ‘Sintoburi’ network was the first initiative as a
response to the dominant food regime, whereby consumers were mobilized on a large scale in a way that the
‘Sintoburi’ was networked as an alternative to the globalized food market. In addition, the networking was done by
broadly sharing a ‘resistance identity’ among the actors that represented an embedded or inherent ‘food
nationalism’ in South Korea.
Organic food network
Even though the ‘Sintoburi’ campaign was one of the most important to the food-related network as the first
prevalent AFN in South Korea, other actors and networks gradually emerged and entered into forming other AFNs.
Accompanying the gale of Green Revolution under the second food regime, the agrifood-production system
followed industrialized ways. At the same time food safety concerns and food-related scandals were being
frequently publicized. In response, around the mid-1970s, organic farming began to gather attention in South Korea
as an alternative grassroots movement spearheaded by progressive farmers (Yoon 2010). Specifically, recognizing
the problematic magnitude of industrialized agriculture, several farmers associations such as the Korea Catholic
Farmers’ Movement, Jeong-nong-hoe and Korea Organic Farmers Association were organized with the aim to
challenge industrialized farming practices (Yoon 2007, 2010).
Since then, following these farmers associations and grassroots groups, consumers’ cooperatives also emerged
from the late-1980s (Hur 2009; Yoon 2006, 2007, 2010) as another focal actor to promote organic farming and diet
in collaboration with producers’ groups. These early grassroots groups and consumers’ cooperatives organized the
organic food network with concerned consumers and social activists (Yoon 2010). They aimed not only to promote
organic farming and safer food but also to revitalize rural communities by promoting ecological values of
agriculture for human beings (Ibid). At the beginning, the network relied on direct-transactions rather than through
the market since the demand for organic food was limited and rigid (Ibid).
Around the mid-1990s, however, when a series of environment and food-related scandals emerged, a growing
number of consumers faced agonizing anxieties caused by industrially-produced food, so they started to seek
healthy diet and well-being (Yoon 2007; Yoon 2010). With the increasing demand for organic food, the government
enacted the Environment-Friendly Agriculture Promotion Act in 1998 to promote environmentally sustainable
agriculture (Yoon 2010). It included direct payments to farmers to compensate for the reduction of yields brought
by their adoption of environment-friendly farming practices (OECD 2008). It also included financial supports to local
governments for facilities and equipment in designated environment-friendly farming areas (Ibid). A labeling
system was also introduced in 1999 to enhance consumer recognition of organic and environment-friendly food
(Ibid). These policies have promoted organic farming and satisfied consumers’ needs in choosing foods, while
providing corporations with an institutional opportunity to capitalize on the labeling system as another means to
make a profit (Jordan et al. 2004).
Consumers’ cooperatives have been still an active actor in the organic food network with the help of producers’
groups to enhance consumers’ health and to revitalize rural communities nationwide. At the same time, profit-
oriented actors could also be in a position to exert their influence on the organic food network, as far as it is
organized compatibly with the market transaction. As a consequence, direct-transactions between producers and
consumers have declined (hour 2009; Yoon 2010) while corporate distributors and retailers have been penetrating
into the organic food network—or so to speak, into the organic food market.
In particular, large food corporations such as Pulmuwon, Daesang and Dongwon emerged as another influential
actor. Notably, in 2008, Daesang’s organic food sales increased by 33%, followed by Dongwon’s 15% and
Pulmuone’s 10% (Yoon 2008). In 2010, Daesang took over the distributor of Choroc-maeul by acquiring 62.4%
shares and launched the marketing of organic food not only through its OFOOD brand but also through the
distributor (Kim 2010). As Choroc-maeul was the largest franchised distributor of organic food in South Korea (Ibid),
the M&A, designed to meet the increasing demand for organic food, has intensified competition in the organic food
market not only among big corporations but also among large-scale distributors, NH, consumers’ cooperatives and
others. According to a report of the domestic market share in the organic food sales (KREI 2013), this kind of

corporate franchises with the large-scale distributors accounts for 47% followed by 15.7% of supermarket retailers
and 14.6% of consumers’ cooperatives.
Although the organic food network has evolved as an alternative to the conventional agrifood system in which
consumers’ concerns about food safety grew, profit-oriented actors started to re-appropriate the network for their
profit maximization. In the process of re-appropriating the organic food network, the labeling policy introduced by
the Environment-Friendly Agriculture Promotion Act had a pivotal role not only to relieve consumers’ food-related
concerns but also to provide an institutional opportunity to profit-oriented actors. Sekine et al. (2008) pointed out
that this re-appropriation by standard, labeling and certification schemes led to the emergence of “standard
complex”, whereby alternative discourses and tactics for social and environmental embeddedness of agricultural
production are likely reduced to technical factors and therefore easily appropriated and exploited by mainstream
business actors under the “standardization regime” (Hisano 2008).
Locality-oriented AFN
As discussed above, corporations and large-scale distributors are emerging as core actors in the organic food
network with the original stakeholders—i.e. consumers’ cooperatives and producers’ groups. For profit-oriented
actors, the locality-based AFN is now deeply related to selling organic food with cheaper price through shorter
distribution channels.
In the conventional distribution system, corporations and distributors have procured organic food from farmers
while passing through the complex channels consisting of producers’ groups, intermediary merchants, wholesale
markets, retailers and so on. However, now they are trying to make a direct contract with farmers through “trusted
-farming” since the complex distribution channel and multiple distributors have some extent contributed to price
increase (Lee 2013; Doh 2013). Thus, the large-scale corporate distributors aim to reduce their cost by
appropriating the local procurement system that could shorten the complex distribution channel. For instance,
Hyundai Department Store, while transforming its own organic food brand into a new local food brand, has
reduced the price of organic food by sourcing directly from local producers through the contract scheme. Also,
Lotte Mart and E-mart competitively provided local food sourced from their trusted-farmers with cheaper prices
(Doh 2013; Lee 2013). Concerning this growing commercial locality by big corporations, Sekine and Hisano (2007)
maintained that such activities cannot contribute to the sustainability of local agriculture and the revitalization of
rural economy and rural communities since they further seek profits through reconstructing agrifood shipping
system in some localities (Sekine et al. 2008).
The consumers’ cooperatives as an actor in the locality-based AFN, which initially resocialized and respatialized the
relationship between food producers and consumers for rural revitalization through face-to-face transactions of
organic food, are still expanding in the organic food network. However, the existing cooperatives have gradually
lost their close relationship between producers and consumers they previously had, due to their pursuing
economies of scale and expanding their own distribution channel across the country to meet the growing demand
for organic food while facing the fierce competition with large corporations and distributors (Hur 2009; Kim 2011;
Yoon 2010). Most importantly, the cooperatives in the organic food network are now competing with each other in
the same locality. For instance, the two biggest cooperatives in South Korea, Hansalim and iCOOP, have recently
come into conflict as their shops opened close to each other (Kang 2013). That is, the locality represents a
competitive space for current cooperatives just as in the general market.
Meanwhile, local governments have been deeply involved in the organic food network by facilitating their own
locality-based AFN in various ways. Encouraged by the Environment-Friendly Agriculture Promotion Act in 1998 and
the Decentralization Act in 2003, local governments began to set their own plans to promote local organic farming.
Some of them have actively enacted municipal ordinances to use locally-produced organic food for their school
lunch programs (Yoon 2010). Also, they organized farmers’ markets for local production and consumption of
organic food (Kim 2011).
Through the efforts of local governments, some consumers’ cooperatives and producer groups have been
reorganized to facilitate and improve local supply chains (Ibid). For a prominent example (Ibid), in the Won-ju
province, local farmers together with local cooperatives and agrarian associations have actively organized their
local market since 1994, in which around 420 farmers have participated and 2.2 million consumers visited in 2009.

Also, the total sales in the market increased by 70% from 2007 to 2012. The Won-ju local government has
considerably contributed to stimulating the market by enacting a local ordinance in 2009 to support the farmers’
market and to promote local production and consumption of organic food. The local ordinance specifies the
objectives clearly as being aimed “to sustain rural communities, to promote civil health and to secure food
sovereignty through stable supply of quality and safer food, produced and processed in Won-ju city in sustainable
ways” (Article 1 of the Ordinance for the Promotion of Won-ju Food 2009). Thus, the locality-oriented AFN has
provided local governments with a good political foundation in revitalizing the local economy and the rural
communities.
ALTERNATIVE FOOD NETWORK AND FOOD SOVEREIGNTY
Although different actors have actively facilitated the locality-oriented AFN in different forms over the organic food
network in South Korea, all the localities have turned to represent the shorter ‘physical or economic distance’ for
quality, safer and ecological food rather than ‘social distance’. This network is somehow able to confront the
conventional agrifood system in alleviating food-related concerns and in revitalizing the local economy and rural
communities, but its results are still not enough as to how the small family farmers would be emancipated from the
exploitation of big corporations and TNCs, and as to how AFN could be a substantive alternative to the
conventional agrifood system under the prevailing food regime. In this problematic state, this section aims to
discuss the interlocking relationship of the South Korea AFN with the idea and activities of ‘food sovereignty’ by
making a case study of the ‘Sisters’ Kitchen Garden’ (SKG).
The SKG is considered as a kind of CSAs (Community Supported Agriculture) (Chong et al 2011; Kim 2011) which are
partnerships based on mutual trust, openness, shared risks, shared responsibilities, and shared rewards between
agrifood producers and consumers. Even though the CSA concept was first introduced in the early-1990s in South
Korea, CSA began to develop in earnest only recently from the mid-2000s (Chong et al 2010). For example, the SKG
project started in 2009 by Korea Women Peasant Association (KWPA). Compared with other CSAs in Europe, the
U.S. and Japan, the SKG is relatively small with a weaker commitment of consumers to farming. Nevertheless, the
SKG’s identity not only interlocks with the AFN discussions but shares the ‘resistance identity’ as the ‘Sintoburi’
network represented.
The SKG is a network based on consumers’ prepayment for food provisions twice a month, in which member
producers deliver in-season vegetables, fruits, food processed in traditional ways and so on. A minimum of seven
and a maximum of 20 farmers are organized into a rural community for the SKG project, and each community
contracts with a minimum of 20 and a maximum of 130 consumers (Kim 2011). The current total number of
member-producers has reached around 135 all across the country, and the total sales of the SKG has achieved one
billion Korean won in 2011 (Lee 2012).
The member-producers satisfy consumers’ demand for quality, safer and ecological food not only by carrying out
organic farming, but also by delivering the food box to its member-consumers (Chong et al 2011). Also, producers
always enclose a handwritten-letter in the food box to inform the member-consumers of their farming processes,
information about the food, relevant recipes and so forth (Chong et al 2011; Kim 2011). This continuous exchange
has contributed to making a strong relation and mutual trust between the producers and the consumers. This
process is not quite different with other CSAs.
What is most notable is that the SKG is networked by peasants and consumers who are mostly women. This
feminist identity reflects a resistance not only to the traditional patriarchal system of Confucianism embedded in
South Korea but also to the food system where their pivotal roles in social reproduction over farming and family
have been undermined under the capitalist dominance by male-centered states and corporations. In addition, their
use of only Korean indigenous seeds is another representation not only of their reproduction role corresponding
that of the seeds, but also representation of respecting the ‘Sintoburi’ philosophy, i.e. ‘human body and the earth
are interconnected’, and simultaneously of resisting to the corporate food regime in which TNCs such as Monsanto
claim exclusive rights—intellectual property rights—to their modified seeds beyond national borders.
Significantly, the resistance identity of the SKG is broadly incorporated into ‘food sovereignty’ which is meant for
the people’s basic right to food beyond reconfiguring the relationship between producers and consumers.

“Food sovereignty is the right of peoples to define their own food and agriculture; to protect and regulate
domestic agricultural production and trade in order to achieve sustainable development objectives; to
determine the extent to which they want to be self- reliant; [and] to restrict the dumping of products in their
markets.” (La Via Campesina at Declaration of Nyéléni 2001)
“Food sovereignty is the right of peoples, communities, and countries to define their own agricultural, labor,
fishing, food and land policies which are ecologically, socially, economically and culturally appropriate to their
unique circumstances. It includes the true right to food and to produce food, which means that all people have
the right to safe, nutritious and culturally appropriate food and to food- producing resources and the ability to
sustain themselves and their societies.” (Wittman 2011)
For promoting this equality to food, “food sovereignty also embodies a call for greater access to resources by the
poor and marginalized people, especially women, challenging what is perceived as a growing concentration of
ownership of resources” (Ziegler 2004). Thus, both food sovereignty and AFN are seeking an ‘alternative vision’ to
the industrialized and globalized corporate food regime, in which the SKG is a remarkable representation .
CONCLUSION
This paper has explored and examined the AFN in South Korea while assuming that the South Korean AFN was a
process or a way to confront the prevailing food regime. The existing theoretical AFN studies have concentrated on
a reconstruction of the relationship between food producers and consumers with positing that the production and
distribution of quality/safer food through shorter and transparent supply chains are central to seek an alternative
to conventional food system. The foci of this study, however, have been on what would be a substantive
alternative against the conventional agrifood system under the prevailing corporate food regime. Thus, this study
has discussed the agrifood-related actors’ activities and their networking in the AFN discourse with attention to the
structural dynamics of the AFN and its particularities in South Korea.
In conclusion, the Sintoburi network led by the National Agricultural Cooperative Federation, namely NH, aimed at
confronting the conventional agrifood system under the food regime of globalization, by resorting to “love and
consume Korean food”—so-called ‘food nationalism’ or gastronationalism—with some limitations and inherent
political and organizational contradictions.
Meanwhile, the organic food network mainly by progressive farmers and consumers’ cooperatives aimed at
promoting organic farming and safe/quality food to confront the food regime of industrialization, but now they
face increasing competitions within themselves and with private corporate actors who are trying to appropriate
this growing ‘niche’ market. Within the organic food network, however, the locality-oriented food network has
emerged aiming at addressing the limitations of organic food network based on the ‘locality’ which represents the
theoretical attributes of AFN, but this has been also instrumentalized just as a method to accelerate capital
accumulation, as a competitive market and as a mere opportunity for rural revitalization rather than for
resocializing the relationship between producers and consumers in respatialized food networks. Yet, the food
sovereignty-based food network is recently emerging as another AFN aiming at addressing the above limitations
and the instrumentalization by incorporating the concept of food sovereignty and rights-based approaches into its
network concept, by which this AFN can be transformative to challenge the conventional food system under the
food regime of industrialization and globalization.

REFERENCES
Journal articles
Burmeister, L. L., & Choi, Y. (2012). Food sovereignty movement activism in South Korea: National policy impacts? Agriculture
and Human Values, 29(2), 247-258.
Chong, E., Hur, N., & Kim, H. (2011). Women and the politics of place through the space of kitchen garden: 'sisters' kitchen
garden' project of the Korean women peasant association. Korean Rural Sociological Society, 21(2), 301-344. (in Korean)
Friedman, H., & McMichael, P. (1989). Agriculture and the state system: The rise and decline of national agricultures, 1870 to
the present. Sociologia Ruralis, 29(2), 93-117.
Friedmann, H. (1987). International regimes of food and agriculture since 1870. Peasants and Peasant Societies, Oxford, Basil
Blackwell, 258-276.
Han, D. (2000). The consumption movement for domestically-produced food in South Korea and politics of identity. Society
and History, 58, 235-266. (in Korean)
Hisano, S. (2008) “Transnational agribusiness corporations and CSR: A critique of social and environmental standards in agro-
food value chains,” Nougyou-to-Keizai [Agriculture and Economy] 74 (7): 15-28. (in Japanese)
Holloway, L., & Kneafsey, M. (2004). Producing-consuming food: Closeness, connectedness and rurality in four 'alternative'
food networks. Geographies of Rural Cultures and Societies, 262-282.
Holt Gimenez, E., & Shattuck, A. (2011). Food crises, food regimes and food movements: Rumblings of reform or tides of
transformation? The Journal of Peasant Studies, 38(1), 109-144.
Hur, N. (2009). A study on the change of production-consumption relationship in the producer coops - the case study of
Pulmoo coop. Korean Rural Sociological Society, 19(1), 161-211. (in Korean)
Hyun, E., & Lim, H. (2009). A study on the reinterpreting of sintobri movement as alternative agri-food system. Korean Society
of Agricultural Extension, 16(2), 305-335. (in Korean)
Kim, C. (2011). The current state and future tasks for Korean local food. Korea Sociological Association, 12(1), 111-133. (in
Korea)
Kim, J. (1990). Study on politics of the U.S. food aids to South Korea. Society and History, 23, 360-397. (in Korea)
Marsden, T., Banks, J., & Bristow, G. (2000). Food supply chain approaches: Exploring their role in rural development.
Sociologia Ruralis, 40(4), 424-438.
McMichael, P. (2009). A food regime genealogy. The Journal of Peasant Studies, 36(1), 139-169.
Morris, C., & Young, C. (2000). Seed to shelf',teat to table',barley to beer’andwomb to tomb': Discourses of food quality and
quality assurance schemes in the UK. Journal of Rural Studies, 16(1), 103-115.
Murdoch, J., Marsden, T., & Banks, J. (2000). Quality, nature, and embeddedness: Some theoretical considerations in the
context of the food sector*. Economic Geography, 76(2), 107-125.
OECD (2008). Evaluation of Agricultural Policy Reforms in Korea. OECD publications.
Renting, H., Marsden, T. K., & Banks, J. (2003). Understanding alternative food networks: Exploring the role of short food
supply chains in rural development. Environment and Planning A, 35(3), 393-412.
Sage, C. (2003). Social embeddedness and relations of regard:: Alternative ‘good food’networks in south-west ireland. Journal
of Rural Studies, 19(1), 47-60.
Sekine, K., Boutonnet, J., & Hisano, S. (2008). Emerging ‘Standard Complex’and corporate social responsibility of Agro–food
businesses. The Kyoto Economic Review, 77(1), 67-77.
Venn, L., Kneafsey, M., Holloway, L., Cox, R., Dowler, E., & Tuomainen, H. (2006). Researching european ‘alternative’food
networks: Some methodological considerations. Area, 38(3), 248-258.

Wiskerke, J. S. (2003). On promising niches and constraining sociotechnical regimes: The case of dutch wheat and bread.
Environment and Planning A, 35(3), 429-448.
Wittman, H. (2011). Food sovereignty: A new rights framework for food and nature? Environment and Society: Advances in
Research, 2(1), 87-105.
Yoon, B. (2010). A study on the development of alternative agricultural movements in Korea. Korean Rural Sociological Society,
20(1), 131-160. (in Korean)
Yoon, H. (2006, 2006/9). Publicized food and local food movement. Environment & Life, 115-129. (in Korean)
Yoon, H. (2007, 2007/6). Food modernization and local food movement over socialization. The Radical Review, 174-193. (in
Korean)
Yoon, S. (2010). An, seong-jin. 1998. farming on the asphalt: Patterns of korean peasant resistance to the state, Ph.D
dissertation, university of Pittsburgh. Korean Rural Sociological Society, 20(1), 47-87. (in Korean)
Ziegler, J. (2004). The right to food: Report submitted by the Special Rapporteur, Jean Ziegler, in accordance with Commision
on Human Rights resolution 2003/25. Economic and Social Council: New York, E/CN.4/2004/10.
Books
Castells, M., 1942-. (1997). The power of identity. Malden, Mass.: Blackwell.
Hewitt de Alcantara, C. (1976). Modernizing mexican agriculture: Socioeconomic implications of technological change 1940-
1970. Geneva: United Nations Research Institute for Social Development, 11976
McMichael, P. (2000). Development and social change. Thousand Oaks, Calif.: Pine Forge Press.
Conference proceedings
Jordan, S., Hisano, S,. & Izawa, R. (2004). Conventionalisation in the australian organic industry: A case study in the darling
downs region. XI World Congress of Rural Sociology.
Sekine, K., & Hisano, S. (2007). “Can agribusiness intervention help Japanese farmers out of the crumbling rural economy? A
case study of Dole Japan’s fresh vegetable business.” a paper presented at the 22nd Congress of European Society of Rural
Sociology, Wageningen, NL, 19-24 August 2007.
Law/Statutes
General Agreement on Tariffs and Trade, GATT. (1947)
National Agricultural Cooperative Federation Act (2002). http://www.law.go.kr/lsSc.do?menuId=0&subMenu=2&query=%EB%

86%8D%EC%97%85%ED%98%91%EB%8F%99%EC%A1%B0%ED%95%A9#liBgcolor38; (in Korean)
Ordinance for the Promotion of Won-Ju Food. (2009). www.lfk.or.kr/bv_LocalfoodStory-General_44 (in Korean)
Newspaper articles
Cho, j. (2003, 3 Sep). Hanaro-mark for abroad farmers rather than Korean farmers. Ohmynews, http://news.naver.com/main/
read.nhn?mode=LSD&mid=sec&oid=047&aid=0000035718&sid1=001; (in Korean)
Doh, H. (2013, 09 April). The war of local food among large-scale distributors. Herald Economy, http://news.heraldcorp.com/
view.php?ud=20130409000357&md=20130412004924_AS; (in Korean)
Kang, K. (2013, 3 May). Symbiotic distance among cooperatives. Gwangju-Dream, http://www.gjdream.com/v2/news/

view.html?uid=445852; (in Korea)
Kim, h. (2010, 30 Dec). Growing competition in organic food market between Pulmuone and Daesang. Money Today News,
http://www.mt.co.kr/view/mtview.php?type=1&no=2010123014524960717&outlink=1; (in Korean)

Lee, G. (2013, 9 April). Price cutting by local food of department stores and large-scale distributors. Dailian, http://
www.dailian.co.kr/news/view/333746; (in Korean)
Lee, h. (2013, 9 April). Local food of lotte-mart. Edaily, http://www.edaily.co.kr/news/NewsRead.edy?

SCD=JC21&newsid=01108646602774480&DCD=A00302&OutLnkChk=Y; (in Korean)
Lee, H. (2012, 20 Dec). New era for cooperatives; sisters' kitchen garden. Agrinet, http://www.agrinet.co.kr/news/
news_view.asp?CCD=%B3%F3%C1%A4&idx=115310&main_idx=1&main_link=1&menu_color=%C7%F9%B5%BF%C1%B6%
C7%D5; (in Korean)
Yoo, J. (2008, 9 April). Large-scale food corporations "Now is for organic food". The Korea Economic Daily, http://
www.hankyung.com/news/app/newsview.php?aid=2008040886471; (in Korean)
Other online sources
Choi, B., Kim, B., Lee, K. (2013). Activation Measures of Distribution for Environment-Friendly Agriculture in Wholesale Market.
Korean Rrual Economic Institute.
http://www.krei.re.kr/web/www/23?
p_p_id=EXT_BBS&p_p_lifecycle=0&p_p_state=normal&p_p_mode=view&_EXT_BBS_struts_action=%2Fext%2Fbbs%
2Fview_message&_EXT_BBS_messageId=402205
Food sovereignty prize. http://foodsovereigntyprize.org/portfolio-item/kwpa/ (in Korean)
Hwang, Y. (2013). Demand and Supply of Food 2012. Korean Rrual Economic Institute. http://www.krei.re.kr/web/www/23?
p_p_id=EXT_BBS&p_p_lifecycle=0&p_p_state=normal&p_p_mode=view&_EXT_BBS_struts_action=%2Fext%2Fbbs%
2Fview_message&_EXT_BBS_messageId=402397 (in Korean)
La Via Campesina at Declaration of Nyéléni (2001). http://www.nyeleni.org
ENDNOTES
1
Ph.D student, International Graduate Course for East Asia Sustainable Economic Development Studies, Graduate School of Economics, Kyoto
University [email: jeong.swoong@gmail.com
2
Professor (Dr.), Graduate School of Economics, Kyoto University [email: hisano@econ.kyoto-u.ac.jp]
3
Professor (Dr.), Graduate School of Economics, Kyoto University [email: hisano@econ.kyoto-u.ac.jp]
4
Assistant Professor (Dr.), Graduate School of Economics, Kyoto University [email: john.lambino@econ.kyoto-u.ac.jp]
5
NH is the abbreviation and the logo name following the Korean pronunciation of the ‘Nong-hyup’ while the National Agricultural Cooperative
Federation is its official name in English.
6
The local food movement, which has nowadays considered a craze over the agrifood system in several countries, apparently represents well
AFN’s respatialization of the physical relationship between producers and consumers by shortening food distribution distances. However,
some AFN discussions further emphasize on a psychological or ethical relationsip in a mutual trust between them, so that they can be
resocialized in the network where the neo-liberal market system has split their relationship for economic efficiency and utility maximization.
In this context, ‘locality’ is one of the core concepts for AFNs as a space to restructure the relationship rather than ‘local food’, which has
aroused a productivism or consumerism.
7
The KWPA is a national organization operated by women farmers in South Korea and a core member of La Via Campesina (Burmeister and
Choi 2012), and Food Sovereignty Prize 2012 by CFSC (Community Food Security Coalitions) was awarded to the progressive association (see
Food sovereignty prize).

“WHEN IT RAINS FISH DIES:
SOCIOECONOMIC AND ENVIRONMENTAL PROBLEMS ASSOCIATED WITH RURAL
AGROCHEMICAL DEPENDENCY IN NAN PROVINCE, THAILAND”
Dr. Supawan Visetnoi, Lecturer,

Chulalongkorn University,
School of Agricultural Resources (CUSAR);Thailand,
Supawan.V@chula.ac.th
and
Dr. Wayne Nelles Visiting Scholar,
CUSAR,
Wayne.Nelles@viu.ca
ABSTRACT
Agrochemical dependency is symptomatic of, and contributes to, many environmental and socio-economic problems in rural
Thailand. Poverty, social pressure, corporate advertising, government policy incoherence, lack of training, desire for quick
profits, as well as alleged criminality and corruption among potentially other factors reinforce chronic agrochemical
dependency and abuse endangering or destroying local economies, environments, communities and peoples’ health. Many
Thai farmers and some government officials appear “hooked” on agrochemicals believing they bring instant plant growth or
protection, quick economic returns and greater income. They ignore the downsides. Agrochemical dependency and drug
addiction have much in common. Extreme consequences include painful disease, poisonings, overdose and death. For the
environment agrochemical abuse contributes to excessive pollution, loss of biodiversity, soil degradation, desertification,
deforestation, erosion and more. In some parts of Thailand one graphic cycle repeats itself annually. Rains after the dry period
wash tons of agrochemicals from slopes and soils into rivers and streams. Thousands of fish die. Drinking water is
contaminated. Agrochemicals accumulate in soils, plants, ecosystems and the food chain endangering consumers. If farmers
using agrochemicals (often purchased through credit) have bad crops they may also have unpayable debts, social stress,
economic hardship, and sometimes suicide ingesting those same agrochemicals. This paper examines rural agrochemical
dependency in Thailand discussing local perceptions of its causes in Nan Province to illustrate. It refers to related concerns in
selected secondary literatures. It discusses primary evidence from initial field interviews among government officials,
community leaders and farmers. It also highlights examples of agro-ecological or organic alternatives, such as a United
Nations-Thai government initiative with some local success in reducing poverty and agrochemical-intensive, maize mono‐
cropping. In conclusion the paper suggests future research is needed to better understand agrochemical dependency and study
viable solutions though healthier, safer, more prosperous and sustainable agricultural and rural development approaches.
AGROCHEMICAL DEPENDENCY: GLOBAL CONTEXTS AND ASIAN REALITIES
Despite helping feed many people for decades industrial-scale, mono-crop oriented, chemical-intensive agriculture
is a major contributor to global environmental damage including pollution, aquifer depletions, deforestation,
desertification, biodiversity loss, climate change and more (Kimbrell 2002; and World Bank 2007, 180–99).
We define agrochemical dependency as the unhealthy, dangerous, toxic and sometimes lethal addiction to, and
often abuse of, synthetic agrochemicals (herbicides, fungicides, pesticides and fertilizers) manufactured and sold by
private, profit-making corporations, ostensibly for “crop protection” or to increase agricultural yields, incomes and
food security. Thousands of agrochemicals of various types and name brands are used world-wide, some argue to
the greater good. But agrochemical dependency and abuse also reflects serious, and interrelated socio-economic
and environmental problems.
Who are the agro-chemically addicted and afflicted? They include millions of farmers directly impacted. They are
politicians that support and subsidize agrochemicals, and government officials who believe they are necessary
when there are alternatives. Academics and applied research scientists who work for university or corporate
research labs depend on salaries or grants to manufacture, study and field test agrochemicals. Traders, shop-
keepers or loan sharks are addicted to customer-farmer sales or their debts. Large companies, shareholders and
executives of the multi-billion dollar global agrochemical industry reap huge profits from their manufacture,

Supawan Visetnoi and Wayne Nelles
promotion and sales. They are addicted to maintaining an international socioeconomic system and profit streams
reinforced by enabling government policies or officials who promote their products and business interests to
farmers. Global agrochemical sales continue to grow at around 8.7% per annum, expected to be worth $242.8
Billion by 2018. Industry analysts (and aggressive promoters) consider Asia to be the world’s hottest growth
market (Marketsandmarkets, 14 February 2014). Comprehensive figures of market casualties are difficult to
confirm, largely because of inadequate statistical collection in some countries with lack of uniform data. But, for
example, at least some 25 million farmworkers are pesticide poisoning victims annually resulting in 300,000 deaths
for the Asia-Pacific region alone. Moreover, pesticides are often used with a view to quicker economic returns, but
bad harvests can follow loans for pesticides purchases leaving farmers indebted with little to sell. Debts can lead
to thousands of farmer suicides annually. Asia has the dubious reputation of 91% of pesticide suicides globally
(Gupta, 2012, p. 154, PAN AP, 2010, p. 6; and PAN Germany, 2012, p. 8).
THAILAND’S AGROCHEMICAL DEPENDENCY PROBLEM
Thailand’s current agrochemical problem has roots in the Western-supported “Green Revolution” of the late 1950s
and 1960s. That initiative relied on massive inputs of chemical fertilizers, pesticides and fungicides in conjunction
with increased water use and improved seeds. The green revolution many suggest prevented mass starvation and
millions of deaths. But it coincided with a major transformation in Thai agricultural development (Hazell,
November 2009). Between 1961 and 2004, total inorganic chemical fertilizer use increased more than 100 times,
from 18 thousand tonnes in 1961 to 2 million tonnes in 2004. Thai pesticide imports more than tripled from
42,089 tonnes in 1997 to 137,594 tonnes in 2009 encouraged by government policies and programmes.
Meanwhile farmers’ lives, consumers’ health and the environment suffered. In recent years dangerous residues
have been found in produce on supermarket shelves revealing over 202 times allowable safe limits in Europe with
evidence of internationally banned agrochemicals (Tirado, et. al., February 2008; Thai Health Working Group,
March 2012, and Yingjaroen and Wongsatayanont, 21 August 2012; Wipatayotin, 26 Jan 2011).
After such public scandals some Thai agencies improved testing to monitor the problem collaborating with
international agencies. But if current industry growth projections are correct little suggests Thailand will
substantially reduce agro-chemical use in the near future, unless radical, comprehensive interventions are made.
With some exceptions, linked to specific projects or communities, Thai policies and programs still encourage heavy
agro-chemical use with sometimes devastating social, health and environmental consequences (AAN Esan, 26
January 2011; Schreinemachers, et. al. 2011; Thai Health Working Group, March 2012; Thapinta and Hudak, 2000;
and Tirado, et. al., February 2008). Moreover, it seems that even particularly well-intentioned Thai extension
interventions, so far, have not contributed significantly to pesticide use or harm reductions with farmers
(Chalermphol and Shivakoti, 2009). Our research aimed to better understand some perceived reasons for Thai
agrochemical dependency and abuse.
NAN PROVINCE, NORTHERN THAILAND - CONTEXTS AND INTERVIEW DATA
Nan is a highland Province situated in Northern Thailand next to Lao PDR (Figure 1). Agriculture is the main
economic activity. Especially since 2007 cash crops (maize in particular) have played a greater role partly due to
private investments supplying seeds, fertilizers and pesticides. This has threatened forests, caused landslides, top
soil loss and depleted fresh water run-offs. After 2005 rubber plantations also increased through subsidies to local
farmers and landholders. “Mountain maize” (planted in high areas) has especially caused deforestation and
maximum use of chemicals, with slash and burn practices to eradicate weeds, resulting in water pollution. Nan
province adopted some mitigating policies based on Thai-inspired “sufficiency economy” principles with a strategic
plan for “green growth‟ and sustainable consumption of natural resources (Ministry of Interior, UNDP and UNEP;
22 Sept 2009; and TEI and UNDP, 2011).
But policy concerns, community conflicts, and land-use management problems continue while many farmers still
overuse agrochemicals. Our visit to Nan province underscored many such concerns that others had also identified.
It included a small sample of eight (8) field interviews, to better understand some local community leader, farmer
and government officials’ views about agrochemical use. We illustrate four of these (sections 3.1-3.4 next) then
compare perceptions in Table 1 further below.

Burma
Lao
Thailand
Cambodia
Figure 1 (Map of Thailand and Nan Province –

(Credit: Supawan Visetnoi, drawing from public sources)
Village Monk and Community Teacher
A village monk, founder and overseer a learning center and model community farm, in PongKum Village, Santisuk
District of Nan Province works to build sustainable agriculture capacities, training local farmers. He told us about
an annual cycle. Rains after the dry period wash tons of agrochemicals from slopes and soils into rivers and
streams. Thousands of fish die. Drinking water is contaminated. Agrochemicals accumulate in soils, plants,
ecosystems and the food chain endangering consumers.
Explaining this he said “The root of these problems came from the join between ‘Power and Capitalism’ as most
people believed that economy is their first priority and the cause comes from our current educational system.” As
he continued: “We have been taught to emphasize economy and incomes because most people tend to believe
that a good standard of living is measured by money and properties…but we have forgotten the other side which is
our ecology and environment balance.” He said when he was a child, people in his village never knew how to use
agrochemicals but government officials introduced and promoted them. When problems arose they tried to
correct them but it was too late because farmers were used to them. He also said plants and crops were becoming
weaker and unable to cope with stress, a result of a chronic long-term use of chemical fertilizers and other
agrochemicals.

Head of Farmer Development Group – Thai Department of Agricultural Extension (DOAE), Nan Provincial Office
This senior DOAE Provincial official in Nan suggested using agrochemicals is easy, with less labour required bringing
instant results to guarantee incomes. So most farmers neglect the side effects of agrochemicals and the harm they
do to others and environment. She said it is difficult to quit using pesticides and herbicides because Thailand is in
a tropical zone with many plant diseases, pests and weeds that could destroy the crops. She also said some
government officials responsible for controlling and regulating agrochemical sales do not do their job well enough
since we often find banned chemicals in agricultural fields. In addition: she said “we have been mistaken in the
past…we used to donate and give away fertilizers and seeds whenever the natural disaster hit. Also, we used to
promote use of these chemicals but changed later when food safety and export become national policy….”
Agrochemical dependency could also be partly or mainly caused by local cooperatives shops or even agricultural
banks that have given credits to purchase inputs and could be paid back later. Therefore, she suggested the Thai
government should do more law enforcement because lack of government regulation results in smuggling and
banned agrochemical use. Also she said regulation of broadcasting and local advertisements is necessary to limit
access of chemical corporations to farmers which give them an impression that chemicals can help them get good
returns and increase crop productivity.
Head of District Office, Nan DOAE
This senior official of Muangnan District office suggested the most important problem is the (un) ethical behavior
of agrochemical companies promoting their sale by giving away lots of free gifts and reward draws. Also,
advertising and commercials on television especially during the Muay Thai boxing match he said could have a huge
impact as their major clients are local farmers. He suggested the government should control and regulate
company advertising stating “It is because of benefit and corruption of some local cooperative shops that sell
chemical fertilizers to farmers as sometimes the committee who runs the shops get commission fees for selling the
companies’ products so they try to convince the farmers and take their products in package.” He said although
Thailand has laws to prohibit use of certain chemicals in agriculture some are still used due to lack of or weak law
enforcement. He also saw evidence of many prohibited chemicals still used by farmers in left over bottles in fields.
But he said he has no authority to do anything except report this to the authorized department, i.e. the
Department of Agriculture (a separate, independent unit from the DOAE) responsible for testing, analysis, research
and regulation enforcement.
Regional Centre for Vocational Development in Agriculture (Horticulture)
This official of this regional office of Muangnan District said that “we used to promote alternative methods to
substitute use of agrochemicals but they did not work so well since they normally take longer to see the result and
preparation steps are more complex than conventional methods.” Moreover, some officials believed another
factor contributing to a high level of agrochemical dependency was not only lack of knowledge of people but also
poor awareness of both farmers and consumers of harmful effects of agrochemicals.
Agrochemical Dependency Perceived Contributing factors – Summary
Table 1 summarizes what our Nan interviewees suggested were main contributing factors to what we labelled
“agrochemical dependency.” Our interviews (lasting 1 to 2 hours variously) included eight people, some joining
another but not speaking much or mostly reinforcing the other. Their combined experience (decades of
government service or as a community leader or farmer) suggest views formed over long periods and through
interaction with hundreds or thousands of others. There may be perceptions of other contributing factors we
were not able to document, which future research may better illustrate and explain. More detailed or broader
analysis goes beyond the scope of this paper but is planned in follow-up.

Table 1. Perceptions of Main Contributing Factors to “Agrochemical Dependency” in Nan
Contributing Social Lack of Corporate Incoherence Criminality Moral/ethical Easy use/

factors pressure training advertising and Incon- and corrup- awareness of quick results/
and pov- sistency of tion farmers, less labour
erty policy companies, force required
consumers or
Position negligence
Monk/ - - √ - √ - -
community leader
Provincial official 1 - - √ √ √ √ √
(Head of Farmer Devel-
opment Group)
Provincial official 2 - √ - √ - - √
(Head of Plant Protec-
tion group)
Provincial official 3 - - - - - - -
(Head of Provincial
Office)
District official - - √ - √ √ √
(Muang Nan District)
Regional official 1 √ √ √ √ √ √
(Horticulture Centre)
Regional official 2 - - - - - - √
(Horticulture Centre)
Local Farmer/ village - - √ - - √ -
leader
(Eight selected Government officials/units, Community Leader, Farmer Interviews) –

(Table credit: Supawan Visetnoi and Wayne Nelles, 2014, based on field research)
ALTERNATIVE MODELS AND POLICY INTERVENTIONS
Many classic drug addiction or prevention programs begin with a “detox” to wean patients from drugs and
addictive social or economic behaviors. Some scholarship suggests a similar analogy to facilitate a transition to a
more sustainable agriculture (Pretty, 2005).
A recent UN-Thai government project in Nan is a practical example of how detoxification may occur. It focused on
reducing poverty while improving ecological sustainability in agriculture systems. A key objective was “To address
interrelated poverty and ecological sustainability including food security, environmental protection and agricultural
development.” It began by addressing a key policy question: “How can the Nan Provincial Development Policy
better integrate agricultural development, which is centered on the growth of commercial crops, with conservation
efforts for the enhancement of human well-being and the maintenance of ecosystem services?” (Government of
Thailand Ministry of Interior, UNDP and UNEP, 22 Sept 2009; Thailand Environmental Institute (TEI) and UNDP, and
n.d, approx. 2011). The project provided technical and financial support for locals to explore alternatives to maize
mono-cropping through community meetings, stakeholder cooperation, and new knowledge of techniques,
markets, and other tools to encourage better watershed management and more secure land tenure with
integrated, self-sufficient and sustainable farming, while maintaining decent incomes and food security. However,
new research is needed to evaluate outcomes and impacts of related initiatives.
CONCLUSIONS AND FURTHER RESEARCH RECOMMENDATIONS
Our research indicates that reasons for Thai rural agro-chemical dependency are complex and varied. The role of
extension programs, particularly in agrochemical promotion or mitigation needs to be better understood and
explained. But one broad and significant reason appears partly (or perhaps largely) a neo-liberal global market
system (enabled by government policies and incentives) encouraging farmers to use agro-chemicals for short-term
profit and economic gain even at high social, health and environmental costs (Wilson and Tisdell 2001).
In conclusion, our own field interviews suggest that (at least) poverty, social pressure, corporate advertising,

government policy incoherence, lack of training, desire for quick results and immediate profits, as well as alleged
criminality and corruption are all potential factors (among possibly others we have not yet identified) that
reinforce agrochemical dependency. However, more extensive research (which we are planning) is needed with
additional interviews, survey data and field observations to better understand local cases and specific
circumstances in Nan, as well as across Thailand, and to assess more carefully the uniqueness, extent and relative
weight of particular factors. New work is also needed to study perceptions and impacts of “pesticide detox”
initiatives and the role of government in promoting sustainable agricultural and rural development alternatives.
REFERENCES
Chalermphol,Juthathip and Genesh P. Shivakoti. 2009. Pesticide Use and Prevention Practices of Tangerine
Growers in Northern Thailand, The Journal of Agricultural Education and Extension, 15:1, 21-38, DOI:
10.1080/13892240802617429
Government of Thailand Ministry of Interior, United Nations Development Programme and United Nations
Environment Programme 22 Sept 2009. Project Document: Strengthening Inclusive Planning and Economic
Decision-making for Environmentally Sustainable Pro-poor Development -- Poverty Environment Initiative
(PEI) Framework in Thailand
Gupta, Abhik. 2012. Pesticide use in South and South-East Asia: Environmental Public Health and Legal Concerns.
American Journal of Environmental Sciences Vol 8, No. 2, pp.152-157.
Hazell, Peter B.R. November 2009.. The Asian Green Revolution: IFPRI Discussion Paper . Washington: International
Food Policy Research Institute.
Kimbrell, Andrew, ed. 2002. The Fatal Harvest Reader: The Tragedy of Industrial Agriculture. Washington, DC:
Island Press.
Marketsandmarkets. 14 February 2014. “Agrochemicals Market worth $242.8 Billion by 018.” http://
www.marketsandmarkets.com/PressReleases/agrochemical-market.asp
Pan Germany. 2011. Stop Pesticide Poisonings! New pesticide policies needed after decades of failure. Hamburg:
Pestizid Aktions-Netzwerk (PAN).
Pretty, Jules. 2005. Ed. The Pesticide Detox: Towards a More Sustainable Agriculture. London/Sterling VA:
Earthscan.
Schreinemachers, Pepijn, Sureeporn Sringarm, and Aer Sirijinda. 2011. The role of synthetic pesticides in the
intensification of highland agriculture in northern Thailand. Crop Protection, 30 (11): 1430-1437.
Thai Health Working Group. March 2012. Thai Health 2012, Food security-the illusion of money vs the reality of
food. 1st ed., Nakhon Pathom: Institute for Population and Social Research, Mahidol University.
Thailand Environmental Institute (TEI) and UNDP. n.d, approx. 2011. Summary Report Sub-global Assessment
(SGA) for Nan, Thailand. Bangkok: Thailand Environmental Institute (TEI) and United Nations Development
Programme (UNDP).
Thapinta, Anat and Paul F. Hudak 2000. Pesticide Use and Residual Occurrence in Thailand, Environmental
Monitoring and Assessment 60, 103–114.
Tirado, Reye, Andrew J. Englande, Luksamee Promakasikorn and Vladimir Novotny February 2008. Use of
agrochemicals in Thailand and its consequences for the Environment. Greenpeace Research Laboratories
Technical Note, 03/2008 School of Biosciences, University of Exeter (UK).

Wilson, Clevo and Clem Tisdell 2001. Why farmers continue to use pesticides despite environmental, health and
sustainability costs. Ecological Economics. Vol. 39,. pp. 449–462.
Wipatayotin, Apinya 26 January 2011. AGRICULTURE: Pesticide levels pose threat to Thai vegetable exports.
Bangkok Post.
World Bank. 2007. World Development Report 2008: Agriculture for Development. Washington, DC: International
Bank for Reconstruction and Development.
Yingjaroen, Chaiwat and Chanon Wongsatayanont. 21 August 2012. The pesticides on our plates. The Nation.
(Bangkok)
ENDNOTES
Note background documents at http://www.peithailand.com/en/nan.php as well as a Youtube video on the Poverty-

Environment Initiative (PEI) in Nan, Thailand http://www.youtube.com/watch?v=tBCK-zLJvws
The authors are currently completing a larger study of DOAE policy and officials’ perspectives on agrochemical use and
alternatives. Results will be published elsewhere.

DEVELOPMENT PATH ANALYSIS OF CHINESE AGRICULTURE
WITH LAND AND LABOR PRODUCTIVITIES
Yoshio Kawamura
Kyoto Prefectural College of Agriculture and Ryukoku University
yoshiokawamura@ad.ryukoku.ac.jp
yoshiokawamura@hotmail.com
Tang Qian
Graduate School of Economics, Ryukoku University
ABSTRACT
Agriculture is characterized by its organic manner of production. Thus, the forms of agricultural production are heavily
dependent on natural conditions (weather, geographic features, water supply, etc.), which are peculiar to regions or local
conditions. The regionally peculiar characteristics of agriculture are also intensified by the social environment, that is, the
lifestyle of the people in the region. Land, labor and capital, which are the inputs needed for production, vary qualitativel y and
quantitatively from region to region. The regional peculiarities bring a different type of development path to local agriculture.
This is the basic reason why the same development theories or principles that are applicable to other industries such as
manufacturing cannot be simply applied to agriculture. This paper deals with the characteristics of local agriculture at the
provincial level of China, based on statistical analysis of three-years data of 2009, 2010 and 2011.
Keywords: Agricultural Development, Peculiarity, Productivity, Capital Input, Chinese Agriculture
SUBJECT OF STUDY
Economic globalization can have different impacts depending on the mobility of an industry’s input and output. In
agriculture, in which land is the main medium of economic activity, land (input) has no mobility as a resource and
can be procured only at fixed locations. Meanwhile, agricultural products (output) are tradable goods with high
mobility meeting global needs, which transcend borders. In other words, agriculture is an industry whose products
are affected by globalization, even though the procurement of its resources is not amenable to globalization. This
makes agriculture the least adaptable industry to globalization.
Agriculture’s industrial characteristics derive from its essence, that is, production activities comprising combined
factors. Namely, its production activities are restricted by the natural conditions of each region, while natural
conditions (meteorological and geographical, as well as water conditions, etc.) and the quality and quantity of
natural resources (land, water sources, flora, etc.) are quite unique to each region. In addition, such regional
characteristics are further amplified by the region’s producers, that is, the localities and the societies around them.
Thus, even if you consider only the production input system, it becomes evident that the quality of, and the means
of inputting, land, labor and capital, differ from region to region.
This means it is necessary to clarify the methods of evaluating regional agriculture and establishing its
development framework based on the nature of regional characteristics determined by both natural and social
environments. Specifically, in the case of China, due to its very large territory and the large amount of natural and
social diversity it contains, the need to clarify such methods is great. This paper presents China’s agricultural
structure based on regional characteristics determined by both natural and social environments, according to the 3
-years average data derived from 2009-2011 annual statistical data at the provincial level, not including Beijing,
Shanghai, Tianjin and Chongqing. Besides, the 3-years average data of 2004-2006 are also used to measure the
agricultural growth of five years from 2005 to 2010.
THEORETICAL FRAMEWORK OF AGRICULTURAL DEVELOPMENT
It is evident that agriculture, in essence, is an industry characterized by strong regional “uniqueness,” which is
influenced by the natural and social environments of the region. Its industrial characteristics derive from its
essence, that is, production activities comprising combined factors. Namely, the production activities are
Yoshio Kawamura
restricted by the natural conditions of each region (meteorological and geographical, as well as water conditions,
etc.), which, along with the quality and quantity of natural resources (land, water sources, flora, etc.) are quite
unique to each region. In addition, such regional characteristics are further amplified by its producers, that is, the
localities and the societies around them. Thus, even if you look at only the production input system, it becomes
evident that the quality of, and the means of inputting, land, labor and capital, differ from region to region. Jiro
Iinuma’s Nogyo Kakumei Ron (Agricultural Revolution), a previous research work, aims at categorizing agriculture
from this viewpoint.
Figure 1 shows a simplified model of the forming process of regional uniqueness according to different
combinations of production elements. Here, different natural and social environmental conditions that
demonstrate complicated abmodalities are theoretically dichotomized and simplified into two extreme categories:
“temperate humid regions” and “temperate dry regions” are the categories dichotomized based on natural
environments, while “densely populated communities” and “thinly populated communities” are the categories
dichotomized based on social environments.
Agriculture in “temperate humid regions” categorized by their natural environments is a regional form of
agriculture conducted in natural environments where the harvest per unit land area will decrease if the land is left
untouched during the period between seeding and harvesting without receiving labor input such as weeding, since
weeds grow rapidly in such hot-humid environments. In these regions, since the increase of labor input per unit
land area and the thoroughness of crop growth management directly affect the harvest volume, agriculture
necessarily becomes labor-intensive and agricultural growth depends on the improvement of land productivity.
Therefore, capital intensification is directed toward the improvement of land productivity, and agriculture in such
regions tends to develop into capital-intensive agriculture based on fluid capital such as new species and fertilizers.
If labor power is limited, the agriculture will be restricted to relatively small-scale land management.
On the other hand, the agriculture in “temperate dry regions” is a form of agriculture in a natural environment with
a dry climate, with relatively fewer weeds, and no clear correlation between labor input during the period between
seeding and harvesting and the harvest per land area. In these regions, since a greater area needs to be cultivated
by limited labor power within the short period between seeding and harvesting, the agriculture necessarily
becomes labor-saving, and agricultural growth depends on the improvement of labor productivity. Therefore,
capital intensification is directed toward the improvement of labor productivity, and the agriculture there tends to
develop into labor-intensive agriculture based on fixed capital such as machinery. Thus, increase in the land
management scale necessarily becomes the mechanism of agricultural growth.
“Densely populated communities” in terms of the social environment refer to communities with a very high
population density. This high population density causes an excessive labor supply, resulting in low wage levels.
Thus, labor-saving economic growth is a more rational approach in these communities. In terms of agriculture,
since increase in the harvest can be achieved by increasing the labor input per unit land area, the agriculture in
such communities tends to be labor-saving, and agricultural growth depends on the improvement of land
productivity. Under the conditions of limited land availability and a great population, agriculture is restricted to
relatively small-scale land management.
On the other hand, “thinly populated communities” refer to communities with a very low population density. This
low population density causes a shortage of labor supply, resulting in high wage levels. Thus, labor-conserving
economic growth is a more rational approach in these communities. In terms of agriculture, since more land needs
to be cultivated given the limited labor force, the agriculture in such communities necessarily becomes labor-
conserving, and agricultural growth depends on the improvement of labor productivity. Thus, increase in the land
management scale necessarily becomes the mechanism of agricultural growth.
In these agricultural categories, the unique form of regional agriculture determined by natural and social
environments of “humid region” and “densely-populated community” stands in stark contrast to the unique form
of regional agriculture determined by natural and social environments of “dry region” and “thinly-populated
community,” with regard to their growth mechanisms. The former regions tend to be directed towards labor-
intensive agriculture, whose growth merkmal (feature) is the improvement of land productivity, whereas the latter
regions tend to be directed toward labor-saving agriculture, whose growth merkmal is the improvement of labor
productivity. Therefore, in terms of capital intensification, the intensification of fluid capital including the

Yoshio Kawamura
technological renovation of labor subjects generates progress in the former regions; on the other hand, the
intensification of fixed capital including the technological renovation of labor generates progress in the latter
regions. Hence, the key point is that agricultural growth mechanisms differ according to the natural and social
environments.
Natural Environment
Dry region Humid region
High population density
Land productivity
Densely emphasized Labor-saving
populated
community Fixed capital intensive
Social Low wage

Environ
Low population density
ment
Labor productivity Labor-intensive
Thinly emphasized
populated Current capital
community intensive
High wage
Cold and dry Hot and wet
Low labor input

High labor input
Labor-intensive
Labor-saving
Current capital inten-
Fixed capital sive
Figure 1: Agricultural Categories in Temperate Regions
* 1: Kawamura Yoshio et al. 1999, 53.

2: The original figure was made with reference to Iinuma Jiro 1969, 25.; Figure drawn by the author
Natural and Social Environments
The average annual temperature, temperature range, average annual humidity, humidity range, annual rainfall,
and rainfall range were collected as variables of the natural environments. Descriptive statistics analysis and
correlation analysis of these six variables are shown in Table 1. This table reveals the following interesting results.
Heilongjiang had the lowest average annual temperature of 5.4°C, while Hunan had the highest, 24.1°C. However,
the correlation coefficient of the average annual temperature and the temperature range (r = -0.835) shows that
the difference in the annual temperature range (the difference between the highest and lowest monthly
temperature) tends to be smaller in provinces with higher average annual temperatures, and larger in provinces
with lower average annual temperatures.
A similar tendency can be seen with humidity. Tibet Autonomous Region had the lowest average humidity of
33.9%, and Hunan Province again had the highest of 80.2%. Once again, the correlation coefficient of the average
annual humidity and its range (r = -0.826) tends to be smaller in provinces with higher average annual humidity,
meaning constantly muggy weather throughout the year, and the difference in the annual humidity range tends to
be bigger in provinces with lower average annual humidity, which leads to substantial seasonal fluctuations in
humidity. With regards to rainfall, which is directly related to humidity, Table 1 shows that provinces with a lot of
rain experience a large amount of annual rainfall and a large seasonal variability in rainfall, whereas provinces with
little rain experience a small amount of annual rainfall with little seasonal rainfall variability.

Yoshio Kawamura
Table 1. Descriptive Statistics of Climate Variables and Correlations in China (Provincial Level)
Correlation Coefficient
Fre-
Units quency Min. Max. Average SD 1 2 3 4 5 6
°C 27 5.4 24.1 14.104 5.353 1
°C 27 4.8 38.7 21.637 8.745 -0.835** 1
% 27 33.9 80.2 63.870 11.112 0.673** -0.459* 1
% 27 12.0 41.0 27.420 9.653 -0.675** 0.575** -0.826** 1
Mm 27 193.6 2488.2 933.178 569.575 0.850** -0.675** 0.762** -0.759** 1
Mm 27 41.7 884.5 247.074 169.184 0.762** -0.655** 0.587* -0.565** 0.912** 1
** Correlation coefficient is significant at the 1% level.

* Correlation coefficient is significant at the 5% level.
Table drawn by the author.
Since the six variables portraying these natural environments were found to be closely related—as shown in Table
2 in the principal component analysis, only one principal component was extracted, and the scores of this principal
component were converted into an index as a climate factor. The higher in the climate index indicates the higher
temperature and humidity with the smaller ranges (i.e., the difference between the maximum and minimum
values) and the higher rainfall with the larger range of rainfall. In other words, if the climate index of a certain
province is high, this means that its temperature and humidity are high, and it has a lot of rainfall. In addition, this
tendency continues throughout the year. Hainan and Fujian are typical examples of province with high climate
index. On the other hand, typical examples of provinces with a low climate index are Heilongjiang and Xinjiang
Uighur Autonomous Region.
Table 2: Principal component analysis
Communality
Component matrix
(after extraction)
1. Average annual temperature 0.849 0.720
2. Temperature range (difference) -0.678 0.459
3. Average annual humidity 0.754 0.568
4. Humidity range (difference) -0.750 0.562
5. Annual rainfall 1.000 0.999
6. Rainfall range (difference) 0.924 0.854
Sums of squares of loadings after extraction = 4.212

Variance (%) = 70.205%
Figure 2 is a scatter diagram of the correlation (r = 0.528) between the climate index and the population density
(log-transformed). Figure 2 shows that there exists a certain relationship between the natural environment and
the population distribution. In this figure, there are no provinces that are categorized as “humid” and “thinly
populated,” while eight provinces are categorized as “humid” and “densely populated,” and six are categorized as
“dry” and “thinly populated.”

Yoshio Kawamura
Population Density (log)
Climate Index
Correlation coefficient r = 0.528**

**
Correlation Coefficient is significant at
the 1% level.
Figure drawn by the author.
Figure 2. Scatter diagram of the correlation between the cli-

mate index and the population density
This analysis uses land-labor ratios instead of population densities, after confirming the relationship between
natural environments and population distributions. The log-translated correlation coefficient (r = -0.976) of these
factors shows them to be oriented in opposite directions, but nevertheless, they can in effect be handled as almost
the same variable. Namely, it is certain that the land-labor ratio (the land area cultivated by one agricultural
worker) is low in densely populated provinces, and high in thinly populated provinces. Jiangsu has the highest
population density of 7.24 persons/ha, but it has the 4th lowest land-labor ratio of 0.75 ha/person. Henan has the
lowest land-labor ratio of 0.44 ha/person, and has the 3rd highest population density of 5.73 persons/ha.
Meanwhile, Tibet Autonomous Region has the lowest population density of 0.44 ha/person and the highest land-
labor ratio of 84.17 ha/person. In other words, Jiangsu is 362 times as densely populated as Tibet Autonomous
Region, while the latter has 113 times more agricultural land than the former on average.
Relationship between the Natural and Social Environments and Agricultural Investment
In this paper, the relationship between the natural and social environments and the distributed structures of
agricultural capital input, as well as the direct influence of the agricultural capital input upon agricultural
productivity are measured. The formation of agricultural capital input, here, categorized into two groups, the
input of fixed capital (machinery, etc.) and the input of fluid capital (fertilizers, agricultural chemicals, etc.) are
measured using the two indexes of the capital-labor ratio (capital input per agricultural worker) and the capital-
land ratio (capital input per agricultural land unit) respectively.
Table 3 shows the correlations of these four agricultural investment indexes. The fixed capital-labor ratio is
moderately and positively correlated each other with the fluid capita-labor ratio (r=.457): and the former has a
moderate positive correlation with the fixed capital-land ratio (r=.507) while the latter has a moderate positive
correlation with the fluid capital-land ratio (r=.413). The fixed capital-land ratio is strongly and positively
correlated each other with the fluid capita-land ratio (r=.878): and the former has a moderate positive correlation
with the fixed capital-labor ratio (r=.507) while the latter has a moderate positive correlation with the fluid capita-
labor ratio (r=.413).

Yoshio Kawamura
These correlations indicate that agricultural investment in China can be represented by two fields which are
partially associated each other. One is the field of capital investment on labor represented by the fixed capital-
labor ratio and the fluid capital-labor ratio: and the other is the field of capital investment on land represented by
the fixed capital-land ratio and the fluid capital-land ratio. The latter investment is much stronger than the former,
indicating the capital investment on land is a major movement in Chinese agriculture. However, it is noteworthy
that these two capital investments do not function independently, but the fixed capital-land ratio and the fluid
capital-labor ratio serve as common denominators associating with these two capital investments each other.
Table 3: Correlation between Capital Inputs and Descriptive Statistics
Correlation Coefficient
Unit Frequency Min. Max Average SD
1 2 3 4 5
1.Fixed capital- 10,000 kw/ 27 1.311 6.650 3.254 1.424 1
labor ratio
10,000 persons
2.Fluid capital- 10,000 t/ 27 0.051 0.380 0.197 0.197 0.457* 1

labor ratio
10,000 persons
3.Fixed capital- 10,000 kw/ 27 0.047 9.528 2.352 2.352 0.507** 0.251 1
land ratio
10,000 ha
4.Fluid capital- 10,000 t/ 27 0.001 0.512 0.144 0.144 0.268 0.413* 0.878** 1
land ratio
10,000 ha
5.Land produc- 100 million yuan/ 27 0.012 5.809 1.687 1.513 0.234 0.355 0.845** 0.934** 1
tivity 10,000 ha
100 million yuan/ 27 0.753 4.339 2.319 0.971 0.318 0.752** 0.222 0.355 0.516**
6.Labor produc- 10,000 persons
tivity
Coefficient is significant at the 1% level.

**
*
Coefficient is significant at the 5% level.
Figure 3 shows the results of path analysis (standardized regression analysis), which tested the relationship
between these capital investments and the natural and social environments mentioned above. The results indicate
the following three points.
(1) The natural environment (climate factor) has a moderate direct influence on the fixed capital-labor ratio, or
the fixed capital input in labor units (Β=-.462), but does not have a direct influence on the fluid capital-labor
ratio, or the fluid capital input in labor units. In addition, it has a direct influence on the fixed capital-land
ratio, or the fixed capital input in land units (Β=-.352), but does not have a direct influence on the fluid
capital-land ratio, or the fluid capital input in land units. In other words, the natural environment has direct
influences on fixed capital investment but not on fluid capital investment. This outcome of analysis indicates
that dry provinces have a large fixed capital input and humid provinces have a relatively low fixed capital
input, while fluid capital input does not have any clear difference related to climate. This may be indicative
of the progress of agricultural mechanization in dry provinces.
(2) The social environment (land-labor ratio) has a strong direct influence on the fixed and fluid capital-land
ratios, or the capital investments in land units (Β=-.801, -.668 respectively), but no significant direct
influence on the fixed and fluid capital-labor ratios, or the capital investments in labor units, is observed.
Provinces with a low land-labor ratio—or densely populated regions—are characterized by large capital
inputs on land (both fixed and fluid capital). On the contrary, provinces with a high land-labor ratio—or
thinly populated regions—have small inputs of fixed and fluid capital on land.
(3) The fixed capital-land ratio and the fluid capital-land ratio, which indicate the capital investment to land, are
strongly correlated each other (r=.878). The fixed capital- labor ratio and the fluid capita-labor ratio, which
indicate the capital investment to labor, are moderately correlated each other (r=.457). Similarly, the fixed

Yoshio Kawamura
capital- land ratio is moderately correlated to the fixed capital-labor ratio (r=.507) while the fluid capital-land
ratio is also moderately correlated to the fluid capital-labor ratio (r=.413).
(4) However, the fixed capital-land ratio has no correlation with the fluid capital-labor ratio while similarly the
fluid capital-land ration has no correlation with the fixed capital-labor ratio either
Climate －.462
factor (C)
－.352
Fixed capital-labor ratio

.528 －.490 (K/L)
.457
.507 Labor
.752 productivity
Population －.976 Land- (Y/L)
density labor
.516
.413
Fixed capital- land
ratio (K/A) Land
－.801
productivity
(Y/A)
.878
－.668 Fluid capital-

.934
land ratio (k/A)
log (A/L)=－.976log(P/A) R2=.950
(K/L)=－.462C R2=.182
(k/L)=――――――― ――――
2
(K/A)=－.352C－.801log(A/L) R =.446
(k/A)=－.668log(A/L) R2=.424
(Y/A)=.934(k/A) R2=.868
(Y/L)=.752(k/L) R2=.549
Figure 3: The Structure of Agricultural Productivity in China

(Path Analysis: average data of 2009-2011)
These results of relationship between the agricultural capital investments and the natural and social environments
indicates that the major development of capital investments in Chinese agriculture is strongly related to the
production factor of land rather than to the production factor of labor and that the major capital investment is
directly associated with the social environment although the minor capital investment to labor is directly
associated with the natural environment.
The strong capital investments on land (both fixed and fluid capita) are developed in provinces with a low land-
labor ratio—or densely populated regions—which are in the natural environment of relatively hot and humid
areas. On the contrary, the capital investments of mechanization, or fixed capital-labor ratio, are developed in
provinces in the natural environment of relatively cool and dry areas which are with a high land-labor ratio—or
thinly populated regions.

Yoshio Kawamura
Agricultural Investment and Agricultural Productivity
The above Table 3 clearly shows the relationship between capital input and productivity. As for land productivity,
Tibet Autonomous Region has the lowest value of 120 yuan/ha, while Jiangsu has the highest of 58,090 yuan/ha.
The difference between these values is huge: the highest being 484 times the lowest. As for labor productivity,
Guizhou has the lowest value of 7,530 yuan/person, while Jiangsu again has the highest of 43,390 yuan/person.
Thus the highest value is 5.8 times the lowest. This difference is much smaller than that with regard to land
productivity. There is a relatively strong correlation (r = 0.516) between land productivity and labor productivity,
and provinces with a high land productivity tend to have a high labor productivity, while provinces with a low land
productivity tend to have a low labor productivity. In this regard, the results of the descriptive statistics show that
the difference is remarkable in the case of land productivity.
More importantly, land productivity, which shows great differences, has a very strong correlation with the level of
capital investment to land units, that is, the fluid capital-land ratio (r = 0.934) and the fixed capital-land ratio (r =
0.845); however, significant correlation between land productivity and the level of capital investment to labor units
(the fixed capital-labor ratio and the fluid capital-labor ratio) cannot be observed. On the other hand, labor
productivity strongly correlates with only the fluid capital-labor ratio (r = 0.752), and does not have a significant
correlation with the fixed capital-labor ratio. Theoretically, the level of fixed capital investment to labor, that is, the
fixed capital-labor ratio, is important as a factor exerting a direct influence upon the improvement in labor
productivity. This is true with indexes that indicate mechanization. However, in reality, the level of fluid capital
investment to labor units, not the level of the fixed capital investment to labor units, determines the labor
productivity. This indicates the characteristics of agricultural investment in the contemporary China.
Figure 3, which measures the direct influence of agricultural investments upon agricultural land and labor
productivities, shows the following two points.
(1) Land productivity is strongly determined by the fluid capital-land ratio (Β=.934), which strongly correlates
with the fixed capital-land ratio (r=.878). The R2 of the land productivity is 0.866, demonstrating almost
complete interpretability. In other words, land productivity is strongly and directly affected by the fluid
capital investment on land which is also strongly related to the fixed capital investment on land. On the
other hand, no statistically significant direct influence of the capital investments on labor, which are
presented by the capital-labor ratios (fixed capital and fluid capital), is not observed as on the land
productivity.
(2) Compared with land productivity, labor productivity is relatively less affected by capital investment. The fluid
capital-labor ratio is the only element that has a direct influence upon labor productivity, and high labor
productivity is achieved in provinces with a high fluid capital-labor ratio, which shows the fluid capital
investment on labor power. However, the fixed capital-labor ratio does not determine labor productivity.
This indicates that the contemporary China is not at a stage where the investment for machinery serves to
improve labor productivity, but rather in a situation where investment in fluid capital such as fertilizers and
agricultural chemicals boosts labor productivity. The R2 of the labor productivity is 0.540 demonstrating
relatively weak interpretability compared to the R2 of the land productivity. These indicate that the axis of
agricultural development in the contemporary China is the improvement of land productivity by inputting
mainly fluid capital such as fertilizers and agricultural chemicals, which results also in the improvement of
labor productivity.
Development Direction in Agricultural Productivity
Figure 4 shows the changes in land productivity and labor productivity from 2005 (the 3 years average of 2004-
2006) to 2010 (the 3 years average of 2009-2011) in 27 provinces. In these 27 provinces, in 2005, the average land
productivity was 9,600 yuan/ha, and the average labor productivity was 12,000 yuan/person; and in 2010, the
average land productivity was 16,900 yuan/ha, and the average labor productivity was 23,200 yuan/person.
Therefore the increases of agricultural productivity for the five years were 7,300 yuan/ha in land productivity and
11,200 yuan/person in labor productivity, indicating that the nominal growth rates during the years were 1.8 times
in land productivity and 1.9 times in labor productivity.

Yoshio Kawamura
In Figure 4, the line which connects the intersections of the average land productivity and the average labor
productivity for 2005 and 2010 shows the agricultural progressive trend line of the whole of China determined by
both of these productivities. The slope of this overall agricultural progressive trend line indicates the general
direction of comparative changes between land and labor productivities: an increase of 11,200 yuan per person in
labor productivity against an increase of 7,300 yuan per ha in land productivity creates 1.53 (=11,200/7,300) as a
ratio of comparative changes between land and labor productivities.
Labor Productivity
Figure 4: Scatter Diagram of Land Productivity and Labor Productivity

(2005 - 2010)
1.Hebei 2.Shanxi 3.Inner Mongolia Autonomous Region 4.Liaoning 5.Jilin 6.Heilongjiang 7.Jiangsu
8.Zhejiang 9.Anhui 10.Fujian 11.Jiangxi 12.Shandong 13.Henan 14.Hubei 15.Hunan
16.Guangdong 17.Guangxi Zhuang Autonomous Region 18.Hainan 19.Sichuan 20.Guizhou 21.Yunnan 22.Tibet Autono-
mous Region 23.Shaanxi 24.Gansu 25.Qinghai 26.Ningxia Hui Autonomous Region 27.Xinjiang Uighur Autonomous Region
Figure drawn by the author.
A line connecting the average intersections for 2005 and 2010 for each province represents the agricultural
progressive trend line of the province. The slope of this average trend line is presented by the ratio of comparative
changes between land and labor productivities (1.53). If the agricultural progressive trend line of a province lies
more to the X-axis (land productivity axis) side from the overall agricultural progressive trend line, it indicates an
achievement of land-productivity-oriented growth. In this case, the ratio of comparative changes between land
and labor productivities should be lower than the average ratio of 1.53. In contrast, a province whose agricultural
progressive trend line lies more to the Y-axis (labor productivity axis) side from the overall agricultural progressive
trend line indicates an achievement of labor-productivity-oriented agricultural growth. In this case, the ratio of
comparative changes between land and labor productivities should be higher than the average ratio of 1.53.
Figure 4 shows that Jiangsu (#7 in the figure), Shandong (#12), and Henan (#13) as typical provinces that have
sought land-productivity-oriented agricultural growth. In Jiangsu, land productivity was 34,000 yuan/ha and labor
productivity was 20,000 yuan/person in 2005; in 2010, land productivity was 58,100 yuan/ha and labor
productivity was 43,400 yuan/person. Thus the increase of land productivity was 24,100 yuan/ha and its nominal
growth was 1.7 times whereas the increase of labor productivity was 23,400 yuan/person and its nominal growth
was 2.2 times. This change creates 0.97 (=23,400/24,100) as a ratio of comparative changes between land and
labor productivities. The ratio indicates that the slope of Jiangsu’s agricultural progressive trend line lies more to
the X-axis (land productivity axis) side from the overall agricultural progressive trend line. This slope shows an

Yoshio Kawamura
orientation to land productivity rather than labor productivity, which shows that the province has taken the land-
productivity-oriented agricultural growth course. The same trend can be seen in two other provinces, Shandong
and Henan.
However, Figure 4 also shows that there are provinces that obviously deviate from the general growth trend of
Chinese agriculture. In other words, at least four provinces, namely Inner Mongolia Autonomous Region (#3), Jilin
(#5), Heilongjiang (#6), and Xinjiang Uighur Autonomous Region (#27), are seen to have developed an agricultural
growth pattern that is clearly labor-productivity-oriented. For example, the land productivity of Inner Mongolia in
2005 was 900 yuan/ha, while its labor productivity was 15,000 yuan/person; in 2010, its land productivity was
1,700 yuan/ha and its labor productivity was 29,300 yuan/person. Its increase of land productivity was 800 yuan/
ha and its nominal growth of land productivity was 1.9, whereas the increase of labor productivity was 14,300
yuan/person and its nominal growth of labor productivity was 2.0, which creates 17.9 (=14,300/800) as a ratio of
comparative changes between land and labor productivities. The ratio indicates that its agricultural progressive
trend line has an almost vertical slope, which shows that it has taken the labor-productivity-oriented agricultural
growth course. The other three provinces of Jilin, Heilongjiang, and Xinjiang Uighur Autonomous Region show
almost the same tendency.
One of important fact findings is that all the provinces taking the labor-productivity-oriented agricultural growth
course belong to the category determined by the respective natural and social environments of “dry region” and
“thinly-populated community.” It is necessary to recognize that the growth mechanism in these areas is probably
different from that in the areas determined by the respective natural and social environments of “humid region”
and “densely-populated community,” whose agriculture is land-productivity-oriented, based on fluid capital input.
The important point is to recognize that the agricultural growth mechanism differs from region to region according
to their natural and social environments.
REFERENCES
Iinuma, Jiro. 1967. Nogyo Kakumei Ron [Agricultural Revolution]. Tokyo: Miraisya.
Imamura, Naosami. 1996. Dai 6-ji Sangyo no Sozo wo [To Create a Sixtiary Sector]. Gekkan Chiiki Zukuri [Monthly
Journal-Regional Construction] 89, Chiiki Kasseika Senta, Nov.
Kawamura, Yoshio. 2012. Characteristics of Agricultural Production Structures Determined by Capital Inputs and
Productivities in Contemporary China: Based on 2010 Annual statistical Data at the Provincial Level,
Working Paper Series, Studies on Multicultural Societies No.6, Afrasian research Center, Ryukoku
University, May, pp.15.
Kawamura, Yoshio. 2010. The Socioeconomic Reality of Agricultural/Rural Development and Rural Sociologists’
Roles in a Globalizing Era. In The Multidimensionality of Economic, Energy and Environmental Crises and
Their Implications for Rural Livelihoods (Asian Rural Sociology IV), eds. L.I. Tolentino, L.D. Landicho, S.
Wun’Gaeo & K. Ikegami, 1-10. Asian Rural Sociology Association, Sept.
Kawamura, Yoshio. 2010. Nihon no Chiiki Nogyo Kasseika no Hatten Ronri: Gurobaru-ka Jidai ni okeru Chiiki Nogyo
Kaihatsu no Rironteki Wakugumi no Kochiku [The Development of Revitalization of Regional Agriculture
in Japan- Construction of a Theoretical Framework of Regional Agricultural Development in a Global
Age]. In Regional Economic Development and New Management for Revitalizing Farm Villages in
Pasturage Areas, ed. Soki, 198-224. Inner Mongolia: Inner Mongolia People’s Publishing House.
Kawamura, Yoshio. 2010. Grobaru Jidai ni okeru Kankyo/Shigen to Nogyo Kaihatsu: Fodizum to Nicchizum
[Environment, Resources and Agricultural Development in a Global Age: Fordism and Nichism]. In Hunso
Kaiketsu Gurobaru-ka/Chiiki/Bunka [Conflict Resolution, Globalization, Region and Culture], eds. Pauline
Kent, Atsushi Kitahara, 22-40. Kyoto: Mineruba Syobo.

Yoshio Kawamura
Kawamura, Yoshio. 2004. Japanese Agricultural/Rural Economic Development and Alternatives of regional
Development with Globalizing Economy, University Publisher of the Faculty of Graduate Studies,
University of Colombo, Sri Lanka, pp.49.
Kawamura, Yoshio. 1996. Cyusankan Chiiki no Nyu Bizinesu no Kanosei wo Saguru [Possibilities of New Businesses
in Semimountainous Areas]. Nogyo to Keizai [Agriculture and Economy] 63(10): 41-49.
Kawamura, Yoshio. 1991. Chiiki Noringyo/Noson no Henbo to Kasseika no Kihonkadai [Basic Challenges of the
Change and Revitalization of Regional Agriculture and Forestry]. Noringyo Mondai Kenkyu [Journal of
the Rural Issues] 27(4): 2-11.
Kawamura, Yoshio. 1987. Noson Syakai no Henbo to Kasseika Seisaku no Arikata [Changes of Rural Societies and
the Concept of a Revitalization Policy]. Nogyo to Keizai [Agriculture and Economy] (Special Edition:
Agricultural Policy Council Report and New Development of Agricultural Policy): 66-75.
Kawamura, Yoshio & Tang Qian, 2013, “Chugoku Nougyou Kouzou niokeru Uchimongoru Nougyou no Tokuchou
[Characteristics of Inner-Mongolian Agriculture in Chinese Agricultural Structure],” in Kawamura, Yoshio
(ed.) Keizai Seichou no dainamizumu to Chiiki Kakusa－Uchimongoru Jichiku no Sangyou Kouzou no
Henka to shakai Hendou－[Dynamism of Economic Growth and Regional Disparity: Industrial Structure
and Social Change in Inner-Mongolia], Kyoto: Koyo-shobo, pp.21-39.
Kawamura, Yoshio., Hoshino, Satoshi., Mese, Morio. 1994. Chiiki Kasseika to Keikaku [Regional Revitalization and
Planning]. Tokyo: Meibun Shobo.
Koike, Tsuneo. ed. 1998. Chiiki Nogyo no Hatten to Chiho Jichitai [Development of Regional Agriculture and Local
Government]. Tokyo: Ie no Hikari Kyokai.
Mese, Morio. ed. 1990. Chiiki Shigen Kanri-gaku [Regional Resources Management]. Tokyo: Meibun Shobo.
Mese, Morio., Yoshimitsu Torigoe, Yoshio Kawamura, Toyonobu Sato, Toyokazu Yano. 1991. Kuristaru Roman
Ohotsuku [Crystal Roman Okhotsku]. Tokyo: Meibun Shobo.
Sakamoto, Keiichi., Toshihiro Takayama, Osamu Soda. eds. 1986. Chiiki Sangyo Hukugotai no Tenkai [Development
of the Structure of Local Industries]. Tokyo: Meibun Shobo.
Sakamoto, Keiichi., Toshihiro Takayama. eds. 1983. Chiiki Nogyo no Kakushin [Renovation of Regional Agriculture].
Tokyo: Meibun Shobo.
Sonraku Shakai Kenkyukai. 1992. Kazoku Nogyo Keiei no Kiki sono Kokusai Hikaku [The Crisis of the Family Farm -
An International Comparison], Sonraku Shakai Kenkyu [Rural Studies] 28. Tokyo: Nobunkyo.
Yori, Taira. ed. 1992. Kokusai-ka Jidai no Nogyo Keizaigaku [Agricultural Economics in a Globalizing Era]. Osaka:
Fumin Kyokai.

PADDY FIELD FISHING AS SELF-SUFFICIENCY SYSTEM IN SOUTHERN LAOS
Miho Fujimura
Saga University, Japan
E-mail: fujimum@cc.saga-u.ac.jp
Tsukasa Inaoka
Saga University, Japan
E-mail: Inaoka@cc.saga-u.ac.jp
ABSTRACT
The purpose of this study is to show the situation and changes in the land use in remote rural community, and to consider, from
comparative views, the significance of the multilayered land for subsistence of local people. As a part of the purpose, this paper
focuses on the changes in self sufficiency in the Oy ethnic minority group in southern Laos, as a result of introduction of the
market economy. And my main focus is on the use of multilayered land: paddy field aquaculture using fish ponds known as
Loum-pa in Laotian . Loum-pa refers to a fish pond made by digging a hole in a paddy field. It is used to breed fish during the
dry season. Each household in the village owns some Loum-pa. In recent years, there has been a rapid change in the lifestyle of
people in our study area, as many people there started to work part time at the rubber plantations owned by the Vietnamese,
which resulted in the introduction of the monetary system in the village. The following topics, including the paddy field
aquaculture system of the Oy, the customs and inheritance of Loum-pa, and their correspondence to recent changes, will be
discussed in order to clarify the meaning and possibilities of Loum-pa in this changing society.
Keywords: multilayer use of land , paddy field aquaculture, Oy ethnic minority
INTRODUCTION
The nature maintained by adding labor periodically for production or for living, is called "secondary nature".
Japanese “Satoyama”, “Satoumi” and paddy field as artificially maintained wetland are some examples. Since man
uses secondary nature in daily life for production or for living, the living things in it are adapted to human activities,
and we feel it familiar. In recent years, concerns about secondary nature management are increasing from the
viewpoint of environmental preservation. However, it is difficult to manage secondary natural preservation
especially for the rural residents in developing countries because they do not live only for environmental
preservation, they use land in current socio-economic situation.
Multiple use of land is deeply connected with the livelihood strategy (Seigyo). Yasumuro(2003) suggested that in
the mountainous areas of Japan, people could not focus their land use only on the specialized area due to
geographical characteristics, as they practice many activities in parallel. Activities for self sufficiency include
cultivating the field, hunting, fishery, whereas activities for money income include forestry, working outside village,
sale of paper etc. They need to strike good balance between these two kinds of activities as they earn a living.
On the other hand, rice cropping in Japan showed strong tendency for specialization. The areas highly specialized in
the paddy field for rice cropping exceed 90 percent of the total area of the paddy fields in various regions of Japan.
However, looking at the paddy fields in the Japanese archipelago from the aspect of subsistence, it can be said that
they are used not only for rice cropping but also for various other functions. Moreover, they are also considered to
affect the spiritual culture such as belief, ritual, and the formation of Japanese nature-views. (Yasumuro 2003).
However, in remote villages in Southeast Asia, even in the paddy areas, people live based on the livelihood
strategy just as the people in mountain villages in Japan do. What are the possible reasons for this other than
insufficient development of commodity economy and the delay in modernization of agriculture? Futhermore, what
are their significance? This report focuses on these points.
This paper focuses on the recent changes in multiple use of land for self sufficiency in the rural community in
southern Laos. My main focus is on paddy field aquaculture using fish ponds known as Loum-pa in Laotian.

METHODOLOGY
Subject and method
This study was carried out in Intee village, Sanamxay district, Attapeu province, during the period from 2006 to
2014. There are 1,657 people in 268 households (including 308 families) living in Intee village (2012), and more
than 99% of them belong Oy ethnic minority group. Questionnaires were carried out (in 2008, 2010, 2011) for
each household to know their subsistence and food security situations. Another questionnaire and interviews about
inheritance of paddy fields or Loum-pa was carried out for all of the elderly present in the villages who were able to
respond to the questions (in 2013). In addition to these questionnaires, we carried out focus group discussion for
some topics. All of the studies were approved by the National Ethical Committee for Health Research, Ministry of
Health, Laos.
Study area
Attapeu province lies in the southeast of Laos with an area of 10, 320 sq. km. It is
boarded by Vietnam in the east and by Cambodia in the South. Attapeu has an
estimated 23,400 households in 150 villages. The total population is 126.000 (2011).
The population density is 12 people/㎢ and the population growth rate is 2.0%/
year.
There are 11 ethnic groups in Attapeu: Lao, Sadang, Cheng, Brau, Oy, Alak, Su, Taoy,
Yahern, Taliang and Yae. Many of the minority people were living in the mountains,
practicing upland farming or moving again and again. Oy people also have the
legend that they came from northern Laos. They had been living on top of the
Bolovens Plateau at least from the 1940s, and have practiced rice farming on the
Plateau. They have long practiced rice farming. They believe in the spirit of paddy
and they have some ritual related to rice.
Figure 1.Map of Attapeu province
and study area
There are 24 Oy villages in Attapeu province in 2011. Intee is one of the biggest
villages and moved to the current place in 1978 after Vietnam War. According to
the elder villager, they started to have paddy field in the valleys when they lived in the foothills of the Plateau from
1948. Following the governmental instruction, people moved to the valley on a permanent basis until the end of
1970s.
Attapeu is a part of the “triangle development area” because it is located between Vietnam and Cambodia, it is
convenient for linking the economy, commerce, investment and tourism in this area. From 2004, the international
aid started to build infrastructure, and the inflow of foreign investment which focus on abundant forest resources
and land started. In this province, Hoang Anh Gia Lai company (HAGL) from Vietnam signed the land sell-and-lease
agreement for 40 years with the Laos government, and cleared forest for rubber plantation locally known as
Yampala in wider than 4700ha area. In addition to the rubber plantation, HAGL began to clear the forest in the
opposite shore of the river of the village we study for a huge sugarcane plantation.
It is reported that local villages impacted by rubber concessions owned by or affiliated with these companies have
lost vast tracts of land and forests（Miles Kenney-Lazar , 2011）. On the other hand, the road from central city to
Vietnam border had been improved by HAGL, and HAGL has promised to build infrastructure such as an airport,
hospitals, schools, community halls from now on. Villager became possible to earn money by part-time labor work
in the intervals of rice farming. Under such a situation, their life is changing rapidly during these five years.
Paddy field aquaculture system of the Oy
a. Subsistence and Land use
Within the area, there is ownership of paddy fields where people grow and harvest rice for usual subsistence use.
They harvest 1 time per year because they do not have modern irrigation system for dry season. The data of 190

households (in 2011) shows that each household in

the village owns an average of 2ha paddy field in
seven plots. Productivity of rice /ha is 1.4t (most of
it between 0.5-2.8t) and this is equal to the
productivity of Japan in the 1960s. After
harvesting, extra rice is stored in locally-made
granaries and is used as the household staple for as
long as it lasts. During the dry season, many
households set up backyard gardens for provision
of vegetables and sometimes fruit. They also breed
pigs and chickens in addition to cattle and water
buffalo as draft animals. During the season, there
are many natural products in the forest.
Figure2. Activity calendar in 2008 (data from focus group
The sources of cash income until the employment discussions in 2008-2010)
in a rubber plantation started in 2008 are：
helping rice harvest, sale of cow or water buffalo,
sale of corn and banana in the village, sale pumpkin
and ginger in a market, part time job in the another
provinces, sale of fish surplus in the village, sale of
forest products.
People within this area mainly depend on paddy

fish for their main protein supply although they
also feed on household animals like pigs, poultry
and buffalo. These animals are mainly eaten in the
occasion of a special party or in case food crisis Figure 4. Source of fish during
Figure 3. Source of fish during
occurred or the animals die. They told that they like the rainy season the dry season
fish more than meat. Fishery is performed by many (data from 121 households in (data from 121 households in
2008)
fishing implements in the waterway of a paddy field 2008)
and river in the rainy season. Fishery is mainly
carried out in Loum-pa in the dry season.
b. Paddy field fishing in the village
Loum-pa (Tra Bang in Oy language) refers to a fish pond made by digging a 4-10m diameter hole in a paddy field.
It is used to rear fish during the dry season. The low-layer wall is covered and reinforced by a board, and a sprig is
installed in the upper part. While it is used as the equipment for collecting fish in the rainy season, it is also used as
a fish-breeding pond in the dry season. It depends only on the stream of the rainy season. If the scale of a flood is
too large, the fish will flow out, but the fish does not come without a flood. So Loum-pa is used mainly in the dry
season when the fish catching in a waterway or a puddle is impossible. Every dry season, they capture all the fish
by pumping water in, and repair Loum-pa. Villagers think that Loum-pa is the origin of Oy and it has been
continuously built from five generations ago. Almost all households own Loum-pa and the number of Loum-pa
increases as the number of paddy fields increases (Fig6,7). Fig.8 shows that productivity of rice (/ha)is reduced
proportional to the number of Loum-pa (/ha).
It may be because of the reduction in
the paddy planting area.
Figure 5. Structure of Figure 6. Photos of Loum-pa in rainy season and dry

Loum-pa season in Somsouk village
(photographer: M.Fujimura, 08/19/2011, 03/09/2012 )

Figure 7. Number of paddy and Loun-pa (data from

190 households in 2012)
Figure 8. Productivity of rice and number Lopum-pa/ha (data from

190 households in 2012)
We can understand the importance of Loum-pa from their custom. There are more various taboos and customs
related to Loom-pa used by Oy people, compared with those related to animal hunting.
・They will become sick if they do not care about their Loum-pa because the spirit is in Loum-pa.
・If meat is eaten during construction of Loum-pa, catching fish becomes impossible.
・Don't go to Loum-pa on the day of the family member's death (hunting is possible).
・If they get many people to help when they construct a new Loum-pa, , it will be a big haul.
・If they bring home fish from paddy and eat it with workers when they construct new Loum-pa, messages from
the spirit will appear in their dream.
c. Possession and inheritance
Inheritance
There are the following three ways to increase the number of their paddy fields: inheriting from parents,
purchasing, reclaiming newly. As shown in Fig.6 and Fig.7, each household in the village owns an average of five

Loum-pa and paddy fields of about 2ha in size (seven pieces). When their children get married, both parents give
them some paddy with Loum-pa, house and fields. They are given to every child equally. If it is not enough, new
family will create or buy new paddy in some stages of their life. The
case of Mr.and Mrs.B (Fig.9) shows it well. Mr.B was around 55 years
old and was born in old village in the mountain hoot, and married after
the hamlet had moved to current place in 1978
.
Common paddy
There are common paddy fields in addition to private paddy field with
Loum-pa in the village. There are 6 groups in Intee, and each group has
their common paddy fields. They told that each group bought paddy
field when they were living in the mountain. They decide together the Figure 9. A case of inheritance of paddy (Loum-pa
(based on interviews, 2013)
men who use common paddy fields for 3-4 years. However the Loum-
pa in each paddy fields are used by all members of the group in the dry
season. They catch fish together from common Loum-pa once a year, and they sell fish and distributes income if
they catch enough fish. In another case, they use common Loum-pa to serve governmental officers visiting the
village.
Changing life
a. Lifestyle change
At the time of my first visit in 2006, most households were earning their living by practicing small-scale agriculture
and fisheries, or by collecting wild animals and plants. After rubber plantation came to Attapeu, rural residents
including Intee villagers became able to join wage labor during the off-season of agriculture, continuing self-
sufficient agriculture while living in the village. According to the head of the village (in 2013), 1,117/1,657 villagers
are working at rubber plantation of HAGL. It means school boys and girls also work during school holidays. Because
an employment agreement is signed every 10 days, most of adult works for 10 days, come back to village and stay
there for some days, and again go back to work.
Jobs at rubber plantations have brought a monetary system into the village, and many households are now able to
use electricity in their home and buy electrical appliances. More than 15 tractors are used in the village in 2013 and
people began to drink beer. Villagers said that life is becoming better. Before, they had to go out to find food in the
forest, river, and paddy field from morning to evening, but now they can buy everything after only 8-hours' work.
Villagers told that they can get 45000-50000kip /days. The number of livestock was decreasing because of the lack
of time to take care of them. They have much money but they have to buy many things.
Table 1 shows the result of the focus group discussion about "change of average household expenditure" by eight
residents. From this table, it is clear that overall expenses have increased, especially the amount of purchase of the
fish. This is because the amount of consumption of the river fish or a marine fish which are sold at the market
increased, in addition to the increase in the price of fish. According to our data (from 121 household) in 2008, the
amount of expenditure on river and sea fish was 40–60000 kip per household.
b. Environmental change
How do they recognize the changes in the environment? According to one of the leaders of the village who was
working outside the village as a teacher for 30 years, the environment has changed greatly. He feels natural
resources are decreasing rapidly. Now he cannot get enough fish, bamboo shoots and animals in the fields.
Former leader (81years old) told that the number of animals has decreased dramatically compared to the old days.
For example, in 1973 - 1962, there were many animals in the mountains. For example, elephants, tigers, deer, wild
boars (pig mountain), rats, rabbits, snakes, Niang, and monkeys were in the mountains. He could get more than 50
small animals every month. The numbers of animals has been reduced during 1973-2000, and no animals have
been found since 2000. He can find only 3-4 from 2009.

Younger generation also feel that there is an environmental change in the

paddy field in recent years. Fig.10 shows that trend analysis for food
security carried out by 6 villagers. The dots indicate percentages with each
one representing 10%. During the time from around 1970 to 1980, they
feel less rain and less rice but more fish from water stored in Loum-pa.
During the period from 2000 to 2010, moderate rain, moderate rice but
moderate fish, and after now (2010), due to climate changes and
population increase , less rain, less rice, less fish.
Figure10. Trend analysis for food security
The number of Loum-pa is also continously increasing by cultivation of a aspects
new paddy field. For example, it increased by 54 (+6%) during 2011 and (Source : Focus group discussion under J.Nambooze
2012. However, as they predicted, harvest of fish and rice per household in 2010)
seems to have decreased after 2010. They are especially aware of the
change in the water, in line with the changes in the environment surrounding paddy fields. Firstly, they have
noticed that from 7-8yers before, Loum-pa fish die in many Oy villages after November.
The governmental official told them not to eat dead fish, but villagers do not know the reason. A man thinks that
poison will have flowed from the unexploded shell which remains in the foot of a mountain from the Vietnam War
age. Another man was afraid of the effect of mercury a Chinese company used for mining of gold in the upstream of
the river.
Change in the quantity of water is more serious for them. In September 2009, Intee village suffered from a serious
typhoon, typhoon Ketsana. This resulted in temporary re-settlement of people into the mountainous areas because
the whole village was flooded with water for two days. Rice harvests reduced to almost half of the usual harvests,
Loum-pa were not really destroyed but fish was washed away into main rivers.
After typhoon Ketsana, they have experienced several floodings. People think that they have more floodings
because the forest was lost. In order for a fish to go into Loum-pa, a small-scale flood of the rainy season is
necessary, but if the amount of water is exceeds the certain level, the water of Loum-pa will overflow and the fish
inside will flow. Lack of water is also a big problem for them. In recent years, the river water has been pumped up
in large quantities for the sugar cane plantations. The quantity of water has been reduced after that, which affected
the crop yields of their rice. Furthermore, villagers think that the amount of fish they can catch has decreased
since foreign companies started gold mining in the upstream areas.
One of the leaders of this village explained the current situation, "fish went away from the paddy, and rice also is
gone". People think it happened due to environmental changes in addition to increasing population.
DISCUSSION: MEANING AND POSSIBILITIES OF LOUM-PA IN THE CHANGING SOCIETY
Development of irrigation water for double cropping will start, and mechanization will be introduced in the village
soon. And they want to make their life easier and become rich. As for Oy people, even after monetary economy has
prevailed, they are still maintaining Loum-pa. The possible reasons for this are: 1. the employment at HAGL is
unstable because labor demand differs between the growth stage of sugarcane and rubber, 2. the household having
no laborer or the household consisting of only elder people can’t join any part time jobs. It is easy to predict that
economic disparity among each household will be expanded in the village. For such kind of poor households, Loum-
pa is an easy and useful way in to set aside the food in case of emergency, and 3. Changes are made very slowly as
their preference for eating fish is connected to the taboos in their daily lives (taboos for food) as well as to religious
customs, and also as no capital or maintenance costs are required.
As mentioned above, villagers complains that in recent years, water quality is deteriorated and water quantity is
decreasing at the river which flows into their paddy fields. From the above episodes, we can understand that
villagers are sensitive to the environmental changes as they can notice them through a change in the fish of Loum-
pa. We can see that Loum-pa will be an important environmental indicator. Loum-pa has another possibility
corresponding to the present time. One family is trying to make big Loum-pa near the river. They change one small
paddy field to big Loum-pa. The reason is, the price of natural fish is higher than that of the artificially-raised one,

and they can sell Loum-pa fish as natural one. Of course, water is beyond his control, and he could not catch any fish
this year. He invested nothing after construction, but he can wait till next rainy season.
From now on, we would like to advance consideration, having a dialog with a series of research by Akimichi who
considered the fisheries of Laos from the viewpoint of possession.
ACKNOWLEDGMENT
This work was supported by KAKENHI (23530667) and KAKENHI (20530465). Tsukasa Inaoka and Joweria Nambooze
and Ryuta Ohtsubo had been members of this research. This survey was supported by the Lao PDR, National
Institute of Public Health (NIOPH) and the Attapeu Provincial Health Department. We would like to express our
appreciation to former director, Dr. Boungnong Boupha, current director, Dr. Kongsap Akkhavong, and deputy
director, Dr. Souraxay Phrommala of the NIOPH. And we really appreciate all the help of: Dr. Ketmany
Chanthakoummane and Dr.Chanthaly Luangphaxay and Dr. Khanpaseuth Sengngam, who have supported our field
survey from the beginning.
REFERENCES
Akimichi,Tomoya 2007 ,“Loum fisheries in southern Laos―The meaning of making privately owned fish collecting
equipment in the common pond”(in Japanese), Hito to Mizu no.3
Mekong Wetlands Biodiversing Conservatio and Sustainable Use Programme, 2006, Building Capacity in.
Environmental Impact Assessment: Selected Case Studies in Attapeu Province, Lao P D R. Attapeu Science
Technology
Miles Kenney-Lazar , 2011, “Land Concessions, Land Tenure, and Livelihood Change: Plantation Development in
Attapeu Province, Southern Laos,” http://mailman.anu.edu.au/pipermail/enviro-vlc/attachments/20100731/
a60a9641/attachment.pdf, (May,11th,2013)
Satoru Yasumuro, 2003, “Agriculture Hunting Fishing～What is major subsistence(Seigyo) for living people?” (in
Japanese), http://www.mizu.gr.jp/fudoki/people/001_yasumuro.html (March 20th,2014)
Yves Goudineau ed. 1997. Resettlement and social characteristics of new villages :Basic needs for resettled
communities in the Lao PDR: An ORSTOM Survey, UNDP Vientiane

NEW DEVELOPMENT STRATEGY OF HIGHER EDUCATION INSTITUTES IN JAPAN
-RYUKOKU EXTENSION CENTER AND THE CONSORTIUM OF UNIVERSITIES AT KYOTO-
Yoshio KAWAMURA
Kyoto Prefectural College of Agriculture and
Ryukoku University, Kyoto, Japan
ABSTRACT
In Japan there are more than seven hundreds universities as well as about four hundreds junior colleges. However, these
universities and colleges have been experiencing the third reshuffling process in their modern history. The first turning point
was the middle of the nineteenth century when Japan introduced the European higher education system as a part of its
modernization. The second turning point was the post-war period after the Second World War when the American education
system was introduced as a part of its liberalization. Then the current situation of Japanese universities indicates that the
universities have been experiencing the third turning point. The market competition in globalizing economy has been gradually
functioning as an external-driving factor to change the universities. This paper deals with the current development of Japanese
universities by focusing on two cases, Ryukoku University and the Consortium of Universities in Kyoto.
Keywords: Globalizing Economy, Higher Education, University Consortium, KSA (Knowledge, Skills, Attitudes), University
Extension
INTRODUCTION
In Japan there are more than seven hundreds universities as well as about four hundreds junior colleges. However,
these universities and colleges have been experiencing the third reshuffling process in their modern history. The
first turning point was the middle of the nineteenth century when Japan introduced the European higher education
system as a part of its modernization. The second turning point was the post-war period after the Second World
War when the American education system was introduced as a part of its liberalization. Then the current situation
of Japanese universities indicates that the universities have been experiencing the third turning point. The market
competition in globalizing economy has been gradually functioning as an external-driving factor to change the
universities. This paper deals with the current development of Japanese universities by focusing on two cases,
Ryukoku University and the Consortium of Universities in Kyoto.
DEVELOPMENT OF RYUKOKU UNIVERSITY FOR UNIVERSITY COOPERATIVE EXTENSION
Ryukoku University, having its 370 year anniversary in 2009, sets its policy as "human, science, and religion", and
fosters the "openness" of the university to the society. Ryukoku University currently consists of one junior college
and seven faculties: Letters; Economics; Business Administration; Law; Science and Technology; Sociology; and
Intercultural Communication and will have another faculty, Policy Studies, in April of 2011. The university also have
the seven graduate schools offering master and doctor programs in the academic fields directly corresponding with
the faculties. These locate on three campuses: Fukakusa, Ohmiya, both in Kyoto City, and Seta in Otsu City of Shiga
Prefecture. The university has about 550 full-time faculty members with more than one thousand part-time
lecturers and 230 full-time administrative staff with almost same number of adjunct supporting staff. The
university has approximately 20,000 students including about 1000 graduate students as well as more than 500
foreign students.
According to the Japanese concepts of higher education system, faculties and colleges are the institutions for
education functions. Thus Ryukoku University integrates these seven faculties into four research institutions for
research functions. These four research institutions are the Institute of Buddhist Cultural Studies, the Research
Institute for Social Sciences (RISS), the Joint Research Center for Science and Technology (JARCST), and the Institute
for International Society and Culture. The Institute of Buddhist Cultural Studies is the research institution
integrated by the Faculty of Letters; RISS is integrated by the three social sciences faculties, Economics, Business

Yoshio Kawamura
Administration, and Law; the Institute for International Society and Culture is by the two faculties, Sociology and
Intercultural Communication; and ARCST is by the Faculty of Science and Technology.
In addition to these eight permanent research institutes, the university currently operates four ad-hoc research
centers: High-tech Research Center, Digital Archives Research Center, Open Research Center for Humanities,
Science and Religion, and Corrections and Rehabilitation Frontier Center. These ad-hoc research institutes are
based on the grants-in-aid for the Advancement of Scientific Research Private Universities. To promote advanced
research at private universities, the government funds select research-and-development projects of graduate
programs and research centers, supporting university and private research institutes as well as collaborative
research.
Establishment of Ryukoku Extension Center
The university established the Ryukoku Extension Center (REC) in October 1991 as a core institution to offer the
intellectual and other resources of the university to the society and practically started its activities to perform its
operation in April 1992 with full-time staff (administrative) members appointed. In April 1994, the construction of
the REC facility, REC Hall, was completed in the expectations to function as the central body of the university's
collaboration with the regional society and to elaborate the new culture and technology.
REC is facilitated by all of the faculty members at the seven faculties and one junior college and four research
institutions. With REC poised for full-scale activities, Ryukoku University began the first steps towards the
establishment of a cooperative relationship with local communities including government organization, non-
government organizations and industrial companies. In conventional perception, a university has been thought to
have two main prospects: education and research. However, Ryukoku University adds the third prospect, extension
or societal direct contribution, to these conventional objectives, setting these three as the main functions of the
university. REC is the first case as an integrated extension institution in the history of Japanese higher education
that has a goal to respond to the real needs of local society by integrating the two basic university functions,
education and research, in the fields of Natural/Technology, Social and Humanity Sciences.
Activities of Ryukoku Extension Center
The basic framework of REC covers broad activities related to intellectual cooperation with local communities but
these activities are briefly classified into the following:
1) Concurrent education:
2) Recurrent education:
3) Joint research and consultation for new technology:
4) Joint research and consultation for social/human issues:
5) Incubation of small-scale industry based on the rental laboratory system:
6) Opening the university facilities:
a) Concurrent Education
For lifetime concurrent education, REC provides the "REC Community College" scheme, offering educational
courses to local people for humanity development mainly in the fields of general arts and sciences, foreign
languages, and basic computer skills. In 2000 REC offered 180 education courses to local people of 3,900 persons.
The courses are managed by a membership system to enable the members to carry out their study at REC. While
those without membership can also attend at the classes, the members can receive various services additionally
including the reduction of fees for many courses and lectures at REC, and the access to all of three university
libraries located on Ohmiya, Fukakusa and Seta Campus. The following education courses are some of the past
examples in the "REC Community College":
･ "Aging Beautifully" - lectures designed by fourteen staffs from various faculties of the university.
･ "Silk Road: Historical Path of Buddhism" - lectures coordinated by the staffs of Ryukoku University East Region
Research Group which has investigated the enormous quantity of the information on the east region gathered
by Otani expedition.

Yoshio Kawamura
･ "History, Culture, Climate, and Life at Lake Biwa" - designed with many specialists outside the university,
including the researchers at Shiga University, Doshisha University, Kyoto Women's University, Lake Biwa Research
Center, the Biwa Lake Museum, and others.
In addition to these lectures, REC also mobilizes the university's educational resources for training programs and
conferences held by private companies or public organizations. REC is aiming to be an institution mobilizing human
resources, for the lifetime concurrent education, from not only the university but also other universities as well as
mobilizing hidden human resources of local communities.
b) Joint Research with Recurrent Education
For joint research and recurrent education, REC provides the "REC University-Industry Cooperative" scheme.
University-industry cooperation can be carried out in many ways. At REC, it is designed for the cooperation
between private industry researchers and research staffs of the university. Researchers of both sides together
make efforts to proceed research focusing on the problems that the industries face to and the recurrent education
related to these is been done on the base of on-job training (OJT). In addition to these joint researches, REC
periodically provides the forums and training seminars on many fields in both natural and social sciences to
businesspersons and researchers from the private industries as ad hoc recurrent education programs.
The "REC University-Industry Cooperative" focuses on the local small-scale industries rather than national big
industries. In Shiga Prefecture there are approximately 500 small-scale manufacturing companies and the local
industry would be sustainable in the twenty-first century if one fifth of them can grow as "Only One -Companies"
which means the company having their own unique technology in the world. The REC's mission is to take a
responsibility as a university for the development of these unique companies.
The university-industry cooperation has been strongly developed in the field of natural/technology and social
welfare sciences on Seta Campus in Shiga but most of the joint research subjects, which have been done up to the
present time, are concentrated on new technology development. Thus the university established REC Kyoto in
May 2001 as the core facility of integrated extension in Kyoto in order to strengthen the university-industry
cooperation in the field of other social sciences, especially business administration field, Fukakusa Campus.
c) Incubation
One of the unique characteristics in the development policy of REC is to focus on the incubation of small-scale
industry. This is a kind of combined program of "REC University-Industry Cooperative" based on the rental
laboratory system in REC. Newly born infant companies, which have strong entrepreneurship but not enough
capitals, are invited for the rental laboratory which is well qualified physically and legally meeting the requirements
of necessary laws such as Environment Protection Regulation. They can stay at a rental laboratory room at very
low cost for one contract term of three years and concentrate themselves to develop their own new technology by
utilizing university facilities under the consultation of faculty members. Before the end of the term, the Technology
Evaluation Committee at REC evaluates their achievement and allows another term to stay if necessary for their
development of new technology. Besides upon to their request, a local bank also provides some capital to the
company for initial investment according to the committee's evaluation result.
As of 2001 twenty companies were locating at the rental laboratory in the incubation program and 4 companies
had already graduated from the program since they achieved their new technologies ensuring enough competition
power in the market. The Nihon Keizai Shinbun, which is the biggest newspaper on business/economy in Japan,
reported in April 2001 that there are 128 new venture companies established on university campus in the nation-
wide of Japan and 19 of them, which is 15 % of those, are from REC.
d) Open Access
The basic concept of REC is to let the university function as an access of intelligence for local communities including
local government organization, non-government organization and industrial companies. Thus the university opens
its campus and facilities to the public under the concept of "Open Campus." Especially REC Hall is the central

Yoshio Kawamura
facility or infrastructure of the university's collaboration with the local society. It is comprised from many spaces
for various purposes; cooperative research rooms, laboratories, exhibition rooms, meeting rooms, lecture rooms,
and small theater. These spaces are opened to the public to use by as much local people as possible. Local people
may use these spaces for meetings of their voluntary groups or many other purposes of their activities. Probably
the most unique and important facility in REC is rental laboratories. There are not only the spaces but latest
research equipments as well. They are also open to the public and to let researchers form the private industry use
associated with some of the university's faculty member.
Objectives of Ryukoku Extension Center
In the United States, however, the “extension” has been promoted as one of the major social functions in the
higher education system, with the aim of establishing a cooperative relationship between universities and the rest
of society as an institutional approach to university open access. Higher education institutions in the U.S. have
launched two types of “extension”: one is "University Extension" service, and the other is "University Cooperative
Extension" service.
The University Extension service refers to providing access to expertise accumulated in universities, as part of
education programs to meet the needs of local communities. This can be defined as extension with more emphasis
on the education functions of universities. To be more specific, it is an effort to provide education and training to
meet the needs of local residents who do not have enough time to earn a university degree. Night classes and
intensive courses are provided after regular working hours. A good example is university open classes, which may
be familiar to many people. The University Extension is designed to provide institutionally improved education
programs for local residents. In a similar case, some universities in Japan have recently experimented with
“extension centers.”
Based on the concept of collaboration with local communities, the University Cooperative Extension refers to the
extension that is implemented in the Land Grant Universities. The Land Grant University is the university founded
in each state under the 1862's Morill Act that requires individual universities to contribute to the development of
local industries – agriculture and manufacture – as well as local communities in return for the grant of land by the
federal government. Under this system, therefore, the Land Grant University is expected to play an important
social role in addition to the original purpose of providing opportunities for research and education. Land Grant
Universities have successfully established an interactive relationship with local communities: community-based
education programs and research programs are provided and research results are on to local communities.
Therefore, University Cooperation Extension can be defined as “extension” with focus on universities’ research
functions. A major challenge for universities is how to establish education and research systems that meet the
needs of local industries and communities.
The extension services that the Ryukoku Extension Center (REC) provides include the University Extension and
University Cooperative Extension. The opening of REC allows the university to define the social function of higher
education institutions as research, education and extension. This means that in addition to the university’s
institutions themselves, all the faculty, a member of the university community, are also required to change. In the
self-evaluation of university's activities, for example, what kinds of extension activities individual faculty members
involve themselves in will become an important factor, besides research and education activities.
DEVELOPMENT OF THE CONSORTIUM OF UNIVERSITIES AT KYOTO
In Kyoto City covering 15 square kilometers, there are more than 40 universities and junior colleges. The
Consortium of Universities at Kyoto is a regional alliance of 54 organizations: Kyoto municipal government, 49
universities and junior colleges in Kyoto City and its neighborhoods and four Kyoto-based economic organizations.
Member universities consist of all private and public universities and junior colleges in the region. The consortium
was established with the aim of bringing about reform and improving the quality of universities by making full use
of environmental advantages.

Yoshio Kawamura
Establishment of the Consortium of Universities at Kyoto:
The development plan report on “City of Universities―Kyoto 21 Project” was submitted to Kyoto City Mayor in
March 1993. In the report, a clear vision of “university consortium” was hammered out with focus on three
elements: the strengthening of cooperative relationship among universities, the improvement of educational and
research environments and the promotion of collaborative relationships between universities and local
communities.
In response, 45 universities including all private universities and public (city, prefecture) universities in Kyoto, Kyoto
Prefecture and Kyoto City set up the Promotion Conference of the Establishment of University Center in July 1993.
In April 1994 the University Center in Kyoto was launched with four major objectives: 1) to establish an inter-
university educational exchange network system, 2) to promote concurrent/recurrent education, 3) to construct
common facilities for member universities, and 4) to set up university researchers’ database. The center was
upgraded to an incorporated foundation in April 1998 and its name was changed to “the Consortium of Universities
at Kyoto.” In September 2001, the city government built up the facility building of the “University-City Exchange
Center,” where the consortium office is located. By this stage, all of the non-member universities (national) in the
region also jointed the consortium.
Activities of the Consortium of Universities at Kyoto
Activities of the consortium have been expanded year by year. However, the major activities are theoretically
categorized into five as follows.
a) Education Collaboration
 Horizontal Collaboration in University Education
(1) Planning and coordination of credit transfer system among the universities. A major activity is to provide the
credit transfer system under which 37 universities provide 209 subjects in 16 fields in 2000. As of May 2000,
there were 10,312 applications, and 6,094 people were allowed for taking a course. The number of applicants
has increased from 1,915 in 1994 to 8,504 in 1997 and 9,139 in 1998, showing 150% annual growth. By
contrast, the admission rate (the number of those admitted into the course/the number of applicants) has
gradually decreased from 93% in 1994 and been hovering at 60% for these few years. The credit-earning rate
(the number of those who earned credits/the number of those who admitted into the course) has been
hovering at 55% to 60%.
(2) Promotion of internship programs as the university education. As a part of the projects launched in 1999, the
business and NPO courses as internship programs were set up and have been open to not only the students of
member universities but also all students of other universities in Shiga Area. Fifty-four companies, Kyoto City
and 160 students participated in the business course, and 18 organizations and 34 students in the NPO course.
In the next year 2000, the administration course was added to them, and all were open to all students living in
the Kyoto, Osaka and Kobe area. One hundred and eighteen companies and 256 students from 21 universities
participated in the business course; 9 organizations and 45 students from 10 universities in the administration
course; and 24 organizations and 37 students from 15 universities in the NPO course.
 Vertical Collaboration with Other Education
Collaboration with High Schools. This project is newly started only in 2003 after recognizing the strong necessity of
transitional education system from a high school to a university. In the conventional structure, an entrance
examination is only linkage from a high school to a university for almost all students. Thus there is no interaction
of education between a high school and a university. This only one-stage screening system has had direct impacts
(mostly negative) on both high school education and university education. At the same time, the recent policy
change in education at the high school level has been directly affecting the university education.

Yoshio Kawamura
 Outreach Education
Planning and coordination of lifetime education at the universities. The consortium has been conducting Kyoto
City’s "City College" programs to the public for lifetime education. The original purposes of the City College
programs are to provide the public with opportunities to attend regular classes held at universities in order to meet
the needs of advanced learning for lifetime education. In 2001, a total of 32 universities opened classes to the
public in 11 fields, including literature, arts, languages, economics, information processing, traditional culture
including tea ceremony and “study abroad” program, allowing 682 citizens to study with regular students. Under
the current programs, as a rule, the subjects put under the credit transfer scheme are used as City College subjects,
and City College students can earn credits. Besides, there are many non-credit courses or ad-hoc lectures for
specific subjects for the public within the framework of City College.
b) Research Collaboration
 University Research Collaboration
Science Consortium. The Consortium of Universities in Kyoto formed, in 2000, some kind of academic platform as
the Science Consortium focusing on both fields, Kyoto Studies and the 21 st Century Sciences. This platform
formation in Kyoto Studies has basically two purposes: one is to build up a extensive and deep inter-disciplinary
academic field of Kyoto Studies based on the cultural and technological accumulations in Kyoto City as a core of the
Japanese culture and tradition; the other is to bring the resources of accumulated culture and technology into the
academic field. The outputs of this consortium should bring an international recognition of academic level in
Japanese Studies and also stronger community identification for both the universities and the public in the city.
c) Outreach Research Collaboration
Research collaboration with local communities and industry. Research collaboration programs are divided into two
categories: public research support programs and joint research programs. With regard to the former programs,
the regional study support program and the regional research publishing support program were launched after the
inauguration of the university center in 1994. Some examples of the researches supported by the regional research
support program include “research on documenting records of intangible cultural assets via multimedia
technologies” and “research on the exploration of night view resources in Kyoto and technological development.”
The latter programs focus on joint research directed towards the needs of the Consortium of Universities at Kyoto
and its member universities. They include program research studies on “Entrepreneur School,” “welfare” and
“tourism,” “trends in public awareness,” and multimedia research studies, all of which are being carried out with
cooperation from Kyoto City.
d) Student Collaboration
Student Activities Collaboration. The Consortium of Universities in Kyoto introduced the collaboration in student
activities as one of core projects for university development besides education and research. One of the examples
is “Kyoto Student Festival.” Although each of the member universities has their own student festival or university
festival as regular annual activities, the consortium has promoted Kyoto Student Festival as an annual inter-
university student activity since 2001. In the case of “Kyoto Student Festival 2003,” the major business associations
in Kyoto City and the city government recognized this festival as one of core festival activities in Kyoto and strongly
supported financially and administratively the festival in which more than one hundred thousands people
participated for the two days.
e) Faculty and Staff Developments
Faculty and staff development. The program consists of Faculty Development (FD) and Staff Development (SD),
both of which are designed to improve university human resources. As part of such efforts, faculty members are
provided with a variety of events, including FD forum, workshops, lecture meetings and symposiums. For
university staff, study meetings and workshop are prepared. With some 160 faculty and staff members from 28
universities and junior colleges, the Consortium of Universities at Kyoto held a seminar entitled “the 21st Century

Yoshio Kawamura
University Reform Forum” under the theme “Aging Society with Fewer Children―Considering University Reform
and University Management Forum towards the 21st Century” on June 18, 2000. The driving force behind such an
event is a growing awareness among university faculty and staff that improving the quality of human resources and
promoting interaction among universities would be the key to the successful structural reform of universities.
f) Open Access
Information distribution of university resources to local communities and industry. Since the inauguration of the
university center in 1994, efforts have been made toward establishing the database of university researchers in the
Kyoto area. Now, the web-based database is open to the public as a vehicle to retrieve science information. To the
1998 database, 4,428 researchers from 44 universities and junior colleges were registered, and some 4,000 of them
were accessible via the Internet. With regard to the 1999 database, students in the doctoral courses, research
fellows of the Japan Society for the Promotion of Science, and part-time instructors of the universities were added.
The year 2001, additional about 4,000 researchers were added to the database since Kyoto University joined in the
consortium in April 2000. Now, projects for developing a web-based information collection and distribution
system, a distance learning system and digital archive are going forward.
Objectives of the Consortium of Universities at Kyoto
As pointed out in the beginning, Japan’s higher education system has been undergoing the largest reshuffling
process or reorganization in the post-war period. The market competition with globalization has been gradually
functioning as an external-driving factor to change this system. In this sense, this changing process is the first
experience for the Japanese higher education institutes to change themselves not by top-down force from the
central government but by themselves using their maximized capability. This is the fundamental reason why the
change has been initiated by private universities and followed by public universities.
In the near future, Japan’s universities might be divided into two groups as in the United States: Education
Universities and Research Universities. The Education Universities refer to universities with more emphasis on
undergraduate education. However, they may also have graduate schools centering on master degrees. On the
other hand, the Research Universities are universities with focus on postgraduate education, in which a variety of
departments will be provided for more advanced education focusing on doctorate degrees. Moreover, the
Research Universities can be divided into two groups: universities mainly dealing with basic sciences and those
dealing with applied sciences.
Thus each of the universities and colleges in Japan has been facing the choice of development direction as a higher
education institute. In other wards, they have to find out a way to develop their institutes as uniquely and more
qualified higher education institutes by mobilizing their limited resources. Under this circumstance, the
Consortium of Universities at Kyoto was established with the aim of bringing about reform to improve the quality
of universities by making full use of environmental advantages, which are derived from the densely concentration
of different kinds of universities and colleges within the relatively small area. Therefore the consortium will
conduct projects that can be an advantage shared by the member universities. These projects may be financially
risky projects for individual universities or may be projects required accumulated knowledge that can be available
through the collaboration of many different kinds of universities. As a result, in one hand, the member universities
can achieve a considerable cost reduction for regular education and focus their limited resources on enhancing
their specialized unique education/research fields. In other hand, the member universities achieve diversified
better education/research with the same cost. In other words, the establishment of the Consortium of Universities
at Kyoto enables the member universities to ensure “Choice and Concentration” of university resources for
developing their uniqueness as higher education institutes with diversification and advancement of their
education/research.
ENVIRONMENTAL FACTORS BEHIND NEW DEVELOPMENT OF UNIVERSITIES
As driving forces behind the establishment of the REC and the Consortium of Universities at Kyoto, there are three
major environmental factors that reflect social trends. These current changes in the higher education institutes
would not have been realized without those environmental factors.

Yoshio Kawamura
The first factor is the population change associating with a decrease in the population of age 18. From a micro
viewpoint, it means that individual universities, especially private universities, will face economic and financial
problems as well as difficulties in securing quality students as long as they continue to target those aged 18 to early
20s (traditional students) for potential students. In other words, it is needed to widen the target to other
generations, including housewives and the retired, opening the door to mature age students (non-traditional
students). In terms of the age of students, diversification is essential in revitalizing universities. Furthermore, from
a macro viewpoint, a decrease in the population of age 18 means the advent of the age of declining birth rate and
an aging population. Amid increasing international competition due to economic globalization, the improvement of
labor force quality will be the key for Japan to further development. In other words, more emphasis will be placed
on the roles of Japan’s universities to play in the labor power reproduction mechanism. Universities are expected
to promote recurrent education by opening the door to more non-traditional students and providing both general
education courses and specialized professional courses.
The second environmental factor is an increasing globalization of economy. This is the most important and crucial
factor for the development of universities. The field of education is, by its nature, the one producing human
resources or "non-trade commodity" in the terminology of economics that is under the local competition but out of
the international competition. However, the current economic globalization requires a university to accept more
foreign students and to produce well-qualified graduates who can work enough in their companies that face
international competition. In this sense the university is required to produce human resources as "trade
commodity" that has enough capability for international competition.
The third environmental factor is a sustainability of development in local communities under the pressure of
economic globalization. The problem lies in the fact that the impact of economic globalization is not uniformly
distributed to local communities or business entities. Advantages and disadvantages of economic globalization
depend on the mobilization of resources used in local communities or by business entities. In other words, the
ranking of decreasing resources mobility is information, money, goods, people and land.
Information and money are most adaptable to globalization, while land is most difficult to adapt. In terms of
globalization, therefore, the mass media and financial industry, which mainly deal with information and money
respectively, hold advantages, whereas the agricultural industry, in which land serves as key resources in economic
activities, have disadvantages. Thus economic approaches towards globalization depend on the type of industrial
structure of individual local communities. It is important for local communities to consider on a global basis and act
on a local basis. For that purpose, it is required to enhance understanding of both advantages and disadvantages
of local communities by conducting analysis of the features and universality of local industrial structure and of local
communities from a global viewpoint. In short, what is called for now is the self-evaluation on local community or
“community identification.”
For this purpose, it will be required to systematize the information and expertise full of local features that has been
accumulated so far, or to establish a knowledge-intensive local network to do self-evaluation and map out
strategies for local development based on the results of self-evaluation. Such a knowledge-intensive system
designed to back-up local communities is called “soft infrastructure,” though the term “infrastructure” usually
refers to hardware, including roads, water supply and sewerage systems, dams, harbor facilities and airport
facilities. In accumulating expertise of regional development in Japan, there has been a growing need for shifting
emphasis from hardware-oriented to software-oriented infrastructure in community systems development. The
involvement of universities in building soft infrastructure is a key to autonomous and sustainable revitalization of
local communities amid the ever-growing international competition. At the same time, future directions for
universities are also closely related to how they get involved in the development of soft infrastructure.
EXPECTED EFFECTS PRODUCED BY COOPERATIVE EXTENSION
The both cases of REC at Ryukoku University and the Consortium of Universities at Kyoto indicate that the new
direction in the development of universities in Japan has been directly associated with the development of local
communities under the economic globalization. The association between a university and local communities is also
expected to bring crucial positive effects on academic fields in Japan.

Yoshio Kawamura
The first effect produced by cooperative extension is to achieve a balance between deduction and induction. In
1980, an OECD’s report on Japan’s social science study was published through Kodansha Ltd. The report indicates
that most Japanese researchers place more emphasis on deduction, or theory. One of the characteristics of
Japanese universities is the homogeneity formed by deduction-oriented researchers. When universities establish a
cooperative relationship with local communities, however, they need to pursue inductive methods, in addition to
theoretical approaches. Introducing inductive orientation in the homogeneity can cause balanced relations. This
will have a positive effect on both deduction- and induction-oriented researches. Although it is no easy task and
there will be a strong reluctance to do so, this will help create balanced relations in the research system of
universities.
The second expected effect is better relations between basic science and applied science. The relations between
deduction- and induction-oriented researchers holds true for basic and applied sciences. Research projects in a
cooperative relation with local communities mean those inductive and in the field of applied sciences. Thus what is
important is that working as a researcher in a cooperative relation with local communities is for a deduction-
oriented researcher to be provided an opportunity to test his/her theories by applying to the real society. Thus,
research experience at the cooperative extension will contribute to gain the validity of his/her academic activities.
Such an environment will be very important in the further development of research activities.
The third effect is related to the linkage between social science and natural science. Needs created from local
communities are usually complex and multifaceted, as reflected in problems in everyday life. Thus, for instance,
even an economic problem at the local level is difficult to resolve only with the help of economists. In some cases,
the help of psychologists, experts in religion or natural science may be necessary. Given these, the two fields of
social and natural sciences, which traditionally have been regarded as different worlds, may be linked closely with
each other. In this sense, the university cooperative extension is expected to lead to the integration of the
academic world.
REFERENCES
Berry, Brian J.L. The Geography of Economic Systems, Englewood Cliff, New Jersey: Prentice Hall, 1976.
Japan Association of International Business Communication. Beikoku ni okeru Sangaku Kyodo Jinzai
Ikusei Seido: Koopu Kyouiku Puroguramu Jittai Chousa (Research on Empowerment System through
Academic and Business Collaboration in USA: Cooperative Education Program) , 1993 (in Japanese).
Kawamura, Yoshio. “Ekusutenshon to ha Nani ka? Sono Igi to Jissai (What is an extension? Its meaning and
fact),”Daigaku-souzou(Creative University), Koutou-kyouiku Kenkyuukai (Society of Higher Education Studies),
First Issue,1944, pp.7-15 (in Japanese).
Kawamura, Yoshio. “Daigaku to Chiiki-shakai no Renkei wo Kangaeru: sono Gendaiteki Igi (Considering the Linkage
between University and Local Community: Contemporary Meaning),” Ryukoku Journal of Natural Sciences and
Technology, Vol.6-2, Ryukoku University, 1994, pp.73-78 (in Japanese).
Kawamura, Yoshio. “Gakuen Shourai Keikaku no Rituan Housaku to Jissai: Ryukoku Daigaku no Jirei ni motozuite
(Planning Methods and Reality for Planning of Academic Institutes: A Case of Ryukoku University), Shigaku
Keiei (Management of Academic Private Institutes), Shigaku Keiei Kenkyuu-kai (Society of Management of
Academic Private Institutes), No.242, 1995 (in Japanese).
Kawamura, Yoshio. “Daigaku Konsohshiamu Kyoto: Daigaku-Chiiki Rengou ni yoru Daigaku Kaikaku no Kokoromi
(Consortium of Universities in Kyoto: Challenge of University Reform through the Linkage between University
and Local Society),”Kyouiku (Education), kyouiku Kagaku Kenkyuukai (Society of Education Sciences), No.644,
1999, pp.123-125 (in Japanese).
Kawamura, Yoshio. “REC’Chiiki Shakai to tomoni aru Daigaku’ ga Mokuteki (REC’s Purpose is a University
Accompanied with Local Society),” Ryukoku, Ryukoku University, No.44, 1999 (in Japanese)..

Yoshio Kawamura
Kawamaura, Yoshio. “Intahnshippu no Genjou to Kadai: Daigaku Konsohshiamu Kyoto noJirei (Current Situation and
Problems of Internship Programs: A Case of the Consortium of Universities in Kyoto),”Daigaku kyouiku
Gakkaishi (Journal of University Education, Vol.22-No.1, 2000, pp.28-33 (in Japanese).
Kawamaura, Yoshio. University’s New Development through University Cooperative Extension, University
Publication of the Faculty of Graduate School, University of Colombo, Sri Lanka, 2001.
Kawamura, Yoshio. “Daigaku Unnei no Shiten kara mitaChiiki tono Renkei Kadai: Daigaku wo meguru Kankyou
Henka to Ryuukoku Daigaku no Kaikaku Jirei (Problems in Local Cooperation from University Management
Prespectives: A Case of Ryukoku University’s Reform with Environment Changes),”Kyoiku Seido Gaku Kenkyuu
(Studies on Educational Institutions), Nihon Kyouiku Seido Gakkai (Japan Association of Educational
Institutions), Vol.9, 2002, pp.45-50 (in Japanese).
Kawamura, Yoshio. “21 Seiki no Koutou Kyouiku to Daigaku Keiei: Ryuukoku Daigakuto Daigaku Konsohshiamu
Kyoto no Kokoromi (Higher Education and University Management in the 21 st Century: Challenges of Ryukoku
University and the Consortium of Universities in Kyoto),”Daigaku Kyouiku Sougou Senta- Dayori (Newsletter of
University Education Integration Center), Ehime University, No.2., 2002, pp.3-8 (in Japanese).
Kawamura, Yoshio. New Development Strategy of Higher Education Institutes in Japan, Maison Universitaire France-
Japon, Strasbourg, France, 2006.
Kawamura, Yoshio. “Senryaku-teki Keiei no Jissen (Practice of Strategic Management: A Case of Ryukoku
University),” Shigaku Keiei (Management of Academic Private Institutes), No.387, 2007, pp.53-66 (in Japanese).
Kawamura, Yoshio. “Daigaku Adominisutoreita no Zou no Kouchiku ni mukete (Towards Constructing an Image of
University Administrator),” Daigaku Souzou Bessatu: Daigaku Shokuin Jya-naru (Creative University Special
Issue: Journal for University Staff), Koutou Kyouiku Kenkyuu-kai (Society of Higher Education Studies), Vol.9,
2008.
Kyoto City (Planning Bureau). Kyoto no Daigaku no Genjou to Doukou ni kansuru Chousa Kenkyuu Houkokusho
(Research Report on Current Situation and Trends of Universities in Kyoto), 1992, pp.155 (in Japanese).
Kyoto City (City-University 21 Plan Committee). Daigaku no Machi ・Kyoto 21 Puran (University City・Kyoto 21
Plan), 1993, pp.82 (in Japanese).
Kyoto City (Planning Bureau). Kyoto-shi no Seisaku Kadai ni kansuru Chousa Kenkyuu Houkokusho: Henkaku-ki ni aru
Daigaku ni taisuru Sesaku ni tuite (Research Report on Policy Issues in Kyoto City: for Action plans to
Universities in Transitional Stage, 2003, pp.198 (in Japanese).
Kyoto City (Planning Bureau, Project Promotion Office). Daigaku no Machi・Waku-waku Kyoto Suishin Keikaku
(Development Plan for Vivid Kyoto as a University City), 2004, pp.71 (in Japanese).
Miura, Hiroshi. “Kyoto no Daigaku to Toshi Seisaku (Urban Policy and Universities in Kyoto),”Toshi Kenkyuu・Kyoto
(Urban Studies in Kyoto), No.3, (Kyoto City Planning Bureau), 1991, pp.5-9 (in Japanese).
OECD (Ministry of Education). Nihon no Shakai Kagaku wo Hihan-suru, Kodansha, 1980 (original: OECD.
Social Sciences Policy: Japan, 1978).
Ryukoku University. Jimu-shokuin Kenshuu Ronshuu: Dai 8-kai Jimu-shokuin Kaigai Kenshuu Houkoku
(Report of the 8 th Oversea Training Program for University Staff) , 1997 (in Japanese).
The Consortium of Universities in Kyoto (University Policy Committee). Towards the 2nd Stage of the Consortium of
Universities in Kyoto: Formation of an Academic and Cultural Core City in the World), 2004, pp.32 (in Japanese).
The Consortium of Universities in Kyoto (The Editorial Committee for the 10 th Anniversary Special Issue). Daigaku
Konsohshiamu Kyoto Seturitu 10-shuunen Shi (The 10th Anniversary Edition of the Consortium of Universities in
Kyoto), 2004, pp.280 (in Japanese).

Yoshio Kawamura
The University-City Congress Excecutive Committee. Daigaku Toshi Kaigi Kiroku (Record of the University-City
Congress), Ritsumeikan University (Research Institute of Humanity and Social Sciences), 1993, pp.114 (in
Japanese).
The University-City Congress Excecutive Committee. Dai 3-kai Daigaku Toshi Kaigi Kiroku (Record of the 3 rd
University-City Congress), Ritsumeikan University (Research Institute of Humanity and Social Sciences), 1995,
pp.159 (in Japanese).
Ryukoku University (Ryukoku Extension Center). Senku (Innovation): REC the 10th Anniversary Issue, 2001, pp.34 (in
Japanese).
Van Drom, Eddy. “Reforms in the Japanese University System & Changes in the Contributions of Universities toward
the Japanese Society,” Hannan Ronshuu (Journal of Hannan), Hannan University, Vol.44. No.1, 2008, pp.35-44.

RETURN TO RURAL COMMUNITIES AND THE DYNAMIC OF LOCAL REVITALIZATION:
A CASE STUDY OF JINAN, SOUTH KOREA
Jin, Myong-suk
(Researcher, BK21Plus Program, Chonbuk National Univ., Korea)
myongsuklove@gmail.com
Kim, Jongwon
(M.A., Candidate, Dep. Of Archelogy and Anthropology, Chonbuk National Univ., Korea)
anothculta@jbnu.ac.kr
ABSTRACT
This study aims to investigate a variety of socio-cultural phenomena caused by return to rural communities in the structural
context of rural areas from the perspectives of dynamics of local revitalization. This paper has explored how urban-to-rural
migration is connected to local revitalization by reviewing the three aspects such as the revitalization of farming, culture, and
social relations. First, as for the aspect of farming revitalization, urban-to-rural migrants’ farming activities stimulate local
residents, and influence on spreading environment-friendly farming methods, and establishing farming cooperative units or
farming association cooperation. The second aspect is cultural revitalization. The activities of urban-to-rural migrants are
connected to village development projects focusing on cultural assets, which stimulate local revitalization. Finally, we should
consider the revitalization of social relations. Urban-to-rural migrants are adapting themselves to rural communities while
going through conflicts with local residents. Local residents also understand that the influx of young migrants can revitalize
their villages. Reciprocal efforts toward integration will lead to the coevolution of their social relations, and, consequently,
contribute to the revitalization of local residents’ communities.
INTRODUCTION
It was 2007 when the researchers began to study urban-to-rural migrants in Jinan. At the time, we participated in a
research project funded by Jinan County, which aimed to explore the ways how urban-to-rural migrants in Jinan
could contribute to the local community utilizing their social and economic bases. Throughout the project, a
statistic research was implemented for 200 urban-to-rural migrants, and in-depth interviews were conducted for 20
of them. As a result, the researchers found various debatable topics related to studies on return to rural
communities, and have developed some of them as following studies. Based on these previous studies, this paper
attempts to analyze how return to rural communities creates dynamic phenomena, connected with local
revitalization.
According to Farell and his colleagues(Farrell et. al., 2012), individual experiences of return to rural communities
should be interpreted as a complicated and particular case, situated in the context of rural areas. The structural
situation of return to rural communities is very different from that of the exodus from agricultural areas. For
instance, while rural-to-urban migrants are transferred into anonymous space, urban-to-rural migrants are likely to
be influenced not only by the exclusiveness of rural villagers but also by the openness of their social relations. In
this sense, return to rural communities naturally creates more dynamic situations than the other case.
Studies on return to rural communities conducted in Korea have focused almost only on individual returners’
adaptation to local communities. In many cases, these studies tried to grasp the current status of return to rural
communities based on a few limited survey questionnaires, and make some suggestions on policies from the
results. As the studies rarely considered the specific political, economic, and socio-cultural context of local
residents’ societies, they mostly missed the process on how the relationship between an urban-to-migrant and the
local community where he or she was settled was established. Even in some cases that noticed urban-to-rural
migrants’ social relations, the arguments tended to focus on ‘their assimilation to local residents’ society’ in a
unilateral way. Overcoming the limitations of these prior studies, this paper aims to investigate a variety of socio-
cultural phenomena caused by return to rural communities in the structural context of rural areas from the
perspectives of dynamics of local revitalization.

Jin, Myong-suk and Kim Jongwon
RETURN TO RURAL COMMUNITIES, A DYNAMIC OF LOCAL REVITALIZATION
Urban-to-Rural Migrants’ Farming Stimulates Local Communities
As a rural area is a society based on agriculture, urban-to-rural migrants should make for their living directly or
indirectly connected to farming. Even when their main job is not agriculture, most of them cultivate their own
vegetable garden. Some urban-to-rural migrants’ successful farming stories are easily found in local media. For
instance, since 2008, Jinan News has published successful cases of urban-to-rural migrants under the sections of ‘A
Story of Return to Farming’ and ‘Looking for the Hope of Farm Village.’ In particular, if an urban-to-rural migrant was
successful in a farming method, which local farmers had not tried or not been aware of, his or her story would be
definitely reported via local media:
Mun Jungsin, breeding livestock with assorted micro-organic feed while removing the odor of livestock night soil
(Jinan News, November 16, 2006), / Ko Jeong-geun, dreaming of a rich farmer with shitake mushrooms (Jinan News,
February 22, 2008), / Cheon Chunjin, receiving the Innovative Intellectual Award for baby leaf vegetables after
getting his Ph.D degree of agriculture in Japan in 12 years (Jinan News, January 12, 2007)/ Park Jongtae, hoping for a
success by cultivating wild flowers (Jinan News, May 19. 2008) / Kim Jeongro, making products using the Hovenia
dulcis extract (Jinan News, June 13, 2008) / Choi Yujin, growing Korean azalea (Jinan News 2008. 10. 13) / Lee
Heechun, growing green mume fruits (Jinan News 2008. 12. 5) / Artisans brewing alcoholic beverages (Jinan News
2009. 8. 24) / Lee Seongjae, creating the market by contract farming (Jinan News 2013. 10. 5)
Environment-friendly farming is one of the fields that urban-to-rural migrants stimulate local farmers. This farming
method has dramatically increased nationwide. According to the general survey of agriculture by the Statistics
Korea, from 2000 to 2005, the number of farm family using environment-friendly farming methods had increased
approximately from 60,000 to 87,000, which showed about a 50% increase (Kim, Cheolgyu and Choi, Changseok,
2008: 4). At a survey for urban-to-rural migrants in Jinan in 2008, 55.8% of them answered they used conventional
farming methods, while 44.2% of them said they used environment-friendly farming methods (Jinan County, 2008:
94). It implies that almost half of urban-to-rural migrant families are practicing environment-friendly farming
methods.
Sometimes urban-to-rural migrant farmers’ strong desire for

environment-friendly farming creates a conflict with local
residents who are sticking to conventional farming. For
instance, Han Seon-geun(50s, Male), an urban-to-rural migrant
farmer, grew chili peppers using environment-friendly farming,
but the village residents advised him, “You are not supposed to
grow chili peppers like that.” Han did not listen to them, and,
consequently, he began to go through conflicts with them. Han
wanted to find out solutions about it from the Association of Figure 1. A signboard for environment-friendly farming
Returning Farmers in Ancheon-myeon. Yang Hyeong-gi(50s, area in Gamak-Li, Jinan-eup
Male) is another urban-to-rural migrant farmer, and he is the
head of his village. Yang had a stable job in a city, but he was not satisfied with his urban life. He decided to leave
the city and to be a farmer. Soon he began to study organic farming and moved to Jinan. Since then, he has grown
all farming products including rice and sweet potatoes without using agricultural pesticides. Yang says it was not
easy to make local farmers accept his farming methods, while they have farmed in a conventional way using
chemical fertilizers or agricultural pesticides for decades. Yang even found one of his neighbors spread fertilizer on
his field without any notice in advance. The neighbor said he felt bad when he found Yang’s rice seedlings looked
smaller than his. Yang politely explained to him that he wanted to grow his rice without using fertilizers or
pesticides. The neighbor looked a little disappointed at the moment, but Yang and the neighbor have maintained a
good relationship since then.
From the field work, the researchers found that conflicts between urban-to-rural migrant farmers and local farmers
could be generated when the former ignored the latter’s advice on environment-friendly farming issues, or when
the former tried to force local farmer to adopt his ecological faith. In other words, urban-to-rural migrants’ stable

settlement will be guaranteed when their ecological practices are harmonized with the local community in a “not-
offending and smooth” way (Jinyang, Myong-suk 2008, pp. 116-120).
In spite of the possibility of creating conflicts and tension between urban-to-rural migrants and local farmers
around environment-friendly farming methods, local residents recognize the trend of these farming methods. A
survey result for 8 village leaders shows that 4 of them have had a negative opinion toward environment-friendly
farming, while the rest of them gave a very positive and active response. The leaders who showed negative opinion
indicated customers’ preference on looking-good products and the difficulty of finding the market as the limitation
of environment-friendly farming. On the other hand, the rest leaders practiced environment-friendly farming
methods by themselves, and two of them, Seol Yeonghwan(63 years old, Male) and Choi Cheolhan(69 years old,
Male), even tried to promote the methods throughout the village. Even though they used environment-friendly
farming methods, their impression on urban-to-rural migrant farmers was not always positive. However, they
admitted that those newcomers were playing a leading role in farming. Yang Hyeong-gi, who experienced an
uncomfortable relationship with local residents because of his farming methods, said that he also feels some
changes in his village.
In the present, various farming association cooperations are being operated in Jinan County. Urban-to-rural migrant
farmers are playing an important role for many of those cooperations. In particular, as they often utilize their urban
networks to create the market, their participation has brought positive influences on the income of farm families
and the economic revitalization of local communities. On this aspect, Kim Seongja(53 years old, Female), a local
resident, commented as follows:
He (the urban-to-rural migrant farmer) didn't give it (organic farming) up. And, you may know Neung-geum-ri,
right? He moved to there. Ho worked very hard. He grew sweet potatoes, potatoes, garlics, and chili peppers using
organic farming methods, and created new markets.…… I think it was very successful. Some other people came
from cities following him. They are also trying something new like a farming method using freshwater snails. That
kind of attempts have been activated a lot (Kim Seongja).
It is important to notice that innovative farming methods are not always transferred from urban-to-rural migrant
farmers to local farmers. In many cases, urban-to-rural migrant farmers try to ‘copy what local farmers’ do at the
beginning stage of settlement (Jeong Hanmo, 2002), Many local residents still consider the urban-to-rural migrants
as immature farmers. However, these fledgling farmers’ efforts including the establishment of farming cooperative
units, challenges of growing unfamiliar farming products to local farmers, and achievement of environment
certificates have definitely stimulated local residents.
Cultural Revitalization led by Urban-to-Rural Migrants
Cultural Action, a civic group, has managed a program called ‘Wumulteo Project, as the Platform of Cultural Return
to Rural Villages)’ as a form of academic conference or small activity group. This project aims to realize a rich life
filled with ecological and cultural assets by connecting nature, people, and regions. To achieve this goal, they
introduce participants to necessary skills, methods, and sensitivity, and provide them with the context to
understand local culture and social relations (http://www.culturalaction.org). As a similar case, on August 27, 2013,
Spot 21, an SBS TV show, aired an episode entitled ‘Exodus from Seoul: Cultural migration to Jeju.’ It was a
documentary film following artists who decided to move from Seoul to Jeju. Like this, the terms ‘cultural return’ and
‘cultural migration’ are often used by mass media or civic groups. According to Song Suyeon(2013), “Cultural return
to rural communities is the concept to describe an effort to root down individuals’ independent life by overcoming
the problems of the centralized life in metropolitan cities. In this sense, this concept can be understood as a process
of creating alternative economics and politics based on the ethics of community and a cultural passage where social
individuals can communicate by sharing their unique lifestyles (Song Suyeon 2013, pp.149-150).
The definition of cultural return to rural communities or methods to study this concept has rarely been discussed in
academia. Only we could infer from the terms ‘cultural return’ or ‘cultural migration’ would be that the general
process of urban-to-rural migration and the migrants’ activities in the process must be related to the local ecology,
culture and communities in an organic way. The case of Jinan also presents various cultural activities led by urban-to
-rural migrants, which embrace nature, rural villages, local issues, and residents as a whole.

Park Jaesun(56 years old, female) and her husband moved to Donghyang-myeon and have farmed at the village. In
2009, this couple renovated a close-down school building and opened a village museum. It is like a little folk
museum displaying a lot of old farming tools and furniture, and residents’ old pictures. Park said, “As a few years
have passed by, I found just a few old residents remained in our village, and felt crisis as if this village would
disappear very soon. So I decided to build this village museum. The elder in rural villages must be respected but
reality seems to be different. I wish the village museum could form a sympathy with young generations including the
elders’ children based on the their life experiences and the sense of family (Jinan News, July 21, 2010).” In addition
to the village museum, Park Jaesun opened ‘Happy Elders’ School’ with a pastor of a local church funded by Jinan
County. In every summer and winter sessions, the school provides several courses including Hangul (Korean
alphabet), computer skills, letter sculpture on wood board, ceramic art, and swimming. During the course of Hangul,
Park let old ladies in her class write journals on their life or daily experiences. She is planning to collect the writings
and publish a book before they pass away.
Since moving to Jinan in 2006, Mun Cheolhwan (40s, male) has been engaged in various activities in the local
community as a village assistant administrator, the secretary-general of Returning Farmers’ Association in Jinan
County, and staff of Village Development Support Center. Nowadays, he is operating a community radio show called
‘Jinan’s Sory(voice), Mai Radio’ for the Jinan County Village Festival, which is one of representative local events in
the county. ‘Jinan’s Sory, Mai Radio’ is produced by local residents’ active participation. This radio show provides
local residents with the arena where they can discuss and make their opinions on current issues of the community.
This process is expected to promote the development of local culture and the revitalization of the residents’
community. ‘Jinan’s Sory, Mai Radio’ is broadcasted by FM or Internet pod cast during the period of the Village
Festival.
The Jinan County Village Festival will be the 7 th event in 2014. The festival mainly consists of experiential tour
programs utilizing local ecology, nature, farming, tradition, cultural assets, and so on. One thing should be noticed is
that the first Jinan County Village Festival was held in 2008, when the Return to Rural Villages Festival also began.
During the period of the Village Festival, the Return to Rural Villages Festival operates programs such as visiting
urban-to-rural migrants and the policy forum of return to rural communities. Interconnecting these two festivals,
Jinan County attempts to attract urban residents and promote local revitalization by utilizing the festivals as
resources. Those who make the Village Festival are usually urban-to-rural migrants including village assistant
administrators.
‘Gowon-gil’ in Jinan, similar to Ole-gil in Jeju Island and Dule-gil in Jiri Mountain, was also developed by J(40s, Male),
a urban-to-rural migrant. Today, Gowon-gil is considered as a core tourist attraction in Jinan County. J moved to
Jinan for the activities of Baekwun-myeon village research team in 2006. Funded by Yuhan Kimberly Ltd., Forest of
Life, a cooperation, organized the research for the purpose of creating jobs and promoting local revitalization, and
conducted research both in Baekwun-myeon, Jecheon, Chungbuk, and Baekwun-myeon, Jinan, Jeonbuk. By
exploring nature and cultural assets of rural communities, the research team tried to find out each local
community’s potentials and suggest how the assets could be utilized as cultural contents. Three years later, Jinan
County took over the project from Forest of Life, and have supported the village research team for all areas in the
county. J joined in the research team under Forest of Life in 2006. His expertise was in geography, so he was
involved in research of toponym, geographic features, and ecology. Inspired by data from research, he collected
trails for taking a walk and named them as ‘Gowon-gil.’ After getting settled in Jinan, J has developed Gowon-gil as a
tourist attraction.
‘Fair Tour Pungdeong (Splash)’ is a social enterprise, providing village tour services. This company is also led by
urban-to-return migrants. Pungdeong provides fair tour products to minimize the destruction of nature, respect
local history and culture, and communicate with local residents. Pungdeong was originated from the Local History
Study Group in 2008. Most of the members of the study group were urban-to-return migrants, who wanted to learn
ecology, culture, and history of their communities. In the present, only the leader of the group is a local resident,
and the rest of members are urban-to-rural migrant. In addition to the cases mentioned above, there have been
numerous movements led by urban-to-rural migrants. Their movements include restoring 5-day market, operating
direct trading market, publishing village newsletters, supporting the activities of forest commentators, transforming
an old mill to a museum, and managing the support center of village development.

< Figure 2> < Figure 3> < Figure 4>
A village museum in Haksun-Li, Jinan county villages festival and the Gowon-gil in Jinan
Donghyang-myeon urban-to-rural migrants villages
(Jin, Myong-suk, 2011.7.29)
festival closing ceremony
The increase of various cultural activities led by urban-to-rural migrants represents that their education, career, and
social experiences in cities are more suitable to these activities. The field of culture planning was a sector where
urban-to-rural migrants could more easily adapt their knowledge and experiences in a creative way compare to
local residents who have devoted their lives only to farming. In particular, urban-to-rural migrants who have
recently moved to local communities tend to fully understand the ecological and cultural values. In addition, they
are very interested in local nature, tradition, and history, which even local residents have ignored. Sometimes, the
ecological and cultural activities provide urban-to-rural migrants with stable jobs. From the cases, cultural
revitalization can be understood as a series of activities including alternative economics, alternative politics, cultural
passage embracing local history and ecology that urban-to-rural migrants develop. In this sense, cultural
revitalization is closely related to cultural return to rural communities.
Co-evolution of Social Relations throughout Conflicts and Integration
An agricultural society basically consists of the unit of village. Unlike urban environments, a village in a rural area
does not work only as an administrative unit. In an administrative village in urban areas, residents’ anonymity can
be guaranteed, while rural residents cannot. A rural village functions as an open space where residents
communicate in person based on the strong sense of mutual aid and community. Consequently, a rural village is a
very affective and emotional space as well as a physical space. While urban-to-rural migrants began to establish the
relationship with local residents, they often go through uncomfortable moments caused by the socio-cultural
difference between urban and rural areas. For instance, an urban-to-rural migrant says that she was startled by an
old lady who would abruptly get into his or her house so often. Another migrant says that local residents did not like
when their village assistant administrator did not weed the yard of a communal building, and finally they expelled
the administrator from the village. In another case, after a migrant had some issues against the head of his village,
he could not be informed anything from the head. In addition, migrants often share their difficult experiences,
describing how local residents exceedingly intervened in their lives, or how they were linked to a rumor which they
had nothing to do with.
According to research data for village leaders including heads of villages, chairmen of autonomy bodies, and
chairmen of promotion committees, some of them recognize their capabilities are inferior to urban-to-rural
migrants’ when they saw that the migrants’ educational background, communicative ability, planning and
informative capability, and computer skills made their participation in village projects much easier. When this
perception leads to the senses of alienation and inferiority, local residents tend to otherize the migrants by
describing them as a different group.
Conflicts and tensions between local residents and urban-to-rural migrants occurs as a routine, and some of them

create a very serious problem. However, they are also willing to communicate and cooperate to develop various
activities. For instance, Jeon Kyeongho(2013) notices how conflicts between local residents and urban-to-rural
migrants are transformed to cooperative and trusty relationship from the case study of J village. In the village, local
residents and the migrants have cooperated to create new systems and spaces by restoring village codes, activating
gathering events, expanding communal places through village unit projects, establishing farming association
cooperation, and designing festivals using the items of seasonal customs.
While surveying and interviewing urban-to-rural migrants, the researchers found that most of them made efforts to
have a good relationship with local residents and be integrated into the local community. When the researchers
asked them what advice they wanted to give to those who were planning to move to rural communities, they mostly
emphasized to have patience in the process of settlement and a positive attitude to adapt themselves to rural
communities. Making individual efforts to be suited for rural sentiment means changing their urban lifestyle to rural
style. This transformation of lifestyle works as the mechanism of social adaptation (Jinyang, Myong-suk 2008, pp.
121-125).
As local residents in Jinan became aware that urban-to-rural migration is a social trend, they understood their local
community needed to attract the migrants to resolve the crises of closing down the village and revitalize it. In
addition, as they witnessed that young people brought cheerful changes to villages, more and more villages wanted
to have a village assistant administrator.
In conclusion, the social relations between urban-to-rural migrants and local residents can be defined as
coevolution. Of course, we cannot ignore some cases where urban-to-rural residents could not overcome conflicts
and tensions they went through and left their villages or Jinan County. Nevertheless, the urban-to-rural migration to
Jinan has been steadily maintained during the past 10 years, and the rate of successful settlement is over 80%. In
Jinan County, local residents and the migrants tend to have a good relationship, and cooperate to restore the vitality
of local community. In this process, urban-to-rural migrants need to make an effort to assimilate with the local
society, and local residents need to welcome them. This interactive efforts must be one of the requirements to form
a ‘coevolved’ community.
CONCLUSION
This paper has explored how urban-to-rural migration is connected to local revitalization by reviewing the
researchers’ previous studies in the past 5 years. As a result, the researchers noticed three aspects of local
revitalization such as the revitalization of farming, culture, and social relations. First, as for the aspect of farming
revitalization, urban-to-rural migrants’ farming activities stimulate local residents, and influence on spreading
environment-friendly farming methods, and establishing farming cooperative units or farming association
cooperations. This stimulation is expected to ultimately lead to farming revitalization. The second aspect is cultural
revitalization. Urban-to-rural migrants, who have various socio-cultural experiences and career backgrounds.
rediscover local nature and cultural assets and promote cultural activities by applying what they find out from the
local communities. These activities are connected to village development projects focusing on cultural assets, which
stimulate local revitalization. Finally, we should consider the revitalization of social relations. Urban-to-rural
migrants are adapting themselves to rural communities while going through conflicts with local residents. Most of
them emphasize the importance of being suited for rural sentiments. Local residents also become aware of the
trend of urban-to-rural migration, and understand that the influx of young migrants can revitalize their villages.
Reciprocal efforts toward integration will lead to the co-evolution of their social relations, and, consequently,
contribute to the revitalization of local residents’ communities.
NOTES
1
This paper is reorganized from the 4 previous studies and additional research data collected in 2013. The previous studies
include “The Appearances and Characteristics of Young Urbanite’s Rural in-migration: A Case of Jinan, Jeonbuk”(Journal of
Korean Association of Regional Studies 16(4), 2008), “Sociocultural Influences on the Rural Influx of Urbanites” (Regional
Studies of Jinan, 2008), “Analysis of Experiences of Women upon Turning to Farming or Farm Villages: Case of Jinan”(The
Women’s Studies 83(2), 2012), Policies for Supporting the Settlements and Social Activities of Women Turning to Farming and
Rural Ares(2012), and ‘Implications and Features of Return to Rural Communities’ (Spring Conference of the Korean
Association of Regional Studies, 2008
2
Jinan County is operating the village assistant administrator system for urban residents who are interested in moving to 10
villages in the county under the project of rebuilding villages. The county started this system in 2006 as one of the policies to
attract urban residents who are interested in return to rural communities to Jinan. A village assistant administrator’s term is
about 2 years. Village assistant administrators usually participate in various projects of village development, manage office
work and documents, publish newsletters, and promote their villages’ features. They are not allowed to pursue individual
economic activities other than farming. This position is considered as a very attractive job by urban residents who want to
move to Jinan because they can make for living by this job and obtain both material and social bases necessary to settle in the
local community.
3
From the sky, the geography of Jinan forms a basin surrounded by mountains. For that reason, Jinan County is also called Jinan
Gowon (Jinan Plateau). The term, Gowon-gil, comes from it.
4
This paper, the concept of culture represented in the revitalization of culture embraces a contemporary culture as well as a
traditional culture. The contemporary concept of culture is found in cultural activities based on media, tourism, and festivals,
and also includes various community-based cultural activities. The traditional concept of culture is found in the efforts to
restore local 5-day markets or to collect and display farm tools used by old generations, which have been forgotten or
neglected even by local residents.
REFERENCES
Journal Articles:
Farrell, M. &M. Mahon, J. McDonagh. 2012. “The Rural as a Return Migration Destination”. Countrys. Vol.4.pp.31-44
Jeon, Gyeong-ho. 2013. “A Case Study on the Rejuvenation Movement of Village Community Led by Return Farmers:
with a focus on J Villiange in Damyang-gun”. Jeonnam National University Master's Dissertation. (Korean
language)
Jinan County. 2008. Study for the Construction of a Database on Discovering and Monitoring Rural-style Social Jobs
and the Capacity of ‘Back to the Landers: Jinan County Press (Korean language)
Jinyang, Myong-suk. 2008. “ The Appearances and Characteristics of Young Urbanite’s Rural in-migration: A Case of
Jinan, Jeonbuk". Journal of Korean Association of Regional Studies . Vol.16. No.4. pp. 105-131 (Korean
language)
--------------. 2008. “Implications and Features of Return to Rural Communities” (Spring Conference of the Korean
Association of Regional Studies. (Korean language)
--------------. 2008. “Sociocultural Influences on the Rural Influx of Urbanites”. Regional Studies of Jinan. pp. 63-95
(Korean language)
Jin Myong-Suk & Park Sung-Jung. 2012. “Analysis of Experiences of Women upon Turning to Farming or Farm
Villages: Case of Jinan ”. The Women’s Studies. Vol.83. No.2. pp.275-297 (Korean language)
Park Sung-Jung. eds. 2012. Policies for Supporting the Settlements and Social Activities of Women Turning to
Farming and Rural Ares, Korean Women’s Development Institute (Korean language)
Kim, Cheol-gyu, Choi. Chang. Seok. 2008. “The Crisis of Korean Agriculture and Alternative Farming”. The Korean

Rural Sociological Society. Vol.18. No.1. pp.7-41 (Korean language)
Song, Su-yeon. 2013. “A New Cultural-political Window: With a Focus on the Self-reliant Cultural Movement-
Cultural Back to the Land Movement, Youth Social Network, and Maker Culture”. Munhwa Gwahak. Vol.73.pp.
145-159 (Korean language)
Articles downloaded from the Internet:
“Ecological Cultural Rural In-Migration, ‘Wumulteo Academy’”, Cultural Action, http://www.culturalaction.org/

xe/9305 (March 25, 2014).

ANALYSIS ON THE FACTORS AFFECTING HEALTH STATUS AMONG KOREAN ELDERLY:
A COMPARISON BETWEEN RURAL AND URBAN ELDERLY
Cho, Mihyoung,
PhD. Dpt. of Rural Policy Research
Korean Rural Economic Institute
Kim, Youngran,
DSW. Dpt. of Social Welfare,
Mokpo National University
Han, Sang-mee,
PhD. Dpt. of Social Welfare
Induk University
ABSTRACT
In South Korea, aging of rural areas has rapidly processed so that the importance of health-care for the elderly has magnified
and services for the elderly people has urgently needed. However, health system in rural areas has not satisfied the medical
needs and long-term care services. Purpose of this study is to investigate the factors affecting health status in order to find the
way to promote their health conditions. This paper adopts EQ-5D approach for the health status, composed 5 sub categories,
namely mobility, self-care, usual activity, pain/disability, anxiety/depression. For this, raw data of 54,254 elderly above 65 from
Community Health Survey were analyzed. The findings are: 1) Prevalence rate and health status of the rural elderly are low
simultaneously than the urban elderly. 2) The health status of rural elderly women is the lowest. 3) The chronic disease is the
most affecting factors to elderly health status regardless of location and gender. 4) Availability of healthcare services and
insufficient food eating are the next affecting factors. Reflecting these findings and the following discussions, the study
suggests increase of health and medical facilities, provision of in-home health/medical services and transportation and escort
services, education of eating habits, increase of wheel on meal service, and income assistance and maintenance policy.
Keyword: rural elderly, health status, health promotion behavior, EuroQoL-5Dimension
RESEARCH BACKGROUND
In South Korea, aging has rapidly processed so that the healthcare of elderly becomes one of the noticeable social
issues. As poverty and suicide rates are the two issues that rank first among the Korean elderly, OECD countries,
the Koreanshave been pushing the government to addressthese problems. Meanwhile, the government’s burden
on the medical and long-term care costs for the elderly has been increasing yearly. .
Aside from increasing elderly population, there are several changes on structure of elderly population in rural area:
1) Aging has more rapidly processed compared to urban area. Based on the data from ‘Population and Housing
Census’ (2010), the rate of elderly population above age 65 as a whole was 13.4% in 2010, and 33.4% in rural areas.
Even within the rural areas, there was 14.7% of elderly population above age 65 out of total population in 2000 and
it increased up to 20.6% in 2010 ; 2) An elderly proportion of those who are more than 75 years-old has
likewiseincreased. This trend is expected to accelerate up to 3.3 times among over age 65, 5.2 times among over
age 70, and 10 times among over age 80 in 2050 comparedto 2010(Population and Housing Census, 2010); 3)
Population ratio among elderly women (59.5%) is higher than elderly men (40.5%). Among advanced age, more
than 70% of elderly above age 85 is women; 4) Number of elderly single household has increased. In 2000, there
were approximately 280 thousand elderly single households in rural area, and roseto 440 thousand in 2010. Among
elderly single households, half of them are over 75 years-old.
Thus, the elderly population in Korean rural area has rapidly increased and ratio of women and single household
elderly has remarkably increased too. However, because of the lack of social infrastructures in maintaining elderly
health care in the rural areas, the health status of the growing elderly population is anticipated to get worse.

Mihyoung Cho, et al
RESEARCH PURPOSE
This research aimedto find out the factors affecting health status among Korean elderly by comparing between
those in the rural and urban areas. The research results will then serve as basis in formulating social policies and
development of infrastructures that would enhance health status among the elderly living in the rural areas.
LITERATURE REVIEW
There are several research results showing that elderly health has different processing depending on social-
economic status of elderly even though there is common ground that health of elderly is getting worse due to the
decline of their biological functions in nature (Kang and Cho, 2007; Kim, 2007; Kim et al., 2004; Woo & Youn, 2001).
Those who have low educational achievement, engaged in low status of work, and have low income are described
to have worse health conditions, primarily because of their limited access to medical services brought about by
their socioeconomic conditions. If this condition has accumulated during their whole life span, finally not
themselves but families and society cannot deal well with the situations. The series of academic discussions show
that elderly health relates to their resources and experiences accumulated over through their whole life (House et
al., 1994; Miech & Shanahan, 2000). It implies that we should regard elderly as heterogeneous group and
understand the diversity of resources and experiences of individual elderly. Considering these notions, it is
important to consider that those different resources and experiences can influence the inequality of health care
among the elderly.
Black Report(1987) and Acheson Report (1998) in UK have shown that actors that make health worse are income,
education attainment, employment, physical environment, life style and so on (Hanyang University, 2009). Dahlgren
& Whitehead (1991) have divided the considering factors for policy development against health inequality as risk
factors, health enhancement factors, and health care factors: risk factors were poverty, inappropriate housing and
living environment, low employment standards imbalance nutrition menu, limited health∙social service
accessibility, drinking and smoking consumption, and so on; health environment factors were the first preventive
medical intervention like interesting work, exercise, protective inoculation; health care factors could be social
relationship and support.
On the research for the scale construction regarding Health Inequality in Korea (Hanyang University, 2009), health
outcome, mediate factor, social structural factor were considered as health determinant factors: health outcome
are expected remained life, death rate, health status, subjective health, obesity, cancer prevalence rate; mediate
factors are health life habit (diet, smoking, physical exercise), health living condition (housing, work environment
etc), and health medical system (health∙medical service etc); and social structural factors are finance and income,
education attainment and cost of education, unsafe employment condition, poor working conditions the
abovementioned factors have affected each other, such that they have formed dynamic relationship. In other
words, although present health is worse due to social structural factor, if the factor on medication works positively,
then the poor health condition could be improved. Meanwhile, certain health results can be influenced negatively
by social structural factors.
METHOD
Sample
In order to identify the factors that affect the health status of the elderly in the rural and urban areas in South
Korea, raw data from the ‘Community Health Survey’ of Korea Centers for Disease Control and Prevention were
used. CHS contains data from the 229,229 households surveyed in 2010. From the data, 54,254 elderly above 65
age have been analyzed for this study.
Table 1 shows the socioeconomic characteristics of the respondents.: 1) the percentage of the elderly single
household or living with spouse in rural areas is higher than those in urban areas; 2) household income in rural
areas is lower than that in the urban areas; 3) the working population in rural areas is greater than those in the
urban areas. Interestingly, the level of economics of the rural elderly is lower, although the percentage of elderly
working population is higher than the urban areas.

Mihyoung Cho, et al
Table1. Socioeconomic characteristics of the elderly (unit: persons%)
Urban area Rural area

total male female total male female
20,116 8,506 11,610 34,138 13,560 20,578
Total
(37.1) (42.3) (57.7) (62.9) (39.7) (60.3)
65∼74 68.2 72.5 65.0 61.8 65.8 59.2

Age 75∼84 27.2 24.2 29.4 32.0 29.8 33.5
above 85 4.6 3.3 5.6 6.2 4.4 7.3
Less than
30.7 12.1 44.4 50.1 23.6 67.5
elementary school
Educational Elementary school 31.1 27.0 34.1 32.3 40.6 26.8

level Junior high school 13.3 17.8 10.0 8.4 15.8 3.4
High school 16.0 26.4 8.4 7.0 14.9 1.9
College & Graduate 8.8 16.8 3.0 2.2 5.0 0.4
Living alone 17.3 7.9 24.2 23.7 8.4 33.8
Living with spouse 37.9 53.1 26.8 46.5 67.0 33.0
Household
Type Living with grandchil-
4.1 0.3 6.9 2.5 0.3 3.9
dren
etc. 40.6 38.7 42.0 27.3 24.2 29.3
Present 7.9 5.8 9.5 7.7 5.4 9.3
Public
Assistance Past 0.9 0.7 1.0 1.6 1.3 1.7
Never received 91.2 93.5 89.5 90.7 93.3 89.0
less than 300,000won 10.9 6.9 13.9 23.7 16.5 28.4
less than 500,000won 16.0 13.8 17.6 21.4 20.6 22.0
Household
Income less than 1,000,000won 26.8 29.8 24.6 25.5 30.2 22.3
less than 2,000,000won 20.9 24.4 18.2 15.5 18.5 13.5
Above 2,000,000 won 25.5 25.2 25.7 13.9 14.2 13.8
agriculture, forestry
3.5 5.5 2.0 36.1 51.6 25.9
and fishery
housewife 34.9 0.3 60.1 23.8 0.3 39.2
Occupation
non 46.7 70.1 29.6 32.3 37.8 28.6
etc 14.9 24.0 8.3 7.8 10.2 6.2
Source: 2010 Community Health Survey.
Measures
To identify the factors that affect the health status of elderly in rural and urban areas, we used multiple regressions
with SPSS 18.0.

Mihyoung Cho, et al
Variables of self-rated health status
To estimate self-rated health status, CHS uses EQ-5D (EuroQoL-5Dimension) which had been developed and tested
strictly by EuroQoL Group (Young-hoon Lee et al, 2009). EQ-5D is composed of five objective questions about
health status and a visual analogous scale about subjective health level (0~100 points). The sub categories are
mobility (M), self-care (S), usual activity (U), pain/disability (PD), and anxiety/depression (AD). Respondents can
choose one each of among ‘no problem’ (level 1), ‘some/moderate problem’ (level 2) or ‘extreme problem’ (level
3). The expressed health status level on the index is applied by weights so that it can be indicated death by 0 and
absolutely healthy by 1.
Calculation method
Smoking smokes among the people who smoke 5boxes during whole life
Drinking more than 2 times above 7 glasses of male/ 5 glasses of female in one time
calculate and sum METs-minutes scores as METs defined energy requirements according to
Physical
the types of activities
activities
* The types of activities : walking, moderate physical activities, vigorous-intensity activities
Food obtain food security
Medical
experience which can’t get healthcare service despite need it during recent 1 year.
treatment
Variables of health promotion behaviors
To identify health promotion behaviors of the elderly, CHS used five items namely: smoking, drinking, physical
activities, food and using medicine (hospital). The details are found in Table 2.
Table 2. The definition of health promotion behaviors
EQ-5D index EQ-VAS

Total Numbers Perceived Health
(1 point) (100 points)
(Persons, %) Status (%)
Mean S.D. Mean S.D
Urban Male 8,506 (42.3%) .8909 .18077 70.45 17.458 28.3
Female 11,610 (57.7%) .8129 .19902 64.34 18.355 16.1
Rural Male 13,560 (39.7%) .8721 .19249 67.55 18.428 24.8
Female 20,578 (60.3%) .8049 .19022 61.53 18.464 13.2
RESULTS
Self-rated Health status
When the self-rated health status was compared, the rural elderly rated their health status lower than the urban
elderly did. The EQ-5D index of the rural female elderly was .8049; the rural male elderly .8721; the urban female
elderly .8129; the urban male elderly .8909. The rates of people who usually consider their health status positive
were as follows: 13.2% of the rural female elderly; 24.8% of the rural male elderly; 16.1% of the urban female
elderly; 28.3% of the urban male elderly. This shows that in the self-rated health status, male-female differences
are more significant than urban-rural differences. The index of health-related quality of life and self-rated health
status of the male elderly were higher than that of the female elderly.

Mihyoung Cho, et al
Table 3. Self-rated Health status of the elderly between Urban and Rural areas
Numbers of diseases Diseases
0 1∼2 >=3 Hypertensive Diabetes Arthritis Cataract Heart diseases
Male 27.6 54.9 17.5 46.6 20.6 13.2 23.9 9.4

Urban
area
Female 12.6 48.5 38.8 53.6 20.5 45.5 34.0 8.1
Male 34.3 52.5 13.2 40.0 14.9 17.4 20.2 6.5

Rural
area
Female 15.0 52.4 32.6 50.3 15.9 47.9 30.4 5.5
Note:
Perceived Health status is the percentage of ‘very good’ and ‘good’ among the responses.
Physical health status
Generally, the prevalence rate of the female elderly was higher than that of the male elderly. Among the female
elderly, 14.2% had no disease, and 34.8% had three or more diseases; among the male elderly, 31.8% had no
disease, and 14.9% had three or more diseases. The prevalence rate of the rural elderly was somewhat lower than
that of the urban elderly. As for urban-rural differences in prevalence rates of hypertension, diabetes, cataracts,
and heart diseases except arthritis, the prevalence rate of the rural elderly was lower than that of the urban
elderly. The reason for the rural elderly’s low prevalence rate may be that they recognized diseases as physical
changes due to aging and thus, they preferred not seeing a doctor. In addition, they could have not visited hospital
because of lack of facilities, time, or/and money. Meanwhile, the high prevalence rate of arthritis among the rural
elderly may partly result from muscular skeletal diseases due to farm work or sedentary living conditions.
Table 4. Prevalence of Diseases of the elderly between Urban and Rural areas (unit: %)
Current High risk Physical activities Unavailability of Diet

smoking drinking healthcare
services
High Moderate Low nothing Sufficient Sufficient Insufficient by

and but not poverty
appropriate appropriate
Rural Male 29.0 13.7 26.5 37.8 13.9 21.8 11.0 26.5 63.7 9.9
area
Female 3.9 1.2 9.1 47.6 22.5 20.8 16.8 28.8 55.2 16.0
Urban Male 24.8 14.7 20.1 48.9 17.5 13.5 10.1 37.5 51.9 10.6
area
Female 4.1 1.4 18.6 37.0 17.0 27.4 17.8 18.6 64.9 16.5

Mihyoung Cho, et al
Health-Promoting behaviors
When health-promoting behaviors were compared, the smoking rate of the rural male elderly was 29.0%,
somewhat higher than that of the urban male elderly (24.8%) as shown in Table 5. However, the female elderly’s
smoking rates showed no differences between areas. High-risk drinking rates did not show consistent urban-rural
differences, neither. On physical activities, the rural elderly showed relatively higher respondent rates to ‘high-level
physical activities’ and ‘no physical activities’ compared to the urban elderly. That is, of the rural elderly, the rate of
a group doing ‘high-level physical activities’ due to farm work and the rate of a group doing ‘no physical activities’
whose health condition is expected to be very weak are high. Meanwhile, the rural female elderly showed the
highest respondent rate of experiences of unavailability of necessary healthcare services. In terms of diet, the
respondent rates of eating sufficient and various foods was higher among urban elderly than these of the rural
elderly. Overall, the results show that the health-promoting state of the rural elderly is poorer compared to urban
elderly.
Table 5. Health-Promoting behaviors of the elderly between urban and rural areas (unit: %)
Health-related Quality of life(EQ-5D index)
Urban area Rural area
Male Female Male Female
β β β β
*** *** ***
Age -.133 -.140 -.171 -.153***
Individual Living alone -.002 .021 .026* .013

factors Household
Living with spouse -.021 .005 -.002 -.004
type1)
Living with grandchildren .014 -.001 -.025* .007
*** * ***
Elementary .095 .041 .073 .063***
Educational Junior high school .124*** .069*** .090*** .041**

Socioeconomi level2) High school .160*** .088*** .103*** .045**
c factors
College & Graduate .192*** .044*** .077*** .032*
Public assistance3) -.071*** -.074** -.061*** -.022
Diseases No. of diseases -.206*** -.280*** -.185*** -.249***
Current Smoking -.038** -.034* -.027* -.017
High risk Drinking .002 .031 .012 .002
Health- Physical activities .106 ***
.083 ***
.067 ***
.046**
promoting
behaviors Sufficient but not appropriate food -.055*** -.060** -.066*** -.040*
Diet4)
Insufficient food by poverty -.123*** -.146*** -.129*** -.112***
Unavailability of healthcare services -.137*** -.165*** -.166*** -.177***
Adj. R2 .178 .222 .172 .164
69.978 57.374 96.116 61.330
F(sig.)
(.000) (.000) (.000) (.000)
***
p<.001, **p<.01, *p<.05
Note: Dummy variables codes: 1) Living with children and others=0; 2) uneducated=0; 3) those who have never
received the public assistance=0; 4) those who usually have a sufficient and appropriate food
Source: 2010 Community Health Survey

Mihyoung Cho, et al
Factors Affecting the Elderly’s Health Status
The health status is measured by the EQ-5D index, and was analyzed using the fourmodels dividing areas into urban
and rural areas, and dividing each area’s people into males and females. As factors affecting the health status, the
following was included: individual and socioeconomic factors including age, household types, the highest level of
education, and public assistance recipient (national basic living security); diseases; and health-promoting behaviors
including smoking, drinking, physical activities, diet, and the use of healthcare services. According to the analysis of
factors affecting the elderly’s health status, the difference in adjusted R square between the urban and rural female
elderly was 5.8%. It implies that an additional variable is required to explain the rural female elderly’s health status.
When a standardized coefficient (β) was compared to know a variable affecting the elderly’s health-related quality
of life much, the biggest coefficient in four models was the coefficient of the number of chronic disease, followed
by experiences of unavailability of healthcare services and insufficient food by poverty.
Table 6. Factors affecting the elderly’s health status
Source: 2010 Community Health Survey

When coefficients were compared among each model, the size of factors affecting health status differs according to
each elderly group as follows by order: 1) Among the urban male elderly, the factors are number of chronic
disease, education level, availability of healthcare services, and age. 2) Among the urban female elderly, they are
number of chronic disease, availability of healthcare services, insufficient food by poverty, and age. 3) Among the
rural male elderly, they are number of chronic disease, age, availability of healthcare services, and insufficient food
by poverty. 4) Among the rural female elderly, they are number of chronic disease, followed by availability of
healthcare services, age, and insufficient food by poverty.
CONCLUSION AND DISCUSSION
This research shows several features regarding health status between rural elderly and urban elderly as follows: 1)
Even though the rural elderly shows lower prevalence rate compared to the urban elderly, their health status was
lower. 2) The health status of rural elderly women is the lowest. 3) As of result in the multiple regressions, the
chronic disease is the most affecting factors to elderly health status regardless of location and gender. Aside from it,
availability of healthcare services and insufficient food eating are the next affecting factors.
These findings are congruent to the health and medical situations of rural areas. Since rural areas in Korea lack
health/medical facilities near the elderly residences (villages), it is not easy for them to see a doctor, especially if the
elderly lacks the transportation and money. Furthermore, since they work continuously for living, it is difficult to
leave their work place to visit the facilities and check their health problems and get treatment for their diseases.
From these reasons, the prevalence rate and health status are low simultaneously than the urban elderly. Especially,
women elderly in rural areas have less money and time and have rather caring experience than care-received
experience during their whole lives. These typical women’s situation in Korea brings them to the poorest health
status compared to other counterparts.

Mihyoung Cho, et al
The research results also noted that healthcare services and insufficient food are the important factors that
influence the health status of the elderly. . Although the chronic disease is biggest factor for health status, it could
be solved by professional medical intervention in early year of life. Other way around, if we overcome the problems
of availability of healthcare services and insufficient food eating, then elderly can avoid to exposure of chronic
disease. Therefore, we suggest that the following strategies should be undertaken to promote health status
especially among rural elderly: 1) increase of health/medical facilities; 2) provision of in-home health/medical
services and transportation and escort services; 3) education of eating habit; 4) increase of wheel on meal service;
and 5) income assistance and maintenance policy.
REFERENCES
Dahlgren, G., & Whitehead, M. 1991. Policies and strategies to promote social equity in health. Institute for
FUTURES STUDIES.
Hanyang University. 2009. 2009 Korea Health Inequality Statistics. Support Group for Health Promotion.(in Korean)
House, J. S., Lepkowski, J. M., Kinney, A. M., Mero, R. P., Kessler, R. C., & Herzog, A. R. 1994. “The Social Stratification
of Aging and Health.” Journal of Health and Social Behavior. Vol.35. No.3. pp.213-234.
Kang, H., & Cho, Y. 2007. “Socioeconomic Status, Social Integration, and Health Inequalities of Elderly Koreans.”
Korean Journal of Sociology. Vol.41. No.4. pp.164-201.(in Korean)
Kim, H., et al. 2004. Socioeconomic Health Inequalities and Counter Policies in Korea. Korea Institute for Health and
Social Affairs. (in Korean)
Kim, J. 2007. “The Relationship between Socioeconomic Status and Health in Korea- Focusing on Age Variations.”
Korean Journal of Sociology. Vol.41. No.3. pp.127-153. (in Korean)
Miech, R. A., & Shanahan, M. J. 2000. “Socioeconomic Status and Depression over the Life Course.” Journal of
Health and Social Behavior. Vol.41. No.2. pp.162-176.
Woo, H., & Yoon, I. 2001. “Differences in the Health Status of the Korean Elderly by Socio-demographic Factors.”
Health and Social Science. Vol.9. pp.67-106. (in Korean)

THE IDEA OF BASIC INCOME GUARANTEE IN RURAL JAPAN
Tadashi OKANOUCHI
Professor, Faculty of Social Sciences,
HOSEI University, Tokyo, Japan.
otadashi@hosei.ac.jp)
ABSTRACT
The idea of Basic Income Guarantee (BIG), i.e. universal, unconditional, and lifelong monthly cash transfer for all
residents with the amount enough for basic needs, had introduced to Japan by some academics of social policy in
the end of 20th century, and became much more popular since then by some advocates and politicians who wanted
to show an alternative to conventional policy options to combat with serious unemployment and poverty problems.
A mayor of mountainous village in Japan (Nakagawa-mura, Kami-Ina-gun, Nagano prefecture) became the only one
advocate of BIG among 184 village mayors in rural Japan in the year of 2013. The mayor recommended BIG as the
best treatment against the depopulation of rural Japan and the best way to revitalize rural community with young
people. Based on field research in the village and another neighboring village, including interviews with supporters
and opponents of BIG, the paper analyses the reason why the mayor supports BIG, and show the potentials of
future social movement for BIG by villagers from the public sphere of rural Japan.
INTRODUCTION
1) Nakagawa-mura
History and Geography
Although ruins of residence can be found in many archaeological sites dating back to 10,000 B.C., Nakagawa-mura
was born in 1958 by a merger of two villages, Katagiri-mura and Minakata-mura. Those two villages were created in
1889 by the local administration reform under the fresh Constitution of the Empire of Japan following the
centralized government system of Prussia. Until the end of Edo-era, those two villages had been 7 village
communities in the mid-valley of Ina along the river of Tenryu (See the Map 1). The trans-valley railway had been
constructed since 1897 and was completed in 1937. In 1961, 18 villagers were killed by mudslide and one village
community disappeared, though there were no serious natural disasters since then. The trans-valley highway which
connects Nakagawa-mura to Tokyo for 2 hours and to Nagoya for 1 hour was completed in 1982.
Figure 1. Location map of Nakagawa-mura

Tadashi Okanouchi
Population; Gender, Age and Ethnicity
According to the official website of the village, population of Nakagawa-mura on June 1, 2014 is 5,161(male:2,466
female:2,695) and number of household is 1,619 which makes average persons in a household 3.2 persons.
Population of Nakagawa-mura has been decreasing since 1950; rapidly during 1950-75, almost stable during 1975-
2000 and gradually since 2000 (Figure 2). It shows a severe contrast with the trend of Japanese total population,
which had been constantly increasing since 1920s until 2005. However, total population of Japan has been
decreasing since 2005 like that of Nakagawa-mura and both are anticipated to decrease in future (Figure 3).
Distribution by age and sex in Nakagawa-mura (Figure 4) shows also a severe contrast with that of total Japanese
population (Figure 5); the lack of young and middle age generations (age of 20s-50s) in Nakagawa-mura, which
coincides with many elderly villagers’ stories that most of their children went out to big cities like Tokyo or Nagoya
for higher education or getting jobs, and stayed there.
Population of Nakagawa
Village
Figure 2. Change of Population in Nakagawa Village, 1920-2013

Annual Rate of Increase Increase-
Total Population of Japan and Future

Population of Oshika-mura
Prediction
1925 1945 1965 1985 2005 2025 2045 2065 2085 2105 Year (AD)
Figure 3. Change of Population and Annual Rate of Increase in Japan including Future Prediction,
1925~2105.
[Source] http://demography.blog.fc2.com/blog-entry-1044.html (June 9, 2014). A figure made from Official
Statistical Data of Japan

Tadashi Okanouchi
Figure 4. Population Distribution by Age and Sex in Nakagawa Figure 5. Population Distribution by Age and Sex in Japan,
Village, 2010 2010
[Source] http://demography.blog.fc2.com/blog-entry-2557.html [Source] http://demography.blog.fc2.com/blog-entry-6234.html

(June 9, 2014).A Figure made from Official Statistical Data of Japan. (June 9, 2014). A Figure made from Official Statistical Data of Japan.
Nakagawa-mura was nominated one of depopulated areas in Japan by the governmental anti-depopulation law in
1970, and since then it has been implementing various anti-depopulation policies including construction of public
apartments for young people. Since 1980s especially after better connection of Highways to Tokyo and Nagoya, it
has constant inflow of new-comers or returners attracted by clean air and beautiful landscape of the valley
surrounded by snowy mountains even in summer time. Foreign population including the so-called “trainee”
workers since 1990s in factories in Nakagawa-mura in December 2013 is 48 (China 28, North or South Korea 1,
Philippines 5, Vietnam 4, USA 2, Others 8) (Ministry of Law, Japan, “Statistics of Foreign Residents” http://
www.moj.go.jp/housei/toukei/toukei_ichiran_touroku.html June 9, 2014).
Economic and Class Structure
Chairman of the Nakagawa-mura’s Society of Commerce and Industry (Shokokai) has been occupied by the head of
two local construction companies (capital of both companies are \35 m. and number of employees are 65 and 49)
in recent years. Numbers of member companies in 2011 were 124 (Manufacturing 29, Construction 36, Commerce
59). Numbers of all employees in 2009 were 1,502 (Manufacturing 247, Construction and other non-manufacturing
industry 358, Commerce 153, other service jobs 589), while the number of agricultural workforce in 2010 was 776
(agriculturalists in nucleus, 557). Therefore, agriculture is the biggest industry in terms of working population.
However, within the 557 agriculturalists in nucleus, 411 or 79% are older than 65 years old. Cultivated land are
763ha (rice paddy, 424ha; field for other crops, 339ha), but the abandoned farmlands are 82ha(11%), which shows
seriousness of the aging problem in agricultural population.
The bulk of manufacturing industry (sub-contract production of precision machinery components, etc.), has been a
part of “Ina Techno-Valley” industrial area of Nagano prefecture, and it suffered from globalization and recent
depression. Value of shipment of manufactured goods in 2010 was \3,679m[illion] (\4,064m in 2003 with 302
employees and \1,744m of gross value added, and \949m of total salaries) and annual sales turnover of commerce
in 2006 was \2,091m, while gross agricultural production was \1,440m. The total taxable income amount in 2011
was \5,510m (number of taxpayers, 2,101). If we compare these amounts with annual budget of the village, we
could have a proper image of the village economy. The total amount of the village budget of 2014 is \3,042m in
which revenue from the village economy (residents’ tax, etc.) is only 21 %( \640m), and revenue from the state
(including the portion of national tax revenue allocated to local governments, \1,615m=53%) is 79% (\2,417m).
State money in the finance of local government is bigger than the amount of gross agricultural production. Such big
presence of the state money shows economic dependency of the village to the central government.
Although history of agricultural cooperatives in Nakagawa-mura goes back to the end of 19c as silk producers’
cooperatives, present-style agricultural cooperative was formed for each village in 1948. Those two village

Tadashi Okanouchi
cooperatives merged with 6 other cooperatives in 1972, and such kind of trans-village cooperatives merged again
and formed one big cooperative (JA Kami-Ina) for the territory of Kami-Ina-gun in 1996, and since then most of the
farmers in Nakagawa-mura became a part of JA Kami-Ina (http://www.ja-kamiina.iijan.or.jp/about/history/
#jakamiina-history (June 9, 2014)). JA is a nation-wide big conglomerate and most villagers buy agricultural
machines, equipment, cars, gas, oil, foods, clothes, etc. at shops of JA group and do financial transactions with JA
group financial institutions and sell most of their agricultural products to JA. However, the Japanese government
has been talking about liquidation of JA in the process of recent negotiations for TPP (Trans-Pacific Strategic
Economic Partnership Agreement).
Administrative Structure and Politics
In 2001, the village began to negotiate about merger of 4 neighboring local governments. In 2002, 16 village
council members (3 Japan Communist Party [JCP] and 13 independent) were elected. In 2004, official committee
for merger of 3 local governments( Komagane-shi, Iijima-cho, Nakagawa-mura) established. In February 2005, the
result of referendum of the villagers about merger was: For 51.8%, Against 48.2%, while by residents’ opinion
surveys done at the same time in Komagane and Iijima, majority was against merger ( Komagane 56.6%, Iijima
51.7%). Accordingly the committee liquidated in March 2005.
In April 2005, Mr.Itsuro Soga (born in 1955, new-comer since 2002) won the election and became mayor from a
candidate of anti-merger movement. In 2006, 10 village council members (2 JCP and 8 independent) were elected.
In 2008, the village joined “The Most Beautiful Villages in Japan” (an NPO for promotion of tourism and
conservation of traditional life-style and culture; established by 7 small local governments in 2005 including Oshika
-mura). In the same year, the mayor joined “Association of Mayors protecting Article 9 of the Constitution”, and
expressed his opinion on BIG in his “Message from the Mayor” of the official website of the village.
In April 2009, Mr.Soga won the election and became mayor again. In 2010, he expressed his intention to declare
Open City Declaration for the village in solidarity with anti-US military base movement in Okinawa. In April, 10
Village council members (2 JCP and 8 independent) were elected but by no votes. In February 2011, he lead the
anti-TPP rally with 400 villagers organized by the Village Council, local JA, Society of Commerce and Industry,
Society of Construction Companies, trade unions, etc., which is very exceptional in rural Japan. In April 2011, he
joined the Anti-Nuclear Power Plant Mayors’ League after the disaster of Fukushima. In June 2011, he expressed
his opinion at the village council meeting why he had never bowed to the national flag, and maintained importance
of freedom of belief and expression at public sphere. In April 2013, he won the election and became mayor once
again. The voting rate of the election was lowest in recent history of all village election, but it was still 82%
(Mr.Soga got 1,897 votes against the other candidate’s 1,549).
Structure of Public Sphere
There are no place for direct democracy where all residents can express their opinion as individuals, like town
(primary school area) meeting of the Council of All Residents for Self-Government (Jumin-Jichi-kyogikai) which has
introduced into Japan since 2002 and introduced in many parts of Nagano in 2006. However, there are some
traditional community meetings where head of household can express his/her opinion on community life, festivals,
irrigation, etc.
2) Oshika-mura
History and Geography
The names of Ogawara and Kashio appears in 1329 in a letter from the ruling Shikken (regent) of Japan’s Kamakura
Shogunate (Hojo Takatoki) to the two land stewards (Jito) of those places. In the Edo period (1603-1868), those
two places were directly ruled by Tokugawa Shogunate. The Tokugawa-era born village Kabuki (Japanese
traditional drama) still remains here and attracts many tourists. Those two places became two villages in the
second year of the Meiji era (1869). In 1874, two places merged and became Oshika village. In 1882, Oshika village
splits again in two, although the two villages merged once again in 1889. In 2003, the village was going to merge
with Matsukawa-cho (a neighboring town), but the merging plan was refused by referendum of the villagers in
2004. It is very mountainous village which developed along deep valleys, and the only way to access the village is
Tadashi Okanouchi
by car which takes 1 hour from Nakagawa-mura or Matsukawa Interchange of Chuo-do Highway still now (Map 1).
In June 1961, 55 people were killed by mudslide so that one community disappeared.
Population, gender, age and ethnicity
As is shown in Figure 6 & 7, Oshika-mura is also a depopulated village but in much more serious and critical stage
than Nakagawa-mura. In 1970s the village accepted a hippie community so that the village became famous in
hippie culture in Japan, although it caused some cultural frictions with original villagers. Foreigners in Oshika-mura
are almost negligible (China2, North & South Korea1, Philippines1, USA1, Others3, Total8, in December 2013).
Population of Oshika-mura
Figure 6. Population of Oshikamura

[Source] http://demography.blog.fc2.com/blog-entry-4682.html (June 9, 2014).A Figure made
from Official Statistical Data of Japan.
Figure 7. Population distribution by age and sex in Oshika Village, 2010
[Source] http://demography.blog.fc2.com/blog-entry-2571.html（June 9, 2014）.

A Figure made from Official Statistical Data of Japan .
Economic and administrative Structure, Politics and Public Sphere
Quarrying, timber industry, cattle farm, and fisheries can be seen other than agriculture. Erosion and flood control
works has been continued for long years by nation-wide big general construction companies and local sub-
contractors. Productive population in 2010 is 467 and agricultural population is 148. Within 122 agriculturalists in
nucleus, 95 or 78% are older than 65 years old. Cultivated land are 207ha (rice paddy, 61ha; field for other crops,
146ha), but the abandoned farmlands are 34ha(16%), which shows seriousness of the aging problem in agricultural
population.

Tadashi Okanouchi
In 2003, Oshika-mura started negotiation for merger with Matsukawa-cho, but after referendum in 2004 which
was against merger, Oshika stopped it. In 2005, the mayor became one of co-founders of the “The Most Beautiful
Villages in Japan”. In 2010, an ambiguous but possibly devastating construction work for Linear-Shinkansen bullet
train railway project through Oshika-mura was announced by Japan Railway (JR)-Tokai, and since then, it became a
serious political issue in the village. 2014 is the scheduled starting year of the construction work.
THEORETICAL HYPOTHESIS
Theoretical hypothesis of my research is based on Habermasian critical social theory which articulated macro- and
micro-sociological perspectives of T. Parsons, G. H. Mead, E. Durkheim, and K. Marx (Habermas 1987).
1) Macro-sociological Perspective; Colonization of Life-world by System
As macro-sociological perspective, the thesis of “colonization of life-world by system”(Habermas 1987) can be

applied to rural Japan under globalization process since 1980s.
a. System and Life-world
Depopulation of rural Japan and relating problems in the life-world of the people there can be explained as
colonization of the life-world by the sub-system of global Capitalist economy and by the sub-system of so-called
neo-liberalist state administration.
b. Anti-colonial Resistance of Life-world against System
The big Heisei merger movement of rural administrative units during 1999-2010 was challenge of the neo-liberalist
state administration sub-system to the life-world according to the transformation of global capitalist economic sub
-system. It could reduce the number of Japanese local administrative units almost half, but we could also observe
some anti-merger movements which can be explained as anti-colonial resistance of life-world against system.
c. Macro-sociological Social Change of System and Life-world
Such resistance of life-world can be the main driving force of macro-sociological social change of system; i.e. from
the global capitalist society to the society of Global Basic Income Guarantee (Okanouchi 2012). The transition may
starts from unconditional cash transfer programs at local level (Alaska, USA since 1982) and national level (Iran
since 2010, Mongolia 2010-12), or pilot projects of basic income guarantee at local level (Namibian village 2008-
2012, Brazilian village 2008-, Indian villages 2012) or national level. A good review of increasing empirical case
studies on newly introduced cash transfer policies since the end of 20 th century by development specialists is given
in a book with an interesting title: “Just give money to the poor: Development revolution from the global
south”(Hanlon, Barrientos & Hulme 2010).
2) Micro-sociological Perspective; Potentials of Life-world
The merit of Habermasian micro-sociological perspective is its ability to analyze potentials of life-world.
a. Structure of Life-world
The structure of life-world is characterized by personality-building of each person through communicative actions,
i.e. discussion with other people about the topics of the objective world (environment), and social world (social
system).
b. Structure of Public Sphere
Such discussions among the people themselves become public sphere, and it cannot help generating penetrations
on the nature of the system among the people, although its development suffers not only from limitations of time
and space for communicative action, caused by “wage slavery” system of capitalist economy, but also from
limitations of language and culture, imposed by “traditions” of administrative sub-system (Cf. Willis1976).

Tadashi Okanouchi
c. Relationship between Objective World and Social World from the Perspective of Life-World
The globalizing capitalist system promotes individualization and fluidization of people on the earth. However, from
the perspective of life-world, people who discuss about relationship between objective world and social world will
find that small scale residential neighborhood community made of free and economically independent persons
(independent, because of the global basic income guarantee) can be a basic unit for alternative administrative sub-
system based on direct democracy.
RESEARCH SETTING
Methodology
This paper is intended to be an interim report of a participatory action research. The research commenced since
November 2013 in Nakagawa, and since April 2014 in Oshika. It is still in the first stage of agenda setting for the
community people to find some policy ideas in order to solve their problems.
Research Action
Interviews with the villagers of both villages (about 40 persons, including two village mayors, two village council
members, eight owners of local hotels, guest houses, and farm inns and their family members, and their friends in
various occupations), have been done during Nov. 2-4, 2013, April 5-7, May 1-2, 5-7 2014 in Nakagawa, and during
April 18-20, 30, May 1, 2-5, 2014 in Oshika, focusing on the idea of Basic Income Guarantee (BIG) and possibility to
introduce an Unconditional Cash Transfer (UCT) program to their own village as a first step towards the BIG.
ANALYSIS
Analytical Framework
Based on his theoretical hypothesis about class structure of capitalist society and the role of working class as a
prime mover of revolutionary change, Paul Willis set two categories, i.e. “penetration” and “limitation”, in order to
analyze his interviews with informants in a working class city of England (Willis 1976). Voices which coincide with
his hypothesis are classified as “penetrations”, but other voices which contradict his hypothesis are classified as
“limitations”. I follow this precedent and analyze my interviews with villagers from the view-point of my theoretical
hypothesis.
Penetrations
The mayor of Nakagawa-mura has expressed his opinion since 2009 in favor of the idea of BIG as a policy option to
combat with depopulation problem: “BIG will be able to encourage young villagers to stay at village and to do
agriculture and other small businesses, because such constant inflow of cash can give people a sense of security of
life as is the case of pensioners.” (Nakagawa Mayor) Such penetration was shared with a rice-cropping farmer who
has suffered much from his past experience in investing in dairy and apple farming: “Even a small amount of UCT
can be a good remedy for economic instability of agriculture (Rice Farmer and Farm Inn owner; Male; Age 68).
A young organic farmer who is one of new-comers to the village also agrees with it but from another perspective:
“We came here to seek for nature. We don’t want money. Here we have plenty of delicious foods because we grow
rice and vegetables, and villagers share foods with neighbors. But we need some amount of money necessary for
electricity, gas, water, car and rent for housing. Just a small amount of UCT can encourage young people who are
interested in organic and subsistence farming to come and live in such a beautiful, but depopulated
place.” (Organic Farmer, New Comer since 5years ago: Male: Age 35). Another reason why mayor recommends BIG
is its possible “ability to empower individuals for community development”, which made him famous and unique in
Japanese debate on BIG. For the village mayor, individual villagers supported by constant flow of money power, will
naturally enjoy their community life, so that they will voluntarily work for community development. But for some
sociologists, economists and political scientists opposing to BIG, the money power to individuals only strengthen
the present problem of social exclusion (Okanouchi 2014).

Tadashi Onakouchi
The possible ability of BIG or UCT to empower women against patriarchy was pointed out by a wife of a farmer:
“Oh, it’s to be allocated directly for each person! Not for each household! It’s good because if it is for household, it
will disappear automatically! All women will also be able to have their own plans for future!” (Wife of Farm Inn
owner: Female: Age 65). She even added another aspect: “Young couple might decide to have one more child.
Young wives usually have to decide after they got their first baby, whether to work more or to take care of the new
-born baby. If that kind of constant money flow were available, they could easily make their future life-plans with
one more child.” (Wife of Farm Inn owner: Female: Age 65).
Regarding vitalization of public sphere, many villagers agree that BIG or even small amount of UCT will be effective:
“Such money will inevitably make people think about to do something good for people in the village. Even if we
could only start with a small amount of UCT, it would make big difference for villagers’ public opinion and it may
give good effect to national-level public opinion.” (Rice Farmer and Farm Inn owner: Males: Age 68) “Such money
will create a sense of solidarity among people, and people will express their opinion more about the future of the
village and the world.”(Part time worker at museum, New Comer since 8 years ago, Pensioner: Female: Age 68?)
Again we should point out common image of good citizens or villagers, who are just too busy for earning money to
speak out and to do something good for others.
One of village council members also expressed such image of good villagers, and he even mentioned about
financial possibility for UCT at village level: “Small amount like \5,000 per person per month might be affordable
with a slight change of the present village budget.” (Village council member, Farmer: Male: Age 73)
Limitations
Most villagers seem to have heard about the word “Basic Income” because of the mayor’s speech, but most of
them do not really know about the idea of BIG or UCT. One of villagers even had a bad feeling about BIG: “Oh, you
are a researcher of BIG!(Laugh) Once the mayor was talking about it frequently, but I said to him ‘Do not go deep
into it! It’s too strange. You have much more things to do other than it.’” (Apple Farmer and Farm Inn owner: Male:
Age 75). The idea of “unconditional” transfer can be an obstacle because not all villagers are welcoming new-
comers unconditionally: “Environment for agriculture will be destroyed by New-comers who are elderlies and
pensioners because they can’t stand with the apple farmer like us who spray pesticides on apple frequently. Good
place for housing with nice view and sunshine is also good for apple growing. (Apple Farmer, returner since 4 years
ago after 10 years education and work in Tokyo: Male: Age 36) In the case of Oshika village which has a history of
accepting Hippie community since 1970s, a kind of xenophobic feeling can be observed: “(If we had BIG or UCT),
our village would be invaded by culturally strange, idle New-comers.” (Wife of guest house owner in Oshika:
Female: Age 45?)
Conventional criticism against UCT might be found as was happened in Oshika: “Even a newly introduced cash
transfer program to every household for community meeting has been sometimes criticized as a sabotage of
administration work and a vote-buying behavior.” ( Oshika mayor) . Financial feasibility under the controversial
Japanese local government system is a big problem. Even the Nakagawa mayor himself clearly denies possibility of
BIG: “BIG is totally unaffordable for village budget, it should be a national policy.” (Nakagawa Mayor) Regarding
UCT, the mayor seems much more optimistic but still far from implementation: “A kind of unconditional cash
transfer program can be introduced but only with by introducing a kind of local money system, as we have already
distributing coupons for local shops to all volunteers of fire brigades. But villagers seem not so much interested in
it at present.” (Nakagawa Mayor)
CONCLUSION
Time-bombs of depopulation are clearly set in rural Japan. Many villages and rural communities had already
disappeared, although it is not so apparent because of the recent big merger movement of local governments.
Crisis of the present local economic and administrative system in rural Japan is deeply rooted in the globalization
process of global capitalism. Such crisis in rural Japan seems to be just a necessary evil or victim for the central
government in order to achieve survival of the present system. Resistance to such rule of system from the life-
world of rural Japan appears ambiguously in general, even in the case of Oshika-mura where the villagers once
clearly denied joining the recent merger movement. The case of Nakagawa-mura, which had the first and the only
Tadashi Okanouchi
one all villager’s rally against TPP in Japan in 2011, after the resistance against merger movement like Oshika, looks
quite exceptional thanks to the unique personality of village mayor who is a new-comer to the village. However,
future perspective for alternative system is also ambiguous among villagers in Nakagawa-mura.
From my theoretical perspective about BIG and UCT, mayor’s opinion that systemic change caused by national level
BIG will be able to create radically revitalized village community, is a symptom of the beginning of macro-
sociological global social change. The analysis of my field research shows that, being given proper knowledge about
BIG and UCT, and if proper discussions are organized in the public spheres of the village, villagers may promote
their own social movement for BIG and UCT in rural Japan. However, a step to UCT in Japanese village is still a way
forward. Serious studies and discussions on BIG and UCT are desperately needed at local, national and global level.
NOTES
(1) All the historical data about Nakagawa-mura and Oshika-mura are from the Official Website of those villages
(Nakagawa-mura: http://www.vill.nakagawa.nagano.jp/, Oshika-mura: http://www.vill.ooshika.nagano.jp/
(June 9, 2014)).
(2) Numerical data and other information are based on the official statistics available from the governmental
portal site (e-stat http://www.e-stat.go.jp/SG1/estat/eStatTopPortal.do (June 9, 2014)), the site of the Ministry
of Agriculture, Forestry and Fisheries (http://www.maff.go.jp/ (June 9, 2014) ), and official site of Nkagawa-
mura Shokokai (http://www3.ocn.ne.jp/~naka-sci/index.html and http://n-nakagawa-sci.info/ (June 9, 2014)).
REFERENCES
Habermas, Jürgen (Translated by Thomas McCarthy). 1987. The Theory of Communicative Action Vol.2, Lifeworld
and System: A Critique of Functionalist Reason. Boston: Beacon Press.
Hanlon, Joseph, Armando Barrientos & David Hulme, 2010, Just Give Money To the Poor: The Development
Revolution from the Global South, Kumarian Press.
OKANOUCHI, Tadashi. 2012. “Towards Abolition of Wage-Slavery; Perspective to a Non-Violent World Revolution
for the Guaranteed Global Basic Income Society, Launching from Elimination of Hunger and Poverty,” (Paper
for BIEN Congress in Ottoburn, Germany, September 2012).
OKANOUCHI, Tadashi. 2014. “Some Aspects of the Debate on Basic Income Guarantee in Japan,” (Paper for BIEN
Congress in Montreal, Canada, June 2014).
Willis, Paul E. 1993(First Ed.1976). Learning to Labour; How Working Class Kids Get Working Class Jobs. London:
Ashgate Publishing Limited.

FACTORS PROMOTING FARM MECHANIZATION IN POSTWAR JAPAN: RIVALRY AMONG
FARMERS AND ROLES OF SALESMEN
Yusuke Ashida
Research Fellow of the Japan Society for the Promotion of Science
ashiday31@gmail.com
Motoki Akitsu
Graduate School of Agriculture, Kyoto University, Japan
akitsu@kais.kyoto-u.ac.jp
ABSTRACT
The mechanization of agriculture causes dramatic shifts in agricultural production and farmers' daily lives. In Japan’s case,
agricultural mechanization has resulted in economic over-investment, though improvements in work efficiency and boosts in
agricultural productivity have been evident since the 1950s. Introduction of farm machinery reduced farmer’s physical labor
requirements and time necessary for farming, but at the same time required an appropriate farm business size in order to
budget additional costs. Since Japanese farm size is relatively small on average, farmers gave up to expanding their
agricultural business size and sought off-farm work to earn money for purchasing expensive farm machinery. This created a
unique circulation between farm mechanization and part-time farming. Many small-scale farmers, especially those engaged
in rice cropping, became part-time farmers to buy machinery, and the higher productivity derived from the machinery use
created more spare time for them to do off-farm work in turn. Farm machinery is costly and used seasonally, making it seem
not to be worth the effort. Nevertheless, most farmers frequently purchase new personal machines and models, and pay to
keep the equipment maintained. As the reasons underlying this seemingly irrational behaviors of farmers, we identify two
factors: rivalry among farmers and the role of salesmen. Some studies have already pointed out the former factor as
“competitive conformity” in the context of Japanese socio-psychological character (Kuwayama 1992). However, we
emphasize the latter factor that has been invisible in the farm mechanization process. We conducted fieldwork and
interviews with farmers and salesmen of farm machinery companies on the diffusion process of farm machinery in Okayama
Prefecture, which was a leading area of farm mechanization. Farmers give various meanings to farm machines such as status
symbol, proof of farmer's identity and so on. The salesmen, as agents of farm machinery companies, have manipulated the
farmers’ behavioral features for their business ends. Finally, the local system that has promoted farm mechanization will be
discussed.
INTRODUCTION
The aim of this paper is to examine various factors in the promotion of farm mechanization in post-war Japan,
focusing on farmer purchasing behavior and farm machinery corporation salesmen's business activities.
Previewing the conclusion, we see that salesmen were able to manipulate farmer’s patterns of behaviors relevant
to Japanese rural society, and were able to improve their business performance, resulting in a rapid diffusion of,
fairly expensive, agricultural machinery.
Generally speaking, farm mechanization is one of the key

factors of drastic shifts in agricultural production and
farmer’s daily life. Japanese agriculture has experienced
rapid farm mechanization in post-war era. The farm
mechanization, on the one hand, promoted labor-saving
farming, that brought about increases of labor efficiency
and farm productivity. On the other, excessive investment in
the farm machinery became one of the farm managerial
problems under the process in Japan. As the Figure 1 shows,
the rice production cost per one acre has increased from
US$ 629 in 1960 to US $1,734 in 1970, and US $4,981 in
1980 (1 US $=100 JPY ). The proportion of machinery cost in
the total rice production cost has increased drastically from Figure 1. The proportion of machinery cost as part of total rice
production cost
10.4% in 1960 to 20.7% in 1970, and finally 29.4% in 1980.
1
Because the investigation object changed in 1991 , the Source: Statistics on Production Cost of Rice (Ministry of Agri-
proportion of machinery cost seems to decrease. In fact, culture, Forestry and Fisheries of Japan)

excessive investment in the farm machinery still remains. National agricultural policy sought to propel farm
mechanization, throughout Japan-- this is particularly evident with the enactment of the Farm Mechanization
Promotion Act in 1953. In 1961, the national government established the Fundamental Law of Agriculture, the
main purpose of which was the promotion of agricultural modernization. Farm mechanization was one of the
priority fields for the improvement of farming productivity, accompanying farmland improvements such as
enlargement of listed paddy field scale, construction of farm roads, and so on.
Farm machinery was improved upon from their beginnings as cart-styled tillers in 1950s, to riding tractors that
were introduced in place of the tillers in the 1960s. Cart-styled rice harvesters became widely used during this time
period as well. In 1970s, combine harvesters became popular and transplanters mechanized the backbreaking task
of transplanting rice seedlings. Riding tractors, combine harvesters, and rice transplanters are the core machinery
of the so-called ‘medium-sized mechanization system for rice cultivation’, that is unique to Japan and still
continues today.
Generally, the development of farm machinery parallels an increase in farming scale. In Japan’s case, however,
relatively small-scale but high quality machinery was invented for small-scale farmers and it spread rapidly. As a
result, tractors, harvesters, and transplanters were not only purchased by average scale farmers, but also by
farmers practicing subsistence farming, which, from an economic point of view, cannot be explained reasonably
(Teruoka 2003: 230). Mechanization generated an excess labor force in the agricultural sector, much of which
moved to non-agricultural labor markets that happened to be expanding under the rapid economic growth from
the late 1950s to the early 1970s (Kumagai 1998: 2). Members of farm families earned incomes from off-farm
employment, which offset the high cost of farm machinery. In the early stage of farm mechanization, it was
popular for farmers to share machines, but after a short while, each farmer tended to possess an individual set of
machinery to avoid simultaneous demands for the same machine and negligence of maintenance tasks (Ikegami
1991: 46).
It is not too much to say that a major part of Japanese farmers, paddy farmers in particular, became part-time
farmers in order to purchase farm machinery. The high labor productivity caused by the machinery created spare
time for famers to work outside their farm. The income from the off-farm jobs made it possible for farmers to buy
the expensive farm machinery and invested their surplus labor into off-farm jobs. That seemed a happy, but
somewhat peculiar, circulation.
Farm machinery is really expensive. For example, even a cart-styled tiller in the 1970s cost US $2,000 to $2,500 (1
US $=270 JPY \). From the 1980s onward, each new riding tractor or combine harvester cost more than 20-30
thousand US dollars and a new rice transplanter costs around 10 thousand US dollars (1 US $=100 JPY \). Besides
the high prices, this machinery is only used seasonally and requires maintenance costs. The investment necessary
to keep the machinery makes no business sense obviously. Nevertheless, even small-scale farmers have kept on
purchasing and repurchasing state-of-the-art machinery.
In order to realize the factors that promoted farm mechanization in post-war Japan, it is crucial for us to
understand the seemingly irrational famer behavior. In this paper, we explain the behavior in terms of two social
aspects: rivalry among farmers and the role of farm machinery salesmen.
The idea of irrational farmer behavior was already deployed in the notion of “competitive conformity” in the
context of Japanese socio-psychological literature (Kuwayama 1992). From fieldwork in Niiike hamlet, Okayama
Prefecture, Kuwayama attributed farmer’s behavior of excessive investment in farm machinery to keeping their
social status in rural community rather than simple business needs. He reported some narratives of farmers in the
hamlet expressing their rivalry: “If others buy machines, I want to buy one for myself. It makes me feel good to
have machines others don't. But it really makes me mad to see others work with machines I don't have” (1992:
129). Referring to reference group theory, Kuwayama discovered three categories of relationship between self and
others made up in a concentric fashion around jibun as self: mawari as immediate reference others, hito as
generalized reference others, and seken as reference society. He tried to use this conceptual framework to explain
the farmers’ behavior displayed through the act of purchasing farm machinery.
He concluded that there is “competitive conformity” not only in Niiike hamlet but also throughout Japanese
society, that forces people to adjust jibun (self) to the norms of hito (generalized reference of others) and avoid

deviating from those norms, and to keep up with hito to avoid being left behind (Kuwayama 1992). One of our
goals is to confirm farmers’ feelings and behavior according to Kuwayama’s framework.
A second and more specific goal is to illustrate the role of machinery salesmen. Farm machinery companies have
played a huge role in the Japan’s farm mechanization. The companies have picked up farmers’ needs, and
developed and popularized machines that farmers would buy (Maeda 1994). On the other hand, it can easily be
imagined that the companies have taken advantage of the aforementioned farmers’ rivalry and incorporated it
into their sales strategies. We will focus on the salesmen employed by companies who had business transaction
with farmers in a face-to-face manner and therefore became familiar with the farmers’ way of behavior. How the
salesmen have manipulated the rivalry among farmers and what kind of roles they have played in the promotion
of farm mechanization are the questions in the second aspect.
STUDY AREA
The study area is Shoboku, Tsuyama City, Okayama Prefecture. Okayama, especially Southern Okayama, was a
leading area of farm mechanization2. Shoboku is located in Northern Okayama Prefecture. As shown in Table 1 , in
Shoboku farm mechanization have progressed rapidly since 1970s under the influence of Southern Okayama.
Many people made a living in agriculture until the early 1950s. The number of part-time farmers grew from the
late 1950s. Residents, especially the young, began to out-migrate to urban areas in order to attend college or for
employment in the 1960s. The population has steadily been decreasing and aging until now. There are 6,843
people in 2010. According to a National agriculture and forestry census 1960, there were 1,448 farming
households. According to the census 2010, the number of farming households decreased roughly in half. In 2010,
part-time farmers accounted for more than 70% of total farmers, and most full-time farmers are the retired
elderly.
Figure 2. Location of study area
Table 1. Ownership of farm machinery in Shoboku and Japan (%)

cart-styled rice
cart-styled tiller riding tractor rice transplanter combine harvester
harvester
YEAR Shoboku Japan Shoboku Japan Shoboku Japan Shoboku Japan Shoboku Japan
1960 4.6 8.5 　　　　― 　　　　― 　　　― 　　　― 　　　― 　　　― 　　　― 　　　―
1970 82.0 60.9 1.8 5.1 1.3 0.1 3.9 11.1 0.3 1.6
1980 59.9 59.0 42.5 31.6 62.3 37.5 64.0 34.7 8.1 19.0
1990 54.5 57.0 61.8 55.9 65.9 51.7 59.0 33.8 26.6 31.7
2000 41.0 33.6 81.4 65.0 59.7 45.9 29.1 18.7 39.5 33.4
2010 　　　― 　　　― 79.4 64.6 54.6 39.8 ― ― 40.3 30.7
Source: Census of Agriculture and Forestry

We conducted fieldwork in two villages located in low-land areas. There were a total of 254 households and 73
farming households in these villages. Most farmers mainly grow rice on small family farms, with relative paddy
field size of about 1ha. Most farmers possess farm machinery individually. We interviewed 31 farming households,
two YANMAR Company salesmen, and two KUBOTA company salesmen on the diffusion process of farm machinery
in the villages. The salesmen were identified as having handled the sales of farm machinery in these villages.
YANMAR and KUBOTA are two dominant companies in the Japanese farm machinery market.
Table 2. Basic information on the salesmen

name company enrollment period birthplace
A YANMER 1958-85 Mimasaka（neighboring town of Shoboku）
B YANMER 1983- Shoboku
C KUBOTA 1963-2007 Shoboku
D KUBOTA 1970-2011 Shoboku
Source: Field Survey
FARMERS’ PURCHASING BEHAVIOR

In this section, we pick up four typical farmers in two villages and focus on their purchasing behavior. Farmer E
cultivates 4ha, which is quite large by Japanese standards. He was born into a landowner family and he owns the
largest farm in the village. Since the 1950s, Farmer E has purchased more than five tillers, riding tractors, combine
harvesters, and rice transplanters each. E said proudly, "I introduced farm machinery earlier than anyone else in
this village". He introduced new and sophisticated machinery. He is aware of his farmhouse as having a leadership
role among the farmers in the village. He believes that his farming must serve as a model for other famers. His
eldest son lives together and helps with farm work.
Farmer F cultivates 1ha and he purchased two tillers, two riding tractors, and three rice transplanters since the
1950s. According to F, each farmer in the village wanted to possess draft cattle before farm mechanization.
However with the spread of mechanization, it came to be thought that farmers ought to possess and use farm
machinery. He managed to come up with the money to purchase farm machinery via off-farm work. Farm
machinery was indispensable to the continuation of farming for this husband-wife farming household.
Farmer G cultivates under 1.5ha and purchased two tillers, four riding tractors, two combine harvesters, and two
rice transplanters since the 1950s. He likes farm machinery and has a weakness for new machinery. His second son
lives with him and helps with his farm work. Recently he bought a new combine harvester for 30 thousand US $ for
his son to work comfortably. He said “Since my son will take over the family farm, it is a worthwhile investment”.
Farmer H cultivates just under 0.8ha and purchased two tillers, three riding tractors, two combine harvesters, and
three rice transplanters since the 1950s. He hated to borrow machinery from others. He said “Farmers who
possess no machinery looked absurd.” His second son lives with him, but the son doesn’t do any farming and has
no intention of inheriting the family farm. H is still thinking about buying new machinery.
SALESMEN'S BUSINESS ACTIVITIES
Application of influential farmers
Typically when farm machinery is sold, salesmen will explain new machinery and farmers will often test-drive the
machinery. If the farmers decide to make a purchase, the company salesmen make a contract with the farmers and
give a more thorough explanation of the machinery. Over time, salesmen have provided farmers with a huge
variety of skills and knowledge about farm machinery and crop cultivation in the diffusion process (Ashida 2011).
Most farmers in Shoboku didn’t possess farm machinery in the early 1950s. Salesman A managed to get a contract
with a farmer through a personal connection, and got information about nearby farmers from that initial contact.
Farmer's purchasing of machinery enhances the salesman’s and the company’s credibility in the village and

influences nearby farmers’ behavior. Large-scale farmers, especially for example farmer E, can have a strong
impact on other farmers. Influential farmers’ machine usage pushes other farmers to purchase new machinery.
Salesmen establish and keep good relations with influential farmers, and make use of their influence to sell more
products.
Relationship between farmers and salesmen
Rice planters and binders for harvesting spread rapidly with the increase in the number of part-time farmers in
the 1970s. All farmers yearned to possess these labor-saving machines and competed with others in buying them,
while most farmers have left the maintenance of machinery to company salesmen. Part-time farmers must finish
their farm work on holidays. When problems arise, farmers require rapid-response service and salesmen quickly
cope with problems. It is most important to provide good after-sale service for keeping customers. Salesmen
routinely guide farmers regardless of their work hours and repair without charge in some cases.
Salesmen recommend appropriate farm machinery to farmers according to various farming requirements. If a
salesman sells unnecessary machinery for farmers, farmers may distrust the salesmen and the company, and a
bad reputation can spread quickly throughout the village, and often outside the village through farmers’ family
relations. In order for the salesmen and company not to lose the trust of many farmers, they must be confidential
advisers for farmers.
Effect of eye-catching machinery
The Japanese agricultural machinery market changed from a seller’s market to a buyer’s market since the 1980s.
As most farmers in Shoboku possessed core machinery, it was difficult for salesmen to increase customer
acquisition. According to salesman B, in such situations farm machinery companies try to promote the purchasing
of new models. Salesmen make the effort to sell more sophisticated and newer machinery than those the farmer
possesses. However, salesmen shouldn't sell unnecessary machinery for farmers, so the salesmen sell the latest-
model machinery to influential farmers in the village. Farmers want the newer model at seeing other farmers
using them. Salesmen intensify customers' desire to buy and recommend new models to customers at an
affordable level.
Most farmers acknowledge being influenced by other farmers in their purchasing behavior. According to one
farmer, “A neeighbor and I started to cultivate our land at the same time. He possessed a new machine and
finished his work in half the time I took. I wanted to use the new machine too”. Salesman C purposefully feed
specific farmer information that other farmers purchased new machinery. The farmer seeks to purchase more
sophisticated and higher machinery than the machinery other farmers purchased. C said, “Farmers always
compete with other farmers”.
Objection of family members
Farmers don’t purchase new machinery without a plan, because new machinery is expensive. When nearby
farmers purchase new machines, farmers see how the machine performs and considers the added cost as part of
the total family budget. In years past, the male householder had the final say on making large purchases, but
recently the householder’s wife and his sons have a say in the decision as well. The younger generation is
particularly opposed to the purchasing of farm machinery. They think faming is hard and unprofitable. They say “I
want a new car or other goods”, “I spend leisure time for holidays”.
More elderly householders want to purchase newer models that other farmers possess, but they can’t use the
new machinery thoughtfully. Often times, the new machinery is the male householders’ message to their sons,
hoping they will carry on farming on the family farm. Younger generations often times react negatively to the
purchasing of new machinery because of the implied message to continue the family farm. However, they
occasionally change their opinion. For example, with advancing age, it became increasingly difficult for farmer I to
do farm work by himself and his eldest son gradually began to help with farm work. According to B, As long as
paddies continue in existence, it is difficult for farmers to give up farming. After deep deliberation, farmers end up
the conclusion that they take over the family farm.

CONCLUDING REMARKS
In post-war Japan, new farm machines were developed one after another and accepted by family farms. From then
on, farm machinery became indispensable in farm work. On the one hand, the main purpose of equipping those
machines for farms was to save labor Beyond this fundamental function, farmers attach additional social and
identity-related meaning to farm machinery, such as “proof of being a farmer”, as a “status symbol,” and so on. As
a result, when farmers as mawari (immediate reference others) or hito (generalized reference others) introduce
new machines, the farmer referring to those others is prompted to catch up with or out-compete them.
Such “competitive conformity” among farmers has been continuing from the initial stage of farm mechanization to
the present. Farm machine companies have adopted relationships among farmers as a part of their sales
strategies, in which salesmen obtain the trust of and information from farmers by means of participating in and
exploiting the social relationships in rural communities. On this basis, salesmen have sophisticatedly gauged
farmers’ needs properly and have bolstered farmers’ natural tendencies toward rivalry for the purchasing of new
machines. Also, whenever conflicts arose between companies, as manufacturers, and farmers, as machinery users,
the salesmen played a coordinating role in reconciling those conflicting interests.
According to the famous theory on diffusion of innovations, popularized by E. M. Rogers, the farm machine
salesmen play the role of “change agents”, “facilitat[ing] the flow of innovations from a change agency to an
audience of clients” (Rogers 2003: 368). On the other side, the salesmen are agents of the farm machinery
companies as well. They encourage farmers’ motivation to purchase products of their own company as a part of
larger sales strategies. It was the salesemen's role as a "dual-agent" that successfully promoted farm
mechanization in post-war Japan.
Recently, younger generations in family farms have lost any would-be special attachment to farm machinery.
Women have not projected any special feelings toward farm machinery from the beginning of its introduction.
When the importance of the roles of younger generations to farming become more significant in the near future,
the economic function of farm machinery as an input to production might overcome the social function based on
“competitive conformity.” In addition, the change of farming conditions in rural societies may force the salesmen
to reconstruct their relationships with farmers. In the future, it may be more important for salesmen to be able to
provide customer farmers with more consultation and managerial knowledge.
NOTES
1
Only commercial farm households became research objects.
2
Okayama has long been recognized as a pioneer in the production of farm machinery. Extensive use of machines
in the newly reclaimed land along Kojima Bay to the South of central Okayama commanded attention from
various quarters (Kuwayama 1992:128).
REFERENCES
Ashida, Yusuke, 2011, “Agricultural Machinery Salesmen as Promoters of the Diffusion of Agricultural
Mechanization Technology：A Case Study of Tsuyama City, Okayama Prefecture”, Journal of Rural Studies,
Vol.18. No.2. pp13-24. (in Japanese)
Ikegami，Koichi, 1991, “Nihon no Nougyoukikaika”, Zu de Miru Showanougyoushi , FuminKyokai, p46. (in
Japanese)
Kumagai, Sonoko, 1998，Gendainihonnousonkazoku no Seikatsujikan, Gakubunsha. (in Japanese)
Kuwayama, Takami, 1992, “The Reference Other Orientation”, Nancy R. Rosenberger ed., Japanese Sense of Self,
Cambridge, Cambridge University Press, pp121-151.
Maeda, Koichi, 1994, Nougyoukikaikahattenshi, Nougyoukikaikahattenshikankoukai. (in Japanese)
Rogers, Everett Mitchell., 2003, Diffusion of Innovations (5th ed.), New York, Free Press.
Teruoka，Shuzou(ed.), 2003，Nihon no Nougyou 150 nen , Yuhikaku. (in Japanese)

EMPOWERMENT OF FEMALE FARMERS WANTING TO START A BUSINESS
Michi Tsutsumi / Masae Tsutsumi
Nihon University / Tsuruga Nursing University
tsutsumi.michi@nihon-u.ac.jp / tsutsumi@tsuruga-nu.ac.jp
ABSTRACT
This paper clarifies what kind of effects that were acquired by female farmers who sit on a public course in Japan, and also the
significance of the public course. It examines what kind of new network was created as the effect. It also examines new
activities and relationships that emerged, and how it encouraged individual entrepreneurial activities. I am especially interested
on how female farmers can make full use of their ability, and the importance of the work-life balance where female farmers can
enjoy their work and life on their own free will. The paper theme is approached from this viewpoint. The respondents for this
study are 139 students who attended a course for women engaged in agriculture. This government-backed course has been
conducted for the past eight years, from 2002 to 2009. Then, the progress data of NPO which students started, and the activity
progress data of a female managerial development support enterprise are also analyzed up to the present. From the result of
analysis, the content of course they want differs by individual or group activities. The improvement of agricultural productivity
is fundamental, and they were mainly asking for processing of food, online sales and distribution, direct sales and service
industry. From performance analysis of the course, being connected to other people or network spread, cross-industrial
exchange, exchange of information, promotion of women independence and more activities of the community are seen as the
results. Especially for launching an NPO, participation in an event and participation in the managerial development enterprise
were effective as building a relationship with people. These kinds of group activities will encourage individual entrepreneurship,
resulting in more social participation of women.
PURPOSE OF RESEARCH
This paper clarifies effects that were acquired by female farmers who sat on a public course in Japan, and the
significance of the public course. This paper identifies the goals they had and the efforts taken after participating in
the course. Moreover, this paper attempts to clarify the influence and effect of the lecture. It examines what kind
of new network was created as the effect. It also examines new activities and relationships that emerged, and how
it encouraged individual entrepreneurial activities. The author has reported how female farmers were empowered
with the aim of economical independence, or how the agricultural practice would be carried out from the
viewpoint of a female farmer's career formation at IRSA Congress. This paper analyzes how public support
improves women’s activities, and how they develop, with a focus on group activities. The author is especially
interested on how female farmers can make full use of their ability, and the importance of the work-life balance
where female farmers can enjoy their work and life on their own free will. The paper theme is approached from
this viewpoint.
Characteristics of This Report and Positioning of the Previous Works
The respondents are active women who took the female farmer assistance course conducted by the local authority
(government). The characteristics are women who have a dream in agriculture, want to obtain economic
independence by carrying out agriculture actively by themselves, want to participate in the local activities and want
to acquire agricultural technology. In this report, the author clarifies the effect of course participation and its
significance. This study is related to women empowerment, and in parallel, it may serve as a reference for women
related agricultural policy of future Japan.
Nature of Data
This report has three kinds of data. First, the author analyzed the progress of NPO started by the participants and
the progress of management by women and development of entrepreneurial activities support. The respondents
for this study were 139 students who attended a course for women engaged in agriculture. This government-
backed course has been conducted for the past eight years from 2002 to 2009. Second, the author performed a
mail survey asking about the effect, agriculture-related work and the life condition of all participants after taking
the lecture. As a result, 73 participants answered and the data was analyzed. Third, the author interviewed the
participants by focusing on the local activities and network. Moreover, the author conducted analysis on data
relevant to local activities and network.

Michi Tsutsumi and Masae Tsutsumi
THE GENERAL CHARACTERISTICS OF RESPONDENTS
Respondents of this research are female farmers who participated in training courses on entrepreneurship. Some
of them wanted to do something new and some of them wanted to do something, but could not realize it. This
paper analyzes the actual condition of participants of the course, which were held to support female farmers in
realizing their dreams and help them make a good business plan. According to their age groups and agricultural
products (see Figure 1 and 2), the respondents were aged 20s (4 persons), 30s (17 persons), 40s (24 persons), 50s
(59 persons), and 60s (26 persons), and 70s (4 persons). The number of respondents who were engaged in the
production of fruit was 66 persons, paddy-field rice and fruit 18 persons, a combination of crops 17 persons,
vegetables 13 persons, and fruits and vegetables 7 persons.
Fig. 1 Age of Respondents Fig. 2 Crops
2
4 Fruit
7
17 17
20's Vegetable
26 30's 3 7 Fruit & vegetable

3
40's Paddy-field rice & vegetable
1
24 66
50's Facility of fruit
60's 18 Facility of flower
70's Vegetable and flower
U/N Paddy-field rice & fruit
11
59 13 Others (combination)
Fig. 3 Goals Fig. 4 The Way of Approach

50
43 70
45 64
40
35 60
29 28
30 26
25 50 48
20 17
14
15 40
8 7
10
5
30
0
19 19
20
9
10
4
1
0
Connection Advancement Revitalization Economic Improvement Safety and Others
between of regional effect of agricultural security of
people activities technology food
ANALYSIS ON THE ACTUAL EMPOWERMENT OF FEMALE FARMERS
An Analysis on the Base of Age Groups
This section analyzes the kind of goals, motivations and desired effects the participants had according to their age
groups. Because almost half of the respondents were engaged in the production of fruits, they were distributed to
all the age groups, whereas those aged 50s and 60s were engaged in the flower, paddy-field rice and vegetable
farming. Regarding to their goals, many respondents wanted to work in processing and direct marketing; the young
respondents wanted to engage in restaurant management, organic farming and so forth; the 50s and 60s age
groups wanted to set up direct marketing and internet sales of processed goods. Regarding their motivations and
desired effects, any age groups wanted to improve management practices, economic effects of their businesses,
social interaction, information exchanges, and community activities. However, in accordance to their age groups、
young age groups had motivations and desired to bring some effects related to local revitalization and social
relations, whereas the elder age groups had worked with processing techniques and management, food safety, and
so forth. Below are general characteristics of the respondents compiled from their reports:

Group of 20s: Their parents cultivate vegetables and fruits. They grow vegetables themselves and practice personal
selling. They want and have a goal to run a restaurant or unique store. Having participated in the course, they
learnt about making peculiar products of their own. Currently, while continuing to make pesticide-free organic
agricultural products, they want to widen their processing sales and marketing channels.
Group of 30s: Female farmers in this age groups engaged in the production of fruits, vegetables, paddy-field rice,
and some are new farmers. Having participated in the course, they became more interested in agriculture than
before. They think that they can do both agriculture and paper works. They become interested in having original
and private brand. They want to brand their business activities, from production to selling stages, with one brand
and manage their business as a corporation. They set a goal of producing and selling value-added sweets or cakes
that use fruits they produce themselves.
Group of 40s: Many of female farmers in this age group are engaged in fruit farming, and have a goal of selling
processed products. Because trees often have misshapen fruits, they want to process those misshapen fruits,
produce value-added products and have additional income. Besides, they want to feed their children with safe food
while raising them. Since new farmers who moved from urban areas planned to open a cherry tourist farm, they
were encouraged to take a training course so that they can make new connections during this course. Together
with their fellows, they want to sell and have stable shipments of agricultural products throughout a year. They aim
at an efficient farm management and have a farm that people can enjoy during their leisure time.
Group of 50s: As this age group has the largest number of participants, many of them cultivate fruits, vegetables
and paddy-field rice. Many of them sell processed products made from their current harvest and want to
strengthen management further and raise earning by running online sales. They have various goals, i.e. engaging in
organic farming, managing farm with owner system, deepening relations between urban and rural areas,
embracing a production method existed in the era of dietary education and production for local consumption, and
conveying these to urban and rural people and young generation. They also want to tell children about how to
make delicious rice from now on. In practice, there are cases that after participating in the course, some female
farmers created a website to inform about their products and raise their earnings; and after making a site visit, set
up a corporation and increased their sales raising earnings, exhibited their products individually in some
department stores in cities to improve retail sales; in other cases, some female farmers cultivated vegetable by
using natural farming method and used the vegetable for their rural café.
Group of 60s: Female farmers in this group are engaged in fruit, vegetable and paddy-field rice farming. After
listening to the ideas of young course participants, they aimed at agriculture as if they would sustain their farm
despite their age. They aimed at earning income necessary for maintaining a healthy and prosperous life. Having
conducted direct marketing, some of them also want run a restaurant or tourist farm, sell processed products, ship
agricultural products throughout a year, and help building reciprocal relations between urban and rural areas.
There are also participants who want to increase the number of morning market held at the hot spring area that
has been initiated recently, expand its scale, and expand their direct marketing to tourist areas.
Group of 70s: cultivating vegetables, some of female farmers in this group who involved in the direct marketing of
processed products like they who participate in the group activities till now, want to maintain the current situation
and enjoy their agricultural work. Having interaction with young generation, they are inspired by their working
spirit. After visiting a bread-producing workshop during a local training course, they want to sell processed
products and produce bread using local powder and red beans.
AN ANALYSIS ON THE BASE OF AGRICULTURAL PRODUCTS
Case description
This section examines the kind of goals, motivations and desired effects the participants had according to their
agricultural products. As there are many who are engaged in fruit farming, many of them wanted to process their
fruits and sell the processed products. Being a part of group, having interaction and making social connection has
led to a life of worth living. Moreover, to increase their income, they want to start online sales or run a restaurant.
Regarding their motivations, positive economic effect is most desire effect, followed by making social interaction,

invigorating community activities, and improving regional agriculture and agricultural techniques. Although they
are not aware of local revitalization and the promotion of sixth industrialization of agriculture, they understand
about information exchange and economic effects. Below are the general characteristics of the respondents
compiled from their reports:
Fruit cultivation: Since a lot of losses occur in fruit cultivation, female farmers were interested in processing and
eliminating waste by adding value to the product loss. In terms of sales method, there is a case in which a female
farmer conducts online sales and delivery in person, a form of direct marketing. Another one is a female farmer
who wanted to step into processing while continuing direct marketing activities. Other cases include: a female
farmer who wanted to produce better; a female farmer who wanted to learn marketing from production to sales
by keeping the possibility of incorporation; a female farmer who wanted to make a network; a female farmer who
wanted to obtain revenue throughout a year since the busy farming season in fruit cultivation is short, the time of
shipment is short and the off-season is long; and a female farmer who wanted to provide pleasant meal to elderly
people living alone by making lunch boxes to them.
Vegetable cultivation: A female farmer who grows vegetables is interested in processing, direct marketing, organic
farming and chemical-free vegetables. She wanted to provide safe and secure agricultural produce to the
consumers. At the second class under the theme “Developing Products with Special Features,” there are
tendencies of those who wanted to grow agricultural products with special features. There is another case in which
a female farmer is interested in local production for local consumption, and wants to expand the scale of
vegetables cultivation. From the local training, there are some female farmers who wanted to do processing and
restaurant by small groups; some wanted to provide experience learning; a female farmer wanted to sell bokashi, a
type of fertilizer, because she makes bokashi while growing vegetables and wanted people to know about bokashi;
and there is a female farmer who wanted to sell products by using her lawn or field along the road. In addition, a
female farmer who saw an elderly working with enthusiasm in the training wanted to establish a salon for the
elderly with a wish that they will always be healthy. These proved the effects of training course participation.
Vegetable and fruit cultivation: There are a lot of female farmers growing fruit and vegetables who wanted to sell
directly the loss that occurs. Some are already selling processed goods at produce stands. Some are making efforts
to create something the consumers want, and some wanted the consumers to get familiar with agriculture through
experience learning. A female farmer was interested in local production for local consumption and making safe and
secure agricultural products. An example of a female farmer who aimed at recycle-based agriculture that is
environmental friendly learned the best season to sell and reasonable price to sell, according to the agricultural
products. There is another case where a female farmer learned the importance of making products with special
features. She wanted to sell high quality peach with high sugar content by creating a brand. This is a form of selling
with added value by improving the product quality. However, we also found that after conducting direct marketing
for some time, some farmers knew that consumers also asked for non-standard products, so they are reviewing
sales to meet the diverse consumers’ needs, such as non-standard products sales.
Rice and vegetables: A female farmer is engaged in farming while operating her own inn. Because the region’s
population is aging, she wants to make processed products using specialty products. Her goal is to increase the
number of place where she can sell onigiri (rice balls) using Mukawa rice, a specialty product of her region.
Flower cultivation: A case of female farmer who was confused because there are no other farmers who grow
flowers. A lot of them grow vegetables and fruits, so their direction is slightly different than hers. In the end, she
found the goal of doing direct marketing with her fellow farmers.
Vegetable and flower seedlings: A female farmer wants to open a restaurant or do direct marketing which will
attract tourists, since the place where she lives lies between two tourist destinations.
New farmers: Two new farmers are young generation in their 30s and 40s. They attended the course and became
interested in agriculture than ever. They wanted to grow good quality produce.

Table 1 Age and Crops

Paddy-field
Fruit & Facility of Vegetable Paddy-field Others
Age/Crops Fruit Vegetable rice & Facility of fruit Total
vegetable flower and flower rice & fruit (combination)
vegetable
20's 2 1 1 0 0 0 0 0 0 4
50.0% 25.0% 25.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 100.0%
3.1% 7.7% 9.1% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 2.9%
30's 8 1 1 4 0 0 0 0 3 17
47.1% 5.9% 5.9% 23.5% 0.0% 0.0% 0.0% 0.0% 17.6% 100.0%
12.3% 7.7% 9.1% 22.2% 0.0% 0.0% 0.0% 0.0% 18.8% 12.4%
40's 13 3 2 2 0 2 0 0 2 24
54.2% 12.5% 8.3% 8.3% 0.0% 8.3% 0.0% 0.0% 8.3% 100.0%
20.0% 23.1% 18.2% 11.1% 0.0% 66.7% 0.0% 0.0% 12.5% 17.5%
50's 31 3 6 6 1 1 2 4 5 59
52.5% 5.1% 10.2% 10.2% 1.7% 1.7% 3.4% 6.8% 8.5% 100.0%
47.7% 23.1% 54.5% 33.3% 100.0% 33.3% 66.7% 57.1% 31.3% 43.1%
60's 9 5 1 6 0 0 0 1 4 26
34.6% 19.2% 3.8% 23.1% 0.0% 0.0% 0.0% 3.8% 15.4% 100.0%
13.8% 38.5% 9.1% 33.3% 0.0% 0.0% 0.0% 14.3% 25.0% 19.0%
70's 2 0 0 0 0 0 1 2 2 7
28.6% 0.0% 0.0% 0.0% 0.0% 0.0% 14.3% 28.6% 28.6% 100.0%
3.1% 0.0% 0.0% 0.0% 0.0% 0.0% 33.3% 28.6% 12.5% 5.1%
Total 65 13 11 18 1 3 3 7 16 137
47.4% 9.5% 8.0% 13.1% 0.7% 2.2% 2.2% 5.1% 11.7% 100.0%
M. Tsutsumi, 100.0%
2013 IRSA Congress
100.0% Financial
100.0% Independence
100.0% Support and Career
100.0% Formulation
100.0% of Japanese100.0%
100.0% Female Farmers
100.0% 100.0%
GOAL ANALYSIS
Case Commentary
We reviewed the effect of efforts based on the goal below In terms of purpose, some female farmers stated
favorable influence on the economy, acquisition of managerial approach and interaction as well as social
connection. In the cases of those who aimed at direct marketing, effects on economy and managerial approach
were seen, and some were able to make social connection. In the cases of those who aimed at online sales and
processing, some increases in revenues were seen, new social connections were made and now they could
exchange information with other people they didn’t know. In the cases of those who wanted to learn managerial
approach, they were aware about the increase on management effects. In a similar fashion, those who aimed at
making social connection were also aware of the effects. In addition, in terms of restaurants, the management
effects, social connection and interaction were also increased. Below is the outline of the characteristics, based on
the report.
Direct Marketing: A lot of female farmers who want to do direct marketing grow fruits and vegetables. She is
already stepped into direct marketing business and wants to sell non-standard produce that cannot be delivered to
Nokyo (agricultural cooperative) through a produce stand. She wants to sell her produce directly where the farmer
and consumer can see each other. She wants to sell her produce with confidence. She also made efforts to enlarge
the scale of morning market performed by her group.
Expansion of Sales Method: Some female farmers want to sell their agricultural products by developing new
channels by their own, such as online sales and direct marketing, and do not rely merely on Nokyo (agricultural
cooperative). There is a case where a female farmer already started selling online, and another farmer is currently
under negotiation with a department store in Tokyo.
Processing and Sales (Produce Stand, Restaurant, Online Sales): We found a case where a female farmer want to
make processed products and sell them, using the local agricultural products. Another female farmer wants to
attract younger generation by creating a website to sell and deliver processed products. This suggests that she is
being creative with processing and sales method. Since non-standard products and loss in agricultural products
may increase, she wants to process the produce and give added value. By establishing a produce stand, restaurant
or online sales, she wants to increase her income. Besides processed products, she also wants to introduce a hands
-on garden. Along with other farmers, she is already make and sell sweets with her group, and she wants to
increase the sales channels. This proves that group activities in processing and sales promote the community
revitalization and local production for local consumption.
Managerial Approach: There is a case where a female farmer learned farm management basics for her farming in
the future. Another case is a female who got involved in the management and market expansion, thus led to the
sales growth. There are some female farmers who created a network of course participants, and developed ways
to expand the market and methods to utilize irregular products. A female farmer wants to apply a face-to-face
sales method in a consistent way from production, processing and sales. Another one wants to increase her sales
by learning managerial approach. A lot of those who are involved in fruit garden want to operate a business. A
female farmer has a dream of operating a hands-on garden, as well as processed goods production and sales with
her family. She wants to make a place where people can interact and communicate. Another female farmer wants to
open a farm café selling homegrown vegetables and fruits that are grown using natural farming methods. She is
also considering incorporating her business.
Friendship and Interaction: There is one case in which a female farmer opened a produce stand and offers
harvesting and cultivation experience. She set up the place in that urban people and younger generation can
interact with agriculture lightheartedly so they will be interested in agriculture. She also wants to communicate
with foreigners involved in agriculture. The farmer wants to learn the concept of agriculture in foreign countries
and makes use of it in the management. Many female farmers are strongly motivated to increase their sales by
looking at those who work hard and operate their own business.
Organic Farming and Cultivation Method: A lot of female farmers growing fruits and vegetable want to introduce
organic farming. Many of them learned that starting agriculture-based business is very hard. Thus, growing safe
and secure agricultural products became the priority. A female farmer who stepped into organic farming is aiming
at expanding her farm scale, increasing the types of vegetables in her farm and market expansion. Her intention is
to grow safe and secure produce first.
Restaurant Management: Many middle-aged female farmers wanted to own a restaurant, and so did some
younger generation. A case of a female farmer who aims at becoming a restaurant owner shows that she worked
out a plan while studying about the qualifications and equipment necessary for restaurant business. She wanted to
generate additional value by creating jam or miso paste from the produce she grew by herself.
Another case is a female farmer in her 20s who adheres to organic farming and natural farming. She wanted to
open an agriculture café with the aim of attracting young people to agriculture. After that, she and her mother
opened a farmer restaurant—an example of staying in track. One more case is a female farmer who is considering
altering a tourism farm to an integrated restaurant where the customers can dine in and relax. Another one is
starting a restaurant while aiming at doing agricultural products processing, direct marketing and online sales.
The above description revealed that female farmers who wanted to step into agricultural products processing,
direct marketing or online sales participated in the seminar and are actually taking steps to practice processing
method, sales method and broaden the market. Furthermore, we can confirm that the seminar led to
improvement in management and revenues, exchange of information and the broadening circle of acquaintances.
NETWORK EXPANSIONS AND LOCAL REVITALIZATION
Let’s review two cases in which the female participant’s activities developed into group activities.
From Powerful Woman Seminar to Kirahoshi Net NPO Activities, Then Female Entrepreneur Development
Assistance Project
Kirahoshi Net NPO was established in March 2007 by those who completed Power Up Seminar and Powerful
Woman School, which were conducted as rural leadership training, entrepreneurial assistance for women involved
in agriculture and assistance for local revitalization activities. Currently there are 38 members. They did not end up
participating in the seminar. Instead, these kinds of activities can be conducted not only in the community level,
but also in the prefectural level and national level. In this regard, Kirahoshi Net serves as a place for female farmers
to do various activities and to develop human relationship.

Michi Tsutsumi and MAsae Tsutsumi
Table 2. Crops and Goal

Local Organi Others
Direct Online Processi Managerial Social
Crops * Goal production c (café/rest Total
marketing sales ng approach connection
for local produc aurant)
Fruit 66 16 18 22 10 2 9 4 6 87
24.2% 27.3% 33.3% 15.2% 3.0% 13.6% 6.1% 9.1%
Vegetable 13 0 3 5 1 0 2 2 3 16
0.0% 23.1% 38.5% 7.7% 0.0% 15.4% 15.4% 23.1%
Fruit & vegetable 11 4 1 1 5 1 2 0 1 15
36.4% 9.1% 9.1% 45.5% 9.1% 18.2% 0.0% 9.1%
Paddy-field rice
18 5 2 7 4 2 1 0 1 22
& vegetable
27.8% 11.1% 38.9% 22.2% 11.1% 5.6% 0.0% 5.6%
Facility of fruit 1 0 0 0 1 0 0 0 0 1
0.0% 0.0% 0.0% 100.0% 0.0% 0.0% 0.0% 0.0%
Facility of flower 3 2 0 0 1 0 0 0 0 3
66.7% 0.0% 0.0% 33.3% 0.0% 0.0% 0.0% 0.0%
Sawano (2012), Hara (2009), Ichida (1995)
Vegetable and flower 3 1 0 1 0 0 1 0 0 3
33.3% 0.0% 33.3% 0.0% 0.0% 33.3% 0.0% 0.0%
Paddy-field rice
7 0 1 2 2 2 1 0 0 8
& fruit
The purpose is to enjoy
0.0% 14.3% 28.6% 28.6% 28.6% 14.3% 0.0% 0.0%
and work hard on
Others (combination)17 1 1 5 4 1 1 1 3 17
agriculture, 5.9% 5.9% 29.4% 23.5% 5.9% 5.9% 5.9% 17.6%
to expand
the farmer’s Total 136 27 26 43 27 8 17 7 14 169 network in
Yamanashi Prefecture,
to improve the quality of members and friendship among members. Their business activities are 1) sharing
knowledge of agricultural production, agricultural management and farm circumstances, 2) conducting workshops,
lectures and presentation forums, 3) participating in various events, 4) improving quality of members and
information exchange among its members; and 5) other things related to Kirahoshi Net improvement. Every year, it
carries out training sessions; observes sales, processing and business related to agricultural production; and
participates in agricultural festivals. In agricultural festivals, they sell their own produce and deepen exchanges
while exchanging views, which led to the increasing economical impact. There are one chairperson, a few vice
chairpersons, a few administration officers (secretary, accountant and office clerk) and two auditors.
In 2012, Kirahoshi Net was adopted as Ministry of Agriculture, Forestry and Fisheries’ Female Entrepreneur
Development Assistance Project. Trainings were conducted for every four blocks in Yamanashi Prefecture. Brilliant
Female Farmers Networking Event was conducted to report the training results. The network has developed into
something steady. We can see the significance of Kirahoshi Net, i.e. its members can enjoy agricultural activities as
well as rural activities, which are known to have probabilities of becoming solitary activities. Through assistance of
new business, exchange of information and providing a place where farmers can gather and talk to each other, the
potential of female entrepreneurs will be greatly expanded. In fact, interactions with other types of job are also
promoted by accepting non-farmer members. Kirahoshi Net, which was founded by women who participated in a
government-sponsored seminar to support female farmers based on their own will, celebrates its eighth year in
2014. Since the government supports the seminar participants’ network, how it will carry out activities
independently remains the task that lies ahead.
From Better Living Activities to Community Entrepreneurial Activities: Hotarumikan’s Activities

Hotarumikan is a case of up scaling a group’s activities from a better living group to community entrepreneurial
activities. Mrs. H.I., the leader of Hotarumikan, participated in the seminar and took trainings on processing, sales
and training on how to become an entrepreneur. She used her ideas in the group’s community activities. This
paper will introduce a brief history and activities of Hotarumikan in the following. Hotarumikan is an activity
center for female farmers and women who do regional activities. Mrs. H.I. has been participating in a regional
women’s group (fujinkai), better living group, interaction opportunities for female farmers and activities related to
the promotion of agriculture since she was young. There are various female groups in the region, depending on the
purpose. Mrs. H.I. mainly participated in better living group, which was established with the purpose of better
living in the region, such as housing improvement, communal kitchen in the busy farming season and village
environmental check.
Lifestyle Study Group Organization was started for a better living. Change in lifestyle and change of times along
with modernization of farming villages and urbanization altered the initial purpose to living improvement,
advancement of women, improvement of agricultural technology and the place of exchanges and interaction.
Nowadays, the organization plays significant roles in processing and sales of agricultural products. A member who
assumes a leadership role participated in Power Up Seminar, and has since stepped into processing and sales of
agricultural products, as well as starting a business. In that sense, a participant of the public seminar played a role
as a leader in community activities, became more competitive and accordingly, her efforts are acclaimed.
There are various paths in which better living groups made Hotarumikan as the base for their activities.
Hotarumikan plays a role as a center for community activities. Hotarumikan, the facility for revitalization of Ayame
No Sato, was completed in 1999 and has started its activities since. It was changed to Minami Alps City Ayame No
Sato Specialty Products Processing Union after the merger. In 2004, Minami Alps Specialty Products Joint
Enterprise Cooperative Hotarumikan was established with 137 members. Soon after its establishment, it got
approval from Yamanashi Prefecture and began its operations as a joint enterprise cooperative.
Its main activities are 1) conducting sales of vegetables and processed goods and holding flea market once every
month in Machi No Eki Kushigata; 2) conducting sales agricultural products and processed goods, such as pickles
and jam in the morning market; 3) offering courses to make jam, miso paste, tofu and hoto (a popular dish of
Yamanashi) targeting elementary school and high school students; 4) Firefly Watching (June), Harvest Festival
(November) and Doll Festival (March), which are events that serve as a place of interaction among people.
Currently, there are 170 members with the money invested 10,000 yen per member. With lobbying from
Yamanashi Prefecture Government, it is incorporated as a joint enterprise cooperative. It has developed from a
processing union into a joint enterprise cooperative and the name was changed into Minami Alps Specialty
Products Joint Enterprise Cooperative Hotarumikan. Since it became a joint enterprise cooperative, an accountant
is in charge of the accounting.
Hotarumikan generates 8 million yen sales a year. The amount is distributed to its members in a tangible form. By
building self-confidence among its members, it is crucially important as a means for self-actualization. Since
individuals (instead of households) can join, women that usually had no responsibility and voice as an individual
now can exercise their rights and thus, Hotarumikan promotes the empowerment of women.
In that sense, we could argue that Hotarumikan have a lot of functions, such as advancement of women,
community activities, economic effects, processing technology acquisition, citizen’s satisfaction, and safety and
security of food. However, the future activities, operations and inheritance remain to be solved.
CONSIDERATION
The result of analysis is summarized as follows. Although there is a general tendency of older participants, there
are few young generations. There are many participants in their 50s or 60s. Young generation is engaged in child
rearing. Only a few are actual farmers. Since their parents are doing agriculture, young female farmers are helping
and learning in preparation for the future. Young generation is interested in the sixth industrialization, which is
recommended by the government. They manage a restaurant and desired to serve their own agricultural products.
Middle-aged generation tends to want to study online sales. They aimed at obtaining economical profits through
production, processing, direct marketing and online sales. They would like to be engaged in agriculture, exchange

information and enjoy themselves.
As for the feature according to crops, the purposes are different by the item. However, the tendency for female
farmers to wish for economical effects was common. Since there are many fruit growers among respondents, there
are many examples aiming at processing and direct marketing. They already manufactured in a group, contributed
to regional vitalization with their friends and that has become their motivation in life. Participating in the seminar
resulted in further improvement of the existing female farmer's group activities, like Hotarumikan. From the on-site
visit, the effect where they renewed their group activities was observed. They also tried various measures, not only
processing the loss occurs from their produce, but also reducing the loss by selling directly and exchanging
information.
In the analysis according to goal, the female farmers studied economical effect and managerial approach, similar to
the analysis according to crops. First, they have a goal of establishing online sales and direct marketing. Then, the
information widened, which led to market expansion. They pointed out a good advantage of establishing
connections with unfamiliar people. There is no change in farmers being deeply concerned with nature. However,
nowadays, in the era of information society, the female farmers expanded their market, increased profits and
experienced the joy of face-to-face interaction.
The author observed that all respondents acknowledged the meaning of participating in the seminar. They said that
they are useful to study the ways of action by oneself more than ever, in terms of aiming at becoming independent
economically. By seeing the example of a woman entrepreneur who actually engaged in agriculture like them,
many people got the motivation that they should do something. It became a mental support. Moreover, they who
used to go only to the house and the field back and forth, after attending the course they could know other women
with the same problem as themselves. Their view expanded by having the opportunity of information exchange.
Next, the author sees the subsequent activities and approaches. Female farmers studied how to obtain permission
required for restaurant. Some of them acquired qualification or permission and worked aggressively toward the
realization of their dream. From the activities of Kirahoshi Net, we found a great significance, not only the
economic effect, but also the effect of social participation, information exchange, and social connections.
As mentioned above, the government-backed seminar gave economic strength to the female activities in the area.
It was verified that social connections became the source of their power. However, the future of female farmers’
local activities and individual farm management remain to be solved. At least, they were able to do information
exchange through the lecture. It can be said that farm management in the viewpoint of the woman who can
respond flexibly to changes in society has began.
REFERENCES
Akitsu, Motoki 2007 pp111-143 Nouson Gender chp.4 Chikihe no Aichaku Chikikarano Sogai - Nousonjoseikigyou ni
Hatarakujoseitachi- Shouwadou
Cabinet Office, Government of Japan, 2013 Shoshika Hakusho Tokyo: Saeki Insatsu.
Cabinet Office, Government of Japan, 2013 Kokuminn Hakusho Tokyo: Jijigahosha
Cabinet Office, Government of Japan, 2014 Seikatsu no Chowa Suishinshitsu http://wwwa.cao.go.jp/wlb/ ( March,
2014)
Hara, Juri 2009, Noson Josei no Personal Network Tokyo NorinTokei
NHK, 2006, Year 2005 Kokumin Seikatsu Jikan Chosa Hokokusho Tokyo: Japan Broadcasting Corporation
Ichida, Tomoko 1995 PP1-63, Sikatukaizenfukyujigyou no Rinan to Tenkai Nougyousougoukennkyuu 49 (2) Ministry
of Agriculture, Forestry and Fisheries Agriculture Resarch Institute
Japan Agricultural Development and Extension Association, 2008, Shusan /Ikujiki Noka Fufu no Seikatsu -Hokokusho
- Press by Japan Agricultural Development and Extension Association

Japan Agricultural Development and Extension Association, 2008, Shusan /Ikujiki Noka Fufu no Seikatsu –Case
Study- Press by Japan Agricultural Development and Extension Association
Katayama, Chie, 2004, “Nougyousha no Shussan Zengo no Hatarakikata Yasumikata-France no Seido no Jissai to
Nihon no Jirei kara-,” Kosodate shiyasui Kankyo tsukuri ya Chiikikan no Tayo na Koryu Katsudou nado wo
Tsujita Chiikitsukuri, 1-40
Katayama, Chie, 2005, “Shussan Zengo no Nogyousha heno Shien-France-Japanese shussan Kyuka wo Chushinni-,”
Kosodate shiyasui Kankyo tsukuri ya Chiikikan no Tayo na Koryu Katsudou nado wo Tsujita Chiikitsukuri, 1-
50
Katayama, Chie, 2006, “Ikujiki ni Aru Joseinougyousha Heno Shien,” Kosodate shiyasui Kankyo tsukuri ya Chiikikan
no Tayo na Koryu Katsudou nado wo Tsujita Chiikitsukuri, 31-71
Mitsuoka, Koji, 1983, Nihon Noka no Josei Mondai Tokyo: Jichousha
Oshima, Masako 1992, “Kaigainiokeru Joseinougyousha no Tachiba” Nouson Josei Mondai Kenkyukai. ed., Mura
wo Ugokasu Joseitachi, Tokyo: Ie no Hikari Kyokai, 203-228.
Rural Life Research Institute ed., 2004, “The Support for Women’s Work and Maternity leave in Agriculture” Rural
Life Research Series, 60.
Rural Women Empowerment and Life Improvement Association ed., 2007, “Noka Josei no Hatarakikata no Henka
to Sono Youin" Shusan Ikujiki josei nougyousha katsudou shien jigyou houkokusho, Tokyo: Nissho Insatsu.
Sawano, Kuni Tsukuba shobo, 2012, March Shakaiteki Kigyo wo Mezasu Joseitachi - Chiki no Ninaite toshiteno
NousonJosei Kigyo
Tsutsumi, Masae Sadao Tokuno and Tsutomu Yamammoto (eds) (2008) Chihou karano Shakaigaku Tokyo:
Gakubunsha
Tsutsumi, Masae (ed), (2010), “A Turning point of Women, Families and Agriculture in Rural Japan” Tokyo;
Gakubunsha
Web
Minami Arupusu Tokusannhinn Kigyoukumiai HOTARUMIKAN

http://www.hotarumikan.com/
Yamanashi Chokusou Knoyubitomare Tokimeki Net Yamanashi KIRAHOSHI NET

http://tokimekinet04.blog7.fc2.com/blog-category-10.html
Ymanashi Nuenn Cafe/Restrant hakari

http://hakari.o-kita.net/

RURAL TO RURAL MIGRATION: THE MIGRATORY PROCESS OF FILIPINO WORKERS FOR
SEASONAL LABOR IN THE JAPANESE AGRICULTURAL SECTOR
Yuya Iida
Kyoto University
iida.yuya.88w@st.kyoto-u.ac.jp
ABSTRACT
Since the 1990’s the number of foreign workers from China and Southeast Asian countries has been increasing rapidly in rural
Japan. They enter Japan on a “technical intern trainee” visa, and work under temporary contracts. They are mostly employed in
marginalized industries, such as apparel manufacturing, food processing, and agriculture. Japanese government policies have
treated this group not as laborers but as foreign trainees for international contribution. Therefore much attention in the public
has been given to double standards applied and concomitant labor disputes. Nonetheless, little research has been conducted to
approach these ambiguities. This paper discusses the social and working conditions of Filipino migrant workers in the Japanese
agricultural sector. Based on participatory observation and interviews with Filipino laborers, the labor migration process that
connects rural Japan and rural parts of the Philippines is given insight to. The observation took place in Nobeyama district,
which lies in the lettuce producing area of Nagano prefecture. Nobeyama district has 74 farm households of which more than
60% employs two or three Filipino men. On a normal farming population of 356 persons there are during the summers busy
farming season 100 Filipino men additionally involved. What became clear are the following points. The attracted workers are
from rural areas across the Philippines and are relatively well educated. And they provide the main income away from home
while their families are active in agriculture. The circumstances under which they left the Philippines make them accept harsh
working conditions. To get through their half year in Japan they forge temporary but close communities for mutual assistance
based on the region of their origin. These by workers highly valued communities are however also used as an instrument in the
management of the laborers, which is focused to keep them reliable and hard working. Finally by giving insight into this
migration flow this paper tries to present a fresh perspective of globalizing rural societies in Asia on this migration flow.
INTRODUCTION
Globalization in rural parts of Asia has not stopped with the cross border movement of products and capital. A
striking component of globalization on the Japanese countryside has been a steep increase in the number of
foreign workers in the agricultural sector. This new generation of migrants from China and other Asian countries
enter Japan on a "technical intern trainee" visa1 for technical expertise and are part of new migration flow between
rural parts of Asian countries. This paper sheds light on the characteristics of the migratory process towards the
Japanese countryside with a case study on Filipino laborers.
There has been a lot of research into labor migration in agriculture taking place in the West. The flow from Eastern
to Western Europe and the flow from South and Central America towards North America are well known.
Agricultural migration has a long history worldwide. Agriculture often offers the first job opportunities to migrants
who use it as a doorstep towards work with better conditions. This has thus lead to an abundance of literature on
how the position of migrants has lead to the creation of a dual labor market (e.g. Rye and Andrzejewska, 2010;
Andrzejewska and Rye, 2012), and on the structural coercion limiting the freedom of choice of migrant workers
(Benson, 2008).
In contrast the migrant research that has been conducted in Japan focuses on migratory labor as an urban problem
(e.g. Onai and Sakai, 2001; Onai, 2009; Tanno, 2007). This has resulted in research and field studies being chiefly
focused on the car and other industries in cities. Here, as will be further discussed in chapter two, Brazilians and
other foreigners with Japanese origins have gathered and worked since the 1990’s. Migration towards the
countryside however has received little attention. Looking at the flow of migrants from the Philippines towards
Japan there has been research on the life of Filipino women coming to Japan as entertainers and as spouses of
Japanese men (Takahata 2011), however there have been no studies the past years on laborers from the
Philippines.
With the increase of migrants active in the agricultural sector from the past years there has been a statistical
account of the adoption in large scaled agricultural businesses in Ibaraki and Hokkaido prefecture (Sato 2012).
Yuya Iida
There has been ground breaking research on farms with migrant laborers from a management perspective (Hasemi
and Ando 2004, Ando 2011), there have, however, been no studies conducted from the perspective of the laborers
themselves. This paper focuses on the laborers themselves and tries to answer questions about their social and
working conditions in Japan, what the background of the laborers and their motives are. This research is based on
interviews with those involved and participatory observation taking place from 2011 till present (2014). The goal of
the paper is to illustrate the actual life of migrants and the link with Japans unique legal approach towards
migration. And finally look at the workers from the perspective of globalizing rural societies in Asia.
MIGRANT FARM WORKERS UNDER JAPANESE IMMIGRATION POLICY
Fundamental to the Japanese immigration policies over the years has been to not to officially license the arrival of
unskilled laborers. When Japan in the 1980's was confronted with a labor shortage, after a long period of economic
growth and a heavy decline in labor supply from rural areas, it did not let in unskilled laborers by the front-door but
by a back-door. Undocumented workers from South East Asia, Iran and other nations filled the labor shortage (e.g.
Herbert 1996). Thus contrary to what has often been stated the Japanese economic development was not solely
based on Japanese workers. The foreign workers that officially did not exist shouldered a base part of the Japanese
economy but had a vulnerable legal position (Herbert 1996, pp.27-33).
In 1990 the amendment of the Immigration Control Act 2 brought change but no solution to the double standards
faced by foreign workers. The government kept to its policy to not recognize the immigration of unskilled laborers.
To address regional labor shortages a side-door was opened with the construction of two new residency statuses
(Akashi 2010). Labor migrants were awarded documents but did not get recognition as laborers.
The first side-door was for nikkeijin or foreigners with Japanese ancestry (Akashi 2010, pp.115-118). Persons of
Japanese ancestry were allowed visas without working restrictions. This spurred a remigration flow from Southern
American countries such as Brazil to local industry towns in Japan. In these towns they have formed their own
communities and their social integration in education work and other fields has become a matter of concern. (Onai,
2009).
The second side-door to the Japanese labor market was created for an inflow of persons from Asian countries with
the “technical intern trainee” visa (Akashi 2010, pp.106-114). Under the pretext of transferring skills and
techniques from Japan to developing countries the visa facilitates rotational labor. 3 The Filipino workers addressed
in this paper make use of this visa to get to Japan. It is a fixed term visa with a maximum of three years. The most
striking difference with the nikkeijin is the speed at which they enter and exit the country and thus have not been
able to create their own communities. Trainees are not eligible for re-entry and it is not possible to change their
occupation or place or of work on their visa. Unlike nikkeijin they cannot bring their families with them. As a result
the trainees do not form typical immigrant neighborhoods in cities with a large demand for foreign workers. The
migrant workers sign a contract before entry and are housed in company lodgings near their workplace, which
makes them largely invisible to society.
During the 1990`s the maximum length of stay for trainees in the agricultural sector was limited to one year, in
2000 this was extended to three years. As a result there has been a remarkable increase in the number of workers
from 2000. For example, while in 1995 the total number of immigrants that entered on a trainee visa was 40,591
and only 1.8% of them were engaged in agriculture, in 2007 the total number rose to 102,018 and more than 13%
was active in the agricultural sector (JITCO 1997, JITCO 2008).
As stated earlier the trainee visa was introduced under the pretext of international contribution and the trainees
are officially not regarded to be laborers. Therefore basic labor rights did not apply and many trainees had to work
long hours for an allowance often below the minimum wage. Many labor disputes arose causing public concern.
This was the root for the 2010 amendment to the immigration law making basic labor rights apply to trainees.
Despite the amendment fundamental discrepancies between the foreign trainees and Japanese seasonal laborers
continue to exist because the characteristics of the visa stayed untouched. There is still no freedom to change
occupation and the visa is not renewable. The position of trainees as laborer is really weak because in case of a
labor dispute they are not allowed to look for another position making them “confined workers”.

Yuya Iida
Recent years have seen an increased demand for migrant laborers especially in the agricultural sector. This has
been caused by an intensification of agriculture under exposure of international competition, and a shrinking rural
population. Furthermore labor conditions are uncompetitive; Japan does not have any legal restrictions on working
hours in primary industries, work in the agricultural sector is considered to be 3D (Dirty, Dangerous, Demanding)
and unpopular with Japanese workers. With this increased demand the employment of foreign workers has spread
rapidly and is likely to increase. Just like in the case study presented in the next chapter most of the trainees are
from the rural areas of their home countries. They are absorbed in the Japanese regional labor market that mainly
consists of industries with a comparative disadvantage and poor labor conditions such as agriculture. In this sense
the new labor migration flow of the past years can be characterized as rural to rural migration.
RESEARCH AREA AND METHODOLOGY

With Japans immigration policy in mind this chapter examines a concrete migration process by a case study on
Filipino workers. The fieldwork took place in Nobeyama district of Minami Maki village in Nagano prefecture. It is
located at a height of 1300 metres above sea level that makes it suitable for the production of lettuce and cabbage
during the summer. The area is furthermore characterized by family run businesses that together have a large
share in the national produce of lettuce and cabbage, providing large hamburger chains and the food processing
industry. Despite trends to further mechanize and enlarge the scale of cultivation under international competition,
harvesting is still handwork for which foreign workers are mobilized. At the time of research in 2011 the village had
3600 inhabitants, during the summers busy agricultural season there were an additional 407 foreigners present.
The work used to be mainly done by Chinese workers but in recent years the share of Filipino workers is increased
(Table.1). They are deployed in Nobeyama, a district with74 farm households of which more than 60% employs
two or three Filipino men. On a normal farming population of 356 persons there are during the summers busy
farming season 100 Filipino men additionally involved.
Table.1 Number of foreign residents in research area during the summer on June 30 th, 2001-2011
2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 March, 31th, 2011
for a comparison
Chinese 1 1 2 5 10 193 220 248 284 281 260 45
Filipino 4 5 8 11 13 60 70 83 104 111 116 15
Indonesian - - - - - - 1 1 1 1 14 1
Others - 1 4 5 10 11 14 15 16 19 17 14
Total 5 7 14 21 33 264 305 347 405 412 407 75
Source: Minami-maki Village Office

Numbers are for Nobeyama-district and all the other parts of Minami-maki village.
The main part of the fieldwork has taken place in from July to September 2011 during which time I did
participatory observation while being employed and lodged along with the Filipino men. During this time I got to
know the temporary Filipino community of which 15 persons offered their time for an interview on their life
history, the conditions of their stay in Japan and their plans for the future. During follow up studies interviews with
farmers and agents of employment agencies also took place.
FINDINGS
Labor conditions
The Filipino laborers are employed for about half a year between May and October coinciding with the busiest
period for farming. After coming to Japan they are assigned to a farm where they are placed in prepared lodging
with two or three persons and start their work and daily life. Under supervision of a farmer they get a routine in all
of the handwork involved in vegetable growing, such as the handling of seedlings, weeding, fertilizing and
harvesting. During this time al laborers get the same pay of ¥693 an hour equal to the legal set minimum for

Yuya Iida
Nagano prefecture. The working hours change a lot with the farming season. As an example I will give the working
hours of the two Filipino laborers I was teamed up with (Table.2).
Table.2 Amount of working days and hours during 6months in Japan, 2011
Septem
May* June July August October* Total
ber
Working days
20 27 31 29 27 26 160
(Days/month)
holidays（days/
6 4 0 2 3 4 19
month）
Working Hours
161 235.5 290.5 267.5 215 195 1364.5
(Hours/month)
Arrival at May 5th, departure October 31st
Source: Research notes based on participatory observation.
During May and October when there is no harvesting the working hours and days are limited. The working day
starts at seven in the morning with mulching and bedding and finishes at six in the afternoon. The harvesting and
shipping months are very busy with little breaks. In July and August the working day starts at four in the morning
and lasts till six p.m. From six there is time to prepare food, do laundry and go to sleep at nine.
The main job is to shoulder 20 kilo heavy boxes with vegetables from the field to a tractor with a container that
goes to a collection station. During this period there are only two days off, workers lose about 4~5 kilo’s of
bodyweight and lodgings start to smell after ointments to counter aching backs and knees. Despite the heavy
workload the workers see it as something that must be overcome. Popular phrases among the workers are: “We
are selling our bodyweight”, “It is part of the job”, “Two days of work here pay as much as a month in the
Philippines” illustrate this well. The circumstances of the workers before getting to Japan play a big role in the
acceptance of the harsh working conditions.
Background of the laborers
The men who are recruited for agricultural work in Japan are in their 20’s and 30’s and come from the poorer rural
regions all around the Philippines, such as Abra, Benguet, and Mountain Province on Luzon island, Province of Iloilo
on Panay island in Western Visayas, or Surigao on Mindanao island. They have graduated high school and some
went to college and are thus relatively well educated. Their families are active in agriculture while they provide the
main income away from home. Many of them have rich working experiences living in Manila for jobs in
construction or warehouses yet others have went overseas as a fisherman. They are however not given the
opportunity to use their education and be employed at the same site for longer periods.
The Filipino workers see their stint in Japan as an opportunity to get away from an unfavorable labor market and
change their future possibilities. Many of them have recently married or have young children and want to use their
wage for raising their family or as startup capital for their own business. They register at foreign employment
agencies and have to take an interview in Manila. If they pass they have to spend three months in Manila to take a
Japanese language course and prepare for going to Japan. During this time they borrow money from relatives and
acquaintances to still be able to pay for living expenses and support their family. The first two months of their
income in Japan are used up by paying back these debts. For their future they can thus not give up their job in
Japan and they will thus accept harsh working conditions. During the quieter months of September and October
they will even bargain with the farmers for more work. Many of the workers want to earn more money by going
abroad again after their return to the Philippines. They hope for jobs in construction and agriculture in countries
such as Canada and Australia. Not giving up and providing for their families is part of a tough macho image they
display.
Free Time

Yuya Iida
During their half-year in Japan the men are not totally dependent or isolated. After work they will often meat up
for dinner with other workers from the same region in the Philippines. They will meet up in their mother tongue
and sharing food and other items, such as the dried meat of local deer, Filipino food ingredients, cheap liquor and
international phone cards. Another favored activity is to drink and complain about their jobs, though all the
activities stop at nine in order to get enough sleep for the following day. They connect with workers from their
region of origin at other farms and by communicating in same mother language (e.g. Ilongo dialect for Iloilo
people), form a temporary but close community that gives support to pass the half-year.
However such free time is not just free, because the formation of these temporary communities is encouraged
also by the recruitment agencies. It benefits the farmer because the Filipino workers in contrast to the Japanese
prepare their own food together putting a smaller burden on the farmer. The Filipino’s are placed on farms with
workers from the same region in the vicinity but not too many persons from one group. Factors that are taken into
account in this regard are the attitude towards work and life and a to employers favorable competition between
the employed. The by the workers much valued temporary community is created by the personnel management.
CONCLUSION
Japan does not have any legal restrictions on working hours in the agricultural sector. The ensuing harsh long
working hours make Japanese workers not want to do the work. The hiring farmers often see their Japanese
seasonal workers leave before the end of contract making the more reliable foreign workers despite the costs of
transfer more favorable. Moreover they do not have to go over the trouble of recruitment.
The foreign workers are aware of these circumstances and see their reliability as their sales point. Looking at them
on an individual base reveals their own made macho identity in which they take care of their families and work for
a better future, therefore they have a "no problem" attitude towards the harsh working condition for half a year,
offering a different perspective on foreign workers that are often seen as weak and exploited. We may see a
strategy for entrepreneurship and a lasting independence in globalizing rural societies in Asia.
However looking at the workers not as individuals but as a migration flow the strategy of the workers allows for
continued poor and unstable working conditions. One of the reasons behind this is legal; the worker can only stay
in Japan temporary and are not allowed reentry. This prevents arguments to improve conditions therefore they will
unlike their Japanese counterparts never see their pay rise, although they are expected to work at least as hard as
their predecessors. Furthermore their temporary communities are used by agents to value them as a group and are
decisive in further recruitment. Agents now favor Province of Abra or Mountain Province above regions closer to
Manila because workers from these regions are willing to work under harsher conditions. This demonstrates the
need to consider both the individual perspective and the larger formation when discussing at new labor flows in
Asia.
The recent migration flows towards Japan have caused a renewed discussion on migration policies. The rural to
rural aspect of this migratory process and the contrast between the individual perspective and the larger process
should not be left out of the debate.
ENDNOTES
1
The trainee visa is issued under the foreign trainees and technical intern program. For the background to the
creation of this visa please see chapter two. In addition for the legal characteristics and changes over time
please see endnote three.
2
In full "Immigration Control and Refugee Recognition Act". The ministry of justice gives the following explanation
on the act; The purpose of this Act is "to provide for equitable control over the entry into and departure from
Japan of all persons and to consolidate the procedures for recognition of refugee status" (http://law.e-
gov.go.jp/htmldata/S26/S26SE319.html, June, 1st, 2014). The act was established in 1951and has been revised
numerous times getting at its present form.
3
Initially the maximum length of stay for the trainee visa was set at one year, in 1993 this had been changed to two
years and in 1997 to three years for all industries but agriculture. In 2000 the maximum for agriculture was also
extended to three years. Before the 2010 revision of the immigration act the trainee and technical intern program

Yuya Iida
had the following history. The "trainee" status was created in 1990 the visa had a maximum length of one year and
did not permit work. The trainees where not given pay but awarded a trainee allowance. As a follow up to this
trainee program in 1993 the technical intern program was introduced. Those that had completed a traineeship
were allowed to stay for a further two years as technical intern. This was not a fully-fledged visa but a creation of
the justice ministry. Because agriculture at first was not included in the sectors that were designated for this
technical intern program, the extension to a maximum length of stay to three years for agriculture had to wait till
the renewal of the technical intern program in 2000. The amendment of the immigration law of 2010 merged the
trainee and technical intern status into a so called "technical intern trainee" visa, allowing for work during a
maximum of three years. In this paper the now obsolete "trainee" and "technical intern" are also referred to as
"technical intern trainee " for the sake of simplicity .
REFERENCES
Akashi, Junichi. 2010. Japan’s Immigration Control Policy : Foundation and Transition. Kyoto: Nakanishiya Shuppan.
[in Japanese]
−
Ando, Mitsuyoshi. 2011. “The Present State of Large Farming Hiring Foreigner Trainees and Technical Interns.”
Japanese journal of farm management. Vol.49. No.1. pp.75–80.
Andrzejewska, Joanna, and Johan Fredrik Rye. 2012. "Lost in Transnational Space? Migrant Farm Workers in Rural
Districts." Mobilities. Vol.7. pp. 247–268.
Benson, Peter. 2008. "EL CA
MPO: Faciality and Structural Violence in Farm Labor Camps." Cultural Anthropology. Vol.23. No.4. pp.589–629.
−
Hasemi, Takahiro. Ando, Mitsuyoshi. 2004. "The Development and Problems of Farm Management Utilizing Foreign
Employees in Large-Scale Vegetable Farming Region." Journal of Rural Economics: Proceedings of annual
Conference of the Agricultural Economics Society of Japan. pp.7–14. [in Japanese]
Herbert, Wolfgang. 1996. Foreign Workers and Law Enforcement in Japan. New York: Routledge.
JITCO(Japan International Training Cooperation Organization), 1996. JITCO White paper.
JITCO(Japan International Training Cooperation Organization), 2008, JITCO White paper.
0nai, Toru. and Sakai Eshin. 2001. Nikkei-Brazilians and Host Community; Case studies in Oizumi district, Gunma
−
Prefecture. Tokyo; Ochanomizu Shobo. [in Japanese]

−
0nai, Toru. 2009. Work and Life of Migrant Brazilians in Japan. Tokyo; Ochanomizu Shobo. [in Japanese]
Preibisch, Kerry. 2010. "Pick-Your-Own Labor: Migrant Workers and Flexibility in Canadian Agriculture."
International Migration Review. Vol.44. No.2. pp.404–441.
Rye, Johan Fredrik, and Joanna Andrzejewska. 2010. "The Structural Disempowerment of Eastern European Migrant
Farm Workers in Norwegian Agriculture." Journal of Rural Studies. Vol.26. No.1. pp.41–51.
Sato, Shinobu. 2012. "Foreign Workers in Japanese Horticulture." Journal of Ohara Institute for Social Research.
Vol.645. pp.14–29. [in Japanese]
Takahata, Sachi. 2011." From as Entertainer to as Care worker: Impact of Economic Crisis to Filipino Migrants and
Their Second Generation in Japan." pp. 107–21 in Global economic crisis and labor migration. Tokyo: Akashi
Syoten. [in Japanese]
Tanno, Kiyoto. 2007. Transnational Employment Systems and Migrant Workers in Japan. Tokyo; Tokyo University
Press. [in Japanese]

EFFECTS OF THE FREQUENT SHOPPERS PROGRAM IN THE PRODUCTION AND
CONSUMPTION OF ENVIRONMENTALLY FRIENDLY VEGETABLES:
A CASE STUDY FROM A LOCAL FARMER’S MARKET IN HIGASHIOSAKA-CITY, JAPAN
Misa Aoki
Nara Women’s University, Japan
aoki.misa@cc.nara-wu.ac.jp
ABSTRACT
An increasing number of people have become interested in healthy and environmentally friendly farm products not only in
developed countries, but also in developing countries in Asia. Since 1999, the Japanese government has encouraged famers,
dependent on the excessive use of agro-chemicals, to practice more environmentally friendly forms of farming or organic
farming. Over the years, this has led to the successful increase in the number of farmers reducing their agro-chemical usage.
However, selling such value-added farm products remains a challenge. This has discouraged producers from continuing with
their more environmentally friendly farming methods. To improve this situation, famer’s markets and local governments have
tried to employ new marketing strategies to sustain environmentally friendly farming. The purpose of this study is to clarify
the effects of marketing strategies on the production and sales of environmentally friendly vegetable products by focusing on a
farmer’s market in Higashiosaka-city, Japan. This farmer’s market is managed by the farmer’s cooperative and has introduced
the frequent shoppers program (FSP) in order to promote environmentally friendly vegetables being produced in the city with
support provided by the city government in 2007. FSP is a system where consumers earn points as they shop, which can then
be redeemed for discounts on future purchases, gifts, or other rewards. The study is based on the analysis of interviews and
quantitative data collected at the market. The study has found that the consumption of environmentally friendly vegetables
has increased after the introduction of FSP. As a result, farmers have expanded or have newly initiated the production of more
environmentally friendly vegetables. The study has shown that strategic marketing of value-added farm products is crucial in
order to increase both the consumption and production levels, and contribute to the spreading of environmentally friendly
farming practices in a locally relevant context.
INTRODUCTION
As issues related to food safety and environmental conservation in agriculture increase in importance, there is
widespread interest in healthy and environmentally friendly farm products in both developed and developing
countries. In Japan, policies for promoting environmentally friendly farming, such as subsidies or certification
systems, have been implemented since the Food, Agriculture and Rural Areas Basic Act, an agricultural basic law,
was established in 1999. Although these policies have had effects on encouraging environmentally friendly farming
to some extent, lack of creditable certification system and market for these crops makes it difficult to diffuse such
production more. Therefore, some studies show that support from government and consideration of relations
between market system and agricultural production are important for further promotion of environmentally
friendly agricultural production (Parror et al., 2006, Howden et al., 2007, Acs et al, 2009). As for marketing of
environmentally friendly crops, farmers’ market is thought to be an important institution (Brown, 2002).
This paper shows a practical example which various stakeholders such as national and local government, local
community or farmers’ markets involve in increasing production and consumption of environmentally friendly
agricultural products in Japan. The purpose of this study is to reveal the role of such actors for promoting those
products.
AGRICULTURAL POLICY FOR ENVIRONMENTALLY FRIENDLY FARMING IN JAPAN
History of national agricultural policy for sustainable agriculture
It was 1994 in Japan when environmentally friendly farming was first discussed at “national committee for
promoting environmentally friendly agriculture” aiming to introduce it into the national basic law, “Food,
Agriculture and Rural Areas Basic Act” enacted in 1999. At the time of rapid economic growth from 1955 to 1973,
farming system was industrialized for the purpose of increasing agricultural production by introducing
mechanization and chemical inputs. This results in damaging health of consumers and producers and soil

Misa Aoki
degradation as well (Kada, 1993). The number of consumers who worried about chemical contamination of food
without getting enough information on the chemical inputs (Yasuda, 1974). To deal with this situation, the
committee was founded in 1992 and it defined environmentally friendly agriculture as “sustainable agriculture
which is concerning both productivity and environmental damages by utilizing compost and reducing usage of
chemical fertilizers and pesticides”, or “sustainable agriculture which is comfortable for both human being and
nature”.
In 1999, environmentally friendly agricultural system became one of main considerable objects of agricultural
policy declared in“Food, Agriculture and Rural Areas Basic Act” in Japan. At the same time, Act on Promotion of
Introduction of Sustainable Agricultural Production Practices was introduced. This act aims to secure agricultural
production that remains in harmony with the environment by taking measures to promote the introduction of
sustainable agricultural practices, and thereby contribute to healthy development of agriculture. After the
introduction of this act, system of certifying “eco-farmer” was established in 2002.
This system is that prefectural government give a certification of eco-farmer to the farmer who makes a future
farming plan which is to use compost or organic matter, reduction of chemical fertilizers and pesticides.
Furthermore, in 2001, the national government addressed a guideline which regards crops produced with 50% less
use of both chemical fertilizers and pesticides than normal production as “specially produced crops”. The
establishment of this system encouraged prefectural government to set standards of amount and types of
chemical inputs. In 2006, Act on Promotion of Organic Agriculture was introduced in national level. This act defines
organic agriculture as a way of agricultural production which reduce environmental damages as much as possible
without using any chemical inputs or genetically modified technology.
In this way, standards and guides for environmentally friendly agriculture have been established at national level
institutions. Followed by this national standard, prefectural government and municipalities have set their
standards and certification system for environmentally friendly produced crops since 1988. Many of them use the
certification system not only for environment conservation but also branding their region’s crops and increasing
farmers’ income (Oshima et al., 2004).
Transitions of Environmentally Friendly Agriculture
After the implementation of policy for environmentally friendly agriculture, the number of agricultural
management entities who engage in such farming has been increasing. According to Table 1, though the total
number of entities has decreased, the percentage of agricultural management entities reducing chemical fertilizers
and pesticides increased. However, entities who manage soil by using compost declined.
Table 1. The numbers of agricultural management entities engaging environmentally friendly farming
Note: The number in < > shows percentage of total agricultural management entities and in [ ] shows percentage of total entities
engaging environmentally friendly farming.
Source: MAFF Agriculture Census
This increase of environmentally friendly faming results in reducing emission of greenhouse gases from chemical
fertilizers (Noda, 2001) and maintaining biodiversity by using less chemical pesticides (MAFF, 2002). Even though
these positive effect has been appeared, the number of eco-farmers does not increase as before (Figure1). Many
previous studies point out that discrimination of eco-products and non-eco-products is not enough in the market,

Misa Aoki
which cannot make consumers distinguish and buy the environmentally friendly produced crops (Kitada et al.,
2009; Hu, 2006). In this perspective, local farmers’ market seems to have a potential for selling such products in a
strategic way. However, few studies mentioned what kind of roles the stakeholders should play specifically.
Figure1. The number of eco-farmers in each year

Source: MAFF (http://www.maff.go.jp/j/seisan/kankyo/hozen_type/
h_eco/)
METHODOLOGY AND STUDY AREA
Methodology of this study
In order to make clear the roles of national, local government and municipalities for expanding environmentally
friendly agriculture, this study inspect one practical activity which held in Higashiosaka city in Osaka prefecture.
The city government promoted environmentally friendly farming after Osaka prefectural government
implemented a certification system, Osaka eco-crop certification, in 2001. However, some farmers who converted
to farming in environmental way ceased continuing the production due to less consumption of such products.
Therefore, the city government and farmers cooperatives introduced marketing strategy for the local environment
-friendly crops in farmers’ markets within the city in 2009.
This study reveals how the stakeholders related to each other for increasing consumption and production of
environmentally friendly farming by conducting interview survey to concerned people in the prefectural and city
government, farmers’ cooperatives and farmers. In addition, how much consumption and production has
increased is shown by using quantitative data given by the city government and farmers market.
Outline of Higashiosaka city
Higashiosaka city is placed in east of Osaka prefecture in Japan and its population is 507,404 in 2013. Total area of
farm land is 231ha and the number of farm household is 689ha. As there are a lot of consumers around farms,
fresh leaf vegetables and flowers are cultivated mainly. In this place, a lot of lad was changed for industries and
housing for urbanization in the period of economic growth in Japan. However, still now, small-scale farmers
cultivate vegetables and flowers for residents in the city. Because the farms are surrounded by houses and scale of
farm is small, most farmers have used chemical inputs less than those of the other areas.
Farmers in this city tend to sell their farm crops mainly in morning fairs held by the local farmers’ cooperatives
because they cannot gather enough quantity for mass distribution. Now, there are 14 morning fairs and 3 farmers’
markets in this city, all which are managed by a local farmers’ cooperative.

Misa Aoki
PROMOTION OF LOCALLY PRODUCED ENVIRONMENTALLY FRIENDLY CROPS UNDER COOPERATION

AMONG SOME STAKEHOLDERS
Implementation of “Farm-mileage program”
In order to overcome the challenges that few distribution channel discourage farmers to practice environmentally
friendly farming, “Farm-mileage program” was introduced in May 2009 in Higashiosaka city. The program is a kind
of “Frequent Shoppers Program (FSP)” only for locally produced environmentally friendly crops. FSP is a system
that consumers earn points as part of a reward, and such points can be redeemed for discounts on future
purchases, free gifts, and other rewards.
In the case of Higashiosaka city, consumers can get crops which

cost about 300 yen in farmers’ market and a letter for thanks for
buying such value-added crops if they collect 50 labels (Figure 2)
which are pasted on certified local crops and apply to a council
that manages this program. Furthermore, consumers can get
special award if they collect 10 letters. The label is pasted on
each certified crops one by one with farmer’s name and contact
address, and consumers can recognize how much farm land they
conserve by buying the labeled crops and collecting the label.
This system brings about the program name, “Farm-mileage”.

Therefore, this is very different from “Food mile”, which refers Figure2. Certification label pasted on certified crops
to the distance food is transported from the time of its Note: Taken by M.Aoki on January 25 2013.
production until it reaches the consumer. The price of one
package of the crop range from 80 yen to 130 yen (approximately 0.8-1.3USD) which farmers can show freely, and
the price is almost same between certified crops and non-certified crops. In this program, consumers can get
awards by purchasing local certified crops and a local farmers market get repeated customers.
Cooperation among some stakeholders for this program
“Farm-mileage program” is mainly managed by a “council of Higashiosaka city agriculture promotion”, which
consists of Osaka prefectural government, Higashiosaka city municipality and 2 farmer cooperatives in the city.
Each stakeholder plays a role for the program (see Figure3).
Osaka prefectural government established particular standards for environmentally friendly crops in Osaka under
national policy and manages this certification system. They ask the city government to gather application of
certification from farmers, gather the application from each city and certify crops as “Osaka eco-crops” which
meets the standards. Technical support and examining residual of agrochemical are given by the institution.
Higashiosaka city municipality takes initiative in arranging this program between prefectural government and
farmers. The staffs of the municipality negotiated with the other stakeholders to start this program and
established it. In addition, they give financial support for a part of the awards for consumers and cost for making
labels for producers.
The role of farmers’ cooperatives are to run farmers’ market consigned by producers and to certify crops which
meet standards for agrochemicals but are not subjected under prefectural certification due to lack of land area. In
addition, they stock some amount benefit of the markets to giving awards for consumers. This cooperation for the
program reinvigorate the circulation of consumption and production of environmentally friendly farming in this
city (Aoki, 2013).

Misa Aoki
Figure3. System of "Farm-mileage program" in Higashiosaka city

Note: Drawn by M.Aoki.
Effects of “Farm-mileage program” on consumption and production
How the “Farm-mileage program” effects on consumption and production of locally produced environmentally
friendly crops in the farmers’ market? Figure4 shows changes of sales amount of certified and non-certified crops
in 3 farmers’ markets which take part in the “Farm-mileage program” in Higashiosaka city. Before implementation
of the program, percentage of selling certified products was around 10% to 30% and total amount of selling local
crops increased gradually. However, after starting the program, percentage of certified environmentally friendly
crops have risen up to 63% and total sales amount increased as well.
The accumulate number of letters for thanks which were sent to consumers who collected 50 labels reaches to
4,651 from beginning of the program to December 2012. Table 2 indicates that as the number of sent letters for
thanks increased in each year, percentage of certified crops purchased and taken part in the program also grew. It
can be said that this program attracts consumers to locally produced environmentally friendly crops. Under this
increase of purchasing locally produced environmentally friendly crops in the local markets, the changes in
production should be discussed.
Figure 5 shows the transition of the number of farmers who engaging in cultivating crops for certification and land
area for farming in environmentally friendly way. Before the implementation of the program, land area for
certified crops did not increase, rather, in some years it decreased. On the other hand, after beginning the
program, it grew rapidly. Also the number of farmers who engaging in farming for certification has been increasing
but the rate of increase is less than that of land area. This means that many farmers started or converted to
farming in environmentally friendly way, and each farmer enlarge their land area for crops produced for
certification.
In this way, the program which conducted under cooperation among prefectural government, municipality and
farmers’ cooperatives have positive effect on consumption and production for expanding environmentally friendly
farming. Each stakeholder plays their own particular role and collaborates with each other.

Misa Aoki
Figure4. Sales amount of certified and non-certified local crops in

farmers' markets
Source: Data from Japan Agricultural Cooperatives Green Osaka
Table2. Participation for "Farm-mileage program" by consumption

① ② ③ ④
Purchase amount for Total sales amount Percentage of
The number of sent
year "Farm-mileage of certified crops participation for the
letter for thanks
program"(yen) (yen) program
①*50*100 ②/③*100
2009 173 865,000 14,500,666 6.0
2010 944 4,720,000 28,425,869 16.6
2011 1,578 7,890,000 39,538,650 20.0
2012 1,956 9,780,000 42,427,082 23.1
Note: To get one letter for thanks needs 50 labels and the average price for one package of crops with one label is around 100 yen. Based on
this numbers, purchase amount for "Farm-mileage program"is calculated.
Figure5. Transition of farmers and land area for environmentally friendly farming
Source: Data from Higashiosaka-city

Misa Aoki
CONCLUSION
As for environmentally friendly agriculture in Japan, the Japanese government set the general framework for
certificating eco-farmers and eco-products, and local governments have set concrete standards for such
certifications according to each regional feature and practically certify the farmers and crops. The number of
farmers engaging in environmentally friendly farming has increased to some extent. However, lack of distribution
channel for crops cultivate in environmental way have made it difficult for farmers to extend such farming more.
This discourages farmers to start or convert to faming in environmentally friendly way.
To overcome this difficulty, program taken under the cooperation of some stakeholders has possibilities to expand
sustainable agriculture. This study took one practical example and showed that collaboration among national,
prefectural government, municipality and farmers’ cooperatives is needed, and each stakeholder should play their
particular role in implementation. “Farm mileage program” was started in Higashiosaka city, and other cities such
as Saga, Himeji and Katano city have introduced the program with little arrangement for their own regions. This
kind of governance will progress to the next step for improving sustainable agriculture.
ACKNOWLEDGMENT
The author is grateful to the Osaka Prefectural government, the Higashiosaka Municipality and farmers
cooperatives for permitting interviews and collecting data. The author also acknowledges the funding support
received from Sompo Japan Environment Foundation 2013.
REFERENCES
Acs, S. Berentsen,P. Huirne,R and Asseldonk, M. 2009. “Effect of yield and price risk on nversion from conventional
to organic farming.” The Australian Journal of Agricultural and Resource Economics, 53, pp. 393–411.
Aoki, M. 2013. “The Promotion of Selling and Producing Certified Agro-crops through Cooperative’s Farmers
Market: A Model Case of Farm-mileage Project in Higashiosaka City.” Japanese journal of organic agriculture
science Vol.5. No.1, pp.42-46.
Brown, A. 2002. “Farmers’ Market Research 1940–2000: An Inventory and Review.” American Journal of
Alternative Agriculture Vol.17. No.4, pp.167–176.
FAO.2012. FAO Statistical Yearbook 2012 –world Food and Agriculture-, Economic and Social Development
Department.
Howden, S. Mark., Soussana, Jean-François., Tubiell, Francesco N., Chhetri, Netra.,Dunlop, Michael., and Holger
Meinke.2007. “Adapting agriculture to climate change.” Proceedings of the National Academy of Sciences of
the United States of America, Vol.104. No.50, pp. 19691–19696.
Hu, B. 2006. “A Performance Analysis of the Public Projects for Japanese Sustainable Agriculture.” Journal of rural
economics Vol.77. No.4, pp. 177-187.
Kada, Ryohei.1993. “Issues and Perspectives of Sustainable Agriculture.” Pesticide Science Society of Japan, 18, pp.
S201-206.
Kitada, K., Takawa, K., Shimizu, K., and Terauchi, M. 2009. “Present problems of promoting Environment Friendly
Agriculture by Regional Resource Recycling System: case study of "rainbow plan" in Nagai City, Yamagata
Prefecture”, Noson kenkyu (109), pp. 26-34.
MAFF. 2002. Knkyo hozengata nougyo no genzyo to kagai (Present situation and challenges of environmentally
friendly farming), http://www.maff.go.jp/j/study/kankyo_hozen/01/pdf/data02.pdf, accessed on December 17
2013.

Misa Aoki
National Committee for Promoting Environmentally Friendly Agriculture; http://www.ecofarm-net.jp/08info/

index.html, accessed on December 17 2013.
Noda, S. 2001. “Application and Use of Fertilizers for the Reduction of Nitrous Oxide Emissions from Upland Soils.”
Journal of the science of soil and manure, Japan Vol.72. No.4, pp. 575-581.
Oshima, K., Hagimori, M., and Nagasaka, Y. 2004. “ Present situation and challenges of municipalities’ own agro-
crops certification system”, National Agricultural Research Center for Western Region rural economy research
(8), pp. 91-100.
Parror, N., Olesen J.E., & Hogh-Jensen H. 2006. “Certified and non-certified organic farming in the developing
world.” In Halberg, N., Alroe, HF. Knusen, M T.& Kristensen ES. Wallingford UK (Ed.) Global Development of
Organic Agriculture: Challenges And Promises (pp. 154-176), CABI Publishing.
Yasuda Shigeru. 1974. “Consumer's Consciousness on Food Pollution by Agricultural Chemicals.” Agricultural
Economic Papers of Kobe University, 10, pp.49-69.

MIGRANTS CITY, LAND INHERITANCE: EMPIRICAL RESEARCH FROM 9 VILLAGE OF
LANDLESS PEASANTS IN SOUTHERN CHINA
Ms. Chun-Rong SHANG，

College of Economics & Management
South China Agricultural University ，
GuangZhou City GuangDong province, China.
crshang@scau.edu.cn
ABSTRACT
The research focuses on landless peasants in Chinese rural areas. According to the survey of nine villages in Guangdong and
Hunan, landless peasants enjoy access to Contracting and Operating Right to Rural Land or land use right by means of land
allocation, family inheritance and land transaction. Of the three means, land allocation is no longer the primary choice for
peasants to acquire land. Instead of leasing land from the land market, landless peasants chose to become migrant workers.
Family inherence in real terms serves as the means to acquire land contracting and operating right for landless peasants. The
research does not attribute land redistribution to the demographic change. It is believed that landless peasants exercised no
influence on land allocation and neither did they play a role in facilitating development of land leasing market. Substitution
effect of migrant working and family inheritance eased the increasing pressure of rural land redistribution. Landless peasants
are by no means part of destabilizing factors in rural development.
Key words: landless peasants, migrant workers, land redistribution, land transaction, land inheritance， land leasing
BACKGROUND
Since 1980s, china rural land system is the rural collective ownership, farmers household has contracting and
operating right to rural land. Every member of the village, including men, women, adults, children, is one of the
owner of the collective land. Every member of the village obtain an equal allocation of a collective land free of
charge by the distribution in the rural reform on the early 1980s, a household owned land is the sum of each
member of the allocation land. Household may cultivate their land according to their will, and pay the grain tax to
the state and some Fees to the village collective from their harvest.
Number of land owned by the household change along with the family population changes，especially the
household population increase, such as son marry , the bride and New born child become a new family members,
they asked village redistribution collective land for their new family member and added to household land. So many
village often redistribution collective land in 3 to 5 years or less time. In mid of 1990s, the central government
banned the land redistribution, and implemented the policy to extend famers’ contract period for 30 years, and
encourage household to obtain land use rights in the market when they lack of land. Household may free to trade
their land use rights and contract right in land market, such as subcontract, lease, interchange, transfer, etc.
After mid of 1990s, the central government implemented the policy to extend famers’ contract period for 30 years.
In 2008, the central government proposed again that the existing land contract relationships should remain stable
and invariant for a long term. In the context of long-term land contract, land redistribution has been no longer
carried out in village. Therefore additional population in rural communities no longer own land in the name of them
and become landless.
The number of landless peasants (including small children) keeps rising with implementation of the long-term
policy. In China, landless peasants were estimated to be around 145 million in 2004 by Sun Yaowu(2006). Through
survey in Hebei, findings shows landless peasants there reached 10.02% in the total investigated population (Zhang
Runqing et al 2008). According to Gong Weigang, in Southern China with more developed land redistribution, such
as Guangdong and Fujian, landless population has accounted for 43.6% of total population (Gong Weigang 2009).
As prescribed in Law of the Peoples Republic of China on Land Contract in Rural Areas, additional population can
obtain contracted land from the following channels: (1) mobile land reserved by collective economic organizations

Chun-Rong Shang
in accordance with the law; (2) expanded land through reclamation in accordance with the law; (3) land
surrendered voluntarily by contractors in accordance with the law. As a matter of fact, in most villages, there is no
mobile land and famers are hardly willing to return their land. Land reclamation can not actually meet the demand
for contracted land for additional population. In the context of long-term land contract relations, land issue for
additional population has become a blind spot in policy. Moreover, the landless peasants are likely to be
permanently landless.
Some scholars have been greatly concerned for existence of landless famers. Deprived of posts to work on and
land to farm on, landless migrant workers become the potential crisis impacting rural stability and development (Li
Guangquan and Nie Hualin 2010). Babies and villagers’ newly married spouses from other villages were all eligible
claimants, having equal rights to share equal amounts of land. When a villager died, his or her right would
automatically disappear. As population increased, villages had to readjust the distribution structure, which further
subdivided the farmland (Fu Chen and John Davis 1998). As Qu Yongqian and Chen Fagui claimed that landless
peasants have no contracted land since they were born. Without effective social security in rural areas, these
landless peasants are confronted with survival problem. In addition, some land is under the name of those who
have been dead while some other people are still landless. The phenomenon hinders realization of social fairness
(Qu Yongqian 2006 ,Chen Fagui 2010).
With increasing number of landless peasants, is it possible that their appeal for land will facilitate land
redistribution? If this is the case, does it indicate that the invariant land policy within thirty years will be shaken or
impeded, or that the land transaction is possible to be accelerated? What influence will be exerted on stability and
development of rural society? On the basis of survey on landless peasants in Guangdong and Hunan, this research
attempts to probe into these questions.
LITERATURE REVIEW AND RESEARCH FRAMEWORK

Landless peasants can achieve access to land through land redistribution, family inherence and land transaction.
Relying on administrative means, land redistribution aims to realize equal allocation of land resources based on
principle of fairness and members’ rights. Family inherence refers to intergenerational heritage of land contract
rights within family without variation for total number of family land. With principle of efficiency, land transaction
realizes land resources allocation under market system on a voluntary basis. Through the first two means, peasants
are able to acquire land contract right, while land transaction guarantees land use right.
From the view of property function and intensity, contract right is similar to the quasi-ownership. Land
redistribution is the primary approach for landless peasants to obtain land. As indicated in a series of researches,
population variation is the major reason for land redistribution in many villages since implementation of land
contract system (Ye Jianping et al 2000, 2010, Yang Xuecheng et al 2008, Zhao Yang 2004, Qu Futian 2001). Land
redistribution met landless peasants’ appeal for land and fairness, eliminating or reducing the number of landless
peasants. Nevertheless, frequent land redistributions negatively affected implementation of long-term land policy,
leading to low efficiency in terms of peasants’ long-term investment on land and land utilization. In the middle and
late 1990s, with implementation of land policy with invariant contract period within 30 years, famers became less
likely to acquire land contract right through land redistribution.
On the one hand, the policy has restrains land redistribution. On the other hand, the policy has also supported and
encouraged peasants to carry out land transaction in a voluntary basis. In this context, transaction market of
farmland use rights is taken as a fundamental solution to overcome frequent farmland redistribution. When the
invariant land policy within 30 years was practiced in villages, landless peasants turned to land transaction to
realize their land use rights. Therefore, land transaction serves as a crucial approach for landless peasants to obtain
land use rights. Landless peasants’ appeal for land may accelerate development of land transaction.
In recent years, transaction of land use right has become rapid. With land redistribution rate reduced constantly,
market transaction seems to be the substitute of land redistribution. In academic circle, there have been mainly
the following three viewpoints on relationship between market transaction and land redistribution. (1) Most
scholars believed market transaction and land redistribution interact with mutual constraint and substitution. A
sound land leasing market is capable of lowering land redistribution frequency of a village. That is to say, the land
leasing market is possible to be substitution for land administrative redistribution (Yao Yang 1999). Liu Xiaoyu and

Chun-Rong Shang
some other researchers held similar viewpoints on this matter. They believed that land leasing market partly
alleviated land redistribution pressure in rural areas and substitute administrative land redistribution (Liu Xiaoyu
and Zhang Linxiu 2007). Administrative land redistribution is the substitution for transaction mechanism of land
market (Qian Zhonghao 2002). (2) In the view of Ye Jianping and relevant scholars, land redistribution is
substitution for market allocation, and what is more, market transaction and land redistribution are also involved in
a complementary relationship (Ye Jianping et al 2006). (3) Market transaction and land redistribution are not
necessarily to be of mutual impediment and restriction (Liu Kechun and Lin Jian 2005). Under the principle of
maximum family income, peasants are faced with diversified choices. For the young landless couples in a family, in
order to meet their need for land, they may choose to work in migrant way instead of leasing land（Zhang Zhaoxin
2003. However, married women have exerted little influence on land renting-in of rural households and no
influence on land renting-out (Liu Kechun and Lin Jian 2005).
As the 30-year invariant-period land policy was applied, relevant problems were also generated related to heritage
of land contract right. Inheritance of land contract right is the extension and development of land policy
characterized by 30-year invariant contract period. Inheritance of land contract right is also effective in solving the
long-term stable conflict between land community ownership and land contract relationship (Cao Yang 2005).
Inheritance of land contract right is not only feasible in law, but also acknowledged by most peasants (Shi
Shengyao，2010). Family inheritance has become the major channel to obtain land for landless peasants. With the
introduction of the Household Responsibility System and the extension of land-use rights and residual income
rights to households, agriculture shifted from a collective-based to a family-based farming system. Land was not
privatized, however. Ownership remained “collective”, with local governing bodies and officials at the village level
exercising a major influence over household land use and allocation (Scott Rozelle and Loren Brandt 2003). Through
empirical analysis, the research discussed whether there is possibility for landless peasants to acquire land relying
on the three systems mentioned above and what influence will be exercised on arrangement of the three systems.
DATA SOURCE AND SAMPLE FEATURES

Data Source and Quantity of Samples
From January to April of 2011, the survey was conduced on nine villages in Guangdong and Hunan province in
China. There were altogether 378 questionnaires delivered to peasants and 328 of them were recovered, with
recovery rate achieving 85%. Of nine villages investigated, eight of them implemented the invariant policy within a
long term. Liangtian village in Guangzhou, the only one without practice of this policy, experienced the most
frequent land redistributions. The latest redistribution happened in 2006. The longer time is since the latest
redistribution, the more rural households are landless. In the three villages with the latest land redistribution in
1980s, landless peasants account for 50% of total sample population. As for the four villages with latest
redistribution in 1990s, the proportion of landless people is about 25%. Liangtian village in Baiyun District of
Guangdong province, with the latest land redistribution, has the smallest landless population (Table 1).
In all 328 rural households, there are altogether 1793 people involved in this survey. The number of landless
population is 540(including small children), accounting for 30.12% of total sample population. As illustrated in
survey, only 84 households do not have landless people in their family, taking up 25.16% in all surveyed. The rest
244 households are all involved in landless problem with proportion of 74.39%. In households with landless
peasants, those households including two landless family members take the highest proportion, with 2.21 landless
people per household.
Features of Landless Peasants
The majority of peasants surveyed are male aged from 51 to 60 with middle or primary school education
background. Of 540 landless peasants, 80% are below the age of 30 and mainly composed of additional population
(migrant women due to marriage and newly born children). There is no gender disparity observed in landless
children. However, with respect to married adults, landless females take high proportion than males. A rather small
proportion of landless peasants stay at home to farm, with majority of them at pre-school age, at school or being
migrant workers (Table 2).

Chun-Rong Shang
Table 1: Survey village Land redistribution number and landless farmers

Rural Land area Proportion of landless
households per Times Latest
Landless population in total
capita of land land Sample
Village redistri redistri population
populatio sample population
（hm2） n
bution bution %
25 0.2668 1981 112 56 51.79

Tiantou Village in Boluo County 1
23 0.0402 1981 110 56 50.00
Qingshi Village in Longping County 1
19 0.0267 1984 165 41 24.85
Zhupu Village in Haojiang County 1
40 0.0267 1989 240 107 44.58
Luochen Village in Xingning County 1
17 0.0213 1995 119 15 12.61
Niujiaoling Village in Yunan County 2
101 0.0600 1995 436 114 26.15
Xinyijia Village in HuNan 1
27 0.0233 1997 217 55 25.35
Kengzai Village in Huilai County 2
56 0.1467 1999 301 81 26.91
Xiantang Village in Fengkai County 2
20 - 2006 93 14 15.05
Liangtian Village in Baiyun District 6
Total 328 1793 540
Table 2 . Characteristics of landless farmers.

Variable Frequency Proportion (%)
below 10 198 37.29
11-15 47 8.85
16-20 53 9.98
Age 21-30 177 33.33
above 30 56 10.55
no answer 9 -
total 540 100．00
female 296 55.60
male 236 44.40
Gender
no answer 8 -
total 540 100．00
preschool or at school 281 52.82
migrant worker 196 36.84
farmer at home 42 7.89
Occupation
other 13 2.44
no answer 8 -
total 540 100.00
INFLUENCE OF LANDLESS PEASANTS ON RURAL LAND SYSTEM

Willingness of Landless Peasants to Land redistribution
Since most landless peasants were at school or work as migrant workers, respondents were usually their parents.
Therefore, the respondents’ attitude towards land was taken as that of landless peasants. When asked “what
channels are available to obtain land”, 38.74% of households gave the answer that “there is no way to get land
since the implementation of the 30-year policy with invariant contract period.” This answer takes up the highest
proportion in effective answers. 32.8% of households expressed that “they hope all land of village can be
withdrawn for reallocation” or “that families with reducing members should return part of their land to families
with increasing members”. That is to say, 32.8% of households expected land redistribution in large and small
scale. Then conclusion can be drawn that nearly one third rural households rely on land redistribution to gain land
(Table 3).

Chun-Rong Shang
Table 3. Ways by which landless farmers are hoping to get their lands.
Channel Frequency Percentage Valid Percentage

All land of village should be withdrawn for 14.41
reallocation 32 9.76
Families with reducing members should return 18.47
part of their land to families with increasing
members 41 12.50
Inheritance from parents 23 7.01 10.36
Land left by married sisters 27 8.23 12.16
Reclamation of wasteland 5 1.52 2.25
No choice due to the long-term policy 86 26.22 38.74
Others 8 2.44 3．60
Missed answers 106 32.32
Total 328 100.00
Landless peasants’ appeal for land can be fulfilled through land redistribution. Village committee directors from
five villages were interviewed to find out whether there were villagers who ever asked village committee for land
reallocation. According to the interview, only two to three villagers ever expressed their appeal to village
committee in each village. These villagers were usually from households with new marriage. Usually, family
members (such as mother-in-law and father- in-law) would propose land allocation on behalf of the brides. Land
redistribution was not carried out in these villages because just few people proposed their demand for land
allocation. Thus landless peasants’ appeal for land fails to be put into practice.
Influence of landless peasants on land redistribution
In view of above descriptive analysis, although landless peasants were in need of land, few of them attempted to
promote land redistribution. Research model was established to analyze whether peasants are willing to conduct
land redistribution, with willingness of peasants to land redistribution measured by their devoted efforts.
In the research, willingness of peasants to land redistribution is taken as explained variable. In questionnaire, the
question was designed which read what methods you may employ to acquire contracted land. Four choices were
provided to signify attitude of respondents towards land redistribution. “0” means that there is no way to get land
since the implementation of the 30-year policy with invariant contract period. “1” indicates the expectation that all
land of village should be withdrawn for reallocation (land redistribution in large scale). “2” represents families with
reducing members should return part of their land to families with increasing members (land redistribution in
small scale). “3” refers to acquired land through heritage from parents or land left by married sisters. With
households without landless people excluded, there left 244 valid samples. Independent variables include personal
characteristics of respondents, village features and household features.
The research adopted a number of logistic regression models to conduct analysis. The following two hypotheses
were proposed: (1) Landless peasants are willing to support land redistribution; (2) The more landless peasants are
involved, the more land redistribution are likely to be promoted. Land redistribution is usually performed in a
certain time point, while population variation is a successive process.
The longer time is since the last redistribution, the more landless population there will be. Chi-square test was
employed to conduct independent test on time span since last redistribution and landless population, with result
showing Pr=0.003<0.05. The result demonstrates the time span since last land redistribution is significantly related
to landless population. Colinearity is proved when they are in the model simultaneously. Thus respective analysis
was carried out when the two variables are in the model separately. Through application of Stata10.0 for data
processing, the result shows Prob> chi2= 0.0000, illustrating the model fits well (Table 4).

Chun-Rong Shang
Table 4. Land redistribution model 1 (Landless farmers proportion of households into model)
method（1） method（2） method（3）

Variables of land redistribution model 1 Relative risk Relative risk Relative risk
ratio P ratio P ratio P
Gender 0.357 0.045** 0.501 0.146 0.306 0.004***

Age 1.019 0.326 1.004 0.790 0.970 0.042**
* **
Dissatisfied with the land policy 3.247 0.086 4.233 0.012 0.674 0.515
Satisfied with the land policy 3.352 0.065* 1.828 0.305 2.139 0.096*
Very dissatisfied with the land policy 3.180 0.405 0.000 0.999 4.657 0.114
Land area per capita of household 0.397 0.120 0.685 0.133 0.355 0.048**
** **
Proportion of migrant workers in household 0.096 0.048 0.092 0.035 0.384 0.313
Proportion of landless people in household 0.024 0.009*** 0.048 0.016** 0.066 0.014**
Farm income as the major income of family 0.380 0.315 0.498 0.451 1.005 0.995
Non-farm income as major income of family 0.320 0.205 0.646 0.610 0.745 0.733
Non-farm income as the whole income 1.246 0.832 1.014 0.989 1.327 0.775
As shown in results of model 1, significant influence on land redistribution is exercised by many factors, including
gender, age, land area per capita of household, proportion of migrant workers in household and satisfaction with
the land policy, etc. As for comparison of the benchmark class as “there is no way to get land since the
implementation of the 30-year policy with invariant contract period”, the other variables are controlled to be
invariant. Under this circumstance, male respondents’ choice rates are 0.357 times, 0.501 times and 0.306 times
respectively on the first three means to get land, with reduction of 64.3%, 49.9% and 69.4% respectively [1]. The
three means refers to overall reallocation of village land, families with reducing members returning part of their
land to families with increasing members and heritage from parents.
The result shows that male respondents do not hope to solve landless problem through land redistribution and
inheritance. Households with aged people and with larger land area per capita are more inclined to obtain land by
land redistribution. Households with more migrant workers are less likely to expect land redistribution. Rural
households who are discontent with the 30-year land policy with invariant contract period are more willing to
conduct land redistribution.
The proportion of landless people in household exercises significant influence on land redistribution. Expectation
rate will reduced by 97.6%, 95.2% and 93.4% respectively in terms of land redistribution in large scale, small scale
and heritage, if the proportion of landless people in household increases. The result reflects that households with
increasing landless people are less inclined to get land through land redistribution and heritage. The more landless
people there are in household, the less they are inclined to carry out land redistribution. This is inconsistent with
conclusions of Ye Jianping, Yang Xuecheng and other scholars.
Similar to land redistribution model 1, in model 2 (Table 5), significant influence on land redistribution exerted by
variables like gender, age, land area per capita of household and satisfaction with the land policy, etc. In addition,
the time span since last redistribution also significantly affects land redistribution. For every another year since last
redistribution, the expectation ratios are 0.818 times and 0.688 times respectively in terms of the first two
methods to obtain land. The two methods are overall land reallocation in village and family with reducing members
returning part of their land to families with increasing members. The result demonstrates that the willingness of
rural households to acquire land through land redistribution in large and small scale reduces by 18.2% and 31.2%
respectively. Therefore, the conclusion indicates that the longer time is from the last redistribution, the peasants
are more reluctant to adjust their land.
The results show that the longer time is from last land redistribution, the more landless peasants and households
are involved. Consequently, peasants are less willing to adjust their land. Increasing number of landless peasants
fails to facilitate land redistribution in village. Thus the hypotheses (1) and (2) are proved to be false.

Chun-Rong Shang
Table 5. Land redistribution model 2 (duration of the last time land redistribution into the model
method （1） method （2） method（3）

Variables of land redistribution model 2
Relative risk P Relative P Relative P
**
Gender 0.352 0.049 0.466 0.143 0.325 0.007***
Age 1.015 0.435 1.004 0.838 0.970 0.044**
Dissatisfied with the land policy 1.874 0.377 3.042 0.096* 0.503 0.270
*
Satisfied with the land policy 3.277 0.077 3.491 0.074* 1.892 0.156
Very dissatisfied with the land policy 7.016 0.265 0.000*** 0.999 7.974 0.053*
Land area per capita of household 0.310 0.149 0.655 0.156 0.376 0.062*
Proportion of migrant workers in household 0.267 0.296 0.326 0.358 0.562 0.565
*** ***
Proportion of landless people in household 0.818 0.000 0.688 0.000 0.923 0.021**
Farm income as major income of family 0.614 0.625 0.743 0.770 1.336 0.750
Non-farm as major income of family 0.426 0.360 0.651 0.650 0.936 0.940
Non-farm income as the whole income 1.160 0.890 1.121 0.919 1.555 0.661
Influence of Landless Peasants on Land Transaction
In order to gain land, landless peasants can also rent in land in land transaction market and then manage to acquire
land use right. Whether the land will be transferred in or out depends on principle of maximum family income.
Regression model was established to analyze whether landless people will aggravate land transfer-in or transfer-
out. Dependent variable was defined as whether rural household has transferred in land. There were four choices
provided. “0” represents no land has been transferred in. “1” represents indifferent attitude. “2” indicates intention
to transfer in, but it has not been put into practice (others). “3” means there has been land transferred in. Selection
for independent variables resembles to that of Land redistribution Model 2 (Table 5). The research adopted ordered
logistic regression model for analysis, with maximum likelihood method applied for parameter estimate.
Hypothesis (3): The longer time is from the last land redistribution, the more rural households are involved in land
transaction. To be specific, the more households will transfer in land. Hypothesis (4): With more landless peasants,
rural households are more willing to transfer in land. In this research, Stata 10.0 was applied for data processing
and model analysis. Meanwhile, the time span since last land redistribution and proportion of landless people in
household were introduced into the model respectively. From the results of the model, all the P value is 0, so that
the ordered logistic model fits well (Table 6).
Table 6. Land rent in model
Model 1 Model 2
P>|Z| P>|Z|
coef. coef.
Gender 0.426 0.138 0.432 0.134
Age -0.003 0.803 0.001 0.908
Primary school -1.060 0.150 -0.969 0.183
Middle school -0.724 0.340 -0.557 0.457
High school -0.366 0.656 -0.107 0.896
College or above -1.021 0.329 -0.919 0.388
Dissatisfied with the land policy 0.830 0.026** 0.671 0.077*
Satisfied with the land policy -0.414 0.225 -0.343 0.321
Very dissatisfied with the land policy -1.625 0.140 -1.155 0.303
Land area per capita of household -0.042 0.707 -0.024 0.835
Proportion of migrant workers in household -1.336 0.051** -0.875 0.212
Proportion of landless people in household 0.083 0.893 -0.061 0.011**
Farm income as the major income of family 0.197 0.670 0.161 0.731
Non-farm income as major income of family -0.571 0.210 -0.629 0.169
Non-farm income as the whole income -1.113 0.059* -1.089 0.064*
Note: “*”, “**”,“***”represent significance at the level of 0.1,0.05 and 0.01.

Chun-Rong Shang
From the land transfer-in model 1 and model 2, significantly negative influence on land transfer-in is exercised by
households whose all income is from non-farm channel and those who are discontent with the land policy. With
every another household whose all income generated from non-farm channel, the possibility of land transfer-in is
0.329 times and 0.337 times, with reduction of 67.1% and 66.3%[2]. The results reflect households with all income
from non-farm channel are not in favor of land transfer-in. With every one more household discontent with the
land policy, the possibility of land transfer-in will increase by 129.3% and 95.6% respectively. Those households
dissatisfied with the 30-year policy with invariant contract period are strongly willing to transfer in land.
The time span from last land redistribution exerts significantly negative influence on land transfer-in. With every
another year from the last land redistribution, the possibility of land transfer-in will decrease by 5.9%. The data
indicates that time span from the last redistribution exerts weak effect on land transfer-in in a negative way.
Significantly negative influence on land transfer-in would be exerted by proportion of migrant workers in household
when the proportion of landless people in household was introduced into the model. Land transfer-in of household
will decrease by 73.7% if there are more migrant workers. However, the proportion of landless people in household
does not affect land transfer-in significantly. Therefore, the major factor influencing land transfer-in lies in family
net income instead of whether there are landless people in family. Therefore, hypotheses (3) and (4) are verified to
be false. With the same method adopted, land transfer-out model was established. Hypothesis (5) was proposed as
the more landless peasants there are, the more rural households are willing to transfer out land (Table 7).
Table 7. Land rent out model
Model1 co- Model2

P>|Z| P>|Z|
ef. coef.
Gender -0.316 0.255 -0.325 0.239
Age -0.011 0.337 -0.013 0.262
Primary school -0.007 0.992 -0.036 0.956
Middle school 0.480 0.474 0.386 0.568
High school 0.066 0.931 -0.068 0.930
College or above 0.665 0.475 0.554 0.553
Dissatisfied with the land policy -0.198 0.616 -0.105 0.788
Satisfied with the land policy 0.325 0.330 0.304 0.361
Very dissatisfied with the land policy -0.750 0.412 -0.905 0.309
Land area per capita of household 0.154 0.080* 0.119 0.165
**
Proportion of migrant workers in household 1.240 0.048 0.999 0.100
Proportion of landless people in household -0.034 0.128 -0.145 0.806
Farm income as the major income of family -0.205 0.699 -0.182 0.732
Non-farm income as the major income of family -0.096 0.846 -0.042 0.932
Non-farm income as the whole income 1.727 0.002*** 1.741 0.002***
Based on the model, a number of factors significantly influence land transfer-out in a positive way, including
households with all income from non-farm channel, households whose major income is from migrant working and
proportion of migrant workers in household, etc. Possibility of land transfer-out will increase by 245.6% if there are
more migrant workers in a family. The result confirms viewpoint that non-farm employment of peasants are
beneficial to farmland transaction (Yao Yang 2000, He Zhenhua 2006). Similar to the case of land transfer-in,
proportion of landless people in household does not significantly influence the land transfer-out. Thus whether
there are landless people in family is not the major reason for land transfer-out, with hypothesis (5) proved false.
From the models of land transfer in and out, landless peasants are not related to land transfer in and out. On the
contrary, the number of migrant workers in family affects land transfer in and out significantly. The more migrant
workers there are in a family, the more they are reluctant to transfer in land and are willing to transfer out land.
The conclusion indicates at present, land transfer-in does not serve as peasants’ approach to gain land. Being
landless, peasants prefer to be migrant workers instead of land transfer-in. Therefore, being migrant workers
serves as substitution for peasants’ landless status. This conclusion is consistent with relevant reports.

Chun-Rong Shang
Landless Peasants and Family Inheritance of Land

Apart from land redistribution and land transaction, family inheritance is another way for peasants to obtain land.
When asked what channels are available to get land, 22.52% of respondents answered with inheritance from their
parents and land left by married sisters. Therefore, land inheritance is one of expected ways for landless peasants
to gain land see (Table 3). In terms of the question that whether there is land left in family since the latest land
allocation, 27.13% of respondents responded with the positive answer. The proportion accounts for 49.17% of
valid answers (Table 8). The result indicates that 30% to 40% of landless peasants, as a matter of fact, acquire land
through inheritance.
When asked whose land available to be farmed, 71.96% of households expressed that they could farm land left by
their parents, parents-in-law and married sisters (Table 9). The data demonstrates inheritance relationship
exercises more obvious effect on family land relationship. Although landless peasants do not own land under their
name, most of them inherited land from their parents or married sisters. With intention to cultivate land, landless
peasants usually farm land left by their parents or married sisters. Based on this result, land inheritance
relationship within family has become a universal fact.
Table 8. Number of people who have left their farms
Effective
Frequency Percentage（%）
Number of People Who Left Land percentage（%）
None 92 28.05 50.83
0.25 1 0.30 0.55
0.5 4 1.22 2.21
1 51 15.55 28.18
2 17 5.18 9.39
Above 3 16 4.88 8.84
Missed 147 44.82
Total 328 100.00
Note: 0.25 and 0.5 represent land left by one person is equally assigned by four or two sons, everyone acquiring 0.25 or 0.5 part of the land.
Table 9. Whose land you may cultivate if you want to cultivate the land
Option Frequency Percentage（%） Effective percentage（%）

Parents 160 48.78 66.95
Parents-in-law 38 11.59 15.90
Married sisters 26 7.93 10.88
Both Parents and sisters 12 3.66 5.02
Others 3 0.91 1.26
Missed 89 27.13
Total 328 100.00

Chun-Rong Shang
CONCLUSIONS AND IMPLICATIONS ON RELEVANT POLICY

As research result illustrates, of land redistribution, land lease and family inheritance, land redistribution no longer
serves as the expected approach for landless peasants to meet their need for land. Landless peasants are more
inclined to be migrant workers instead of gaining land use right through land transaction market. Family inheritance
is, in fact, a practical access to land for landless peasants.
The demographic change is deemed as the main reason for common land redistribution in most villages. As shown
in the research, in villages implementing the 30-year land policy with invariant contract period, landless peasants
are less willing to conduct land redistribution. Increase of landless population fails to give rise to redistribution of
the village collective land. Therefore, the research does not support the viewpoint that demographic change is the
major reason for land redistribution. Meanwhile, existence and increasing number of landless peasants does not
play a crucial role in influencing land transfer in and out of rural households. Consequently, the presence of landless
peasants does not fuel the land transaction, but to a certain extent promotes land inheritance within family in a
widespread way.
With respect to implications on land policy, in villages implementing the 30-year land policy with invariant contract
period, land pressure for landless peasants have been alleviated by family inheritance and substitution effect
brought by migrant working. Existence of landless peasants does not shake or impede implementation of long-term
land policy. Effect of landless peasants was exaggerated by the statement that landless peasants are potential crisis
lying behind stability and development of rural society. Through land heritage and land transaction, landless
peasants’ demand for land is fulfilled. Thus inheritance relationship within family should be clearly defined at law
and policy level, with system barriers in land transaction eliminated. Meanwhile, in contracted land transaction, it is
necessary to establish the dominant position and autonomous decision-making power of peasants. Effort should
also be devoted to promoting land transaction market development, constructing land transaction market as an
important approach for peasants to obtain land management right.
REFERENCES
Cao Yang. 2005. "Conflicts and Development Trend of Rural Land Inheritance System and Community Ownership of
Rural Land . " Theory Monthly. No.9. pp.5-9.
Chen Fagui. 2010. "Influence of long-term Invariant Land Contract Period on Landless Peasants." Journal of Sichuan
Administration College. No.2. pp. 70-73.
Fu Chen and John Davis.1998. "Land Reform in Rural China since the Mid-1980s. "Land Reform. No.2. pp. 123-137.
Gong Weigang.2009. "Regional Differences in Rural Population Change and Practice of Land System. "Study and
Practice. No. 6. pp. 107-115.
He Zhenhua. 2006. "Migration of Peasants, Transaction of Farmlands and the Efficiency of Land Allocation . " Fudan
Journal. No.4. pp. 95-102.
Liu Kechun and Lin Jian.2005. "Market Transaction and Administrative redistributions of Farmland Contract and
Management Rights: Theory and Empirical Analysis Based on Rural Household Level and Case Study of Jiangxi
Province. " Journal of Quantitative and Technical Economics. No.11. pp. 99-111.
Liu Kechun and Lin Jian. 2005. "Landless Married Women in Rural Areas and Farmland Transaction: Based on
Empirical Research on Households in Jiangxi Province. " Chinese Rural Economy. No.9.pp. 48-55.
Liu Xiaoyu and Zhang Linxiu. 2007. "The Determining Factors to Affect Stability of the Property Rights of Rural Land .
" Journal of Agricultural Economics. No.4. pp. 11-22.
Li Guangquan and Nie Hualin. 2010. "Constructing Institutional Framework for Integration of Landless Migrant
Workers into City . " Contemporary Economy and Management. No.5. pp. 43-48.

Chun-Rong Shang
Qu Futian, Chen Haiqiu and Yang Xuecheng.2001. "Research on Policy of 30-year Rural Land Use Right in
Economically Developed Areas: A Case Study on Jiangsu Province. " Issues in Agricultural Economy. No.4. pp.
17-25.
Qu Yongqian. 2006. "The Unnegligible Problem of Landless Peasants. Tribune of Village and Townships. " No.
12.pp.20.
Qian Zhonghao. 2002. "Incomplete Property Right of Rural Land Contract and Management Rights and Market
Transaction Predicament: Theory and Policy Analysis . " Management World. No.6.pp.35-47.
Scott Rozelle, Loren Brandt, Li Guo, and Jikun Huang. 2002. "Land Rights in China: Facts, Fictions, and Issues. "
China Journal. No.47. pp.67 – 97.
Shi Shengyao.2010. "Inheritance of Land Contract and Management Rights: Basis and Measures of Transaction. "
China Land Science. No.1. pp.27-30.
Sun Yaowu. 2006. "Thinking on Solving Problem of Landless Peasants." South China Rural Area. No.1.29-30.
Ye Jianping, Roy∙Prosterman and Xu Xiaobai. 2000. "Research on 30-year Use Right of Chinese Rural Land. "
Management World. No. 2. pp.163-172.
Ye Jianping, Feng Lei, Jiang Yan, Roy Prosterman and Zhu Keliang. 2010. "A Survey of and a Study on the Rights of
the Use of China's Rural Land in 2008: A Survey on 17 provinces and Suggestions for Policy . " Management
World. No. 1. pp.64-73.
Ye Jianping, Jiang Yan and Feng Lei. 2006. "A Survey of and a Study on the Rights of the Use of China's Rural
Land in 2005: A Survey on 17 provinces and Suggestions for Policy. " Management World. No.7. pp.77-84.
Yang Xuecheng, Zhao Ruiying and Yue Shuming. 2008. "Thinking on Rural Land Relationship: Based on Survey of
Shangdong Rural Households from 1995 to 2008. " Management World. No.7. pp.53-61.
Yao Yang. 1999. "Non-farm Employment Structure and Development of the Land Lease Market. " China Rural
Survey .No.2. pp.16-21.
Yao Yang.2000. "Chinese Land System: An Analytical Framework. Social Sciences in China ". No.2. pp. 54-65.
Zhang Runqing, Qiao Lijuan and Zong Yixiang.(2008). "Research on the Cause, Income and Existence of Peasants: A
Case Study about 32 Counties in Hebei Province." Finance and Trade Research.No. 3.pp.22-26.
Zhao Yang. 2004. "A New Understanding of Farmland Redistribution Syetem. "China Rural Survey No.4.pp.22-30.
Zhang Zhaoxin.2003. "Land Transaction and Land Rights and Interests of Landless Population [M]. Rural Research
Center, Ministry of Agriculture. Chinese Rural Research Report. "Beijing: China financial and Economic
Publishing House.pp.498-501.

THE FUNCTIONS AND ROLE OF LIVESTOCK SPECIES IN WELLBEING AND DEVELOPMENT
OF RURAL COMMUNITIES OF TIMOR-LESTE
Elisa Maria Varela Bettencourt,

ICAAM and Department of Veterinary Medicine,
University of Évora, Portugal, emvb@uevora.pt
Mario Tilman
Universidade Nacional Timor Lorosa’e
Díli, Timor-Leste, mfvista_5@yahoo.com
Vanda Narciso
Independent research
Portugal, vandanarciso@gmail.com
Maria Leonor da Silva Carvalho
University of Évora, Portugal, leonor@uevora.pt
CEFAGE and Department of Economics
University of Évora, Portugal, pdamiao@uevora.pt
ABSTRACT
The livestock species play very important economic and socio-cultural roles for the wellbeing of rural households which include
food supply, source of income, asset saving, source of employment, soil fertility, livelihoods, transport, agricultural traction,
agricultural diversification and sustainable agricultural production. The objective of this work was to identify and characterize
the different roles that livestock species play in rural communities of Timor-Leste. Special attention was given to the socio
cultural functions. The primary data used in this study was a questionnaire survey made in 2011 in three rural communities in
the district of Bobonaro and as secondary source the numerous studies made about the livestock species in Timor-Leste. The
results showed that livestock production and livestock species play important economic functions, as well as social and cultural
roles for rural communities of Timor-Leste. Livestock species are a very important driver for the development and wellbeing of
rural communities of Timor-Leste and livestock policies should incorporate not only economic but also the social and cultural
roles of livestock species.
Keywords: Livestock, economic, household, leisure, sociocultural, Timor-Leste
INTRODUCTION
The livestock species play very important economic, social and cultural functions for rural households in developing
countries once they contribute to improve income and wellbeing of the smallholders family. Livestock helps on
food supply, family nutrition, family income, asset savings, soil productivity, livelihoods, transport, agricultural
traction, agricultural diversification and sustainable agricultural production, family and community employment,
ritual purposes and social status (Moyo et al 2010).
Livestock functions can be classified in several ways. According to FAO (ILRI 1995), two widely used classifications
are based on the kinds of output produced (food, cropping inputs and raw materials) or in the uses (household
consumption, supply of inputs, cash income, savings and investment and social and ritual roles) in which these
outputs are put on. Another classification divides livestock functions in economic (source of cash income, mean of
savings accumulation and investment, economic status), household use (feeding, transportation, fertilizer and
animal draught), sociocultural (social status, paying bride wealth, providing animals for communal feasts or
sacrifices) and leisure (horse racing, cock fighting, bullfight, hunting).
Livestock production in Timor-Leste is predominantly familiar and mostly integrated into the way of life of rural
families and communities. Since long ago, livestock plays several roles that are documented since the late
nineteenth century. The main livestock species include chickens, pigs, goats, horses, cattle, buffaloes and sheep.

Elisa Maria Varela Bettencourt, et al
The aim of this work was to identify and analyze the functions that livestock play for rural communities of Timor-
Leste. After this introduction, in the second part material and methods are set, in the third section the results and
discussion are presented and in the final part the main conclusions are drawn.
METHODOLOGY
The data were obtained through primary and secondary sources. The primary data was collected in 2011 through a
questionnaire survey of 102 households. Households were selected by convenience sampling in which the role of
the traditional authorities, head of Suco (village), was fundamental. The survey was conducted in three rural sucos,
Tapo-Tas – mountain area, Tapo-Memo – irrigation plain and Aidabaleten - coastal area, of the district of
Bobonaro. The questionnaire characterized the economic and sociocultural functions that livestock production
plays in the life, wellbeing and development of rural households and communities. Find bellow mps 1 and 2 about
Districts of Timor-Leste and Sucos of Bobonao district .
The secondary sources used come from historical and recent publications and official statistics of Timor-Leste, and
are complemented by the invaluable field experience and knowledge of the authors. The analysis performed was
essentially descriptive and qualitative, highlighting the functions that livestock still performs in the rural
communities of Timor-Leste.
Figure 1. Districts of Timor-Leste
Figure 2. Districts of Timor-Leste
Source: DNE (2011)

Agriculture is the main economic activity in the three sucos selected, more than 90% of household rear livestock
species, being chicken, pigs, goats and cattle the most important, and more than 70% are involved in crop
activities, being maize and cassava the most relevant. The data obtained from the survey and secondary sources
were organized in four items: economic, household use, sociocultural and leisure functions.
Economic
Livestock is an important source of monetary income, and a way of capital accumulation and savings for Timor-
Leste rural population. This capital is mobilized and used whenever there is domestic needs. The livestock species
that contribute most to household monetary income of the three sucos surveyed are pigs, chickens, cattle and
goats, being buffalos residual. Regarding selling livestock production, among the households that are involved in
livestock rearing, 77.8% sell sheep, 66.7% goats, 60.0% chickens, 58.8% cattle, 51.8% pigs and 46.7% buffalos
(Table 1). When livestock is compared with other sources of household income, the majority of the households
ranked livestock as their most important second and third source of income, but ranked fourth as the first source
of income (Table 2). Cash income received from livestock selling and from other economic activities is used to pay
the school of children, to buy clothes, tools and food and for 36.3% of the households to buy new animals to rear.
Table 1: Percentage of households that rear livestock and sell

Species Tapo-Tas Tapo-Memo Aidabaleten Total
Chickens 43.5 78.6 55.2 60

Pigs 34.5 77.8 44.4 51.8
Goats 100 63.2 65.2 66.7
Cattle 66.7 35 70.4 58.8
Buffalos 25 0 66.7 46.7
Sheep 100 0 75 77.8
Source: Authors’ survey
Table 2: Households ranking of livestock as a source of income

Tapo-Tas Tapo-Memo Aidabaleten Total Sucos
nd
2 3th 2nd 4th
1st source of income
2nd 1st 1st 1st
2nd source of income
1st 1st 3th 1st
3rd source of income
Household use
Regarding regular consumption of meat, the majority of the population eat meat only once a week (53.9%) and
31.4% twice a week (Table 3). Tapo-Memo population has higher consumption of meat than the other two sucos,
perhaps because it is a more urban suco than the other two. These overall results are better than the ones
obtained by Deus (2011) for Letefoho sub-district (Ermera district), where the majority of the population eat meat
once a month (47.7%) and 29.1% twice a week. These modest results confirm some of the descriptions made
during Portuguese colonial period that there were significant livestock numbers, however and in spite of being an
important source of protein, the population rarely consumed their animals at home, except during funerals or
feasts. The most used livestock species for self-consumption by the households that rear livestock are chickens
(66.3%), goats (46.7% ) and pigs (31.3% ) while sheep, buffalos and cattle are the species less utilized (Table 4).

Table 3: Number of times that households eat meat per week

Times per week Tapo-Tas Tapo-Memo Aidabaleten Total
0 0 0 20 6.9
1 74.3 25 60 53.9
2 17.1 65.6 14.3 31.4
3 8.6 6.3 5.7 6.9
4 0 3.1 0 1
Total 100 100 100 100
Table 4: Percentage of households that rear livestock and use it for self-consumption
Chickens 39.1 89.3 65.5 66.3
Pigs 3.4 55.6 37 31.3
Goats 33.3 63.2 34.8 46.7
Cattle 9.5 25 18.5 17.6
Buffalos 25 50 11.1 20
Sheep 0 0 12.5 22.2
The old descriptions referred that milk, mixed with rice or crushed corn, was consumed as a tasty delicacy and that
the milk left was sold (Martinho 1936). At present, milk from local production is not drunk for safety reasons, while
eggs consumption is restricted, mostly due to the fact that in the free ranging system it is often difficult to find and
collect the eggs.
Animal manure is widely used to fertilize the different crops. The use of draught animal in crop activities, buffalos
and horses, is mainly confined to land preparation of rice fields while tools are used in all other crops and other
cultural operations. For instance, the households of Tapo-Tas only use tools in land preparation, while in Tapo-
Memo and Aidabaleten, where the rice is an important crop, around 40.6% and 22.9% of households use draught
animals (Table 5). In these two sucos, the large majority of the animals used are owned by the households. For
Baucau Distrct, Silva (2011) found that around 52.1% of farmers use buffalos and 24% use horses in rice land
preparation.
Table 5: Percentage of households using animal draught power
Tapo-Tas Tapo-Memo Aidabaleten Total
Animal draught 0 40.6 22.9 20.6
Owned 0 84.6 100 90.5
Rented 0 15.4 0 9.5
During the Portuguese colonization and Indonesian occupation, several unsucessfull attempts were made for the
introduction and to reinforce the usage of animal draught, not only for rice but also for the other agricultural
activities such as maize. Ploughs are not used by the rural population of Timor-Leste once the country is outside the
diffusion area of the Chinese plough, that reached Philippines and North Borneo, and also from the Indian plough,
that affected Java and Bali (Thomaz 1973¸ OXFAM 2004). As a mean of transportation, horses are still used, mainly
in mountainous regions, but much less than were in the past. However, when families do not have another mean of
transport, they use the animals mainly for cargo.
Sociocultural
In Timor-Leste livestock ownership, in special cattle and buffalos, is owned as an index of social wealth, an outward
sign of wealth, the greatness of a King or a simple man was and is assessed by the size of the herd (Valdez 1929;
Artur 1926; Costa 1950; Silva 1954; Friedeberg 1974; Cruz 2003; MED 2008). According to Cinatti (1987), in
Timorese society, the buffalo is one of the most useful/helpful animals. The buffalo is a “multi-task” animal: feeds,
works, gives prestige and is used in ceremonies. During the last century, several authors mention the buffalo as the

sacrificial animal per excellence in agriculture, weddings and burial rituals (Valdez 1927; Martinho 1936; Thomaz
1974; Sá 1963). Martinho (1936) refers that “estilos” of "Ocoí-Mate" cause the dead of some thousands buffalos,
pigs and goats around the year. Even nowadays buffalos are part of the “barlaque” (bride wealth) and are
indispensable in “estilos” of Ocoí-Mate. The estilo of "Ocoí-Mate" is a memorial service for departed souls.
Animistic and superstitions says that the soul of the deceased does not feel quiet if relatives, do not sacrifice a few
buffalos during the funeral ceremonies. Buffalo meat is of inferior quality than cattle meat but in Timor-Leste is
appreciated and used extensively in most of the territory. The most valuable buffalos are those with the biggest
horns and not with the largeste size and volume of the body.
One of the social functions is the use of animals for the fulfilment of a set of rituals and social obligations (funerals,
ritual slaughter, and bride wealth) of families and communities, either formal or informal. For the three sucos
studied, the animals that are more relevant for traditional ceremonies and festivities “estilos” are pigs and cattle
followed by chicken and goats. Cattle are more important for Tapo-Tas and Aidabaleten, while pigs and chicken are
for Tapo-Memo (Table 6). Regarding the households that are involved in livestock rearing, 51.5% use cattle, 47.0%
pigs, 46.7% goats and 30.0% chickens for cerimonies.. The animals used are cooked, often in a special way, and
shared by participants. And the reading of omens, through he inspection of the entrails, especially the livers of
sacrificed animals, is made by local experts. (Sousa, 2010). Among the several ceremonies performed around the
year, it is worth to highlighting the “Finados” celebrated by 99% of respondents followed by the day of All Saints
(Table 7).
Table 6: Percentage of households which use livestock animals for ceremonies and festivities
Chickens 17.4 64.3 6.9 30
Pigs 31 74.1 37 47
Goats 33.3 63.2 34.8 46.7
Cattle 47.6 55 51.9 51.5
Buffalos 0 0 11.1 6.7
Sheep 0 0 12.5 11.1
Table 7: Rituals performed every year (% of households)

Build and inaugurate sacred house 28.6 15.6 22.9 22.5
Remove mourning (desluto) 25.7 28.1 20 24.5
All Sould’s day (finados) 100 100 97.1 99.0
All Saints day 68.6 93.8 71.4 77.5
Funerals 34.3 18.8 22.9 25.5
Weddings 17.1 15.6 11.4 14.7
Call the rain 60.0 37.5 17.1 38.2
Burning grass 11.4 28.1 8.6 15.7
Almost all families (97.1%) celebrate some kind of worships/ritual before or/and after harvest of the main
agricultural activities. These rituals are specifically to improve crops, animals, drought and famine, are “cycle
rituals” linked with the changing of the seasons and with the agricultural calendar and are performed as a
household or family ceremony and more than half of them as a more large communal ceremony (Table 8). In
addition to the main vegetable production, cattle and buffalos are also subject to worship/ritual, mainly in Tapo-
Tas which is in the mountain and the most rural of the sucos (Table 9).

Table 8: Type of worship/ritual made (% of households)
Individual worship 94.1 93.8 97.1 95.0
Family worship 73.5 59.4 94.3 76.2
Community worship 67.6 50.0 51.4 56.4
Table 9: Main agricultural activities subject to worship/ritual (% of households)

Maize 100 96.9 85.7 94.1
Rice 23.5 100 94.3 72.3
Coffee 64.7 6.3 2.9 24.8
Cattle 52.9 6.3 11.4 23.8
Buffalos 26.5 3.1 8.6 12.9
Fishing 8.8 6.3 60 25.7
Rural communities still perform a set of rituals with a “propitiatory” nature (before sowing, after harvest, in the
case of pests, to ask for rain or to ask to stop the rain …) and even technological innovations from outside the
community have to be integrated into the local culture, such as the ritual of Fasi karau ain (washing the feet of the
buffalo) that in the district Viqueque continues to be done, not only to animals but also to tractors (Miranda 2011).
Rituals typically involve making an offering or sacrifice, the content of which is prescribed depending on the ritual.
Beyond the prayers, songs, dances and other gifts as gold, money and areca, the people proceed to the sacrifice of
animals to offer to the spirits and/or to see in their entrails,how the harvest will be. This practice highlights the
importance of the investment made in agriculture, despite the low number of animals that each family has, they
do not fail to meet their ritual obligations, providing animals for communal feasts or sacrifices, in order to try to
ensure a good harvest. As gift/sacrified in ceremonies, the animals most used are chicken and pigs (Table 10). The
buffalos are used only by about 3% of the households.
Table 10: Gifts offered in the worships/rituals (% of households)

Cock and hen 88.6 96.9 91.4 92.2
Pigs 65.7 84.4 80 76.5
Goats 22.9 9.4 48.6 27.5
Eggs 37.1 18.8 68.6 42.2
Cattle 11.4 3.1 11.4 8.8
Buffalos 5.7 3.1 0 2.9
Palm wine (tua mutin or tua sabu) 25.7 15.6 8.6 16.7
Areca and bétele 77.1 90.6 60 75.5
Money 45.7 31.3 54.3 44.1
Gold 14.3 12.5 5.7 10.8
To fully understand the social role of livestock, it is also important to consider the role that gender plays in
livestock production. Treating the pigs and chickens is considered a women's work, while raising buffalos and
cows, which are male property, is considered a man's job. The same division applies to their commercialization,
women are in charge of small animals and men of big ones (our observations and Miranda 2011). In rituals, there
are animals that have a feminine symbolic value and others with masculine symbolic value, for instance pigs are
considered feminine social goods while buffalos and cows are masculine social goods. Comparing these findings
with the past documents, it seems that buffalos are losing importance. According to our informants, the
decreasing use of buffalos in ceremonies is not because they are not important and desirable but due to the fact
that they are very expensive and only affordable on very rare occasions and for very few families. This idea
confirmed the description made by Claudine Friedberg: she mentioned that “During my presence, these rituals

were no longer performed, undoubtedly because one no longer could afford them” referring the ‘cooling’ ritual in
which a piglet and a goat were traditional slaughtered (Friedberg 1989).
Leisure
Some of the livestock species have a leisure value once they are used for racing, hunting and fighting games and
raw materials for handicratfts. During Portuguese colonial period, the horse racing became very popular to the
Timorese people and the descriptions made say that bets were made, with participation of local and European
people, involving sometimes appreciable amounts of money, horses and riders enter into the racetrack under
standing ovations, and the public sees the race with great enthusiasm, especially the bettors (Figueiredo 2004).
Nowadays, horse racing is regaining its importance as a driver for tourism and economic development with the
construction of a hippodrome in Batugadé (border to West Timor) (Narciso 2012). Deer hunting was done in the
past and in some zones is still done nowadays. In the past, horses were used in this activity in which animals were
hunted with a javelin. The old descriptions tell us about the ability of hunters in handling simultaneously the horse
and the javelin while tracking down and killing the deer.
Cock fighting is one of the older traditions of Timor-Leste and one of the games preferred by Timor-Leste people
from all regions. It is a popular masculine pastime where women are not allowed to participate (Hicks 2001).
Cockfights are held on any social occasion when men get together, from the spontaneous to more formal occasions
and are part of many weekly markets. In the past, cocks represented always two factions or two villages and the
cock not only fight for their owners, but also for the villages or kingdoms. There were two fights, one between the
two cocks and other between the bettors belonging to the two factions.
Cock fighting is a gambling game and a very important leisure activity in Timor-Leste. It is a fight to first blood, it
makes it very quick, 10-20 seconds from the wind-up to first blood, and there is always someone on site, to stitch
up the loser and he can go home to the cooking pot or to stud. East Timorese people says gambling is in their blood
after centuries of cock-fighting and many times lose all their belongings in an afternoon of betting in cock fighting
(Braga 1935; Fontoura 1940; Sá 1963).
Cocks are admired in Timor because of their courage and perseverance and the courage of a man is sometimes
compared with that of a cock, while a coward is called a hen. The cock fighter is inseparable from his owner and it
is common to see men carrying cocks under their arms as precious possessions. Beside the fact that many drawings
tais include the cock, its representation in the coins (10 cêntimos) is a tribute to the culture and to the courage of
A Luta de Galos The cock fighting

(desporto número um dos Timorenses) (Timorese number one sport)
Galo doido, meu brinquedo, Cock crazy, my toy,
Aninhado nos meus braços. Tucked away in my arms.
Sinto o meu coração preso I feel my heart stuck
Só de pensar no combate. Just thinking about the fight.
Pintei-lhe de verde as penas I painted its feathers of green
Só a pensar no combate. Just thinking about the fight
in “Um Cancioneiro Para Timor” – Ruy Cinatti 1996 ; Translated to english by the authors.
Timorese’s people to fight over time to achieve their independence. The portuguese poet Ruy Cinatti, also in a
tribute to Timor-Leste culture make the following poem about cock fighting.

The old description says that the Timor-Leste people, with his patience and perseverance, manufactured small
articles from the black and white horns of the buffalos, such as dolls, utensils of ménage and adornments, which
are a demonstration of his skills and artistic sense (Fontoura 1940; Braga 1935). Nowadays there are some
handcraft made with animal raw materials such as skins and horns, used to build drums and other artifacts.
CONCLUSIONS
Our data with focus at the household level and the literature written about Timor-Leste identify and confirm that
livestock had in the past and has nowadays different functions for Timor-Leste rural households. These functions
are very important for the wellbeing of rural households and livestock can be used as a driver for rural
development. In addition to the economic, household use and leisure functions, our observations, interviews and
talks with local people emphasized the importance given by households and communities to the sociocultural
function. In sum, livestock is valued by local people for their multiplicity of functions. Many of these functions are
often ignored when estimating the total contribution of livestock to wealth and wellbeing of Timor-Leste rural
households.
The value of the livestock sociocultural functions are difficult to evaluate and specific and additional research is
needed to better understand and assess the role of livestock, to quantify its monetary and non-monetry values,
and to find out the best integrated policies able to promote the wellbeing and the development of rural
communities of Timor-Leste.
REFERENCES
Artur, R. 1926. “Politica, Administração e Trabalho na Província de Timor – A organização agrária”. Boletim da
Agencia Geral das Colónias, ano II, nº 9, Lisboa, pp: 53-86.
Braga, P. 1935. A Terra, a Gente e os Costumes de Timor. Cadernos Coloniais Nº7, Edições Cosmos, Lisboa.
Cinatti, R. 1987. Motivos artísticos Timorenses e a sua integração. Lisboa.
Cinatti, R. 1996. Um Cancioneiro Para Timor. Lisboa: Editorial Presença.
Costa, M. 1950. “Pecuária, Defesa Nacional”, Ano xvii, n.º s 193 – 194, Lisboa, pp: 47- 48.
Cruz, J. 2003. “Livestock Development in East Timor, in Agriculture: New Directions for a New Nation - East Timor
(Timor-Leste)”, Edited by Helder da Costa, Colin Piggin, Cesar J da Cruz and James J Fox, ACIAR Proceedings
No. 113.
Deus, C. 2011 “Impacto do desempenho da Cooperativa Café Timor na satisfação e qualidade de vida dos seus
membros”, Tese de Mestrado em Gestão, Universidade de Évora, Évora.
DNE. 2011. Timor-Leste Relatóriu Sensus 2010, suku relatóriu, Tapo. Díli: Timor-Leste: Direcção Nacional de
Figueiredo, F. 2004. Timor a presença Portuguesa: 1769-1945, Dissertação de Doutoramento em História,

Faculdade de Letras, Universidade do Porto.
Fontoura, A. 1940. “O trabalho dos Indígenas de Timor”. Congresso do Mundo Português, Volume XVI, Tomo 3, III
Secção, Lisboa, pp: 14- 95.
Friedberg, C. 1974. “Agricultures Timoraises”. Etudes rurales, Nº 53-54-55-56, pp: 375-405.
Friedberg, C. 1989. Social relations of territorial management in light of Bunaq farming rituals, In: Bijdragen tot de
Taal-, Land- en Volkenkunde, Rituals and Socio-Cosmic Order in Eastern Indonesian Societies; Part I Nusa
Tenggara Timur 145 (1989), no: 4, Leiden, 548-563. http://www.kitlv-journals.nl (June 30, 2012).

Hicks, D. 2001. “Blood and feathers – masculine identity in East Timorese cockfighting”, World and I.
ILRI (International Livestock Research Institute). 1995. Livestock Policy Analysis, ILRI Training Manual 2, ILRI,
Nairobi, Kenya, pp: 264.
Martinho, S. 1936. “Medidas tendentes à protecção e selecção das espécies pecuárias existentes na Colónia e
desenvolvimento daquelas que melhor satisfaçam a indústria pecuária, em primeira conferência económica
do império colonial português”, 3ª Comissão, Ministério das Colónias, Lisboa, pp: 1–10.
MED (Ministério da Economia e Desenvolvimento). 2008. “Relatório de Estado da Nação”, Volume IV, Relatório de
Situação de Sector, Grupo da Produção. Díli, Timor-Leste.
Miranda. S. 2011. Género e Agricultura em Quatro Distritos de Timor-Leste (Bobonaro, Ermera, Manatuto e
Viqueque). Díli, Timor-Leste: Secretaria de Estado para a Promoção da Igualdade.
Moyo, S. and Swanepoel, C. 2010. “Multifuncionality of livestock in developing communities” in The Role of
Livestock in Developing Communities: Enhancing Multifunctionality, edited by Frans Swanepoel, Aldo
Stroebel and Siboniso Moyo. Co-published by The Technical Centre for Agricultural and Rural Cooperation
(CTA) and University of the Free State.
Narciso, C. 2012. Corridas de cavalos (Horses racecourse stadium at Batugadé, in Bobonaro, East Timor).http://
www.youtube.com/watch?v=yBtVdJG7_1w&feature=plcp (June 30, 2012).
OXFAM. 2004. Overview of the rice sector in Timor-Leste. Díli: OXFAM.
Sá, A. 1963. Timor. Lisboa, Portugal: Sociedade de Geografia de Lisboa, Semana do Ultramar, Reeditado por
TimorAgri.
Silva, H. 1954. “Panorama Pecuária de Timor”. Revista de Ciências Veterinárias, Vol. XLIX.: 348–349, pp: 157–187.
Silva, J. 2011. “Desenvolvimento e recursos humanos no sector da orizicultura no distrito de Baucau em Timor-
Leste”, Dissertação de Mestrado, Universidade de Évora, Évora.
Sousa, L. 2010.” An tia: partilha ritual e organização social entre os Bunak de Lamak Hitu, Bobonaro, Timor-Leste”,
Tese de Doutoramento, Universidade Aberta, Lisboa.
Thomaz, L. 1974. “O programa económico de Timor”. Revista Militar, Ano XXVI, nº 8/9, Lisboa, pp:1-10.
Thomaz, L. 1973. "Vida Rural Timorense". Geographica, ano IX, Lisboa, Sociedade de Geografia, n° 33, pp: 3-26.
Valdez, J. 1927. "A Pecuária de Timor". Boletim da Agência Geral das Colónias, ano III. Lisboa: Agência Geral das
Colónias, n.° 19, Janeiro, pp: 85-88.
Valdez, J. 1929. “Timor e a sua pecuária”. Boletim da Agência Geral das Colónias, Ano V Agência Geral das
Colónias, Lisboa, nº 54, pp: 55-71.

PROMOTING ORGANIC AGRICULTURE TOWARDS SUSTAINABLE FUTURE OF UPLAND
FARMING COMMUNITIES IN THE PHILIPPINES
Leila D. Landicho1, Eduardo O. Mangaoang2,

Richmund A. Palma3, Maricon R. Perez4, Roselyn F. Paelmo1,
Rowena D. Cabahug1, Roberto G. Visco1 and Maryanne G. Abadillos1
1
Institute of Agroforestry, University of the Philippines Los Banos
2
Visayas State University
3
Misamis Oriental State College of Agriculture and Technology
4
Isabela State University
ABSTRACT
This paper highlights the results of the study which assessed the organic farming practices of farmers in the upland
areas in the Philippines. Using semi-structured interviews, focus group discussions and biophysical characterization
of the study sites in the seven provinces of the Philippines, results revealed that majority of the farmers are now in
the transition stage from conventional agriculture to organic agriculture. A number of upland farmers have been
engaged in this practice even before the promulgation of Organic Act of Agriculture 2010. The shift from
conventional to organic agriculture was facilitated by the realization of the farmers about the health and food
safety of the consumers and the farmers, the cheaper cost of inputs, and the preservation of their traditional and
local practices in agricultural production. Similarly, the consumers have also started to recognize the health and
environmental contributions of organic farming, and thus, there is a growing demand for organic food products.
Despite these prospects, however, the wider adoption of organic agriculture is faced with a number of challenges
such as the lack of financial and technical capacity of the smallholder farmers to meet the certification required by
the Organic Agriculture Act of 2010; problem on the transport and marketing of organic food products considering
the emerging marketing arrangements with the traders; and, the quality of the organically produced agricultural
products. These findings, therefore, suggest the enhance the technical and financial capacities of smallholder
farmers to sustain their engagement in organic agriculture; address the institutional constraints in the adoption of
organic agriculture; and, intensify the promotion of organic agriculture in all sectors at all levels.
INTRODUCTION
Organic agriculture is defined as all agricultural systems that promote environmentally, socially and economically-
sound production of food and fibers [1]. Organic agriculture also reduces the use of chemically-based external
inputs, instead, it promotes the law of nature to increase the agricultural yields and disease resistance. Organic
agriculture is becoming increasingly popular throughout the world. In 2005, the world organic land
amounted to 30.6 million hectares (Willer and Yussefi, 2007). The shift from conventional to organic
agriculture is attributed to the growing concern for health of the farmers, food safety and the
environment. Organic agriculture has now become an alternative for an increasing number of consumers
that are worried about the presence of chemical residues on the food products, and the negative
consequences on the environment brought about by chemical-based production systems.
In the Philippines, the adoption of organic agriculture has already been in place even before the promulgation of
the Philippine Organic Agriculture Act of 2010. The essence of organic farming was realized when the farmers and
even the scientists have observed the negative effects of the conventional agriculture to the environment, land
uses of the farm, health and socioeconomic conditions of the farmers, particularly the smallholder farmers.
This paper highlights the different organic farming practices that are currently being employed by the smallholder
farmers, including the problems that are being encountered from production to marketing stages. Specifically, this
paper dwells on the perceptions of 155 smallholder upland farmers about the technical viability, environmental,
socioeconomic and cultural implications of their farming practices; and, the perceptions of 1000 consumers about

Leila Landicho, et al
organic food products, and the emerging relationships between the producers (farmers) and the consumers
(traders and consumers).
PROSPECTS OF ORGANIC AGRICULTURE IN THE PHILIPPINES
Farmers’ shift from conventional to organic agriculture
Generally, the farmers that were included in this study have already recognized the importance of organic
agriculture. Despite the many years of farming which heavily made use of chemical inputs , the farmer-
respondents have been starting to adopt the organic farming practices (Table 1) in their agricultural production
activities because of the cheaper cost of inputs as mentioned by many (21%) of them (Table 2). The organic
farming inputs are just around their farms such as farm wastes, rice hull, animal manure, and composts which can
be used as fertilizers. Other plant species with botanical properties that could serve as insect pest repellent are
likewise available, if not in their own farm, within the community. These materials do not entail any cost compared
when one farmer buys chemical fertilizers and pesticides .
It is noteworthy that the farmers began to recognize their health and safety on the use of organic inputs as
indicated by 17% of the farmer-respondents. Because these are chemical-free, then the exposure of the farmers in
the application of these inputs would not be harmful to them, and their consumers. They have also realized the
need to bring back soil fertility, which has been lost when these were exposed to the different chemical inputs
(6.4%). These realizations may have been brought about by their attendance to the seminars and training on
organic farming/agriculture.
Table 1. Duration of farmer-respondents’ organic farming practices in the Philippines
NUMBER OF YEARS IN ORGANIC FARMING FREQUENCY %

<one year 20 12.90
1-3 years 63 40.64
4-6 years 24 15.48
7-10 years 19 12.25
>10years 29 18.70
TOTAL 155 100
Table 2. Motivating factors in the adoption of organic farming practices
MOTIVATING FACTORS FREQUENCY %

Seminars and training 30 24
Cheaper cost of inputs 26 20.8
Department of Agriculture 24 19.2
For health reasons 21 16.8
Need to bring back soil fertility 8 6.4
Old practice 5 4
Environmental conservation 3 2.4
Market demand 2 1.6
Experiences of other farmers 1 0.8
Resources are available within the farm 1 0.8
Easy to do 1 0.8
TOTAL 125

The variants of organic farming practices are shown in Table 3. Majority (50.85%) of the farmer-respondents use
organic fertilizers, while a few makes use of botanical pesticides (9.40%), produce free-range chickens (7.69%); use
chemical-free forage crops as feeds for the livestock (5.98%), and plant alternate hosts of pests (5.12%) such as
madre de cacao (Gliricidia sepium), marigold (Calendula officinalis) and tanglad ( Cymbopogon ciatrus). These
species exude odors that attract some insect pests. Majority of the farmer-respondents (40.58%) have been
employing these organic farming practices for 1-3 years only. These practices may have been adopted by these
farmers after they were trained by the Department of Agriculture and the local government units, when the
Organic Agriculture Act was put into law in 2010. There are some farmer-respondents (18%), however, who have
been engaged in these practices for more than 10 years already. The continuous use of these practices, therefore,
indicates their effectiveness in the agricultural production activities of the farmer-respondents.
Table 3. Organic farming practices employed by the farmer-respondents.
ORGANIC FARMING PRACTICES FREQUENCY* %
Use of organic fertilizers 135 57.69
Use of vermicast/compost 10 4.27
Use of botanical pesticides 22 9.40
Planting of alternate hosts 12 5.12
Use of chemical-free forage crops as feeds 14 5.98
Production of free range chickesn 18 7.69
Use of indigenous varieties 3 1.28
Use of green manure 12 5.12
Mulching 8 3.41
TOTAL 234
*multiple response
Perceived contributions of organic farming system on the environmental and socioeconomic conditions of the
farming communities
The farmer-respondents have already observed the effects of their organic farming practices to their agricultural
production. These include the improved soil conditions, less incidence of pests and diseases, and improved crop
growth (Table 4). The farmer-respondents also believed that organic farming practices, are environment-friendly,
and therefore, would not contribute to the air pollution or greenhouse gases emissions. This, therefore, would
contribute to a healthy society. Meanwhile, 77% of the farmer-respondents realized that organically-grown
products ensure food safety and health of both the farmers and the consumers . These findings are validated by
the argument that organic agriculture can produce safe food and support a varied diet; increase income and/or
return on labor; reduce costs of production; reduce the risk of crop failures and their effects; make farmers and
consumers more aware of the need for sustainable production and consumption, importance of clean and safe
food and the need for environmental protection; and, recognize the value of traditional knowledge [2].
Table 4. Observed effects of organic farming practices on the soil condition of the farms.
EFFECTS OF ORGANIC FARMING ON SOIL CONDITIONS FREQUENCY %
Ensures food safety and health of farmers and consumers 184 100
Improved crop growth 154 99
Environment-friendly 148 87
Improve soil conditions 126 79
Less incidence of pests and diseases 117 72
Provides higher income 101 68
Less cost of inputs 47 32
More pests and diseases 37 23
Soil acidity decreases 34 21
Enhances biodiversity 6 5
*multiple responses

Potential market demand for organic food products
A survey of 1000 consumers indicates that the consumers are already aware about organic farming. This could be
explained by the fact that most of the consumer-respondents have higher educational attainment and whose
occupation may have exposed them to these kinds of agricultural developments. Except for the issue on
certification of organic food products, the consumers are already aware about organic agriculture including its
health benefits. They are also aware that organic food products command higher prices than the conventional
products. Most of them are also aware that there are farmers within their locality that are engaged in organic
farming, and there are organic food products that are available in the supermarkets.
The market of organic products is growing as the number of people willing to eat organic food and pay premium
price is increasing [3]. Table 5 shows that majority of the consumers recognize the benefits of organic food
products. They believed that organic food products are safe and healthy. While they viewed that there is no
assurance whether these organic food products are 100% chemical free, they said that these products taste better
than conventional food products. However, these are not always available in the market, and still, many of them
believe that since there is no proper labelling that these are indeed certified as organic food products, then there is
no assurance of its authenticity. Despite these, however, the consumers also claimed that these products are more
expensive compared to the conventional food products.
Considering their health and environmental benefits, the respondents argued that it is fair to put premium on the
organic food products. While organic food products are usually smaller in size compared to conventional food
products, they taste better than the latter. In addition, their shelf-life is longer than the non-organic food products.
These findings validate the argument that people who purchase organic food have been classified into four groups,
namely: the greens or those who are concerned with the environment; food phobic or people who are concerned
about chemical residues in food; humanists or those who are pre-occupied with factory farming methods; and,
hedonists or those who believe that premium products must be better if these importantly taste better [4].
Table 5. Consumers’ perceptions about organic food products.
PERCEPTIONS AGREE DISAGREE

Organic food products are safe 734 44
Organic food products are healthier 718 75
There is no assurance whether there is zero chemicals 631 144
Organic food products taste better than conventional products 570 164
Producing OFP is environment-friendly 504 23
Organic food products are not always available in the market 498 219
There is no proper labelling, hence, no assurance of good quality 483 322
Organic food products are more expensive that non-organic 472 249
It is fair to put premium on OFP because of health and environmental benefits 390 322
Shelf life of organic food products is longer than non-organic 302 209
Organic food products are smaller in size compared with non-organic 301 215
I do not see benefits of organic food products 81 682
Legal mechanism in promoting organic agriculture
The Philippine Organic Agriculture Act was put into law in 2010 and is currently being implemented by the
Department of Agriculture and other concerned national government agencies and local government units.
Because of this law, a budget is allocated for the promotion of organic agriculture throughout the country. Thus,
training and seminars and other information and education campaign activities are available and accessible to the
smallholder farmers. The local government units have also facilitated the organization of farmers engaged in
organic farming. As such, the smallholder farmers could enhance their social and financial capitals that would help
sustain their farming system.

DILEMMAS AND CHALLENGES IN PROMOTING ORGANIC AGRICULTURE
While organic agriculture offers opportunities that are geared towards ensuring food security and safety of the
populace, the promotion of this farming system is also constrained by some challenges at the farm and institutional
levels. These are as follows:
1) Lack of financial and technical capacity of the smallholder farmers to meet the certification required by the
Organic Agriculture Act of 2010. The smallholder farmers are those who cultivate an average of 1.5 hectares
of farms, with limited farm income, and whose production orientation is on a small-scale level, and who do not
have control over the market prices. However, the Organic Agriculture Act of the Philippines requires the
certification of organic farms by a third-party certifier, to facilitate labelling and marketing their products to
supermarkets. Such certification requires big financial capital, which is not be affordable among the
smallholder farmers. As such, the smallholder farmers could not compete with the conventional food products,
because of the lack of label.
2) Problem on the emerging marketing arrangements with the traders. Because of certification standards, the
big supermarkets could not just accept organic food products which are not labelled accordingly. Thus, only
the commercial-level organic farms could access the big market. The smallholder farmers transport their
products to the nearest market within their communities. In most cases, these organic food products are
mixed with conventional food products, and therefore, the price is almost similar. There are some
communities, however, where the local government units organize an “Organic Market/Tiangge” regularly to
help promote the organic farm products of the farmers. In this way, the organic food products could command
higher prices. However, not all the communities organize this kind of marketing strategy, and thus, the
problem on marketing continues to persist in most of the upland communities.
3) Insufficient supply of organic inputs/fertilizers. There are farmers’ groups who reported that at present, the
organic farming practices are laborious, which imply the need for more capital to meet the labor requirement.
They have also an insufficient supply of organic fertilizers, because it takes time to produce organic inputs, and
sometimes, they could not follow the recommended rate because of the insufficient supply.
IMPLICATIONS TO SUSTAINABLE DEVELOPMENT OF UPLAND FARMING COMMUNITIES
As defined by the Brundtland Commission, sustainable development is development that meets the needs of the
present without compromising the ability of future generations to meet their own needs. Organic agriculture offers
good opportunities towards the sustainable development of upland farming communities. Foremost, organic
agriculture promotes the use of natural and farm-based resources and inputs which abound within the community,
and therefore, it does not require high input costs on the part of the farmers. It encourages integrated farming
(multiple cropping), which promotes multiple harvests all year round, and thus, ensures food availability. This
farming system prevents the use of chemical-based inputs, and thus, it ensures environmental integrity and
enhances food safety and human nutrition
With these potentials, therefore, there is a need to intensify the promotion of organic agriculture not only in the
developing countries like the Philippines, which serve as the food producers, but also among the developed
countries which serve as the consumers and market of the organic food products. In the Philippines, the wider
adoption of organic agriculture would only be possible if appropriate institutional support systems will be set up by
the concerned national government agencies. These include the provision of technical assistance to enhance the
technical capacities of the smallholder farmers; effective linkage-building between the producers and the
consumers to ensure the sustainable marketing of organic food products; and, review and amendment of the
existing Organic Agriculture Act particularly the certification standards that would be fit to the existing conditions of
the smallholder farmers who constitute a big chunk in the farming sector of the country

ACKNOWLEDGEMENT
The authors acknowledge the Department of Agriculture-Bureau of Agricultural Research for the fund support to
this research, and the Philippine Agroforestry Education and Research Network (PAFERN) for tapping the Institute
of Agroforestry as one of the collaborating institutions. We also recognize the field coordinators from the Visayas
State University (Dr. Eduardo O. Mangaoang), Misamis Oriental State College of Agriculture and Technology (Dr.
Richmund A. Palma), and Isabela State University (For. Maricon R. Perez), the local government units, and the
smallholder farmer-respondents for their active participation as research participants.
REFERENCES
Ahad S.N.B and N. Juhdi (undated). Consumers’ perceptions and purchase of organic food products: Exploring the
attitude among Malaysian consumers. In: http://www.pbfeam2008.bus.qut.edu.au/papers/documents/
SitiNorBayaahAhmad_final.pdf (accessed on February 24, 2012)
Aryal K.P, P.Chaudhary, S. Pandit and G. Sharma. 2009. Consumers’ Willingness to Pay for Organic Products: A Case
from Kathmandu Valley. Journal of Agriculture and Environment, Vol 10, 2009. In: www.nepjol.info/
index.php/AEJ/article/download/2126/1957 (accessed on December 10, 2013)
FAO, IFAD and WFP. The State of Food Insecurity in the World. 2013. The multiple dimensions of food security.
Rome, FAO. In: http://www.fao.org/docrep/018/i3434e/i3434e.pdf (accessed on December 5, 2013).
International Federation of Organic Agriculture Movement. In: G. Rundgren. Organic Agriculture and Food Security.
Dossier 1. 2002. In:/http/www.grolink,se/Resources/studies/117_Dossier_1_OA_and Foodsecurity-1.pdf
(accessed on December 15, 2013)
Rundgren, G.. Organic Agriculture and Food Security. Dossier 1. 2002. In: http:/www. http://www.grolink.se/
Resources/studies/117_Dossier_1_OA_and_Foodsecurity-1.pdf (accessed on December 15, 2013)

BALANCING GDP AND PM2.5: TOWARDS THE NEW TYPE OF URBANIZATION AND
ECOLOGICAL CIVILIZATION SYSTEM
Guoqing Li
Professor of Sociology and Director of the Center for Urban Policy and Urban Culture Studies,
Institute of Urban & Environmental Studies, Chinese Academy of Social Sciences
ABSTRACT
Currently, China faces two serious social problems, one being the integrated development of urban and rural areas, another
being the construction of the ecological civilization system. Firstly, Chinese urban population has exceeded 52%, among them,
the 20% migrant population in the cities was factored in, most of the migrant workers are known as the second
generation peasant-workers. China now has a strong commitment to promoting a new-type of urbanization building an
integrated urban-rural relationship and Chinese government has announced the plan to turn 0.1 billion migrant workers into
citizens by 2020. In rural area, farmers will be given more property rights including homestead, contracted land and village's
collective construction land. The gap of comparative interest between urban citizens and rural residents will be reduced.
Secondly, Chinese cities are suffering severe haze. Now the Chinese government is researching how to establish ecological
civilization system to protect the living environment. China will appoint the local government as a vice representative for state -
owned public resources to manage them. Also, China will deepen reform of prices, taxes and fees for resource products, and
establish a system of compensation for the use of natural resources.
Keywords: New-type urbanization; Integrated urban-rural development; Farmer's and village's property rights; Environmental
problems; Ecological civilization system construction
INTRODUCTION
Since implementation and development of the reform and economic opening policy in effect over the past 30
years, China has been experiencing a surge of rapid economic growth and urbanization. China's GDP has surpassed
Japan in 2010 coming into position as the second largest worldwide if assessed by economic aggregate. China's
urban population has exceeded 600 million. Currently, China faces two serious social problems, one being the
integrated development of urban and rural areas, another being the construction of the ecological civilization
system.
INTEGRATED URBAN-RURAL DEVELOPMENT
The current popular phrase in today's China is "integrated Urban-Rural development". The urban population has
exceeded 50% in 2011, which means the population in the cities is larger than that in the rural areas. In 2013 it has
reached 52%. During this rapid urban construction process, China's city real estate has been developing rapidly. City
construction stimulated investment in fixed assets greatly. During 1978-2012，China's total output of steel
increased from 3178 tons in1978 to 780 million tons in 2013, it accounted for half of total world output. Also,
China's cement total output reached 2.4 billion tons in 2013, it accounted for 60% of total world output. The rapid
fixed assets development supported the construction of cities powerfully.
We still cannot forget that the rural population of China accounts for half of China's total population. The ratio of
rural population to urban population is still far higher than a developed country's level. Meanwhile, as we
considered the 50% urban population, the 20% migrant population in the cities was factored in. In 2012, the
floating population in the country's urban areas was about 230 million. Rough projections show that by 2030, the
floating population, made up mostly of migrant workers from the countryside, will reach more than 300 million.
They don't have urban Hukou, the Resident Permit. They are engaged in manufacturing industry, construction
industry and service industry. Now, most of the migrant workers are known as the second generation peasant-
workers. They were born in the cities and for them it is impossible to go back to the countryside to do agriculture.
But their lives in the cities face many obstacles.
Hukou is the Chinese household registration system. Hukou has a high impact for people. Without urban Hukou,
you are not covered by social security such as social medical insurance, social welfare such as indemnificatory

Guoqing Li
housing. They also are not covered by public services of education. They cannot get a job from state-owned
company, many jobs are only open to people with city's Hukou. People lacking Hukou have a social status much
different from the urban resident because of the implications of the Hukou regulation. They are still peasants
although living in the cities. The Hukou system, employment system, personnel system and social security system
which was established during the planned economy era are the main factors hindering the integrated development
of urban and rural residents. Without urbanization of migrant workers, domestic demand cannot be expanded. It
means China has just build a lot of cities of reinforced concrete but actually a real urban market system has yet to
be established.
China now has a strong commitment to breaking the urban-rural dual structure and to promoting a new-type of
urbanization building an integrated urban-rural relationship. To do so, China needs to accelerate the process of
turning migrant workers into urban citizens. Some scholars are estimating how much financial burden is on the
government for promoting the urbanization of migrant workers and how to share those costs. In recent years, there
has been several studies using detailed, comprehensive and publicly available statistical data. The results show that
the cost of "urbanizing" each person is approximately 20,000 Yuan in a small city and 100,000 Yuan in a large city.
Chinese government has announced the plan to turn 0.1 billion migrant workers into citizens and move 0.1 billion
agricultural population to settle down in the middle-west area by 2020. It is necessary to provide housing , social
security, public education, medical care insurance to the new comers. Chinese government announced to the plans
to build 0.1 billion units of indemnificatory housing for lower income groups including migrant workers in order to
rebuild shanty areas by 2020. Moreover, the most important thing is how to develop services industry to create
employment and self-employment opportunities. Some scholars are studying how to improve the Chinese
educational system and vigorously develop employment-oriented vocational and technical education to make
migrant children able to go to the same school with citizens in the cities, and obtain employment skills. Chinese
government cancelled the standard of the enterprise registration in 2013, people are have an easier time to set up
small businesses and maintain their lives in the cities smoothly.
Since some of China's urban population is very large, although there are more employment opportunities there but
"big city malaise" is already very serious, it is first necessary to control disorderly development strictly in first-tier
cities including Beijing, Shanghai, Guangzhou and Shenzhen, and to control second-tier cities properly .The third and
fourth tier cities would be liberalized by resolving the household registration issues to turn migrant workers into
citizens. It is an "easy-to-difficult" solution: skilled workers and stable self-employed workers have first priority, last
would be low-skilled workers such as construction workers and the hired employees in the service industry since
they don't have social capital to grow up into private entrepreneurs.
TO GRANT FARMERS MORE PROPERTY RIGHTS
Meanwhile, China needs to balance promoting urbanization and building a new countryside. The most fundamental
change is to enact new laws to give peasants more property rights to promote an equal exchange of urban-rural
elements and a balanced allocation of public resources and in the process, building a new type of agricultural
operation system. Firstly, farmers will be given more property rights. The most important property is the
homestead. The farmer could not sell but they can secure, mortgage or transfer their homestead to get more
funding, then their usufruct rights of homestead will be ensured and homestead rights will improve farmer's
income. They are encouraged to develop a new type of shareholding system, such as professional family farm and
co-operative, the farmer can circulate their contacted land from which they can realize benefits.
Meanwhile, they also have the right of succession for their land and homestead property. Moreover a rural
property-right trading market will be established which means rural collective construction land can enter into the
land market directly and the farmer has the right to trade their property. A more balanced allocation of public
resources between urban and rural areas will be promoted. Migrant workers should get the same pay for the same
job. Now a migrant worker's wages are only half that of the formal workers. Farmers should receive a fair share of
the profits from land-value appreciation.
According to the Chinese constitution, local government can buy land for public projects, but farmer can only
receive 5-10% of the appreciation from the land. Deposits in rural financial institutions should be mainly used to
finance the development of agriculture and rural areas, but now the deposits from rural residents was used in cities

Guoqing Li
and the farmer has a very difficult time getting a loan from the bank. The agricultural subsidiary system and
insurance system will be improved. Social-capital investment is encouraged for construction in rural areas.
THE WORSENING ENVIRONMENTAL PROBLEMS
The second hot word is "ecological civilization system".
With the rapid economical development, China's environment is getting increasingly worse. Now most of Chinese
are very familiar with PM2.5. Chinese people realized that GDP is a double-edged sword since it is followed by
PM2.5 very closely. Chinese public consciousness is no longer interested in GDP and increased income only, but
also realizes more and more profoundly the hazards of environmental issues and the value of a good environment.
Chinese cities are suffering severe haze. The more terrible thing is that people are used to the haze already since
days of bad weather are much more than that of good weather. The main reasons are coal combustion, automobile
exhaust emission, and emissions from factories which surround the cities.
Chinese resources situation is getting worse. Chinese Ministry of Land and Resources released outcome on the
Second National Land Survey and its outcomes in December,2013. The second survey was conducted in 2007 and
was completed in 2009. The biggest surprise for the Second Survey is that in 2009 China’s total cultivated land was
13,587,000 hectares (203,800,000 mu) more than the 2009 annual-adjusted figure of the First Survey.
The main reason of increasing is Second Survey data are more comprehensive, objective and accurate thanks to
improvement in survey standards and techniques as well as taxation and fee policy adjustment in rural areas. But
although the Second Survey data shows some increase in cultivated land, the actual cultivated land remains
unchanged since this is just the change of the date of the statistic, which does not indicate new land was funded.
So China needs to stay committed to the strictest possible system for protecting cultivated land.
Meanwhile, some serious problem was founded through the survey. Firstly, the Second Survey shows that
grasslands declined by 10,667,000 hectares (160,000,000 mu) due to erosion on steppes, land cultivation, and land
conversion for construction purposes and increase in saline and alkaline land and desert in some areas. Secondly,
more than 8 million acres(50,000,000 mu) of China's farmland is too polluted with heavy metals and other
chemicals to use for growing food; and a certain amount has encountered problems in normal plantation as surface
soil has been damaged by roof fall in mines and overexploitation of underground water. Thirdly, The Second
Survey data shows that the build-up and associated land increased from 21,980,000 hectares (437,710,000 mu) to
35,000,000 hectares (524,990,000 mu).While urban construction land is increasing fast, many areas in China have
such problems as imbalanced distribution of urban construction land, extensive and inefficient land use, and the
short supply of urban construction are particularly acute.
China is still characterized by low per capita cultivated land, poor quality of cultivated land, insufficient cultivated
land reserves. Chinese per capita cultivated land is 0.101 hectares（1.52mu), just half the amount of average level
of the world. Under these circumstances, stable cultivated land in China is a little more than 120 million hectares
(1.8 billion mu). China stay committed to the strictest possible system for protecting cultivated land, to stick to the
red line of cultivated land protection and the bottom line of food security, and to ensure the basic stability of the
actual amount of cultivated land in China. For this process, rural areas will play important roles.
ECOLOGICAL CIVILIZATION SYSTEM CONSTRUCTION
Now the Chinese government is researching how to establish ecological civilization system to protect the living
environment. System building is crucial to protecting the ecological environment. Resource consumption,
environmental damage and ecological benefits should be covered by the system of standards for evaluating
economic and social development, related goals, evaluation methods. The reward and punishment mechanisms
should be adopted in keeping with the need of promoting ecological progress.
Firstly, China will draw up some red lines (critical marks)for the main function of geographic space and
improvement of the system for providing the strictest possible protection for farmland, mineral resources, water
resources, grassland and protecting the environment quality. China will appoint the local government as a
representative for state - owned public resources to manage them. Secondly , China will deepen reform of prices,

Guoqing Li
taxes and fees for resource products, and establish a system of compensation for the use of natural resources and
the subsequent impact on the ecosystem. Natural resources will not be no-owner no-price resource anymore, and
the user must pay the fee for resources. This system responds to market supply and demand and resource scarcity
and recognizes ecological values. Therefore China will require compensation to obtain enough funds to rebuild the
ecological system in the interests of later generations. Also, China will carry out trials for trading energy savings,
carbon emission rights, pollution discharge rights and water rights. to establish a system . Thirdly, to realize the
above target, China is strengthening environmental monitoring while improving the system of accountability for
ecological and environmental protection and the system of compensation for environmental damage.
Meanwhile, China is increasing publicity of and education in ecological progress, raise public awareness of the
need to conserve resources, protect the environment and promote ecological progress, and foster a social
atmosphere of practicing moderate consumption and cherishing the ecological environment.
TOWARDS PEOPLE- ORIENTED DEVELOPMENT
After over 30 years rapid economic development and urbanization, China has come to a new development stage.
Chinese realized both GDP and PM2.5 are closely related with people's happiness and in this is a concern not just
to improve income level, housing conditions , but also a harmonious and comfortable living environment as well.
The most critical thing for today's China is to rebuild the principle of governing the country. The point will be
turning to the people - orientated development and the purpose of economic development and urbanization must
be to meet the people's comprehensive development. This is much more tough task than economic development
and urbanization. For this purpose, establishing the authority of law, and governance the commons by people
them self will be necessary. In the field of social development and environmental governance, developed
countries have a wealth of experience and lessons which is worth understanding and learning in China .
NOTE:
1
Urbanization and the Chinese Dream, 06.13.2013http://english.caixin.com/2013-06-13/100540785.html
REFERENCES
Wei Houkai (2014). A New Road to Urbanization with Chinese Characteristics, edited. Beijing: Social Sciences
Academic Press (China).
Ostrom, Elinor (1994). Rules, Games, and Common-Pool Resources, with Roy Gardner and James Walker Ann Arbor.
University of Michigan Press.
The Decision on Major Issues Concerning Comprehensively Deepening Reforms , adopted at the close of the Third
Plenary Session of the 18th CPC Central Committee. 2013, Beijing: People Press (China).
Beautiful China-- the Five lectures on Ecological Civilization Construction ,2013, Beijing: People Press (China).

PATH ANALYSIS OF SOCIOECONOMIC DETERMINANTS IN JAPANESE INTERNATIONAL
MIGRATION IN THE 19TH CENTURY OF MEIJI ERA
Yoshio KAWAMURA, PhD

Kyoto Prefectural College of Agriculture
and Ryukoku University, Kyoto, Japan
ABSTRACT
International migration is an important social phenomenon that demonstrates the degree of dynamism of a society. However,
unlike many of European countries, Japanese international migration during the modernizing stage from the Meiji Era to World
War II were estimated as about one million at most which was about only one percent of the whole population and one
characteristic fact of this migration is that home villages of those emigrants were distributed very unevenly geographically. The
paper deals with this geographically skewed distribution of villages of those emigrants, clarifying what socioeconomic
conditions affected the migration at the village level in the early stage of Japanese modernization. The analysis is based on the
secondary data which was published by the government in 1880 (Meiji 13).
Keywords: International Migration, Japanese Emigrant, Socioeconomic Determinant Rural Community Economy
INTRODUCTION
One characteristic fact in many studies of emigration from Japan is geographic uneven distribution of their home
villages. According to the data in files of ethnic Japanese living in Hawaii in 1940 and in files of ethnic Japanese
living in the continental US in 1950, 29% of all Japanese- Americans originated from Hiroshima Prefecture, 14% from
Yamaguchi Prefecture, and 13% from Kumamoto Prefecture, followed by those from Okinawa Prefecture, Fukuoka
Prefecture, and Wakayama Prefecture, each accounting for 6-7% (Wakatsuki 1979: 104-123). Figure 1 showing
home prefectures of Japanese overseas residents in the United States and Canada are decidedly located in south
western Japan: each prefecture of the region produced more than 1% of the total population, which is a national
average percentage as emigrants to the United States and Canada .
The study by Fukuda, which identifies the spatial distribution of emigrants from Shiga Prefecture to the United
States and Canada, also shows such a regionally imbalanced distribution of emigrants even within a prefecture
(Fukuda 1986:31-55). Moreover, this kind of regional imbalance is apparent at the community level. Empirically, it
is well established that communities producing many emigrants are concentrated in specific regions
Identification of reasons for this regional imbalance of emigrants requires a comparative analysis of factors inducing
emigration. However, the studies on the causes of emigration are mostly historical analyses based on data
aggregated at the national level, time-series analyses, or similar studies limited to regions that have produced many
emigrants. Meanwhile, the regional imbalance of emigrants suggests a necessity of cross-sectional analysis based
on comparison among those regions that have produced many emigrants and regions that have not. Furthermore,
the fact that the regional imbalance is ultimately attributable to the imbalance within the communities indicates
that this type of comparative analysis at community level is appropriate.
The subject of this paper is to clarify which conditions in association with emigrants show deviations when a
community with many emigrants is compared to one without. For this purpose, as is shown by Figure 2, one
hundred and thirteen (113) communities in Inukami County in Shiga Prefecture which produced many emigrants are
selected as the object of this analysis. Regarding data related to emigrants (overseas travelers), those who had left
Inukami County for Hawaii, Canada, the United States, and Mexico during the Meiji era were extracted from the
records of passports issued and returned/maintained by the Japanese Diplomatic Record Office and aggregated at
the level of community (Diplomatic Record Office of the Ministry of Foreign Affairs, Archives). Most data related to
the community were collected from “Shiga Prefecture Product History” (Editing Committee, History of Municipality
of Shiga Prefecture 1962), most of which were issued in 1880 (Meiji 13). The data used in this analysis is extracted
from them to reflect the socioeconomic status of the community several years before emigration, which began in
the Meiji 10s.

Yoshio Kawamura
Figure 3. Statistical Analysis Procedures Related to Attribute Variables of Communities that Produced Emigrants

Yoshio Kawamura
ANALYSIS METHOD
In addition to the number of emigrants (foreign travelers) from the community, which is the explained variable
(dependent variable) [Z001], one hundred twelve (112) variables were collected as explanatory variables
(independent variables). Contents of these variables include natural location conditions of communities, distance
from the city (market), transportation modes available (oxen, horses, wagons, ships), population, land-use by
application, old specified crop, agricultural production, processing of agricultural products, consumption of
agricultural products, fishery, forestry, mining, textiles, manufacturing, etc. The analyses were designed to extract
variables that are directly associated with the number of emigrants [Z001] from the 112 variables.
Figure 3 shows the analytical procedures used to accomplish this purpose which consists of four steps. In Step I,
averages and standard deviations were measured for 113 variables including explained variables and the data was
standardized based on them. In Step II, simple correlation coefficients of all of the variables were measured. Only
variables having the statistical significance level of 5% were extracted. In this step, out of the 112 variables
prepared as explanatory variables, 40 were found to have a statistically significant correlation with the dependent
variable [Z001] . However, three among them were excluded due to lack of sufficient observations or missing
values for important communities.
In Step III, these 37 variables extracted as explanatory variables were tested to determine whether they should be
handled as independent variables as they are, and which variables should be grouped and indexed as in the same
dimension. In the latter case, they were converted to produce new independent variables (indices). In other
words, this step is a dimensional test of the explanatory variable groups and grouping. The method used here is
the one most commonly used for factor analysis (Kim 1975: 480). In addition, a varimax rotated factor matrix by
orthogonal rotation was used for dimension determination of variables. Whether variables can be grouped as
identical dimension was judged by the degree in which they are loaded to an identical factor: a factor coefficient of
more than 0.7 was used as the reference threshold. The variables are therefore strongly correlated with
corresponding factors, and this enables the groups of variables to be handled as in the same dimension.
In this step, the 37 variables were decomposed into seven factors; 11 variables are strongly correlated with FACTOR
1; 8 variables are correlated with FACTOR 2, four variables and three variables are correlated, respectively, with
FACTOR 3 and FACTOR 4. For other factors (FACTOR 5 to FACTOR 7), the existence of a plurality of variables
reaching the reference is not observed. Therefore, 26 variables correlated strongly with the four factors (FACTOR 1
to FACTOR 4) were indexed by adding variables related to each of the groups, and thus these 26 variables were
converted into four variables according to this indexing. The remaining 11 variables were considered as
independent variables as they are and used for subsequent analyses. Consequently, the 112 explanatory variables
initially used were reduced and simplified to 15 variables.
In Step IV, these 15 independent variables are tested to identify which variable has direct relation to the dependent
variable. The correlation between those variables is also tested in this step. Here, among the multiple regression
analysis methods, the path analysis method is used because the path coefficients are the standardized coefficients,
which indicate the degree of direct influences of the independent variable upon the dependent variable. Simple
correlation between two variables is considered to be either a compound result by direct relation between those
variables, an indirect relation by mediation effect of a third variable, or a spurious relation. At this analysis stage,
only the direct relations are extracted .
EMIGRANTS AND SOCIOECONOMIC FACTORS

Regarding to Inukami County during the Meiji era, the socioeconomic characteristics of the communities showing
statistically significant correlative relations with distribution status of the number of foreign travelers (emigrants) to
the United States and Canada [Z001] are summarized into 15 variables. These variables are as follows:
01 XA052: Road distance to Hikone (nearby core city)
02 Y012 : Advantages of geographical feature
03 Y016 : Presence/absence of flood damage
04 Y017 : Presence/absence of drought damage
05 FAC12 : Urban element
06 Y0462 : Miscellaneous land price

Yoshio Kawamura
07 FAC13 : Beach ridge upland farming economy

08 Y0685 : Wheat crop field productivity
09 FAC11 : Rice crop economic force
10 Y0614 : Ordinary cooking rice supply and demand balance
11 FAC14 : Barley production
12 Y0661 : soybean crop acreage
13 Y0711 : oil seed production
14 Y0118A : presence/absence of fishery products
15 Y0911A : Presence/absence of textile design
Figure 3. Statistical analysis procedures related to attribute variables of

communities that produced Emigrants
Source: Prepared by author.
Table 1 shows the simple correlations between these variables. A simple correlation can be regarded as the result
of a direct relation between two variables, an indirect relation or pseudo-relation by mediation effect of the third
variable. This analysis only deals with the direct relation between the number of travelers [Z001], as the
dependent variable, and the 15 variables indicating the communities’ characteristics as the explanatory variables.
Among the 15 variables, the first 8 variables (from XA052 to Y0685 in the above list) are conceptually differentiated
as independent variables from the rest 7variables (from FAC11 to Y0911A) .

Yoshio Kawamura
This means that the last 7 variables are defined as intermediate variables which are affected directly by the 8
independent variables and also, at the same time, affect to the dependent variable of migration [Z001]. As a result,
the causal structure on emigration [Z001] has two stratification of causality, independent and intermediate stages.
To test the variables which directly influence on the variation of the number of travelers [Z001], standardized
multiple linear regression analysis (path analysis) is applied using a stepwise method. The obtained results are
shown in Figure 4 of a path diagram of the emigrant structure. As shown in Figure 4, X–Y denotes a simple
correlation between X and Y with a number of correlation coefficient and X→Y indicates an influence from X to Y
with a number of path coefficients. “e” denotes disturbance and its square represents the portion that remains
unexplained in the model
In the figured, the coefficient of determination (R2) (= 1-e2) shows that 68% of the variation of the number of
travelers [Z001] is explained by six variables: two independent variable, Presence/absence of drought damage
[Y017] and Beach ridge upland farming economy [FAC13], and four intermediate variables, Soybean crop acreage
[Y0661], Ordinary cooking rice supply and demand balance [Y0614], Presence/absence of fishery production
[Y0811A] and Presence/absence of textile production [Y0911A]. In other words, as much as 32% cannot be
explained in this model due to unknown variables.
Path coefficients (BETA) in the figure show the degree of influence power in percentage. Accordingly, the most
important variable among these six variables is Beach ridge upland farming economy [FAC13]; 36% of change in this
variable directly and positively impact to the change in the number of emigrants [Z001] and alone explains 37% of
the variation of the dependent variable [Z001]. The next important variable is Soybean crop acreage [Y0661]; by
adding this variable, the explanatory power increases by 13%, and 34% of the variation of this variable has positive
and direct influence. Regarding to the remaining four variables, the significance of influence decreases in order of
Presence/absence of fishery production [Y0811A], Presence/ absence of textile production [Y0911A], Presence/
absence of drought damage [Y017] and Ordinary cooking rice supply and demand balance [Y0614]. By adding each
variable sequentially, the explained fractions increase by 7%, 5%, 4%, and 2%, respectively. In the mean time, the
direct influence of each variable’s change gradually decreases as positively 25%, negatively 20%, negatively 20%
and positively 15%, respectively.
Figure 4 . Path Diagram of Emigrant Structure at the Community Level

(Inukami County , Shiga Prefecture, Meiji Era )
Notes : A dash (–) denotes correlation; numerals denotes a simple correlation coefficient that is significant at the 5% significant level
The arrow (→) signifies a direct influence on the value to which the arrow is pointing, and numerals show as significant path coefficient that
is significant at the 5% significance level
Letter e denotes a change variable (disturbance) of each variable: its square denotes a portion of the explained variable that is not explained
by the model (Source: prepared by the author)

Yoshio Kawamura

Yoshio Kawamura
The most important variable among the seven intermediate variables in this causal model is Rice crop
economic power [FAC11] , which has no direct impact on the dependent variable [Z001] but directly
influences on the four important economic variables; Soybean crop acreage [Y0661], Ordinary cooking rice
supply and demand balance [Y0614], Barley production [FAC14] and Presence/absence of fishery
production [Y0811A]. Especially the direct influences on the former three variables, [Y0661] [Y0614] and
[FAC14], are strong. Furthermore, this variable [FAC11] indirectly influences on the dependent variable
[Z001], via the direct correlation with the three variables excluding barley production as the routes
(paths). In addition, Barley production [FAC14], which is strongly related to [FAC11], indirectly influences
on the dependent variable [FAC11] as the path. A similar indirect influence on the dependent variable is
observed in Oil-seed production [Y0711], which is strongly linked to Presence/absence of fishery
production [Y0811A].
Regarding to the direct influences on the number of migrants [Z001] among the eight independent
variables in the model, the most important variable is Beach ridge upland farming economy [FAC13]. This
variable directly influences on three variables; Rice crop economic power [FAC11], Ordinary cooking rice
supply and demand balance [Y0614], and Presence/absence of fishery production [Y0811A], with
especially stronger influencing relations with the last one. Wheat crop field productivity [Y0685] and
Miscellaneous land price [Y0462] are regarded as in the second importance, where the former has a direct
influence on Ordinary cooking rice supply and demand balance [Y0614] and Presence/absence of textile
production [Y0911A], whereas the latter has a direct influence on Rice crop economic power [FAC11] and
Barley production [FAC14]. Meanwhile, Urban elements [FAC12] and Advantageousness of geographical
features [Y012] directly influence on Presence/ absence of fishery production [Y0811A] and Rice crop
economic power [FAC11], respectively. It can be said that these independent variables indirectly influence
on the dependent variable of migrants.
It is worth noting that all of the independent and intermediate variables having direct influences on the
dependent variable [Z001] are statistically significantly correlated to some of the four independent
variables representing geographical conditions: Road distance to Hikone [XA052], Advantageousness of
geographical features [Y012], Presence/ absence of flood damage [Y016] and Presence/absence of
drought damage [Y017]. Namely, Road distance to Hikone [XA052] is correlated with Beach ridge
upland farming economy [FAC13], Ordinary cooking rice supply and demand balance [Y0614] as well as
Presence/absence of drought damage [Y017]. Advantageousness of geographical features [Y012] is
correlated with Ordinary cooking rice supply and demand balance [Y0614], Soybean crop acreage [Y0661],
Presence/absence of fishery production [Y0811A] and Presence/absence of textile production [Y0911A].
Presence/absence of flood damage [Y016] is correlated with Beach ridge upland farming economy
[FAC13], Presence/absence of fishery production [Y0811A] and Presence/absence of textile production
[Y0911A]. Presence/absence of drought damage [Y017] is correlated with Advantageousness of
geographical features [Y012] .
Those indirect and direct correlations tested in the path-diagram of emigration clearly indicate that the
emigration at the community level is directly or indirectly impacted by its geographic location through the
economic conditions in the community. Especially important geographic conditions are access to urban
economy, favorable land for farming, and natural disaster. The emigration related to the natural disaster
of flood is derived in the lakefront communities where develop beach ridge upland farming and fishery
production while the emigration related to the natural disaster of drought is derived in the inland
communities where develop rice and soybean production.

Yoshio Kawamura
CONCLUSION
The above causal studies on Japanese oversea immigration in Meiji era indicates that there were at least two major
factors directly affecting their international migration
1) Natural environment and natural disasters: Communities located along lake-side, having fishery production,
developing beach-ridge upland farming economy, and often suffered by floods have stronger emigrants. . In
contrast, communities located in inland with good soil, producing rice and soy-been and developing textile
production have also stronger emigrants. This indicates geographic conditions and natural disaster have vital
impacts on their migration.
2) Economic environment and economic depress: Both, communities located along lake-side, having fishery
production, developing beach-ridge upland farming economy, and communities located in inland with good
soil, producing rice and soy-bean and developing textile production have stronger emigrants . This indicates
migration in the communities has strong relation with developing commercialized economy in agriculture and
fishery. No significant migration is observed in communities located in remote and isolated areas with closed
economy. This means if prices of their products (agricultural or fishery commodities) fall down because of
markets or economic crisis, then their migration should be accelerated.
These two major factors affecting directly migration also create the following causal factors
3) Poverty and income differences: It is common to mention the degree of economic hardship as a fundamental
factor for migration, and the previous major factors associate with the degree of economic hardship. The
degree of economic hardship means poverty based on the recognition that instead of indicating a lower
economic level itself, the realized economic level is merely lower than the conventional economic level
because of natural disasters, population growth, and variation of external economy, or an income difference
recognized from comparison with economically advanced regions, even if the conventional economical level is
attained. This means relative poverty based on their subjective evaluation or the gap between expected and
realized income level is functioning as a key factor on migration.
4) Accessibility to external society: This perspective considers that an open-minded advanced region where
intercommunications with external societies take place frequently, more emigrants are produced rather than in
self-sufficient, closed, lesser-developed regions. Although exchange with external societies is specified by
developments of transportation modes and information access, this is a prior condition not only for recognition
of commercialization of agricultural production and income differences, but also for acquisition of knowledge
about overseas countries and emigration.
5) Sense of value of performance evaluation: This perspective seeks factors for emigrants in a sense of value
specifying social action of human beings. In general, a sense of value in association with social mobility is
explained from an achievement principle and ascription principle. The former means a case in which the target
is accomplished by one’s own willingness or efforts by capability to acquire from a certain social position
another social position. The latter means a case in which the target is accomplished by social power of
influences by inherent social standing such as ancestry and status and by social standing such as
educational record and type of occupation acquired after birth. This perspective especially addresses
the point that, as a factor for emigration, the emigrant holds a strong sense of value placing
importance on the achievement principle. This standpoint includes a perspective by which many
emigrants are produced from regions where people are enterprising. Their nature might be cultivated by a
tradition as a maritime people and a tradition of migrant work. Many immigrants might come from regions
where people have a strong resignation spirit, as typically seen with “Aki believers” of Jyodo-shinshu, who do
not question a place to die and are strongly and spiritually affected by religion, as with a strict labor ethic.

Yoshio Kawamura
REFERENCES
Diplomatic Record Office of the Ministry of Foreign Affairs. Archive. Kaigai ryoken kafu hennou hyou sintatsu ikken
(List of Passports Issued and Returned)
———. Archive. Nihon jinmin hawaikoku he dekasegi ikken (List of Japanese Emigrants Workers to Hawaii )
———. Archive. Imin toriatsukainin wo keiyu suru kaigaitokousha meibo (List of Japanese Emigrants via Emigrant
Companies )
Editing Committee, History of Municipalities of Shiga Prefecture. 1962. History of Municipalities of Shiga Prefecture.
Vol.5. Editing Committee: Otsu.
Fukuda, Toru. 1986. Shiga ken ni okeru hoku-bei imin no kuukan bunseki. (Spatial Distribution of Japanese Emigrants
to North America from Shiga Prefecture). In Japanese American, ed. Muneyoshi Togami. Minerva: Kyoto. 31-55
Kawamura, Yoshio. 2009. Framework on Socio-economic Mechanism of Emigration in the Pre-war Japan, Working
Paper Series No.49, Afrasia Centre for Peace and Development Studies, Ryukoku University, pp.21
Kawamura, Yoshio. 2009. Socioeconomic Factor Structure of Japanese Emigrant Communities: Statistical Case Study
at Inukami County, Shiga Prefecture, in Meiji Era, Working Paper Series No.50, Afrasia Centre for Peace and
Development Studies, Ryukoku University, pp.23
Kawasaki, Aisaku. 1982. History of Shiga Prefecture Overseas Immigration. Statistics of Prewar Overseas Immigrants
Ijyu Kenkyu 19: 105-118
Kim, Jae-On. 1975. Factor Analysis. In SPSS: Statistical Package for Social Sciences, eds. N
Nie et al. McGraw-Hill: New York. 480
Statistics and Information Department, Ministry of Agriculture, Forestry and Fisheries, ed. 1971 Census of
Agriculture and Forestry 1970 . Association of Agriculture and Forestry Statistics: Tokyo
Wakatsuki,Yasuo. 1979. Factor Analysis of Regions Producing Many Immigrants to America. Research Paper,
Agricultural Department of Tamagawa University 19: 104-123

NEW BREEDING TECHNIQUES IN THE AGE OF TRANS-SCIENCE
Masashi Tachikawa
Ibaraki University
Chuo 3-21-1, Ami-town, Ibaraki, Japan
mtachi@mx.ibaraki.ac.jp
ABSTRACT
Since last several decades the technological development in agriculture has been gradually accepting civil society’s input and
searching for more acceptable ways of development of technology. For example, transgenic crops and animal cloning have
attract society-wide attentions and many researchers have been actively employed various opportunities to incorporate public
voice to be reflected to technological development. These activities are widely supported by various stakeholders in the age of
trans-science. Today, as we see new development of biotechnology-related techniques to be applied to breeding process. For
example, genome editing, such as ZFN and TALEN, are techniques which delete some sequences of DNA without leaving any
trace of the modification. In this case it is almost impossible to identify whether this modification is made in an artificial way or
just naturally occurred. It is open question whether the final product should be regarded as GM or non-GM. There are several
other “new breeding techniques” which regulatory status is unclear. However, surprisingly enough, there is almost no attempt
to facilitate communication among scientists, regulators and civil society. The experience we had accumulated last several
decades in terms of GMOs seems not to give real lessons to technology developers in this area. Now, some NGOs began to
criticize these techniques as “hidden GMO.” It is highly plausible to foresee public backlash if there would be no effort to discuss
various governance issues, such as safety, uncertainty, and information provision. In this paper, I would like to review the
development of these techniques and their regulatory/commercial status in selected countries. Then, I would like to elucidate
technical/institutional/regulatory factors which hamper public engagement to discuss these techniques. Finally, I would like to
draw some implications to current GM debate in Asian perspective.
Keywords: New Breeding Techniques (NBT), GM crops, regulatory status, Asian food system
INTRODUCTION
Agricultural technology and innovation have been playing a crucial role to feed growing population in the world.
However, these technologies have been also foci of societal disputes and have changed our understanding of
science and technology. Agricultural biotechnology has been one of the technology areas most contentiously
discussed last two decades. Agricultural biotechnology, in particular, genetically modified (GM) crops created a
diverging world in terms of its acceptance. Some countries, such as the US, are actively embrace GM technology
and planting acreages of GM crops dramatically increased last twenty years, while other countries, such as some
EU member states keep banning of planting GM crops based on their consumers’ cautious attitude. The current
diverging situation between US and EU toward GMOs would create complex impacts for the rest of the world, such
as Asian countries. In particular, countries with close relationships with US and EU in areas such as national
security, trade, R&D and other policy arenas would face with conflicting messages or pressures.
In Asia, there can be seen three groups of countries depending on the ways to respond to the above situation. First
group is active adopters of GM crops. In this case, the countries, such as China, India, Myanmar and Philippines,
have started their commercial plantings of GM crops. They also import GM crops for their domestic uses (mainly as
feed). Second group is the passive users of GM crops where countries are importing GM crops for their domestic
use while refraining from planting them in a commercial basis. Japan and Korea can be categorized as this group.
Third group is non-adopters and these countries may take a negative position against GM crops, such as Thailand.
However, we need to understand that these groupings are not fixed, but transitional, and may be changed in the
future. In reality, Asian economy is the fastest expanding economy, and R&D investment in biotechnology would
be expected to accelerate in the future. Such active R&D would result in growing number of release of new biotech
varieties from Asia (Stein and Rodríguez-Cerezo, 2009).

Masashi Tachikawa
Now this complex situation surrounding biotechnology become even more complicated with the advent of series
of new emerging techniques called as new breeding techniques (NBT). As I will explain later, these techniques can
create novel trait with minor genetic changes, and the final products are undistinguishable from products
developed through conventional breeding. In this paper, I would like to review the development of these
techniques and their regulatory status in selected countries. Then, I would like to elucidate technical/institutional/
regulatory factors which hamper public engagement to discuss these techniques. Finally, I would like to draw some
implications to current GM debate from an Asian perspective.
There are many aspects to investigate societal/economic/ethical implications of new technology. Who control the
new technology, and who would be the winner and the loser are typical questions raised by scholars in the field of
sociology of agriculture and food (Busch et al., 1992; Goodman, Sorj and Wilkinson, 1987; Kenney, 1988). As the
NBT is generally in a pre-market stage, it is still difficult to discuss economic implications of these techniques at this
time. Therefore, in this paper, I would like to discuss communication issues surrounding the NBT; why there is no
attempt to facilitate communication among various actors in society.
WHAT ARE NEW BREEDING TECHNIQUES?
Today, we see new development of biotechnology-related techniques to be applied to breeding process. For
example, Lusser et al. (2011) referred to eight techniques, such as Zinc finger nuclease (ZFN) technology,
Oligonucleotide directed mutagenesis (ODM), Cisgenesis/intragenesis, RNA-dependent DNA methylation (RdDM),
Grafting (on GM rootstock), Reverse breeding, Agro-infiltration, Synthetic biology. These techniques are collectively
called as new breeding techniques (NBT), and new techniques are appearing to join the list every year. These
techniques are being developed rapidly by mainly US and EU based on the past accumulation of genomic research,
such as bioinformatics, protein technology, genome mapping to name a few.
These techniques can be categorized roughly into 3 types of technique (Rodriguez-Cerezo, 2012); (1) genome
editing, (2) negative segregant, (3) variant of GMOs (see Table above).

Masashi Tachikawa
(1) Genome editing techniques, such as ZFN and TALEN (transcription activator-like effector nucleases), are
techniques which delete/modify some sequences of DNA without leaving any trace of the modification. There
are some other similar techniques, such as CRISPR (clustered regularly interspaced short palindromic repeat)-
Cas9, ODM and meganuclease, which enable targeted DNA deletion and replacement. In this case it is almost
impossible to identify whether this modification is made in an artificial way or just occurred naturally. It is open
question whether the final product should be regarded as GM or non-GM. GM regulations typically regulate
transgene which is inserted from other organism(s) not crossable in a natural way. Therefore, as far as no
transgene is involved for the organism derived from this type of NBT, it would be regarded as non-GMO.
However, there is no regulatory agreement internationally.
(2) Negative segregant is a term to designate resulting lines from reverse breeding or other variant techniques
such as Dupont/Pioneer’s Seed Production Technology (SPT). In this case, transgenic line is created at the early
stage of breeding, but the final product of the breeding contains no transgenes after crossing out them. Here
the major regulatory question is whether the final product without transgene can be regarded as non-GMO or
not. Some could argue that even if the final line does not contain any transgene, the resulting line should be
regarded as GM as far as it had transgene(s) at certain step(s) of crop development. In other words, from the
viewpoint of process based regulation, once certain organism is created using transgene, any organism derived
from this line should be regarded as GM. However, other people could insist on product based argument. That
is, as far as no transgene(s) is present in the final product under question, it should be regarded as non-GM.
Other issues are “who” can demonstrate there is no transgene in the final product line, using “what” kind of
methodology. Do we request applicant to demonstrate this using state-of-the-art technique, such as new
generation, high-throughput genome sequencing machine to show the non-existence of transgene(s)? These
questions need to be answered in the future.
(3) Third category of the techniques is GMO variants, such as grafting and cisgeneis/intragenesis. In case of
grafting, a non-GM scion is grafted on a GM rootstock. While the whole plant should be regarded as a GM
chimera plant, it is under discussion regarding the regulatory status of the fruit from this plant. It is arguable
that the fruit is GM because the fruit is grown from the GM chimera plant. But some could argue that the fruit
does not contain any novel gene for its genomic construct, and, therefore, can be regarded as non-GM.
Why scientists and developers wish to embrace these advanced techniques to develop new products, such as
crops and (experimental) animals? Most well-mentioned advantages of the NBT are; (1) developers can shorten
the R&D period through well-targeted deletion/modification of genome (Lusser et al., 2012). Duration of selecting
elite lines would be much shorter than conventional breeding, and gives great advantage for breeders; (2) if
designated as non-GM, developers can save money to develop products compared with GMOs, which could cost
huge amount of resources (Kalaitzandonakes et al., 2007); (3) developers can employ these techniques to minor
crops which have been traditionally excluded from applying GM technology; (4) even small-to-medium scale
company can use these techniques if designated as an equivalent of conventional breeding and, at the same time,
royalty cost is not so big.
REGULATORY STATUS IS STILL UNKNOWN
Now I would like to turn to regulatory system of GMOs in certain countries, such as US and EU, and take a brief
look at how these techniques are being discussed in each jurisdiction.
In the European Union, the NBT issue was first raised in 2007 when the Dutch government consulted with the
European Commission on the regulatory status of a cisgenic plant. Then New Techniques Working Group (NTWG)
was established at the EU level to discuss scientific and technical issues along with regulatory issues. NTWG was
consisting of experts from each member states. In early 2012, NTWG have created a report to discuss their
technical understanding of each techniques from the EU regulatory system, such as 2001/18/EC (Environmental
Release Directive) and 2009/41/EC (Contained Use Directive). Now, based on this report, member states and
European Commission is examining each technique’s regulatory status, but has not shown much progress so far.
The European Food Safety Authority, a risk assessment body at the EU level, also published two reports on new
techniques, ZFN-3 and Cisgenesis/Intragenesis.

Masashi Tachikawa
In the US, there are three federal agencies which involves biotechnology policy, such as USDA (Department of
Agriculture), FDA (Food and Drug Administration) and EPA (Environmental Protection Agency). There seems no
active inter-agency discussion on the NBT issues, but each agency has started its internal discussion. Actually the
USDA is expressing their regulatory opinion by way of responding to developers’ inquiring letters. As far as USDA’s
Plant Pest regulation is concerned, USDA has expressed that some of the NBT-related products are beyond their
regulatory scope because these products do not contain any part of plant pest or sequences believed to be plant
pest. USDA’s decision on NBT seems to be on a case-by-case basis depending on whether or not there is some part
of plant pest in the product under question. As for the other two agencies, such as EPA and FDA, there is no clear
statement or guidance document issued for this NBT issue. So it is very difficult to judge their regulatory policy at
this time.
Other countries are also discussing NBT and their regulatory issues, such as Australia, New Zealand, Argentina, and
so on. Also the OECD has initiated international discussion on the regulatory oversight issue of the NBT. However,
there is no single jurisdiction which reaches the conclusion. In short, still there remains regulatory uncertainty
regarding the status of these techniques and NBT-related products.
If we look back the history of grain trade disruptions caused by GM crops, it is crucial to see whether NBT-derived
products are regulated as GMO or not. Currently it is difficult to know whether countries can agree with each other
regarding the regulatory status of NBT-derived products. As mentioned above, each jurisdiction has their own
regulatory framework, so it is hard to expect unified understanding of their regulatory status. As for the scientific
uncertainty, there is still much work to be done. Only a limited number of risk assessments were prepared. Some
techniques, such as genome editing, are often referred as very precise and, therefore, resulted in well-anticipated
trait and could entail very little risk. If this is true for some techniques, it is possible for various actors to embrace
these techniques. Therefore, scientific assessment is one of the key activities to facilitate communication among
various stakeholders.
Taking into account complex and mutual relationship of Asian food system which is characterized as high degree of
intra-regional trade (Saito et al., 2012), regulatory inconsistency for NBT-derived products among Asian countries
could pose huge disruption upon food trade. If international regulatory harmonization would not be achieved in
the near future, many trade companies would hesitate to deal with products derived from these new techniques.
In addition, the problem is that there is no way to detect/identify these NBT-derived products as such.
WHAT HAMPERS COMMUNICATION?
Since last several decades the technological development in agriculture has been gradually accepting civil society’s
input and searching for more acceptable ways of development of technology. For example, transgenic crops and
animal cloning have attract society-wide attentions and many researchers have been actively employed various
opportunities to incorporate public voice to be reflected to technological development. These activities are widely
supported by various stakeholders.
As of the issues related to GM crops/GM food, various attempts of public engagement have been pursued in many
countries. Facing with public backlash surrounding introduction of GM food, industry organizations, government
agencies, and civil society organizations have initiated various kinds of communication activities from 1990s. For
example, consensus conferences were organized in several countries, such as Denmark, France, and Japan. Large
scale public debates were held in the UK and the Netherlands. Continuous public polls were also done to gauge
public understanding and acceptance toward GM food in various countries, such as Eurobarometer in the EU and
IFIC (International Food Information Council) survey in the US. These activities were intended to give opportunities
to the public to express their voices.
The reason why this kind of public engagement has been actively pursued is that GM issues could entail both
scientific uncertainty and societal impact caused by the novel technology. Weinberg had characterized this
situation as “trans-science” (Weinberg, 1974). By the term trans-science, Weinberg (1974) had tried to show the
situation that there is a problem which science can raise, but that cannot be answered by science only. In this
situation, answers need to be searched for with the help of the public involvement. While Weinberg had coined
this term by referring to nuclear science, GMO can also be regarded as a typical example (Kobayashi, 2007).

Masashi Tachikawa
Compared with GM crop/food issues, surprisingly enough, there is almost no attempt to facilitate communications
among scientists, regulators and civil society regarding the NBT issues. The experience we had accumulated last
several decades in terms of GMOs seems not to give real lessons to technology developers in this area. Now, some
NGOs began to criticize these techniques as “hidden GMO.” It is highly plausible to foresee public backlash if there
would be no effort to discuss various governance issues, such as safety, uncertainty, and information provision. In
Japan, we also have not seen any activities to facilitate communication among stakeholders regarding this topic.
Why it is so? What kind of issues or factors hamper to facilitate communication among stakeholders regarding the
NBT issues? The following are my interpretation based on the interviews to various stakeholders. I argue there are
three kinds of factors, technical, institutional and regulatory, that impede public involvement for the discussion of
the NBT issues.
First, as a technical factor, the NBT is very complicated techniques and very difficult to explain them to the lay
public who do not have scientific background. The scientific difficulty to understand the NBT issues for lay people is
often referred to be major obstacle to engage this kind of activity. Also NBT consist of various kinds of techniques
which is rapidly evolving and very difficult to explain even for scientists in this field.
Second, as an institutional factor, various government agencies are typically involved with NBT issues, such as
research & development and regulation. It takes time to reach consensus among these agencies how to deal with
NBT issues even within a country. Trade organizations and industry groups also have different expectation and
concerns about the NBT. Therefore, they are not actively seeking for public input at this stage where no clear
policy is elucidated either by government or industry organization. It is just too early to ask. Therefore,
stakeholders who want to promote NBTs would like to make low key as much as possible to avoid creating social
dispute regarding this techniques. This situation would be much true for Europe where they have a long
experience on GMO debate. Actors who want promote the NBT are concerned about public backlash regarding the
NBT which could lead to involvement of environmental activists and politicians who are in favor of introducing
more stringent regulation toward novel technology.
Third, as a regulatory factor, actors who want to promote the NBT are waiting for regulatory clarification for the
products under question. And if the some of the NBT-related products are regarded as non-GM, they would like to
introduce them as of extension/variant of conventional breeding without any further dispute on these techniques.
Social dispute could ruin the future market of the products, so it is better than nothing. In order to prepare this
kind of development, promoting actors want to keep separate NBT completely from GM to avoid mixing up the
two. Conventional breeding is regarded as well-accepted traditional method of crop/animal improvement. If the
NBT would be eventually designated as an extension of traditional breeding by regulatory actions, it is reasonable
to wait for it and advised not to upset society at this time. Do not wake up sleeping baby!!
CONCLUSION: WHAT ARE THE WAYS AHEAD?
As I have described above, while the NBT looks promising with various advantages compared with GM or even
conventional breeding, they are posing various kinds of regulatory questions which remain unsettled so far. There
is no clear policy as to how to deal with these new techniques. This unclear regulatory status would make company
to refrain from engaging communication actively.
At the same time, Asian countries now constitute food industry complex based on close relationships through intra
-regional trade. If regulatory status of the NBT-derived products is diverging among countries with trade
relationships, this situation leads to disruptions for food/agricultural trade. Asian countries have already shown
different attitude toward biotechnology in terms of adoption of GM crops. Therefore, it is reasonable to foresee
different regulatory responses by each government toward the NBT issues. In contrast to GM crops, if certain
conditions are met, the NBT would be applied to even minor crops/animals, so the impact of the NBT would be
encompassing to broad range of agriculture/food industry. Interestingly, GM products commercialized so far in the
world can be characterized as “field” crops focusing on feed and fiber uses. To the contrary, Asian food is mainly
dependent on “paddy” crops and related animal protein, such as fresh water fish and poultry; none of them have
been successfully employed by modern biotechnology. Here is a large space for the NBT to be applied in Asian
countries.

Masashi Tachikawa
One of the urgent issues are to accumulate risk-related information, both food and environmental aspects, to
facilitate discussion to envision desirable governance framework (Hatakeyama and Tachikawa, 2013). Bioethical
aspect might also need to be taken into account, such as access and winner/loser related to these techniques.
Delineating the line between GM and non-GM should not be decided solely by the interpretative work on current
regulation, but need to be settled down through deliberations among various stakeholders who are involved in
food system as a whole. Since the US and the EU have been tightly entrenched in the existing regulatory
framework and continued their controversy over GMOs, some other regions, such as Asia, could occupy an ideal
position to evaluate the real promises and constraints of the NBT.
ACKNOWLEDGEMENT
I would like to express my sincere appreciation to the financial support by the Japanese MAFF (GMO-RA project).
REFERENCES
Busch, Lawrence et al., 1992, Plants, Power, and Profit: Social, Economic and Ethical Consequences of the New
Biotechnologies, Blackwell.
Goodman, David., Bernardo Sorj, and John Wilkinson, 1987, From Farming to Biotechnology: A Theory of Agro-
Industrial Development, Blackwell
Hatakeyama, Hanako and Masashi Tachikawa, 2013, “New Breeding Techniques and their Governance Issues,” (in
Japanese) Food System Research 20(3): 193-198.
Inf’OGM, 2012, New Techniques for the Alteration of Living.
Kalaitzandonakes, Nicholas , Julian M. Alston and Kent J Bradford, 2007, “Compliance costs for regulatory approval
of new biotech crops,” Nature Biotechnology 25(5): 509-511.
Kenney, Martin, 1988, Biotechnology: The University Industrial Complex, Yale University Press.
Kobayashi, Tadashi, 2007, Trans-Science no Jidai (Age of Trans-Science), NTT Publishing.
Lusser, M. et al., 2011, New plant breeding techniques: State-of-the-art and prospects for commercial development,
JRC-IPTS.
Lusser, Maria and Emilio Rodríguez Cerezo, 2012, Comparative regulatory approaches for new plant breeding
techniques, Workshop Proceedings, JRC-IPTS.
Lusser, Maria, Claudia Parisi, Damien Plan and Emilio Rodríguez-Cerezo, 2012, “Deployment of new
biotechnologies in plant breeding,” Nature Biotechnology 30(3): 231-239.
New Techniques Working Group, 2012, Final Report, European Commission.
Rodríguez-Cerezo, Emilio, 2012, “Deployment of new biotechnologies in plant breeding,” presentation at the 12th
International Symposium on Biosafety of Genetically Modified Organisms (ISBGMO12), St Louis, Missouri, 16-
20 September.
Saito, Osamu, Toshiharu Shimowatari and Yasuhiro Nakashima (eds), 2012, Higashi Ajia Food System-ken no
Seiritsu Joken (Conditions for Establishment of East Asian Food System), Norin-Tokei Shuppan.
Weinberg, Alvin M., 1974, “Science and Trans-Science,” Minerva 10(2): 209-222.

RICE PRODUCTION TECHNIQUES AND POLICIES IN TIMOR-LESTE: A COMPARISON
BETWEEN PORTUGUESE COLONIZATION, INDONESIAN OCCUPATION AND POST-
INDEPENDENCE PERIODS

CEFAGE and Department of Economics
University of Évora, Portugal,
pdamiao@uevora.pt,
Jorge da Silva
Department of Agro Economics
Universidade Nacional de Timor Lorosa’e,
jorge0_3@yahoo.com,
Vanda Narciso,
Independent research,
vandanarciso@gmail.com,
Maria Leonor da Silva Carvalho
University of Évora, Portugal
leonor@uevora.pt,
ABSTRACT
Since long ago that the production and the consumption of rice plays a major role for Timor-Leste rural communities, especially
those located in floodplains and in the rice mountain areas. The objective of this study is to compare the production,
technology and consumption of rice between Portuguese colonization, Indonesian occupation and the post-independence
period. The study is supported on primary data collection based on a questionnaire survey applied to rice farmer of several sub-
districts of Baucau district, and on secondary data supported by the numerous studies and publications made during the pre-
independence period. The results show that: during the twentieth century there was a great change in the diet of the common
people in which corn and tubers were substituted by rice, the consumption of rice increased substantially during Indonesian
occupation, the area and total production of rice has been increasing over time, some aspects of the technology have improved
(land preparation and seedling) and other remained unchanged (harvest, hygiene and safety in the workplace) and some
institutional aspects changed or improved (marketing and technical support).
Keywords: rice, Timor-Leste, production, consumption, technology
INTRODUCTION
The introduction of rice in Timor-Leste is not dated. The rice was cultivated since before the arrival of the
Portuguese, possibly on a reduced scale, with rainwater or partial irrigation (Fox 2003; OXFAM 2004). When the
Portuguese arrived in Timor-Leste at the beginning of the sixteenth century, the population lived from agriculture,
livestock and collection of forest products. The tubers crops dominated (sweet potatoes and yams) in association
with rice (upland and lowland), millet and raised pigs, chickens, goats, buffaloes and horses (Reis, 2000). The
presence of the Portuguese in Timor resulted in the introduction cassava, maize, several legumes and fruits,
coffee, cows and sheep.
In the past as nowadays, the staple diet of the population was based on vegetables, dominated first by tubers,
later with the arrival of Portuguese by maize and after the Indonesian occupation in 1975 by rice. In the past, the
consumption of rice was not widespread to the entire population. At the beginning of the twenty century, rice was
a luxury meal/commodity for most of the population, and of almost exclusive use of the chiefs and people living in
lowlands (Duarte 1930). For example, among Bunaque and highlanders, corn cooked with vegetables was the basic
diet and rice the food for parties and ceremonies (Figueiredo 2004). In 1970 consumption per capita was 30.1 Kg
(Calapez 1972), during Indonesian occupation 80 Kg and nowadays is 67.3 Kg (GRiSP 2013).
Rice productions have been rarely enough to cover domestic consumption. As an attempt to encourage
production, to achieve self-sufficiency and reduce imports, the different administrations implemented policies that

Pedro Damiao de Sousa Henriques, et al
favored the expansion of irrigated areas, introduction of improved seeds and seeding techniques, and introduction
of animal draught power and machines. This study aims to characterize, analyse and compare rice production
techniques and policies in the Portuguese colonial period, during the Indonesian occupation and after
independence.
METHODOLOGY
The data used is from secondary and primary sources. Primary data was collected through a questionnaire survey
to 96 farmers, selected for convenience sampling in six sucos of Baucau district (Figure 1 and Figure 2). The
questionnaire aimed to characterize socioeconomic conditions of farmers, rice production techniques (technology,
marketing and technical support) during the three periods, and the conditions of hygiene and safety at work.
Primary data was used to characterize rice production techniques nowadays and to compare the three periods
under study. This comparison was made using descriptive statistics and the t test to verify whether the three
periods were significantly different. Secondary data was utilized essentially to compare rice policies between the
three periods.
Figure 1: Districts of Timor-Leste
Figure 2. Sucos of Bacau District
Source: DNE (2011)

Present rice production and technology
The vast majority of farmers interviewed is male (90.6%) and are illiterate (61.5%), 39.6% of families have more
than 5 children and 89.6% work in agriculture. Most farmers (91.7%) work more than 8 hours per day, with 63.5%
working twelve hours a day. Rice is cultivated mostly on own land, the average size of holdings is 3.28 ha, but
small farms (<= 2 ha) dominate (66.7%). The vast majority (90.6%) of farmers grow rice for more than 11 years, and
33.3% for over 35 years. Regarding the use of modern inputs to improve rice production, 33.3% use new varieties,
30.2% manure, 40.6% fertilizers and 41.6% of farmers use pesticides. Pesticides and fertilizers are mostly bought in
stores and are also provided by Ministry of Agriculture and Fisheries (MAP) while seeds are provided by MAP and
non-governmental organizations (NGOs). The cost of purchasing modern inputs is lower than 100 USD/ha for
76.0% of farmers and is financed by their own resources.
Farmers (53.1%) use more than one way of land preparation, hand tractor (83.3%), buffalos (52.1%), horses (24%)
and large tractor (2.1%). Farmers use more than one variety of rice (63.5%), local varieties (70.8%) and IR -64
(68.8%) are the most widely cultivated. Most farmers (99.0%) use nurseries for rice plantation, with 81.3% planting
in rows, but still 7.3% of farmers refer direct sowing. Tractors and animals used are own property (38.5%) or
rented (61.5%), and rents are paid mainly with cash (64.4%) and rice production (35.6%). Most of the cultivated
rice (91.7%) is irrigated by springs and streams and only 8.3% is cultivated only with rainwater.
Rice harvest is manual, all farmers use knives. Threshing rice is reported to be manual (12.5%), mechanical (30.2%)
and both (57.3%) while shelling is reported manual (14.6%), mechanical (38.5%) and both (46.9%). Rice production
is negatively influenced by diseases of the plants (94.8%), weeds (93.8%), birds and animals (92.8%), drought
(91.7%) excess of water (80.2%) and winds (11.5%). The most frequent combination (66.7%) was weeds, excess of
water, drought, birds and animals, and plant diseases.
Marketing and income
The vast majority of farmers (91.7%) keep part of rice production for family consumption and only 41.7% of
farmers sell rice to the market, mostly in local markets and shelled (53.4%). The transportation to market is done
by car (61.4%), foot (19.3%) and horse (6.0%). The main sources of information on rice prices are family and friends
(63.5%) and MAP (55.3%). The annual revenue from rice sales is for 29.2% of farmers less than 100 USD per year,
for 38.5% between 100 and 200 USD and for 32.3% higher than 200 USD. The major obstacles to rice farmers are
high costs of inputs and transportation, low rice sales price, reduced rice demand and poor market access.
Hygiene and safety at work
Most of surveyed farmers (58.3%) said that there are no safe working conditions in farming activities. Moreover
there is no legislation on health and safety at work (HSW) for agriculture or information on the risks and measures
of HSW. For example, there is no protection in machines, tractors do not have cabin or security ring, and farmers
do not use protective equipment to handle toxic products and do not have special care in contact with animals.
Only 49.0% of farmers have proper knowledge of the body posture for the different tasks in the rice fields.
Most farms (94.8%) referred that often work accidents occur; however the injuries are not serious (68.8%). The
frequency of work accidents is 57.3% once a week, 32.3% once a month and 9.4% twice a year. Work accidents are
related to the use of buffaloes (62.7%), tractors and agricultural machinery (50.0%), pesticides (17.7%) and
agricultural tools (7.3%). Only 31.3% of farmers had vocational training in preventing accidents, mostly 70% in the
use of machine power (70%) and pesticides (26.7%), taught by the MAP (89.2%) and international NGOs (40.5%).
Comparison between Portugal, Indonesia and Timor-Leste
1) Rice policies
The rice policies during Portuguese colonization can be divided in two periods. Before the fifties of the last century,
rice policies were intermittent and with reduced impact in the territory and wellbeing of the population. The main

policies were the import of improved seeds for upland and irrigated rice and of shelling machines and the
construction of some irrigation infrastructures (Roxo 1914; Duarte 1930; Magro 1943). In this period, upland rice
was the most common, of better quality and of greater profitability, was sown at the same time and with the same
technology of maize. After the fifties, the colonial administration implemented five years development plans, in
which the expansion of existing and construction of new irrigation areas and introduction of new production
technology (selection of rice varieties, new systems of plantation and mechanization of land preparation) were the
main policies (Reis 2000; Figueiredo 2004). The human resources policy was very incipient, non-formal training only
covered 8 of the 13 district, and formal agricultural education was limited to the technical school of Fatumaca.
Regarding rice, the courses offered at that time covered only rice nurseries.
The main objective of rice policies was to increase production and decrease rice imports. However, rice production
was almost always insufficient to satisfy domestic demand and rice imports, reported since 1840, depended from
domestic production and availability of monetary resources. The impact of the colonial policies was more in the
increase of cultivated area and less in rice productivity. The rice technology descriptions made at the beginning of
the XX century are very similar those made at the beginning of seventies, land preparation was made by buffalos
and horses, manure was the main fertilization, the weeding were rarely made, rice harvest, threshing and shelling
was manual (Silva 1910; Brito 1971; Tomás 1973).
During Portuguese period the focus of rice policies were concentrated in the eastern part of the country; on the
contrary, during Indonesian occupation the focus of the rice policy was in the western, due to security reasons.
Indonesian rice program called BIMAS was extended and adapted to Timor-Leste. This program has a set of
incentives f or the introduction of new varieties, mechanization through machine or animal draught power,
increasing the irrigation area, provision of a local rural extension technician and access to subsidized credit, seeds,
fertilizers and pesticides. This policy was complemented with the transmigration of Indonesian farmers as a means
of promoting new technologies.
The non-formal training covered all the territory and five agricultural technical schools were created. All these
incentives ended in 1999 with the departure of Indonesia (OXFAM 2004; WB 2001). After 1999, rice policies were
intended to recover the irrigation infrastructures, to introduce new varieties, to improve rice plantation
techniques, to provide mechanization for land preparation, threshing and shelling. These policies were provided by
the MAP, NGOs and international agencies of cooperation (world bank, GTZ, ACIAR). MAP financed the acquisition
of tractors (hand and four wheels) in order to induce mechanization while the NGOs and international agencies of
cooperation were more concentrated in seed and in the implementation production techniques. Non-formal
training covered all the territory and three agricultural technical schools were created (MAP 2008; MAP 2009). The
rice policies resulted that between 1995 and 2010, the rice area doubled from 18,100 ha to 36,500ha, paddy yield
increased from 2.58 t/ha to 3.09t/ha and rice imports decreased from 22,000 t to 1,300 t (GRiSP 2013; PNUD 2002;
PNUD 2006).
2) Production and technology
The average area of rice cultivated in each period is quite similar as well as the distribution of farmers by class of
area with no significant differences between periods (Table 1). Average farmer rice production has increased since
the Portuguese period (173.9 cans) to Timor-Leste (209.2 cans) differing between the Portuguese/Indonesian with
Timor-Leste period. The average productivity per hectare (ha) has also a similar behaviour and increased from 96.6
to 105.5 can between Portuguese colonization and Timor-Leste independence.
Concerning the differences in production technology (Table 2), most of the respondents (94.8%) identified
differences between the three periods. The system of planting rice dominant in Portuguese time was direct sowing,
in Indonesian period nurseries and in the period of Timor-Leste nurseries and plantation in rows, being these
differences only significant between Portugal-Indonesia and Portugal-Timor-Leste. In Portuguese period the land
preparation was with animal draught, in Indonesian period animal draught and tractor power and in Timor-Leste
tractor power is dominant. The rice harvest in the three periods did not change, was done manually as today. The
threshing and shelling had an evolution from manual (Portuguese) for mechanical (Timor-Leste).

Table 1. Rice Area and production differences between Portugal, Indonesia and Timor-Leste
Portugal Indonesia Timor-Leste Level of Sig.

(P) (I) (TL) P*I P*TL I*TL
Average area (ha) 2,70 2,45 2,57 0.64 0.51 0.13
Area classes (% of farmers)
> 0 e <=1 há 44.8 40.4 34.4
> 1 e <=2 há 31.0 36.0 41.7 0.11 0.11 0.16
>2 24.1 23.6 24.0
Average rice production per farmer (cans) 173.9 174.6 209.2 0.92 0.02 0.00
Average productivity per ha (cans/ha) 96.6 92.1 105.5 0.72 0.04 0.01
Table 2. Technology differences between Portugal, Indonesia and Timor-Leste.
Portugal Indonesia Timor-Leste Level of Sign.

Rice plantation method (% of farmers)
Direct sowing 57.1 9.1 1.0
Nurseries 10.7 26.1 11.5
Nurseries and plantation in rows 30.4 23.9 81.3 0.00 0.00 0.682
Nurseries, plantation in rows and direct 1.8 40.9 6.3
Land Preparation (% of farmers)

Animal draught power 100.0 71.6 19.8
Tractor power 0.0 5.7 29.2 0.02 0.32 0.82
Tractor and animal draught power 0.0 22.7 51.0
Harvest (% of farmers)
Manual 100.0 97.7 100.0
0.16 0.16 1.00
Manual and mechanical 0.0 2.3 0.0
Treshing (% of farmers)
Manual 100.0 76.1 12.5
Mechanical 0.0 1.1 30.2 0.16 0.00 0.00
Shelling (% of farmers)
Manual 100.0 70.5 14.6
Mechanical 0.0 1.1 38.5 0.00 0.00 0.00

The self-consumption of rice and rice selling to the market were similar between the three periods (Table 3). The
quality of rice produced is valued increasingly by farmers from the Portuguese to the Timor-Leste period and the
differences are significant. The satisfaction obtained from the rice price received is much higher in Timor-Leste
period (86.6%) followed by the Indonesian (7.5) and Portuguese (6.0%) periods. Sales and transportation were in
Portuguese period made in the local market and shops using foot and horses, in the Indonesian period in local
markets and cooperatives with on foot and horses and after Timor-Leste independence in local markets using foot
and car.
Table 3 . Consumption, marketing and technical assistance differences between Portugal, Indonesia and Timor-
Leste.
Portugal Indonesia Timor-Leste Level of Sign.
Self-consumption of rice (%) 87.9 92.1 91.7 0.57 0.32 0.32
Sell rice to market (%) 37.9 38.2 41.7 1.00 0.16 0.02
Quality of rice (% of Farmers)
Very low 5.2 2.3 5.2
Low 24.1 18.4 0.0
0.19 0.00 0.00
Good 55.2 63.2 26.0
Very good 15.5 16.1 68.8
Satisfaction with rice price (%) 6.0 7.5 86.6
Market channels (% of Farmers)
Local Market 59.4 50.0 91.4
Shop 25.0 0.0 0.0
0.63 0.00 0.00
Cooperative 0.0 28.3 0.0
Other or mixed channels 15.6 21.7 8.6
Rice transportation to the market (% of Farmers)
By foot 40.4 45.1 19.3
By car 0.0 11.3 61.4
0.03 0.00 0.00
By Horse 36.2 23.9 6.0
By mixed means 23.4 19.7 13.3
Farmers received technical assistance 5.2 23.6 52.1 0.00 0.00 0.00
Supplier of technical assistance (% of Farmers)
Agricultural services (AS) 100.0 82.4 48.1
AS and ONG 0.0 17,6 14.8 - 0.5 0.00
AS, ONG, WB and UNTL 0.0 0.0 37.0
Farmer participation in Technical Training
0.0 13.5 40.6 0.01 0.00 0.00
Technical assistance to rice farmers is much higher at the time of Timor-Leste (52.1%) than under Portuguese
(5.2%) and Indonesia (23.6%) periods, and is mostly provided by the agricultural services, during Portuguese and
Indonesian periods, and by MAP and a mixture between agricultural services (AS), NGOs, WB and Universidade
Nacional de Timor Lorosa’e (UNTL). Technical assistance covered mainly rice production techniques, but marketing
during the Indonesian and conservation techniques during Timor-Leste period were also provided. Given that
technical support has been provided by several institutions, the relevant questions are: there is coordination
between the different institutions and the knowledge transferred to farmers is also retained by national experts,
the ones who remained in the territory in a sustainable manner.
The participation of farmers in vocational training programs, formal or informal, was null in Portuguese, low
(13.5%) in Indonesian and acceptable at the time of Timor-Leste (40.6%), and addressed fundamentally for rice
planting techniques.
CONCLUSION
Rice is an important agricultural activity for farmers (self-consumption and income) and a fundamental food for
consumers in Timor-Leste. The importance of rice has been growing since Portuguese colonial administration, but
the big boost in consumption and production was given during Indonesian occupation. After the independence the
policies to boost rice production in order to achieve self-sufficiency have been successful.
The comparison of the three periods shows that there was a profound improvement in terms of seeds use, land
preparation, rice planting, threshing and shelling, transportation, technical assistance and vocational training.
However, productivity is still low, harvest is manual, self-consumption is the main objective, sell to the market is
low and market channels are dominated by local markets.
REFERENCES
Brito, R. 1971. “Ocupação do Solo no Timor Português”. Geographica, 27: 1-28.
Calapez, J. 1972. Estratégia para o desenvolvimento económico de Timor. Dissertação de licenciatura, UTL/ISCSPU,
Lisboa.
Duarte, T. 1930. Timor - Antecâmara do Inferno?!. Famalicão: Minerva.
DNE. 2011. Timor-Leste Relatóriu Sensus 2010, suku relatóriu, Uatu Hato. Díli: Timor-Leste: Direcção Nacional de
Figueiredo, F. 2004. Timor a presença Portuguesa: 1769-1945. Dissertação de Doutoramento, Universidade do

Porto.
Fox, J. 2003. Drawing from the past to prepare for the future: Responding to the challenges of food security in East
Timor, in: Hélder da Costa, Colin Piggin, Cesar J. da Cruz and James J.. Fox (eds): Agriculture: New Directions for
a new Nation – East Timor, ACIAR Proceedings No. 113.
GRiSP (Global Rice Science Partnership). 2013. Rice almanac. 4th edition. Los Baños (Philippines): International Rice
Research Institute.
Magro, A. 1943. “Timor-Um Pouco da sua História e Aspectos da Sua Vida”. Boletim da Sociedade de Geografia de
Lisboa 61(1-2): 65-105.
MAP. 2008. Rice Overview. Ministério da Agricultura e Pescas – MAP. Díli, Timor-Leste.
MAP. 2009. Estatísticas agrícolas. Direcção de Culturas Industriais e Agro negócio. Díli, Timor-Leste.
OXFAM. 2004. Overview of the rice sector in Timor-Leste. Díli, Timor-Leste.
PNUD. 2002. Relatório de Desenvolvimento Humano Timor-Leste. Díli, Timor-Leste.
PNUD. 2006. Relatório de Desenvolvimento Humano Timor-Leste. Díli, Timor-Leste.
Reis, L. 2000. Timor-Leste, 1953-1975: O Desenvolvimento Agrícola na Última Fase da Colonização Portuguesa.
Dissertação Mestrado, ISA, UTL, Lisboa.

Roxo, J. 1914. “A Cultura de Arroz”. Boletim de Comercio Agricultura e Fomento 7: 477-497.
Silva, J. 1910. A mão d’Obra em Timor: Breve Memória sobre o seu Território, Clima, Produção, Usos e Costumes
Indígenas, Indústria, Agricultura e Comércio. Typ. A Editora, Lisboa.
Silva, J. 2011. “Desenvolvimento e recursos humanos no sector da orizicultura no distrito de Baucau em Timor-
Leste”, Dissertação de Mestrado, Universidade de Évora, Évora.
Tomás, L. 1973. “Vida Rural Timorense”. Geographica 33: 3-26.
World Bank. 2001. Annex 1. Rice Rice Production, Consumption and Markets an Overview. Díli, Timor-Leste.

HOUSEHOLD SAVING IN DEVELOPMENT OF RURAL LIVELIHOOD:
EVIDENCE FROM LUANG PRABANG, NORTHERN LAOS
Phanhpakit ONPHANHDALA
National University of Laos
phanhpakit@hotmail.com
Khensavath SOUKSAVANH
National University of Laos
khensavath1987@hotmail.com
Terukazu SURUGA
Kobe University
Suruga@kobe-u.ac.jp
ABSTRACT
This study examined the household saving pattern, its determinants and contribution into the development of rural livelihood
in Luang Prabang province, Northern Laos. The data of 312 households was collected by structure questionnaire and interview
in 2013 by adopting a simple random technique. Using descriptive statistics, OLS regression and Likert rating scale, the results
show that the majority of rural households tend to save more in patterns of informal ways such as cash at home and village
saving group rather than other formal instruments. Many factors found to influence the rural household saving in rural Laos.
Income, male, and non-farm household head significantly raise household saving. Whereas, household size significantly
reduces saving level of households. The study supported the existence of life cycle hypothesis in saving pattern. Moreover,
household saving found to contribute to improvement of health status, and agriculture production investment, but it is less
important to child’s education and agricultural modernization.
Keywords: Saving, Micro Finance, Rural Development, Lao PDR

JEL Classification Codes: O16, R20, G21
INTRODUCTION
Lao PDR has achieved significant progress in economic development since the initiation of market-oriented
economic reforms in the late1980s. As a result, the incidence of poverty has declined steadily over the past
decades, from 46% in 1992/93 to 18% in 2012/13. However, the Lao PDR remains one of the poorest countries in
the region with an estimated per capita income of US$1,500 in 2013 but relatively low human asset index and high
economic vulnerability. The pattern of poverty largely depends on the geographical location. The North of the
country continues to being lag behind other regions, and having a high level of poverty head count at 52% in 2011
as compared to 27% and 21% in the Central and South regions respectively. The 7 th five year National Socio-
Economic Development Plan (NSEDP) over the period of 2011-2015 is targeting to graduate from the Least
Developed Country status by 2020.
The National Program for Rural Development and Poverty Eradication (NPRDPE), which is a key input to the NSEDP,
aims to reduce the proportion of people living below the poverty line to less than 10%, and to expand credits to
people for income generation activities (GOL, 2011). According to economic theory, household’s saving is about
income that is not consumed by immediately buying goods and services. It is relevant to the national saving, which
is influenced significantly, providing a buffer to help people cope in times of financial crisis and insuring against
times of shock. Indeed, it is very important in the development of industries, financial system and economic
growth. There are several examples from America, China, Germany, Japan and Singapore, which had a high saving
rate and, hence, achieved a high economic growth. Currently, the national development goal of the Lao
government is to liberate the country from the group of least developed Countries (LDC s) by the year 2020. While
balancing the economy, in order to ensure an economic growth of 8% per year to support the 7 th national socio-
economic development plan (2011-2015), a huge amount of funding would be required for total investment. So far
the total of domestic saving is still very small.
In this situation, household saving are very important to increase the investment. However, the accessibility to
credit is currently still a major problem for Lao people. Only few percent of rural households can access loans and
savings services from the state owned banks, semi-formal structures, project initiatives and the informal sectors

Phanhpakit Onphanhdala, et al
(GOL, 2007). The Informal Financial Institutions (IFIS) are found in all parts of the country while almost all formal
financial institutions (FFIS) are located in the urban areas of the districts in the provinces. The wide range of credit
facilities is provided by FFIS. It is important that policy makers could response to the fundamental questions of how
to mobilize the household saving and turn it into the rural development. Therefore the main objectives of this
research are to examine the pattern of household saving in rural areas, determinants of household saving and the
contribution of household saving in development of rural livelihood in Luang Prabang (LPB) province, because it is
one of the seven provinces in the northern part of Laos, where the majority of households live in this province and
achieved the fastest economic growth as shown in Table 1.
Pakxuang, Muangkhai, Namtoumtay, Nayangnuer, Phonthong and Thapho villages were selected from three
districts in the provinces, as they are pilot areas based on the provincial development plan (Luang Prabang
Provincial Economic Development Plan, 2013). These villages have basic infrastructures and have potentials to be
developed as small town or sub-urban in the near future. These villages have high household investment, which
create more job opportunities and increase employment rate in the villages.
Table 1. Poverty reduction in the northern Laos
Provinces Poverty Rate % Reduction Rate %

1992/3 1997/8 2002/3 2007/8 1992-2008
Phongsaly 72.0 57.9 50.8 46.0 26.0
Luangnamtha 40.5 51.1 22.8 30.5 10.0
Oudomxay 45.8 66.1 45.1 33.7 12.1
Borkeo 42.4 38.9 21.1 32.6 9.8
LuangPrabang 58.5 40.8 39.5 27.2 31.3
Hourphanh 71.3 71.3 51.5 50.5 20.8
Xayabouly 22.4 17.7 25.0 15.7 6.7
Source: LECS series (1992/93 to 2007/08)
REVIEW OF LITERATURE
The studies on saving behavior using urban household information in advanced countries had led to the
development of useful theories. One of the earliest attempts, Keynes (1936) postulated that saving depended upon
disposable income and others three post-Keynesian theories. Duesenberry (1949) through his relative-income
hypothesis forwarding the consumption/saving as a function ratio of current income to the previous level of
income, Friedman (1957) argued that saving were influenced by both permanent and transitory income as well as
the present level of wealth. Ando and Modigliani (1963) stated that young people earned less and saved very little,
but they saved more in the middle age and then started to decline again after retirement.
Furthermore, Deaton (1989) suggested that previous theories might be of limited use in developing countries
where households tended to be larger than household in developed countries. The household might have a
stationary demographic structure: old people as they died were replaced by these a little younger. Such a
household has no need for “Hump” or retirement saving, income is inherently uncertain and cyclical although
households are myopic for survival, they still have to save for the consumption in the near future and also
individuals often save small amount at frequent intervals to smooth income flow, rather than accumulate or save
for retirement. These four traditional theories and their variants that have been extensively used in the empirical
studies focusing on the household saving behavior in developed and developing countries are reviewed here.
Edwards (1996) showed that the proportion of the working population relative to that of retired persons positively
related to saving. Malapit (2009) studied the determinants of household pooling within household and found that
saving had significantly positive increase with age, but tended to decline when the age crosses a certain limit, a
finding consistent with the life cycle hypothesis and Chhoedup (2013) examined the determinants of household
saving and testing the life cycle hypothesis, where age was considered and found to be a significantly reduce. The

result showed coefficient of age to be significantly positive, as well as age square was significantly negative
associated with household saving. Chowa et al. (2012) found that the age had a positive relationship with
household saving. Burney and Khan (1992), Brata (1999), Khalek et al (2009), Rehman et al. (2010), Gedela (2012)
and Teshome et al. (2013) found that the study supported the life cycle hypothesis, age had positive and age
square negative relationship to household saving, however was insignificant. It explains a non-linear relationship
between age and household saving. Kelly and Williamson (1968) examined saving behavior within age groups and
the result confirmed an aspect of the life cycle hypothesis with exception of the insignificant results in the 40-49
year old cohort, the MPS does indeed increased as household age, Alessie et al (2004) showed that child’s income
share had strongly positive effects on household saving rate.
Kibet et al (2009) investigated the factors that influenced savings among households of teachers, entrepreneurs
and framers in rural areas found that the age had a negative influence on household saving among them. Obayelu
(2012) found that the positive relationship between saving rate and age square implied that in the long-run.
Sebhatu (2012) identified the determinants of saving behavior of cooperative member and found that the age of
the members was negative associating with savings and Shitu (2012) found the age of household head had
negative coefficient, which implied the higher the age the smaller amount of saving.
Household size (Rehman et al, 2010), and dependency ratio (Unny, 2004; Chhoedup, 2012) showed the negative
relationship with household savings. Income (Khan et al, 2009; Khalek et al, 2009), Sex (Brata, 1999; Kostakis,
2012) and education of household head (Shitu, 2012; Teshome et al, 2013) found the positive impact on household
savings. Particularly, Kelley and Williamson (1968) found that government employees saved more than farmers.
However, Kibet et al (2009) argued that the entrepreneurs saved more than the teachers in rural areas. The
theories and empirical studies had shown mixed results. Thus, the past studies are still open for additional studies
and debates.
RESEARCH METHODOLOGY
Data Collection
The data of 312 households was collected by

structure questionnaire and interview in 2013 by
adopting a simple random technique and the
secondary data was collected from various sources
such as annual reports from the selected villages
and the provincial department of planning and
investment in Luang Prabang province (Figure 1).
Data Analysis
Figure 1: Map of Surveyed Districts in Luang Prabang Province with

The data analysis was processed in three steps,
Poverty Incidence
including descriptive statistics, Multivariate, and
Likert rating scale. In the multivariate analysis, the study was basically based on life cycle hypothesis postulated by
Ando and Modigliani (1963). The Multiple linear regression for modeling the linear relationship between two or
more variables was employed for statistical method as Gedela (2012), Sebhatu (2012) and Chhoedup (2013) used
OLS to analyze their data.
S = α + β1 Age + β2 Agesq + β3 Sex + β4 Edu + β5 Occu + β6 Dep + β7 Hous + β8 Inc +µ
Where, α is intercept, βi’s are rectors of coefficients, is stochastic random term and i = 1, 2, ..., n. the variables
that influence S = household saving are Age = Age of the household head, Age square = Age of the household head
over 60 years old, Sex = Sex of the household head, Inc = Total income of the household, Educ = Education level of
the household head, Occu = Occupation of the household head, Dep = Dependency ratio and Hous = household
size.

Table 2. List of variables used in household savings analysis.

Variables Description of Variables Ex- Ex-
Varia-
pected Description of Variables pected
bles
Sign Sign
Dependent
Variable
S A continuous variable used for the
household savings in Kip
Explanatory
Variables
Age A continuous variable used for Age Posi-
of the household head in years tive
Ag- A continuous variable used for Age Nega-
esq of the household head over 60 years tive
Inc A continuous variable used for total Posi-
income of the household in Kip tive
Educ A continuous variable used for edu- Posi-
cation of household head in years tive
Occu A dummy variables for occupation Nega-
of household head Government em- tive
Sex A dummy variable used for Sex of Posi-
ployees = 1, others = 0
household head. Female = 0, Male= tive
1
Dep A continuous variable used for de- Nega-
pendency ratio in the household tive
Hous A continuous variable used for Nega-
household size in person’s numbers tive
A typical five-points Likert rating scale was used in the area of the contribution of household saving in development
of rural livelihood to rate the portable hole on six aspects: (I) access to education, (II) health and longevity, (III)
agriculture modernization investment, (IV) household business investment, (V) agriculture production investment,
and (VI) maintain household business. The household heads were asked to rate the score whether or not it was
very important (4.21–5.00), important (3.41–4.20), neutral (2.61–3.40), less important (1.81–2.60) and much less
important (1.00–1.80).
Pattern of Rural Household Saving
Saving can be accumulation of real assets or financial assets. Real assets are less useful for rural industrial and
financial system development. Since it is not liquid, the weakness of saving in real assets is an important reason to
introduce financial institutions such as banks that are strategic in order to increase financial saving and can be
provided as loan. Interestingly, findings of the research reveal that the most popular pattern of saving among rural
households in the study areas is cash saving at home, the majority (99.04%) kept their money at home. This is not
much different from what had been found in the report by Rural finance in the Lao People’s Democratic republic
(Lao PDR) in 2006 that almost 90% of rural households held cash saving for emergency cases.
Secondly, 44.87% of households saved their money in the village saving group as household heads prefer to saving
in the nearest financial institution which did not limit the amount of saving but higher return rate than banks.
Informal saving (e.g. village rotary fund – houay) and credit groups are often regarded as social relationship to
mitigating a variety of risks, as mentioned in previous studies. However, village saving group is rather new approach
for the surveyed areas. As the government development policy, village saving group is recently established and
promoted under the Women Union scheme. It would take some time for villagers to see the benefit and trust this
body. Moreover, the minimum popular pattern of saving found in this study was saving in the banks (7.37%). This
shows a minor increase from the finding by Rural Finance in the Lao PDR in 2006 that less than 5% of rural
households deposited in the banks.

Why did households in rural areas not save the money in the banks? There were multiple reasons, including the
distance of financial institution was far away from home; interest rate in the banks was lower; difficulty to
withdraw money when needed; low household income and difficulty to access to the bank services. Similarly, Amu
and Amu (2012) found that the most popular form of rural household saving was keeping their money at home as it
was convenient for any emergency case and the least popular form of saving was saving in the banks because of
banks were not being easily accessible and low income.
Obayelu (2012) also confirmed that the majority of rural household heads saved with themselves (person) while
the least saved in the banks. Brata (1999) showed that the rural households save their money in non-banks
financial institution more than the banking institution. Newman et al (2008) and Ike and Umuedafe (2013) found
that the largest proportion of household heads used the informal form of saving more than formal financial
institutions. Singh (2011) confirmed that the rural households prefer to save their money in the informal financail
more than saving in comercail banks, post office, insurance and government securities. Teshome et al. (2013) also
found that rural households did save irrespective of their low-income mainly in informal saving institution, showing
a high request for accessibility potential for formal saving institutions.
Table 3. Household Saving Patterns

Table 4. Descriptive statistics of the independent variables
Study areas Obs Mean Std. Dev. Min Max

Total areas
s 312 4879343 3963981 300,000 26,000,000
age 312 45.09936 12.78865 25 89
hous 312 5.403846 2.17048 1 13
sex 312 0.9326923 0.2509566 0 1
edu 312 5.727564 3.670445 0 18
occu 312 0.0833333 0.2768294 0 1
dep 312 0.4371693 0.2092704 0 0.875
incs 312 33300000 10300000 8,428,000 71,800,000
Luangprabang
s 66 6063924 4157892 500,000 15,100,000
age 66 48.22727 13.85063 30 86
hous 66 4.5 1.480644 1 8
sex 66 0.9242424 0.2666375 0 1
edu 66 8.212121 4.208106 0 18
occu 66 0.1363636 0.345804 0 1
dep 66 0.3845238 0.2039238 0 0.6666667
incs 66 35000000 11600000 8,428,000 71,800,000
Nambark
s 165 4311333 3974799 300,000 26,000,000
age 165 46.23636 12.03141 25 89
hous 165 5.424242 2.206287 2 13
sex 165 0.9151515 0.2795044 0 1
edu 165 4.836364 3.122091 0 14
occu 165 0.030303 0.1719417 0 1
dep 165 0.4181938 0.2125643 0 0.875
incs 165 33300000 10500000 12,900,000 71,200,000
Phonxay
s 81 5071185 3576300 900,000 16,000,000
age 81 40.23457 12.18531 25 78
hous 81 6.098765 2.321664 2 12
sex 81 0.9753086 0.1561497 0 1
edu 81 5.518519 3.350788 0 16
occu 81 0.1481481 0.3574602 0 1
dep 81 0.5187194 0.1845879 0 0.8
incs 81 32100000 8742374 14,500,000 51,200,000
Source: Authors’ Field survey, 2013.

Relationship between Age and Household Saving
Results of the study in Figure 2 revealed that household head with the age between 25-29 years had low saving.
The higher saving fell between the age of 30-39 years and the highest saving fell between the ages of 40-59 years,
then it started decline again from the age of 60 - 89 years. The highest saving of households whose ages between
40-59 years as figure 1 bellow likely indicates that the household heads were able to save more because they were
in their economically active age bracket. This is consistent with Life cycle hypothesis that the individuals in their
middle age save more than others while their saving decrease as they attain old age.
Figure 2. Relationship between age and household savings

Note: Average saving is Kip. Source: Field survey, 2013
Descriptive Statistics of the Independent Variables
Descriptive statistic explains the mean, standard deviation, minimum and maximum of data series in Total areas,
LuangPrabang, Nambark, Phonxay districts. Table 5 presents average household saving at 4,879,343 kip, income at
33,300,000 kip, age of household head at 45.09 years old, household size at 5.40 persons, and education
attainment of household head at 5.72 years. The dependency ratio is 0.43 while maximum value of saving is
26,000,000 kip, income is 71,800,000 kip, age of household head is 89 years old, household size is 13 persons,
education level of household head is 18 years and the dependency ratio is 0.87 and the minimum value of savings is
300,000 kip, income is 8,428,000 kip, age of household head is 25 years, and household size is 1 person. Education
of household head and the dependency ratio are 0 respectively in total areas.
Correlation Matrix
The correlation matrix examines the relationship among independents variables how one is related to another
variable, and also indicates the problem of Multicollinearity. If the coefficient of correlation between two
explanatory variables has absolute value above or equal 0.80 that means it has a problem of Multicollinearity
(Gujarati, 1995). Our selection of independent variables showed that all value at less than 0.56. Hence, there is no
Multicollinearity among the independent variables.
Table 5. Correlation among Independent Variables

Variables S Age Hous Sex Edu Occu Dep Inc
S 1
Age -0.1603 1
Hous -0.0412 0.1182 1
Sex 0.1555 -0.2073 0.1091 1
Edu 0.3199 -0.2856 -0.1577 0.2034 1
Occu 0.1656 -0.144 -0.1097 0.081 0.4401 1
Dep 0.0158 -0.2762 0.4172 0.0319 -0.0054 0.0285 1
Inc 0.566 0.0097 0.5046 0.1216 0.1704 0.0199 0.2721 1
Source: Authors’ Calculation based on Field Survey Data, 2013.

The Determinants of Rural Household Savings
The relationship between saving and its determinants was estimated using OLS. The model was significant at 1% in
all areas, meaning that all independent variables explain the saving in the study areas. The study revealed that
there was positively relationship between age and household saving; however, they were not significant. Age
squared was significant at 5% negative effect in Nambark and total areas, and there was less insignificant to
household saving which explains non-linear relationship between age and household saving.
When age of household head increased by 1 year, the amount of saving increased about 19,227 Kip, 40,381 Kip and
6,914 Kip in LuangPrabang, Nambark, Phonxay respectively and 12,592 Kip in total areas, and then declined around
-26,249 Kip in Nambark, -38,702 Kip in LuangPrabang, -22,127 in Phonxay and -25,973 kip in total areas per year. As
household head became old (the threshold level of age was calculated at 60 years and over), as household head
became older his experience increased year by year, he/she earned more income and save more ultimately. At the
same time, when his/her children have grown up at his/her age, they enabled to work and earn together, but after
the age of 60 years most household head might getting retired. For this reason, the saving level ultimately declined
due to a decrease in economic participation of one household member. Similarly, Burney and Khan (1992), Brata
(1999), Malapit (2009), Rehman et al (2010), Gedela (2012) and Chhoedup (2013) found that age structure was
positively related to household saving.
The sign of income (Inc) coefficients for all regressions confirmed directly relationship between household saving
and income. It is significantly positive at 1% in all areas, showing that the income variable is the most important in
savings decision making in all areas. The marginal propensity to save (MPS) ranges from 19.86%, 33.34% and
31.25% in Nambark, LuangPrabang, Phonxay and the total areas is 28.58% portion of total income is save per year.
It is indicated that large and rapid increase in income tends to raise the rate of household saving because
household capacity to save increase with household income. Khan el at (2009), Issahaku (2011), and Shitu (2012)
showed that there is a strong significant positive of income in increasing household saving.
Household size (Hous) in the study has a strong significant impact on household saving in 1% level, except in
LuangPrabang where it is insignificant. The coefficient of the variable presents negative sign. It can be interpreted
that the rise of one household member is associated with decline household saving about -875,093 Kip, -1,029,870
Kip, -320,007 Kip and -789,871 Kip in Phonxay, Nambark, LuangPrabang and total areas. This means that in case one
person is responsible for all household expenses in a larger size of household, such household cannot save much as
compared to the smaller size of household does. This result is consistent to what had been found by Rehman et al
(2011), Sehatu (2012), Obayelu (2012) and Chhoedup (2013) that the larger household size, the higher expenditure
tends to decline amount of saving by the household.
Sex household heads showed that the male head of household can save more than female household head, male
household head has positive significant at 10% in total areas, the coefficient is range from 1,633,567 Kip; 770,317.5
Kip; 613,213 Kip in LuangPrabang, Nambark, Phonxay and 990,176 Kip in total study areas. It indicated that female
heads seemed to spend much of their money on cosmetics, jewelry, cloths and crockery etc. For this reason, they
cannot save. It is consistent with the studies by Ahmud and Asghar (1999) and Kostakis (2012) whom found that the
male household head saved more than female household head.
Education is expected to have positive impact on household saving. The study revealed that highly educated
household heads are more likely to save except in Nambark, as higher level of education enable a household to
earn higher and enable to access to information, understand the benefit of saving and more education person are
likely to earn more money. Aikaeli (2010) confirmed that education leaded to proficient household management,
and crucially improved economic performance of the household as educated people were more likely to have skills
and opportunities to successfully diversify into others, more lucrative and income-generating activities. One more
year of education in attained by household head can increase household saving range from 77,005 Kip in Phonxay,
270,235 in LunagPrabang and 22,496 Kip per year in total area. However, it is significant at 10% level only in
LuangPrabang. Similarly results were found by Brata (1999), Kibet et al (2009), Gedela (2012) and Chhoedup (2013)
that the education had direct impact on the raise household savings. But the coefficient in Nambark is -97,257 Kip.
However, it is insignificant. It is suspected that an educated household heads perhaps spend more on their
children’s education and their higher studies. In this way, they spend more and save less.

Table 6. Regression estimate for determinants of rural household savings
Variable Total Areas LuangPrabang Nambark Phonxay
Age 12591.69 19226.7 40381.39 6913.641

(0.65) (0.35) (1.47) (0.23)
* *
Agesq -25973.33 -38701.52 -26248.54 -22127.24
(-2.6) (-1.62) (-1.91) (-1.29)
*** ***
Hous -789870.7 -310007.2 -1029870 -875093.3***
(-7.76) (-1.1) (-6.94) (-4.12)
*
Sex 990175.8 1633567 770317.5 613213
(1.95) (1.54) (1.05) (0.83)
*
Edu 22496.25 270234.5 -97256.84 77005.16
(0.42) (2.67) (-1.3) (0.72)
*
Occu 1346323 -333569.2 1444665 244106.5
(1.92) (-0.22) (0.91) (0.21)
Dep -1327768 -3060489 -934720.6 -1095167
(-1.54) (-1.6) (-0.81) (-0.69)
*** *** ***
Inc 0.2858406 0.198642 0.3334464 0.3124946***
(10.28) (4.62) (8.76) (4.97)
Constants
-1300401 -2316015 -2730902* -295995.5
(-1.18) (-0.77) (-1.71) (-0.19)
F-test 26.46 *
11.96 *
12.78 *
18.62*
Observations
312 66 165 81
Source: Field survey, 2013. Note: Heteroskedasticity-Robust Standard Error is applied in equations.
T-statistics in parentheses. * 10%, ** 5% and *** 1% indicate significant level.
The dependency ratio (Dep) found to be insignificant in all areas, however, the coefficient gives the true sign, the
estimated here range from -1,095,167; -934,721; -3,060,489 in Phonxay, Nambark, LuangPrabang and -1,327,768 in
total areas. An increased dependency ratio is bound to cause a decline in savings. A higher dependency ratio
implies a greater burden of consumption expenditure, and hence the higher allocation of household budget
towards consumption expenditure leads to lower household saving. This is consistent with the studies by Unny
(2004) and Kibet et al (2009).
The nature of occupation of household head is significant at 10% level, which explains the saving level of all
household in total areas, and it has positive influence on the saving in all areas except in LuangPrabang. Most of
household head work as governmental employees, they save less about -333,569 lower than other households.
There are other exogenous impacts on household income, for instance, flooding, they therefore spend more and
safe less consistent with the study result by Kibet et al (2009) showed that the entrepreneurs were likely to save
more than the teachers in rural areas. However, two other had very little impact as they mostly had the secondary
sources of income such as feeding animals, growing vegetable, fishing, animal hunting etc. Therefore, they could
still save. The result was consistent to Kelley and Williamson’s study (1968) who found that the governmental
officials seemed to enable to save better than the farmer household heads did.

The Contribution of Household Saving in Development of Rural Livelihood
Solow (1956) has explained that saving enabled to influence on long-run growth of the economy as higher saving
leads to capital accumulation and hence the economic growth increases. Fasoranti (2007) found that rural
household saving mobilization is an important factor in the economic development of the rural areas and Phan
(2010) confirmed that financial development can help to improve household income through increasing the level of
savings. The study found that the saving is very important to household members’ health care and longevity by the
rating of 4.64. In this sense, health is an asset with intrinsic value and instrumental value. Good health leads to
household economic growth as it increases adult productivity through improved nutrition as a study by Lustig
(2004) showed a powerful link between health and economic growth.
Household saving is also important to agriculture production investment (rating 3.43). This explains that the
amount of household saving was increasing due to the sufficient supplies of agriculture seeds, equipment
maintenance, extended agriculture productivity, enhanced laboring productivity for agriculture employment, etc.
Johnson and Mellor (1961) listed roles for agriculture that the process of development is to enhance an increase of
food supplies which has inter-connection to the higher household income. Hence, household economic growth can
be stimulated and increased.
Table 7. Household saving and development of rural livelihood

Indicators Age Age Age Age Age Age
Group 25- Group 25- Group Group 40 Group 50 Group 60
89 29 30-39 -49 -59 -89
Health and longevity 4.64 4.88 4.64 4.69 4.67 4.36

Agriculture production investment 3.43 3.92 3.37 3.31 3.69 3.17
Access to education 3.29 2.83 3.42 3.58 3.28 2.67
Maintain household business 2.08 1.50 2.09 2.41 2.00 1.86
Household business investment 1.81 1.54 1.80 1.91 1.89 1.67
Agriculture modernization invest- 1.42 1.29 1.32 1.48 1.63 1.31

ment
Observations 312 24 101 81 64 42
Source: Field survey, 2013.
Household saving is confirmed by our study result that household head has spent their money for their children’s
education and wish to provide higher education. Thus, household heads do spent on their education’s children,
including books, tuition fees, stationary items, school uniform, transportation, accommodation and etc. For this
reason the average score rating is 3.29 that means household saving is a moderate indicator on household
member’s education. This finding may come as a surprise, since child’s education is considerable as very important
investment for parents in many existing studies. Dahlin (2002) postulated that workforce’s education is a key
component of human capital and it has positive impact on the household’s economic growth. There is direct effect
of education such as increase of individual wage because education results in learning that increase a work’s
productivity. However, as found by Onphanhdala and Suruga (2007 and 2010) that returns to schooling in the case
of Laos were not at high rates. This suggests that the demand for child education is yet to turn to high or priority
investment for rural households.
On the other hand, investment on technology instrument appears to be less important in this case (rating 1.42). It
perhaps the rural households cannot afford technology equipments for their agriculture production activities or the
advertisement of technology equipment sellers did not reach these rural areas. In any case the technology still
plays an important role to develop rural livelihood, as the empirical studied by Grossman and Helpman (1991)
confirmed that an increase in level of resources spent on the utilization of technologies in agricultural production
activities leads to household’s economic growth.

CONCLUSION AND RECOMMENDATIONS
This study examines rural household saving base on data collected from LuangPrabang province through random
technique in 2013. The author found that rural household tends to save more in forms of cash at home, villages
saving group and livestock rather than saving in the banks. The significant determinant explanatory variables of
rural household saving in the study areas were total household income, sex, occupation of household head, these
have positive impacts. Household size has negative impact on household savings, but education of household head
and the dependency ratio are insignificant. Indeed, the study also supports life cycle hypothesis as age has positive
relationship and age squared is negatively related to household saving. In addition, the household savings is very
important to household members’ health and longevity, and to agriculture production investment in household.
Saving also presents a neutral relationship to education of household members; however, it is much less important
to household’s agriculture material purchase.
Therefore, the following recommendations are hereby proposed:
1) Formal financial institutions (both public and private banks) or semi-formal institutions (e.g. Micro-Finance and
Village Fund) should play more strategic role in rural areas to mobilize the household saving, thus increase
financial asset and enable to supply loans.
2) From the life cycle hypothesis found here, there is a need to provide basic health and nutrition facilities in rural
areas so that they can work in healthy environment up to old age and reduce the potential drop in saving of the
old age.
3) There is a need to create more earning opportunities that household can work by fulltime and part time in
order to increase the household saving.
4) Saving is found to be important to investment in agriculture production. Thus, accessible loans should be
available, with proper supervision and monitoring of funds providing for specified agriculture production to
promoting the development of rural livelihood.
REFERENCES
Abdelkhalek, T. A., Arestoff, F., De-Freitas, N. E., & Mage, S. (2010). A Micro-econometric analysis of Household
Saving determinants in Morocco. Afarican Review of Money Finace and Banking, 7-27.
Abid, S., & Afridi, G. S. (2010). Assessing the Household Saving Pattern of Urban and Rural Households in District
Muzaffarabad. Pakistan Journal of Life and Social Sciences, 8(2), 137-141.
Ahmad, M., & Asghar, T. (2004). Estimation of Saving Behaviour in Pakistan Using Micro Data. The Lahore Journal of
Economics, 9(2), 73-92.
Ailaeli, J. (2010). Determinants of rural income in Tanzania: Research on poverty alleviation, Research Report 10/4,
1-35.
Alessie, R., Brugiavini, A., & Weber, G. (2005). Saving and cohabitations the economic consequences of living with
one’s parents in Italy and Netherlands. Working Paper 11079, National Bureau of Economic research 1050
Massachusetts Avenue Cambridge, MA 02138.
Amu, E. K., & Amu, M. E. K. (2012). Saving Behaviour in Ghana: A Study of Rural Households in the Ho Municipality
of the Volta Region. Online Journal of Social Sciences Research, 1(2), 54-61.
Ando, A., & Modigliani, F. (1963). The Life cycle hypothesis of saving: Aggregate Implications and tests. The
American Economic Review, 53(1), 55-84.
Asian Develoment Bank (ADB). (2006). Rural Finance in the Lao People' s Democretic Republic: Demand, supply,
and Sustainability.

Brata, A. G. (1999). Household Saving Behavior: The case of rural industry in Bantul. Analisis CSIS, 28(1), 75-86.
Burney, N. A., & Khan, A. H. (1992). Socioeconomic Characteristics and Household Saving: An analysis of the
household' saving behavior in Pakistan. The PakistanDevelopment Review, 31(1), 31-48.
Chhoedup, T. (2013). Analyzing Household Saving determinants in Bhutan. International Journal of Humanities and
Management Sciences (IJHMS), 1(2), 179-183.
Chowa, G. A. N., Masa, R. D., & Ansong, D. (2012). Determinants of Saving among Low-Income Individuals in Rural
Uganda: Evidence from Assets Africa. Advances in Applied Sociology, 2(4), 280-291.
Dahlin, B. G. (2002). The Impact of Education on Economic Growth: Theory, Finding and Policy Implications. Office
of the press Secretary, 2-30.
Deaton, A. (1989). Saving in Developing Counties: Theory and Review. Proceeding from World Bank Annual
Conference on Development Economics, Washington D.C.
Duesenberry, J. S. (1949). Income, saving and the theory of consumer behavior. Harvard University press,
Cambridge, Mass
Edwards, S. (1996). 'Why are Latin America's Savings Rates So Low? An International Comparative Analysis' J.
Develop. Econs, (51), 5-44.
Fasoranti, M. M. (2007) The Influences of Rural Saving Mobilization on Economic Development of the Rural Areas: A
Study of Akoko Region in Ondo State in Nigeria. Medwell Journals, 1(2), 20-23.
Friedman, M. (1957). A Theory of the Consumption Function. Princeton University Press, National Bureau of
Economic Research.
Gedela, S. P. R. (2012). Determinants of Saving Behaviour in Rural and Tribal Households (An Empirical analysis of
Visakhapatnam District). International Journal of Research in Social Sciences, 2(3), 108-128.
GOL. (2007). Seventh national socio-economic development plan (NEDP) for 2011-2015. Committee of planning and
invest, Vientaine. Laos, 106.
Grossman, G. M., & Helpman, E. (1991). Innovation and Growth in the Global Economiy. MIT press, Cambridge.
Gujarati, D. N. (1995). Basic Econometrics. McGraw Hill, United States MilitaryAcademy, West Poin (4th edition).
Ike, P. C., & Umuedafe, D. E. (2013). Determinants of Saving and Capital Formation among Rural Farmers in ISOKO
North Local Government Area of DELTA state, NIGERIA . Asian Economic and Financial Review, 3(10), 1289-
1297.
Issahaku, H. (2011). Determinants of saving and investment in Deprived district capital in Ghana: A case study of
Nadowli in the upper west region of Ghana. Continental J. Social Sciences 4, 1-11.
Johnston, B. F., & Mellor, J. W. (1960). The role of Agriculture in Economic Development. American Economic
Review, 566-593.
Kelley, A. C., & Williamson, J. G. (1968). Household Saving Behavior in the Developing Economies: The Indonesian
Case. Chicago journals, 16(3), 385-403.
keynes, J. M. (1936). The general theory of employment, interest and money.
Khan, Z., Ullah, A., & Wahid, F. (2009). Intra rural regional difference in household savings: Empirical evidence from
three rural areas of district karak (Pakistan). Abasyn University Journal of Social Sciences, 3(2), 74-78.
Kibet, L. K., Mutai, B. K., Ouma, D. E., Ouma, S. A., & Owuor, G. (2009). Determinants of household saving: Case
study of smallholder farmers, entrepreneurs and teachers in rural areas of Kenya. Journal of Development
and Agricultural Economics, 1(7), 137-143.

Kostakis, I. (2012). Households' Saving Behavior in Creece Corresponding Countermeasures in Financial Crisis.
International Journal of Economic Practices and Theories, 2(4), 253-265.
LAO PDR, C. W. (2007). Project Proposal on: Microfinance Capacity Building and Research Project.
Luang Prabang Provincial Office (2013). Provincial economic development plan (Lao language, Unpublished Official
Document).
Lustig, N. (2004). Investment in Health for Economic Development. Version for Consultation and Comment, 7-56.
Malapit, H. J. (2009). The determinants of savings pooling within households: Evidence from Thailand. 1-33.
Newman, C., Tarp, F., Broeck, K. V. D., Quang, C. T., & Khai, L. D. (2008). Household Savings in Vietnam: Vietnam
Economic Management Review, 34(1), 1-8.
Obayelu, O. A. (2012). Saving Behavior of Rural Households in Kwara State, Nigeria. African Journal of Basic &
Applied Sciences, 4(4), 115-123.
Onphanhdala, P. and Suruga, T. (2007). Education and earnings in transition: The case of Lao. Asian Economic
Journal, 21(4), pp. 405-424.
Onphanhdala, P. and Suruga, T. (2010a). Entrepreneurial human capital and micro and small businesses in Lao
PDR. The Developing Economies, 48(2), pp. 181-202.
Phan, N. D. (2010). The impacts of financial development on household economic activities. Proceedings of
the 1st Conference on Science and Technology, 541-573.
Rehman, H. U., Faridi, M. Z., & Bashir, F. (2010). Households Saving Behaviour in Pakistan: A Case of Multan
District. Pakistan Journal of Social Sciences (PJSS), 30(1), 17-29.
Rehman, H. U., Bashir, F., & Faridi, M. Z. (2011). Saving Behavior among Different Income Groups in Pakistan: A
Micro Study. International Journal of Humanities and Social Science, 1(10), 268-277.
Sebhatu, K. T. (2012). Determinants of saving Behaviour of cooperative members survey evidence from Tigrai
region, Ethiopia. Journal of Research in Economics and International Finance (JREIF), 1(5), 150-158.
Shitu, G. A. (2012). Rural Households'Income and Savings Pattern in South-Western Nigeria. Agricultureal Journal,
7(3), 172-176.
Singh, E. N. (2011). Rural Savings and its Investment in Manipur A Case Study of Formal Finance vis-a-vis Marups.
Management Convergence, 2(2), 10-30.
Solow, R. M. (1956). A Contribution to the theory of Economic Growth. The Quarly Journal of Economics, 70(1), 65-
94.
Teshome, G., Kassa, B., Emana, B., & Haji, J. (2013). Determinants of Rural Household Savings in Ethiopia: The Case
of East Hararghe Zone, Oromia Regional State. Journal of Economics and Sustainable Development, 4(3),
66-75.
Unny, C. J. (2004). Determinants of saving behaviour of rural households in Kerala. Mahatma Gandhi University, 1-
29.

HOUSEHOLD FOOD INSECURITY AMONG THE INDIGENOUS PEOPLES
OF OCCIDENTAL MINDORO, PHILIPPINES
Mary Yole Apple Declaro-Ruedas

Science Research Specialist I
Occidental Mindoro State College
San Jose, Occidental Mindoro
tsinelas_yole@yahoo.com
ABSTRACT
This study was conducted to characterize the Buhid Mangyan households and their food consumption pattern; determine their
food security condition; and identify their household food insecurity coping strategies. The qualitative method, which includes
in-depth interview, focus group discussion, and ‘food diary’ were used to assess the Buhid food security condition and food
insecurity coping strategies. The three Buhid community in Occidental Mindoro, Philippines, namely: Sitio Salafay & Sitio Bato-
ili in the municipality of San Jose and Sitio Bato-singit in the municipality of Rizal served as the respondents of the study. The
Buhids experienced “food insecurity with moderate hunger” in which adults in the households with and without children have
experienced reductions in food intake. They employed rationing change as a coping mechanism, which includes limiting the
amount of food given to each household member at mealtimes and reducing the number of meals eaten in a day. It is
recommended that further study on the relationship between the socio-economic characteristics of the Buhid women and
household security status and their coping strategies be conducted.
Keywords: food security, coping strategies, Buhid women, food diary
INTRODUCTION
The Mangyans as a group of people traces a history of marginalization both in their ancestral domain and in the
access to basic social services, particularly health and education (Plan International, 2008). Their status barely
meets the basic needs of food, health, and education. Mangyans are mainly subsistence agriculturists, planting a
variety of sweet potato, upland (dry cultivation) rice, and taro. They also trap small animals and wild pig. Many who
live in close contact with lowland Filipinos sell cash crops such as bananas and ginger. Their land holdings are
generally small, sloping and communal. Their economy is basically dependent on slash-and-burn or “kaingin”
farming, which has essentially remained at subsistence level (Gapuz, 1995; Lumbo et al., 2009).
The number of people without enough food to eat on a regular basis remains is in an increasing rate. Over 60% of
the world's undernourished people live in Asia, and a quarter in Africa. The proportion of people who are hungry,
however, is greater in Africa (33%) than Asia (16%) (FAO, 2009). It is also defined as a situation where all people at
all times have physical, social and economic access to sufficient, safe and nutritious food that meets their dietary
needs and food preferences for an active and healthy life (Hoddinott, 1999).
Food and Agricultural Organization (1996) states that, “Food security exists when all people, at all times, have
physical and economic access to sufficient, safe, and nutritious food to meet their dietary needs and food
preferences for an active and healthy life.” The Life Sciences Research Office’s (LSRO) definition of food insecurity
closely follows the FAO definition and states that food insecurity is the “limited or uncertain availability of
nutritionally adequate and safe foods or limited or uncertain ability to acquire acceptable foods in socially
acceptable ways” (Bickel et al., 2000).
Different studies present a variety of different coping strategies that the households are likely to adopt when faced
with food shortage. For instance, when faced with famine, Ethiopian villagers were shown to draw on their
savings, use food reserves, diversify sources of income and reduce expenditure on non-food items in the
initial stages on the famine; whereas during the later stages of the famine they switched to consuming
famine foods and even migrated (Webb and Braun, 1994).
Mary Apple Declaro-de Ruedas
Study shows that when faced with the shock (conflict) induced food shortage, household were forced to drastically
reduce their food consumption and even resort to more socially unacceptable options such as begging (Molnar,
999). In Bangladesh households facing flood-created food shortages reported reducing the number of meals per
day, changing the types of food items that they consumed and borrowing food from neighbours (Frongillo et al.,
2003).
OBJECTIVES
This study was conducted to:
1) Characterize the Buhid Mangyan households and their food consumption pattern;
2) Determine their food security condition; and
3) Identify their household food insecurity coping strategies.
METHODOLOGY
The study used the qualitative research design. In-depth interview, focus group discussion, and ‘food diary’ were
the methods used in the collection of data. Seventy -five households from the three Buhid communities in
Occidental Mindoro, Philippines, namely: Sitio Salafay & Sitio Bato-ili in the municipality of San Jose and Sitio Bato-
singit in the municipality of Rizal were randomly selected for the study.
The mothers in each household served as the respondents. The mother-respondents were chosen based on the
following criteria: 1) those who had both a pre-elementary and grade school child; and 2) those who had resided in
the area for at least five years. The United States Department of Agriculture (USDA) Food Sufficiency
Questionnaire was adapted to measure household food security. The Coping Strategy Index (CSI), developed by
World Food Program (WFP) was used to enumerate both the frequency and severity of coping strategies of
households faced with short-term insufficiency of food.
Descriptive statistics such as means, frequency distribution, and percentages was used to describe the
respondents’ attributes and the coping mechanisms employed.
The Buhid Mangyan
Table 1 shows the characteristics of 75 households from the three Buhid communities in Occidental Mindoro,
Philippines, namely: Sitio Salafay & Sitio Bato-ili in the municipality of San Jose and Sitio Bato-singit in the
municipality of Rizal were randomly selected for the study. Their average age is 37.07 years old ranging rom 14-82
years old , which means that they were still in the middle age and can still perform the work requirements in doing
reproductive and productive activities.
Some of the Buhid women had undergone formal schooling, but merely at lower level of basic education. Majority
did not acquire formal basic education but they can read and write their names and perform basic mathematical
operations. It could be attributed to the fact that it was only mid 2000 that a formal Minority School was
established with a multi-grade level. It is noteworthy that today, they send their children to school but the latter
could not continue their schooling because of lack of finances and distance to a secondary school.
The findings confirm the results of the National Demographic and Health Survey of the National Statistics Office
(1998), which revealed that the basic education was the highest educational attainment of many male and women
household population in Southern Tagalog. Generally, they have big household size with a mean of 9.30 ranging
from 2-15. The Buhids were small holder farmers tilling an average rice farm size of 2.38 hectares ranging from 0.3
-7.38 hectares, which corroborates with the BAS (2002) report that the average size of 4.5 million farms in the
Philippines is only 2.40 hectares.

Moreover, the Agriculture and Fisheries Modernization Act (AFMA) or RA 8435 of 1997 and the Magna Carta of
Small Farmers (RA 7607) of 1993 defines smallholder “as natural persons dependent on small-scale subsistence
farming as their primary source of income.” They planted upland rice varieties because it can withstand harsh
conditions in their kaingin.
Results showed that the Buhids are generally ‘poor.’ The Republic Act 8425, otherwise known as the Social Reform
and Poverty Alleviation Act, defines poor as individuals and families whose income fall below the poverty threshold
as defined by the government and/or those that cannot afford in a sustained manner to provide their basic needs
of food, health, education, housing and other amenities of life. Their average monthly income per household with
nine members is PhP 996.85. This is less than the annual per capita poverty threshold for Occidental Mindoro,
which stood at PhP 14,064.00 during the period (NSCB, 2013; Declaro,2012). This income is considered low and
barely meets the daily needs of a large households. This could be due to ‘tag-kiriwi’ or the difficult times
experienced by the Buhids during the months of July to September. At this time, activities in the kaingin and
lowland farms are already finish. Thus, they do not have a daily source of income from wage labor.
Table 1. Socio-economic characteristics of the Buhid women.
Socio-economic Variables
Age Mean: 37.07 years old
Range: 14-82 years old
Educational attainment Mean: 6.32 grade
Range: 0-10 grade
Household size Mean: 9.30
Range: 2-15
Farm size (rice) Mean: 2.38 hectares
Range: 0.3 –7.8 hectares
Household Monthly Income Mean: P 996.85
Range: P 50.00-2,600.00
Household food consumption
For the Buhid families living in the uplands of Occidental Mindoro, aquatic animals and smaller land animals aside
from rice are considered part of their daily diet.
The food consumed by the Buhid families are derived from their kaingin farm. Other sources of food include food
collected from the forest, food bought with cash, food borrowed, food exchanged for labor or barter as well as food
received from the government and/or aid projects. The staple food of the respondents is rice supplemented by
banana and cassava. Bagoong is part of their meal, it is added in rice to give taste and flavor. Coffee is their favorite
drink during ‘huntahan’ or gatherings.
Vegetable, fish and meat are consumed when available and if they can afford to buy it in the market or when there
is an occasion in the community. Wildlife and aquatic animals were ranked as an equally important to livestock.
The list of wild animals that are eaten includes fish, snails, birds, shrimps, frogs, insects, lizard, and wild boar. Fish
and other aquatic animals are brought from peddling fish vendors. The most frequently consumed domestic
animals were chicken, ducks, indigenous pigs, goats and dogs. Rice, banana and root crops were cultivated in a
larger scale not only as staple food but as a product with monetary value.
According to the respondents, their food intake had already changed over time due to the introduction and
availability of instant food in the community. The top five food products bought are salt, sardines, instant noodles,
condiments and coffee. Almost all of the introduced food are considered processed food with preservatives. These
can be bought in the nearby stores and does not need further cooking. They are consumed to satisfy hunger.
The buying of food is increasing while collecting food from the wild is declining. This holds true, since of the
indigenous foods are already scarce and extinct.

Table 2. Food groups.
Food Group Examples

Cereals Rice, corn
Roots and tubers Cassava, wild yam, yams, sweet potato, etc.
Leaves, stems & sprouts Sweet potato tops, bamboo, ferns,banana blossoms etc.
Seeds & nuts Kadyos, subitao, mungbean, patani
Fruits Mango, guava, wild berries, papaya, banana etc.
Fish Milk fish, galunggong, etc.
Vegetables Squash, malunggay, bitter gourd, long bean, eggplant etc.
Frogs, snakes & lizards Frogs, snakes & lizards
Freshwater snail, shrimp Ulang, ligdig
Domestic animals Chicken, ducks, indigenous pigs, goats and dogs
Wild animals Deer, wild boar, monkey, etc.
Others Canned goods, instant foods, condiments, junk foods,coffee, sugar etc.
Status of food security of the Buhid
Food security was defined as “access by all people at all times to sufficient food for an active, healthy life” (World
Bank, n.d.). In practical terms, this encompasses the physiological needs of individuals, the complementarities and
trade-offs among food and other basic necessities (especially health care and education, but others as well),
changes over time in terms of people’s livelihood strategies, the assets to which they have access, and uncertainty
and risk (that is, vulnerability).
Clearly, food security is about more than just how much people have to eat. Yet, having “enough” food to eat is
the most important outcome of being food secure; while physiological requirements differ, people largely know
whether they have “enough” or not. Moreover, food security is also defined as situation where all people at all
times have physical, social and economic access to sufficient needs in food preferences for an active and healthy
life (Hoddinott, 2004). In addition, household food security refers to a household’s ability to acquire food.
There are six components to defining a food secure community: 1. Availability of a variety of foods at reasonable
cost; 2. Ready access to grocery stores and other retail food sources; 3. Sufficient personal income to purchase
adequate food to meet the nutritional needs for household members; 4. Freedom to choose personally acceptable
foods; 5. Confidence in the quality and safety of available food; 6. Easy access to understandable and accurate
information about food and nutrition.
The status of food security of the Buhid (Figure 2) was categorized based on the following: a. food secure —
household shows no or minimal evidence of food insecurity. it means that they have enough food to eat; b. food
insecure without hunger —household food supply is adequate but there is an adjustments to household food
management, including reduced quality of food and increased unusual coping patterns; c. food insecure with
hunger (moderate) —food-insecure households with children shows that there is not enough of foods to eat. thus,
there is a reductions of food for adults but not for children; and d. food insecure with hunger (severe) — at this
level, adults in households with and without children have repeatedly experienced more extensive reductions in
food intake.
Results revealed that majority (60%) of the Buhid households are ‘food insecure with moderate hunger’. It reveals
that the households show higher evidence of food insecurity, which is also in line with the coping strategies they
employ. Root crops and banana were used as substitute to rice, while some children ate junk foods to lessen
hunger.

Figure 2. Status of food security
Food insecurity coping strategies
Devereux (2001) defines coping strategies as a response to adverse events or shocks. The definition by Snel and
Staring (2001) captures the broad notion of coping strategies, namely that “all the strategically selected acts that
individuals and households in a poor socio-economic position use to restrict their expense or earn some extra
income to enable them to pay for the basic necessities (food, clothing, shelter) and not fall too far below their
society’s level of welfare.”
Food insecurity may be triggered by seasonal fluctuations in food availability, food prices and/or incomes, which
themselves may result in seasonal fluctuations in individual nutritional status. Depending on the level of
vulnerability of a household, transitory periods of food insecurity may precipitate the chronic condition. A
household that cannot cope with seasonality in this way may be thought of as ‘fragile’, while a household that
weathers such periodic crises is more ‘resilient’ (Oshaug 1988). Likewise, food insecurity coping strategies used to
offset threats to a household’s food and economic resources in times of hardship. One of the most common
methods for identifying food insecure households or regions is to look at the frequency and types of coping
strategies (in conjunction with consumption, expenditure, food share, and nutritional status indicators). Coping
strategies are used to offset threats to a household’s food and economic resources in times of hardship. The
different types of coping strategies are markers of the severity of conditions, often categorized into four distinct
stages of destitution (Corbett, 1988).
The Coping Strategies Index (CSI) was the tool used. The CSI measures behavior: the things that people do when
they cannot access enough food. There are a number of fairly regular behavioral responses to food insecurity—or
coping strategies—that people use to manage household food shortage. Adopting any of the coping strategies
described in Table 3 has implications for the household and its members. The overall mean of 3.34 shows that the
different coping strategies were “always true to me.” When there is not enough money to spend for food, the
respondents rely on less preferred and less expensive food with a mean of 3.87 which is evaluated as “always true
to me.” This includes substitution in food purchases and serving of foods. Viand of protein or vegetable source
were replaced with salt, sugar, soy sauce, or cooking oil. Instant foods, and canned sardines, and “junk food” are
also preferred because of its low cost, time and energy saving convenience in preparation. These strategies are
considered as a dietary change.
The “always true to me” coping strategies were to limit the amount of food given to each household member
during meal time (mean=4.38), and reduce number of meals eaten in a day (mean=4.56), which belongs to the
rationing strategies. Most of the mothers (62%) usually practiced skipping of meals; some fathers (30%) also did
skipping a meal or two during the day, and their older children (8%) too.

Figure 3. Percentage of household who skipped meals.
Relying on help from relative or friend outside household with (mean =3.36) is one of the characteristic of Filipino,
which is close family ties. It is also a strategy used by the Buhids in times of ‘tagkiriwi’ or hardship. Similarly,
studies have also identified related strategies that households employ to protect themselves against food
insecurity. It includes changes in food consumption patterns, rationing food intake, migration, liquidation of assets
and borrowing money (Molnar, 1999).
Table 3. Food insecurity coping strategies of the Buhid.
Coping Strategies Indicators Mean Interpretation

Dietary Change Rely on less preferred and less expensive 3.87 Always true to me
foods
Increase Short- Borrow food from a friend or relative 3.67 Always true to me
Term Household Purchase food on credit 3.16 Moderately true to me
Food Availability
Decrease Numbers Rely help from relative or friend outside 3.36 Always true to me
of People home
Rationing Strategies Limit portion size at mealtimes 4.38 Always true to me

Restrict consumption by adults in order 1.86 Moderately true to me
for small children to eat
Reduce number of meals eaten in a day/ 4.56 Always true to me
skip a meal or two during the day
Skip entire days without eating 1.88 Moderately true to me
Overall mean 3.34 Always true to me
Legend: 3.34 – 5.00= Always true to me; 1.67 – 3.33 = Moderately true to me; and 0.09 – 1.66= Slightly true to me

In determining the food insecurity status, the different institutions can design pre-emptive measures to strengthen
the resilience of households against shocks without them having to suffer the adverse consequences of resorting to
potentially harmful coping mechanisms. For instance, changes in food consumption patterns, due to a reduction in
the number of daily meals or a decline in the quality of food consumed, can be harmful to the health of household
members especially to the long-term well-being of children (Arimond and Ruel, 2004).
CONCLUSIONS
Based on the pertinent findings, the following were the conclusions drawn from investigation:
1. Majority of the Buhid women were in their middle age and can still perform reproductive and productive
activities. They have big household size, with low level of basic education, and with an average monthly income
below the poverty threshold. Forest foods are the most important source of foods besides rice. Also included in
their diet are instant foods and canned sardines.
2. The Buhids experienced “food insecurity with moderate hunger” in which adults in the households with and
without children have experienced reductions in food intake.
3. They ‘always’ employed rationing change as a coping mechanism, which includes limiting the amount of food
given to each household member at mealtimes and reducing the number of meals eaten in a day.
RECOMMENDATIONS
This study has the following recommendations:
 Conduct further study on coping strategies of IPs using mixed method.
 Conduct a correlational study on the socio-economic characteristics and their coping strategies.
ACKNOWLEDGEMENT
The author would like to express thanks and appreciation to the Buhid women of Occidental Mindoro for giving the
data needed for the study. The assistance and full support of the Midwifery (AY 2014-2015) students of OMSC-Main
headed by their extension coordinator Ms. Marciel S. Bautista in validating the data in sitio Bato-singit is also highly
appreciated.
REFERENCES
Arimond, M. and M. Ruel. (2004). Dietary Diversity Is Associated with Child Nutritional Status: Evidence from 11
Demographic and Health Surveys in Journal of Nutrition, Vol. 134, 2004, pp 2579–2585.
Bickel, G., et al. (2000). Guide to Measuring Household Food Security, Revised 2000; Measuring Food Security in the
United States, United States Department of Agriculture (USDA). www.ers.usda.gov/briefing/foodsecurity
(Retrieved: 10 November 2011)
Declaro,M. (April 2012). “Capacity Building of the Buhid Women in San Jose, Occidental Mindoro.” PHILARM
Journal Vol.9 No.1
Devereux, S. (2001). Livelihood insecurity and social protection: re-emerging issue in rural development.
Development Policy Review, 19(4): 517-519.

Frongillo, E., et al. (2003). Understanding the Experience of Household Food Insecurity in Rural Bangladesh Leads to
a Measure Different from That Used in Other Countries in Journal of Nutrition, Vol. 133, 2003, pp 4158–
4162. (Retrieved: 10 November 2011)
Food and Agriculture Organization. (1996). Rome Declaration on World Food Security Note 1 in Plan of Action of
the World Food Summit, November 13-17, 1996, held by the Food and Agriculture Organization, Rome.
http://www.fao.org/docrep/003/w3613e/w3613e00.htm (Retrieved: 10 November 2011)
Gapuz, E.(1995). “Knowledge, Attitude and Behavior of the Mangyans in Sitio Banabaan, Abra de Ilog, Occidental
Mindoro Towards the Agroforestry Technology of the Low Income Upland Community Project.” (Thesis:
University of the Philippines Los Baños, College, Laguna, Philippines).
Hoddinot T. (2004). Shocks and their consequences across and within household in rural Zimbabwe. http://
www.sarpn.za/document/
Lumbo, S., Declaro, M., and Cassanova,V.S. (2009). “Cross Cutting Approaches in Reaching out the Indigenous
People of Occidental Mindoro through Natural Resource Management and Community-based Livelihood
Options.” Occidental Mindoro State College (OMNC) Research Journal Vo.8 No. 1
Molnar, J. (1999). Sound Policies for Food Security: The Role of Culture and Social Organization in Review of
Agricultural Economics, Vol. 21, No.2, 1999, pp. 489-498.
National Statistical Coordination Board (NSCB). (1998). Annual Per Capita Poverty Thresholds by Province
National Statistical Coordination Board (NSCB). (2013). Annual Per Capita Poverty Thresholds by Province, 2012 –
2013
Plan International Evaluation Report ,2008
Snel, E. and R. Staring. (2001). Poverty, migration, and coping strategies: an introduction. European Journal of
Anthropology, 38: 7-22.
Webb, P. and J. Braun. (1994). Famine and Food Security in Ethiopia: Lessons for Africa, John Wiley and Sons: New
York.
World Bank Report .nd

INTERVENTION: NGOS IN THE PROVINCE OF MARINDUQUE, PHILIPPINES AND THE 4TH
CLASS MUNICIPALITY OF BUENAVISTA
Randy T. Nobleza, Marinduque State College

anditonasipedro@gmail.com
ABSTRACT
Given the context of Asean 2015, when the Southeast Asian nations become a common market, there might be emergent
losers and winners. Marinduque, a small island province in the heart of the archipelagic country, the Philippines is in transition.
Since the post war period, there had been a number of Non-Governmental Organizations and during the last 30 years there had
been Civil Society Organizations which came and went. Buenavista, a 4th class municipality in the province is still within the
poverty threshold. But there is hope, a n international organization has included Buenavista among their priority areas. The
Norwegian Mission Alliance Philippines selected communities in Brgy. Yook, Bagtingon, Bicasbicas and Bagacay. After 3 years,
has the development work paid off or still it was a promise to be kept? The longitudinal study hopes to find out if there is a n
impact to the communities and the economic status of the Municipality of Buenavista. Through video, ethnography and
documentary analysis, the study would like to find out what is the extent of the NGOs' intervention. The initial data-gathering
was initiated during the last quarter of 2009 and continued through 2 nd quarter of 2010 as part of the researcher’s more
encompassing study on development models in research and communication studies. The framework to be used to analyze and
make sense of the data would be the Food Not Bombs dictum, Solidarity not charity. There would also be a comparison with the
concept along with its practices of charity and solidarity guiding social and developmental work in the province. This yardstick
would be used to assess the intervention of other existing and past NGOs such as Marinduque Council for Environmental
Concerns (MACEC), Philippine Rural Reconstruction, Marinducare Foundation and also Mission Alliance Philippines.
Keywords: MACEC, PRRM, Marinducare, NMA Philippines, Learned helplessness, charity, solidarity
INTRODUCTION
The initial fieldwork was done within 18 weeks (september 2009 to March 2010), it was divided into three parts to
determine the feasibility of putting up an alternative community center. The first 6 weeks, the researcher went to
six town centers in province of Marinduque. The researcher was able to obtain permits in coordination with the
respective municipal planning and development offices. Then the researcher went to the selected communities to
conduct observation and immersion. Within the said period, the researcher was able to collate baseline data from
community officials, ordinary folks, local scholars and other official and unofficial sources to come up with an initial
output.
The next six weeks, the researcher went back to the same selected communities from the 6 towns in the province.
The researcher provided orientation about independent media center within the global, regional and local context.
The orientation involved development models survey, mobile exhibit, micro film screening and putting up blogsites.
After the orientation, the researcher conducted focused group discussion and processed the results of the
preliminary survey. The researcher was able to conduct interviews using the FGD and survey instrument to come
up with a three segment video ethnography. The content of which is based on the models of development in the
respective towns in Marinduque. Segment A deals with the direct observation about the short, medium and
longterm effects to the extractive industry of mining. Segment A presented the hopes of Sta.Cruz tourism plans
after the closure of the Marcopper Mining Corporation and the recent small-mining activities in Boac called
”guerilla/ kamote mining”. Segment B delves with the Intervention of non permanent institutions like the
Norwegian Mission Alliance Philippines in the town of Torrijos and Buenavista. The intervention range from direct
livelihood training to indirect ecumenical churhc services. And Segment C relates the experiences of morion mask
production in the town of Mogpog and butterfly farming in the town of Gasan.
During the last six weeks, the researcher tried to account for the communities which did not participate in the FGDs
and preliminary sruvey. Despite repeated attempts and persuasion, the researcher was able to get the only partial
and incomplete results. The results was below 50%. The researcher, just the same, presented the partial results in

Randy Nobleza
the selected 18 communities in the province, there are at least 80% of acceptability of the putting up an alternative
model of development in Marinduque. Apart from mining and NGO intervention, among the solidarity economies
that were already existing: butterfly breeding, morion maskmaking, pottery production, buntal loomweaving,
coconut sugar production and abaca fiber products marketing.
STATEMENT OF THE PROBLEM
Given the global financial crisis and political instability in the Philippines during the last 10 years, Marinduque has
remained underdeveloped just like other island provinces in the country. Marinduque has been largely agricultural
and most o fits communities are coastal. Everyone is looking for a more feasible development model which
considers socio-cultural, environmental and economic factors. The province has remained unchanged since postwar
years, it has remained 4th class. Composed of 218 communities and 6 towns, two of which are 4th class
municipalities (Buenavista and Torrijos), two more are 3rd class (Mogpog and Gasan) and the remaining two are 1st
class (Boac and Sta.Cruz). If in a small island province with a 200,000 population, there are heterogenous
development models, it would be very difficult to get a broad picture of development. Due to differences in
geographical characteristcs, climate and contexts, there would be different development models, but none for the
whole province feasible to all communities and towns in Marinduque.
OBJECTIVES
The study hoped to document different development models in selected communities in the province of
Marinduque. It is also aimed to determine whether Marinduque could come up with an alternative development
model. The study was geared also to provide a broad picture of development in different island province in the
country and related it to the collective unconscious of the nation and development. The different models of
development that would be documented to provide a trajectory and traversality with different modes of
development in the province.
SIGNIFICANCE OF THE STUDY
For a small island province like Marinduque, it would be beneficial to reconcile differing observations from both
official and unofficial sources. Not only for Marinduque, it is also true for the region of MIMAROPA and probably for
the archipelagic country of the Philippines. In the context of the ASEAN economic integration, k+12 in basic and
secondary education system along with amalgamation in higher education, Marinduque could become a test case
in development. The study of developments models would not only be beneficial to the rovince of Marinduque and
its people but also to other island provinces in the Philippines.
SCOPE AND LIMITATION
Within 18 weeks, divided into three sets of 6 weeks was devoted in documented at least 18 communities within 6
towns of the province of Marinduque. Using video ethnography, three sets of materials were obtained through
field observations, documentary analysis and focused group discussions. The first set of output is based on the first
6 weeks (3rd week of 2009 until 4th week of December 2009), during the next 6 weeks the next set of output was
produced (1st week of January until 2nd week February 2010). The last output was based on the final 6 weeks (3rd
week of February to 4th week of March 2010).
METHODOLOGY
Data Gathering Procedure
The main instrument and unit of analysis for the study is ethnography. It both refers to the data gathering
procedure and the output of the study. Ethnography is a particular form of documentation which makes use of
observation, direct and indirect to characterize a specific group of people in a particular milieu, geographical
locationa and historical setting. It also becomes the final output of the study which shows the results of the
research. Desite the oversimplified appropriation, ethnography is an offshoot of quite a complicated lineage from

Randy Nobleza
the social sciences. It shares its

descent with specific
disciplines like anthropology
and sociology, as well as
philosophy and other human
sciences and field of studies.
Be it as it maybe, the particular
use of ethnography in this
study is a combination of
different platforms and media
like text, photography and
video.
Theoretical Framework
Reflexivity has gained a

momentum during the recent
years in the approaches and
methodologies in social research. During the 19th century, after so many postcolonial experience in the global south
and the third world coincided with the start of proliferation of most of the social science disciplines as it is known
today in the contemporary period. Side by side with the natural s sciences in Europe. There were a number of
debates on the reliability and objectivity of the research results. Some who contest the validity of knowledge
incidentally posit human produces knowledges. While some, assume that knowledge is just being discovered like
natural laws waiting to be understood and codified.
It is therefore to distinguish between the two viewpoints, in terms of the existing relations between the
researchers and their objects. The probable relations between the subject and the object would be observed in the
results of the study. If before, objects are considered to be lifeless and therefore do not have any dynamics. Until
the time when there is already a possibility of studying living orgnaisms which has life, has a capacity of change,
there was also possible of reflexivity.
After the establishment of different disciplines in the human sciences, research objects became less static and
more dynamic: psychology (affect, behavior and cognition), sociology (dynamics and statics of society), geography
(physical characteristics of a place), philosophy (though and reason) at history (significant events in the past).
REVIEW OF RELATED LITERATURE
The island province of Marinduque is known for at least two things: because of Moriones festival which local and
foreign tourists get to experience during the holy week and due to dead rivers which is a reminder of the once
extractive industry of mining. There are more things more significant than Marcopper Mining Corporation and
Moriones Lenten rites and festival which demands scholarship and knowledge production.
”Mining and State” by Jaime Faustino provides an overview of extractive industries in the Philippines during two
successive regimes (Marcos at Aquino). Incidentally, it doesn’t show much different even upto now, the legislation
on mining is still in favor of foreign investors and rarely benificial to indigenous peoples. Faustino presents proof
from both administration, there is almost the same outcomes: destruction of the environment and evation of
transnational companies to take responsibility. By providing economic activities from both cases in Mountain
Province and Southern Tagalog. According to his study, small provinces and communities does not accumulate
revenues from mining rather it remains poor before the establishing the mining industry in Bontoc, Benguet and
Sta. Cruz, Marinduque in the 1960s.

Randy Nobleza
According to Panchito Labay, the geological characteristics of Marinduque being 80% mineralized. It was only a
matter time when investors pool their resources to harness the full potential of the island province. There is a need
for social history of mining in Marinduque before the end of operations of the Marcopper Mining Corporation. As
early as 1930s, even without the presence of the foreigners like Japanese, Americans, Australians, Canadian and
others more than half of the province’s resources are valuable. Including the land, streams, rivers, mountains and
plateaus could become mining areas. Therefore, it is no wonder why Marinduque has generated a lot of interests
among mining companies. Copper was not the only mineral valuable, just before war time, in the interior of Boac
and Mogpog were abundant sources of iron. The mountains of Taluntunan and Manggamnan-Pili form a chain
known as the province’s Iron Belt in preparation for the Second World War which attracted a number of Japanese
investors to produce war machines.
After more than a decade, copper and gold was obtained and found feasible to mine in the adjacent communities
of Boac in Boi, Canat at Canat. And finally in the 1960s, Mogpog became a boom town, as three of its communities
in Pili, Ino and Capayang were selected by Consolidated Mines Inc (CMI) to become mining sites. Almost the same
time, Marcopper Mining Corporation also selected the town of Sta. Cruz, as an open-pit mine in Matabang Bundok/
Tapian and San Antonio.
“The mining of copper in the once sacred lands of Matabang Bundok was jointly owned by Marcos (49%) and by
Placer Development Limited (39.9%) until 1987, thus the firm was named as Marcopper (Marcos Copper?) Mining
Corporation,” (Labay: undated). In the contemporary times, it would be different to locate a source, locally or
otherwise which would assess that the province of Marinduque benefited from mining. There are some nostalgic
accounts on how the island province was better off with the extractive industry, “city within a town.” Due to the
amenities made available by the transnational company like staff house, club house, air strip, golf course, medical
facilities, seaport and electric generators etc).
Based on the data from the Marinduque Council for Environmental Concerns, after 30 years until 1990 Marcopper
was able to obtain 64,372 tons copper concentrate, 18,049 tons pure copper metal, 3,460 kilograms silver and 453
kilograms gold.
Panchito Labay recounts in a presentation: Of Squandered beauty: Of economy and social history of Mining in
Marinduque, the village people who were still slumbering in their deep sleep were shocked when rushing silt laden
with acidic poison and heavy metals swept their houses and properties. Two children in their morning sleep were
carried away by the monstrous wall of mine wastes. Agricultural crops were gutted by the rushing wastes and made
them poisonous for crops.
It did not take too long after when another tragedy struck, the town of Boac also suffered the same fate of its
neighboring town of Mogpog. In March 1996, the concrete plug that was surreptitiously made in the base of
Matabang Bundok that connect the Pit to Makulapnit Creek burst, releasing 3-4 million tons of mine tailings as
flood to Makulapnit Creek down to Boac River. Over five days the discharged of mine tailings continued at the rate
of 5-10 cubic metres per second down to Boac River filling up its bed with poisonous brew of wastes. About 4,000
people from almost 24 villages were affected by the fiasco.

In November 2009, the researcher was able to be in contact with a non permanent institution. Yet another one in
the last five decades in Marinduque. It is an indication that nothing much change during years after the 2nd world
war. But compared to other NGOs, there was a different approach. It was not the first time for the island provinc e
to be on the receiving end of aid in one form or another. Through children-led congress in the town of Buenavista
in coordination with the Norwegian Mission Alliance-Philippines (NMA-Phil).
The researcher was involved with a couple of similar sectoral institution usually needs-based rather than human
rights based. Generally, more specially in the Philippines and probably in other developing nations, NGOs operate
based on needs and funding source. In Marinduque, it was no different, there are several existing NGOs since the
1960s geared towards development. But since then, the island province is yet to reap the fruits of their labor.
Initially, NMA Philippines was focused on four pilot communities in the town of Buenavista. The Children’s Congress
started with the launching of the campaign of building children friendly communities. Since the venue was a
learning institution, it followed also that among its thrusts is commiting in creating child-friendly schools. Apart

Randy Nobleza
from the fact that Buenavista is among the poorest among the poor in Marinduque, as a standard in poverty
threshiold. Communities that don’t have potable water, access to hygeine and sanitation are among below the
poverty line. Precisely, the case of Buenavista and its communities: Brgy. Yook, Bagtingon, Bicas-Bicas at Bagacay.
NMA Phils. Buenavista Cluster started with establishing participative and action research teams from the
community itself. Involving the folks from the place, in particular the children and the youth. Together they
collected data about development situation in the community. They processed the baseline data form intervention.
Meanwhile, the action research is underway, after main issues were identified and needs analyzed. It would be
ultimately the community who gets to decide what particular option to take.
According to the Local Government of Buenavista, the economic situation in the town is only an offshoot of the
political configuration in the province. Since the local executive is at the tail end of her term, she expressed her
frustration and surmised that due to the voting population of Buenavista, it does not figure among the priorities for
development. ”Sa kinatagal-tagal ng kanyang panunungkulan, isa lamang ang kanyang natutuhan, malaki ang
kinalaman ng liit o laki ng isang lugar o bayan sa bilis at bagal ng pag-unlad nito. Dahil sa ang kanilang bayan ay
ang pinakamaliit sa buong probinsya, marami sa mga proyekto ay hindi dito napupunta kundi sa iba na mayroon
mas malaking lugar, populasyon at botante.”
Despite years and years of serving the public, the fact remains that voting power really does matter especially to its
development phase. Because Buenavista has the smallest voting population, almost if not all development
initiatives don’t get to be realized. But development reach the towns which have a bigger number of voters).
Buenavista Local Executive Ofelia Madrigal added that it is not surprising why Buenavista remains poor. It happens
all the time, it lags behind always in terms of priorities. ”Ganito nga ang nangyayari sa Buenavista, palaging
nahuhuli hindi lamang sa pag-unlad kundi maging sa prayoridad para sa mga mahahalagang proyekto.”
Not only the local officials think the same, even the ordinary towns folk. Despite having a 6 star hotel in the town of
Buenavista, it does not translate to local revenues. Different people in the communities also support the same
explanation. There are a lot of missed opportunities because the voting population is not considered to be
startegic. The Buenavista Vice Mayor David Grave Vitto put it succinctly, (Buenavista is the pooerest in the
province because not only it is the smallest geographically but also it has the smallest number of voters. But what it
lacks in population, it makes for scenic spots like kabulusukan falls, malbog hotspring, Mt. Malindig foothills, etc
Bella Roca which was Elephant Island before but managed by Gold barrel nowadays) ”Pinakamahirap na lugar sa
probinsya, pinakamaliit na lugar kung kaya pinakakaunti ang botante. Meron kabulusukan falls, malbog hotspring,
paanan ng malindig, etc. Bella roca dating elephant island gold barrel.”
According to folk accounts, Elephant Island was bought for a ridicously small amount from a local resident but
when developed by foreign investors, it was considered to be a well-sought private resort. To the point that the
only patrons of the Gasan Domestic Airports are visitors of Bella Roca. But despite the status of the high end tourist
attraction in Buenavista, it does not have any direct bearing to the economic situation of the town. The Gold Barrel
does not pay local taxes but to a certain office in Makati City in Metro Manila.
Nonetheless, it could not be understated that it provides the town of Buenavista with fringe opportunities. One of
communities which got some sort of benefits, also an NMA Philippines pilot community, Brgy. Bagacay.
Incidentally, the community leader Reynaldo Monsanto, also heads a local cultural group who are on-call everytime
visitors would want to be culturally acquianted with the province. He explained that extracting coconut oil and
toddy is the local industry in their community. This is the bases for their Tuba (coconut toddy) Festival. The
bottomline, they are not able to make both ends meet. (If it’s the monsoon, we are not able to get any coconut.
But when monsoon’s over, we are able to get coconut, it is dirt cheap but rice prices continue to soar.)”Pagka
nagbagyo, walang malupas, walang niyog. Sa nagyon, napakamura ng kilo ng kopra, pero ang mahal ng kilo ng
bigas.”

A SIGN OF CHANGE OF ECONOMIC STATUS AMONG LOCAL GROUPS OF THE COHO
IN LAM DONG PROVINCE, VIETNAM
MAMORU HONDA
Asian Cultures Research Institutes, TOYO University, Japan
mhondatoyo@yahoo.co.jp
ABSTRACT
The Coho belong to the Mon-Khmer language group in Vietnam. The number of the Coho in the 2009 census was 166,112
persons. The Coho are made up of local groups, such as the Sre, Cil, Nop, and Lat. In the presentation, the presenter will discuss
the relationship of the two groups, the Sre and the Cil, in the field. The Cil economy is based on maize cultivation by slash-and-
burn techniques and shifting cultivation. They used to change location every 10 years because they exhausted their agricultural
land, which they relinquished in favor of new land. The Sre settle in one location, and their economy is based on wet-rice
agriculture. These two groups are different from each other in their lifestyle. The Sre despise for regarding the Cil as the poor
until now. There, therefore, was no intimate relationship between this two groups. In particular, there was no intermarriage.
After the social revolution in 1975, the government confiscated private property, which included land ownership, and carried
out a cooperatives policy. After renovation, in 1993, the government permitted individual land use rights. Farmers began to
plant cash crops. Through these social changes, ethnic communities, including those in the field, also changed considerably.
The aim of the presentation, therefore, is to assess the following points based on the data on the Cil and the Sre that was
gathered by the author during field research. First, the author clarifies the social change process of two ethnic groups from
1975 to the present in the field. Secondly, the author presents and compares several marriage cases in the field. Finally, after
indicating a change in the economic status of two ethnic groups, the author will point out the direction of social change of the
ethnic group's community in the Lam Dong Province.
Keyword: land use rights, cash crop, marriage, economic status
INTRODUCTION
Vietnam has received much social change from the French colonial period to the present day. This period can be
divided into three stages (HONDA 2010 pp, 303-3011). The influence of such social change is different according to
the region or the ethnic group. The field of this report is in G administrative hamlet, Lien Hiep commune, Duc
Trong district, Lam Dong province. Of the six tổ in the G hamlet, the field research included 3, 4, and 5 tổ, and "area
36ha" of residence of map 1 in the field G.
Two local groups live in G Hamlet. Though the two local groups belong to the Coho, both recognize each other as
belonging to different ethnic groups. The author studied two ethnic groups; the Sre and the Cil. The former have to
divide into two groups due to having different historical backgrounds. The author calls the groups of the Sre "K"
and "W." In Burma in Southeast Asia, the same as the field, Raw points out that the cosmology of Kachin
was destroyed by emigration and that animism became extinct due to conversion (Raw, 2007, p. 50). Sprenger
indicates that the piasters were and are used by a number of upland societies in rituals, thereby creating a region
of shared ritual devices in Laos（Sprenger, 2007, p.183). Therefore, the author analyzes the phenomenon that the
economic and occupational changes caused.
OVERVIEW OF THE SURVEY
This report is the outcome of the investigations that were conducted in June and August 2012, February 2013, and
June 2013. These investigations were carried out by Honda Mamoru, belonging to the Institute of Asian Cultural
Studies, Toyo University, and Pham Thanh Thoi, belonging to the Department of Anthropology, the University of
Social Sciences and Humanities, Vietnam National University, with the cooperation of Ho Chi Minh City. The author
carried out these investigations by Vietnamese and Coho language.

Mamoru Honda
THE CONSTITUTION OF THIS PAPER
The constitution of this paper is as follows: 2. A general view and the formation process of the field. The author
explains the characteristics of culture and economics of the Sre and the Cil briefly. After that, the author explains
the social change in detail by describing the significant exogenous change of the field in each stage. The first stage
is after the Geneva Convention; the second stage is after the revolution of 1975; and the third stage is the Doi Moi
(renovation) after 1986. The author clarifies how the occupation in the field changed every group from the talk of
the informant according to periodization. 3. The marital relationships among the Cil (Hgroup) and two of the Sre
groups (Wgroup, Kgroup). Here, the author analyzes the relationships among two of the Sre groups and the Cil
through the social changes. 4. The author examines the reasons for enabling marriages between the Sre and the Cil
from the data of some marriage in the field from the talk of the informant. 5. Conclusion. The author will throw
light on the fact that the economic statuses of the Sre group and the Cil group begin to reverse in the field. As a
result, the author points out the possibility of a change in the social structure in the field in the near future.
A GENERAL VIEW AND THE FORMATION PROCESS OF THE FIELD
The Sre and the Cil
Both the Sre and the Cil have matrilineal societies, and it is the custom that the husband lives in the house of the
wife after marriage. The village is called a "bbon" in the Coho language. The lifestyles of the Cil and the Sre are
quite different, however. The Sre settle down in a relatively flat area and perform wet-rice agriculture. The Cil
inhabit the area north of Lam Dong Province, part of a mountainous area, and are a nomadic group that live
temporarily in various areas depending on the availability of arable land. The Cil establish small settlement units,
typically with two or three longhouses. Because life was more stable and comfortable for the Sre than the Cil, the
Sre hold the Cil in scorn as a people with a low cultural level. They do not often come into contact with each other;
there is no intermarriage in particular. In religion, both were involved in the same spirit worship, but the Sre
converted to Catholicism in the French colonial period, and the Cil converted to Cristian Missionary Alliance (CMA).
Since the 1930s (Hội Thành Tin Lành Việt Nam [Miền Nam], 2001, p. 4) (Jennings, 2011, pp. 198-201), the Cil has
produced several religious leaders in local religious organizations. The Sre has too. In other words, as a result of
each group's conversion to different religions and the leaders who were authorized by each foreign church
authority, social status of the Sre and the Cil became partially equivalent.
The formation process of the field [reference table 1, 2, 3]
After the Geneva Convention
As mentioned above, the three groups are present in the field. Originally, in the field, there was only K bbon of the
Sre, which the author called K. Another of the Sre, which the author called W, had their original bbon near the
boundary of Dam Rong district and the Lam Ha district on the west from the field. In 1965, in order to avoid war, it
was moved to a strategic hamlet by government construction in the current Nam Ban town that is located 5 km
west from the field. They were living together with two other hamlets; one is the Sre (N), one is the Cil (B). Even
after migrating, W was able to use the cultivated land themselves. While in this strategic hamlet, a woman of W
married a man of the Cil residing in other areas who were believers of the CMA. After marriage, a woman of W was
converted to CMA. This case is the first of W being converted to the CMA.
In 1968, because the war spread near the strategic hamlet in which W lived, the government built new a strategic
hamlet in the area where K lived. The government lets members of W emigrate to the strategic hamlet. Then, K
would live with the people of the old strategic hamlet in the new one. The new one had two churches that
belonged to Catholic and CMA. W was able to use their cultivated land in the former strategic hamlet, but the
cultivated land of their own was too far from the new hamlet, and they were not able to use it anymore. Therefore,
W borrowed K's barren land, exploited the land, and began dry field farming. At that time, K began to convert to
Catholicism.

Mamoru Honda
After the revolution of 1975
The war was over in 1975, the People's Committee requisitioned the paddy field which K owned and denied
proprietary rights. The People's Committee carried out the Agricultural Cooperatives Policy, established several
production groups that all villagers participated in, and performed wet-rice agriculture and sweet potato
cultivation in the land that the People's Committee requisitioned. In 1977, the first migrants of the Cil (H) came to
this land, but the number of units was only 6-7 houses. In the early 1980s, a large number of the Cil (H) sought to
immigrate to this area to escape from economic distress. They moved with the permission of K based on their
customs. The Cil (H) took part in the production groups. The Cil (H) began to be engaged in a new occupation—
wet rice agriculture—for the Agricultural Cooperatives Policy. Production was not high; the people exploited the
forest and cultivated land, planting maize and cassava, but they were overcome with hunger.
The Doi Moi Renovation After 1986
In 1989, the production groups were dissolved. The People's Committee distributed to the paddy fields that had
been cultivated and assigned to them. N and B, which participated in the production groups, returned their
cultivated land to K and came back to their hometowns. Around this time, a coffee plantation was initiated by the
policy of the country. H, which was unfamiliar with wet rice cultivation, began to concentrate on planting maize
and cultivating the coffee plantation. In 1995, the People's Committee formally redistributed a place of residence
and a paddy field to W, K, and H. The People's Committee also issued an identification for the right of the land. K
was the original landowner. K was dissatisfied with this policy and demanded the return of the land for W, H.
Residents of all H and W, except K had to return to K their paddy field that the People's Committee distributed. K
regained K's paddy field gradually. W began to focus on growing coffee a little later to H. K did not change their
occupation from wet-rice agriculture. Currently, there are 190 hectares of paddy fields in the area, but most are of
K. It was around year 2000 that K started coffee cultivation.
Table 2 The population according to the local group in the field (2012).
In 2005, the People's Committee took over a portion of the land that was used as arable land.
Table 3 The number of believers in the field (2004).

They have delivered the land as a place of residence for 93 young couples living with their parents. That area was called "area
36ha."
The author presents table 2 and 3, which contains data on the number of religious believers and the population in the areas
in recent years (The souse of the data of table2,3 are the documents of the People's Committee Commune). The Sre has two
groups, K & W, in the field. According to Bbon, Tổ3 is the Sre of K., while 22 households of area (tổ) 4, 5 is the Sre from W.
Marital relationships among K & W & the Cil
The marital relationship between W & K [reference table 4]
K and W are recognized as belonging to the same ethnic group. In customs relating to weddings, the two do not
differ. As described above {heading 2}, the different points of the two are religion and livelihood. K is Catholic,
owns a paddy field, and lives in their original villages. On the other hand, W is migrant, believes CMA, and does not
have any paddy fields. The author presents the data that was collected in the field of marriage between the two.
According to the W informant (YB, 1962), until W emigrated from the field, there was little interaction between W
and K. Thus, marital relationships were also rare. Now, the author can find many cases of marriage between W and
K [table 4]. In the cases No. 1 and No. 2 in table 4, K and W had not been converted to Christianity yet. At first,
there were many believers of CMA in W. However, people of W kept converting to Catholicism after 1975. In 2004,
five households in the Sre [table 3] belonged to W. In the table 4, there are six cases of marriage between believers
of different religions.

Mamoru Honda
Thus, the author examines what happens in these cases, and why believers of CMA in W converted. Before the
ritual for the wedding was performed, Father would not allow sex before marriage, but it is allowed in the Sre
society in the field. In general, in the process of courtship up until the wedding, the first stage is sex before
marriage, followed by the second stage, which is the wedding. For many couples who do not follow the teachings of
Father, Father does not allow to hold their wedding in the church. Therefore, even if the Sre society has marriage
between different religions, no problem occurs during the wedding. In all six cases, after marriage, believers of the
CMA (husband) are converted to CG. According to Sre customs, after marriage, the husband must follow the
customs of the wife's family, including religion. In 21 cases, 16 husbands belonged to W. The author examined the
reasons why there are many cases of marriage between women belonging to K and men belonging to W, while
there are only five cases of marriage between women belonging to W and men belonging to K.
An informant (YB 1962) of K said that there were more women than men in K around 30 to 40 years ago. According
to table 4, there was marriage in some cases in 1975-85, 30-40 years ago, but marriage cases have continued to
grow since then. Two informants (YB, 1957; YB, 1961) of W said, "They are landowners; though, we are the
migrants. If a son marries K, it is possible for my family to rent a lot free of charge." K began to try to regain their
own land in 1989. W was afraid that it might be losing farmland and paddy fields they had cultivated on their own.
In other words, W had been using marriage in order to keep cultivating that land.
Differences in customs related to marriage between the Cil（H）and the Sre（W&K）
There is only a very slight marital relationship between the Sre and the Cil in the field. Therefore, the author
indicates some differences between them that are hindrances for marriage between the two. The author clarifies
the differences in the process, from the proposal to the marriage, then describes differences in the gifts, dowry, etc.
Differences in the process of rituals related to marriage [table 5]
In the Sre's process, which includes pregnancy, it takes a few years' time until the process ends. On the other hand,
in the process of the Cil, not including pregnancy, the process finishes within a year at the earliest. In the case of
the Sre, the bride's family has to bear the costs of everything in the process. In the case of the Cil, the groom's
family bears a part of the costs, including financial or material assistance to the bride's family for the wedding from
the groom's family. This assistance is not mandatory, but the assistance is reflected in the value of the gift from the
bride's family during the wedding. In the gift, there is the groom's wealth for the groom's kin from the bride's
family.
Difference in the varieties and amount of gifts
In the cases of the Cil in the field, the Sre recognize that there are greater amounts and varieties of the gifts at the
marriages of the Cil. For example, there are three kinds of necklaces for gifts of the Sre, while the Cil have over ten.
The value of the groom (the groom's wealth) is about 5 million dong in the Sre; in Cil culture, it is 10 times
that, about 50 million dong (1 cai gold). The change in the gifts of the Cil can be confirmed in the district in around
1985, where the author had already studied until 2006. For example, the gong that became gold (equivalent to
more or less 50 million dong) or money. In addition, in the field, the necklace passed to the groom's kin has been
exchanged for its gold, too. Moreover, cultivated land or a motorcycle are becoming new forms of dowry.
In recent years, in the gifts of the Cil and the Sre, their common use has increased. People can no longer be self-
sufficient due to the cultivation of commercial crops. Therefore, people preferred money as a more practical dowry
than the symbolic necklaces being used for the purchase of food or fertilizer. Through the prevalence of use of
money and gold, it became very easy to negotiate an exchange of presents performed between different ethnic
groups. However, the difference in custom about the burden ratio of the marriage's expenses between the bride's
and the groom's family remains an obstacle in marriage in both groups. As Sprenger indicates, items (such as the
piasters) that have common values in different societies will create a region of shared ritual devices（Sprenger,
2007, p. 183). In the field, however, a society of two communities that no longer share a common faith no longer
perform the same rituals. This is the difference between the field and Laos.

Mamoru Honda
The cases of the marital relationship between the Cil and the Sre in the field
A man of W (YB 1964) married into the Cil in 1984.
The husband said, "I was an orphan. In 1967, I moved to Da Me in Ntholha commune where had one strategic
hamlet.From home with foster parents in order to avoid war. I converted to CMA in there. I came here with foster
parents before the revolution. After the revolution, one group in the Cil has settled down in 1984. My wife was one
of them. I was married to her because I fell in love immediately. Foster father even though died before marriage,
the number of my families was only one foster mother. Cannot be anything foster mother was so poor, my wife's
family has prepared all for our wedding. What my wife's family has prepared was the only one of the chickens for
dinner and bracelet, and necklace." He was not able to get into trouble with customs in this marriage because his
family was poor, small, and believers of the CMA. Furthermore, the groom's family must follow the customs of the
bride's family.
The daughter of above 4.1 married a man from K in 2010.
The husband (YB, 1988) is a child of a man of N, and a woman of K. His mother was an orphan. The husband is one
of nine children. Four of the nine have graduated or gone to college. One of the graduates of this brother is the
husband. The wife is the daughter of the above 4.1. The father of the husband has only one brother; the mother of
the husband does not have kin. The wife's family are believers of CMA, and the family of the husband is Catholic.
Religion is different in both families. Before the marriage, this couple lived together in the wife's house, so in the
wedding, there was no religious ritual. In this case, the husband's mother does not have kin, and the husband's
father does not pay attention to traditional customs. On the other hand, the marriage of the wife's parents was a
special case as above 4.1; they did not pay attention to traditional customs at the daughter's wedding either.
Marriage of the Cil and sisters of W in 2013.

First, the author names the elder sister as A and the younger sister as B. The country of the parents of the sisters is
W. Now, one unmarried brother and two sisters, the parents, and one unmarried brother of the father, a total of
eight people, live in the same house. They have to make a living on a 1 ha coffee plantation, 40a paddy fields, rents,
and the income from coffee knob labor.
The case of marriage B（YB 1996）and b（YB 1991） [Figure 1]
According to B's mother,"Two people are playfellows. Boyfriend (b) of the daughter came to my house for staying
frequently. So husband and I went to his mother's home for a proposal for the marriage after we confirmed
intention of the marriage of two. His parents required 20 million dong. It seemed to distribute that money among
his mother, four sisters of his mother, his maternal uncle. Though the gifts must be gong, necklaces, according to
their custom, we did not know their custom. His parents said that money was more convenient than gong,
necklaces now. We gave the groom's parents 3chi gold at the time of proposal. We promise that we give his
parents one cai gold in total. Then I have to give 1chi gold to the groom's paternal aunt when she gave the daily
necessities to the newly-married family. Also I give 1chi gold to the groom's elder sister.
The motorcycle (‑22 million dong) is given to the groom from the groom's elder sister and parents. After the
wedding ceremony, the parents of the groom give coffee farmland 2sao to the newly married family. Though the
Cil were poor before beginning coffee cultivation, now, they are the first rich here. K is the poorest, because they
have only paddy fields."According to the husband of the groom's maternal aunt as follows," It was 1996 when I
married. The coffee field was not yet large, and there was nothing because my parents were poor. I got the daily
necessities from a paternal aunt, and I received three cows from parents and came to the house of my wife. The
burden ratio of expense about the marriage between the groom's side and the bride's side just changed. The
former burden ratio was less than half of the bride's side in the groom's side. There are more burdens of the
groom's side than the bride's side now if the groom's side gives the newly married family coffee field 5sao [table 6].
Began to gift the land it is from 2008, which began to earn much money in coffee. Gong turned into gold around
that time."

Mamoru Honda
The case of marriage A（YB 1994）and the Cil（YB 1991）

According to mother A as follows, "Two people are also playfellows. Boyfriend (a) of the daughter A was proposed
to by the daughter of the maternal uncle (cross-cousin) several times. The Cil society still has many cases of
marriages between maternal cross-cousins, but the man refused the proposal. His mother did not force it, too. So,
with 20 million dong, I went to a marriage proposal. His mother had been divorced. She was a representative of the
maternal uncle. Originally, the maternal uncle of the first served as a witness for the groom, but because he refused
to marry the daughter of the maternal uncle of the first, the maternal uncle of the second served as a witness. His
mother requested 30 necklaces and 100 million dong. But it is impossible for us to prepare 30 necklaces because
we do not custom. So, she had absolved necklaces from her request.
We asked her make 100 million dong 60 million, but it was difficult. The groom's mother did an engagement
banquet in her house. Thereafter, the groom lives in my house. I am going to do a wedding reception in my house.
At the time of the wedding reception, mother of the groom promised to give a pig to me according to custom of the
Cil. She said that if we did a wedding reception at a restaurant, she gave money equivalent to a pig. The groom got
the motorcycle for the price of 40 million dong from his mother. Therefore, his mother said, "I do not give land to a
groom anymore." The author reaffirmed with the groom's mother about the statement of the bride's mother. The
commonization of occupation may facilitate marriage between different ethnic groups as described above, though,
there are differences in the process of marriage {subheading 3.2.1}.
In addition, customs in the land of the Cil group changed by economic success and revision of the Land Law. In the
Cil society, the land was not private property. If the bride's lineage did not have enough cultivated land, according
to traditional custom of the Cil, the groom's lineage must help the home of the groom by lending their lineage's
land to the groom's family. However, it was necessary for the home of the groom to return that land to the groom's
lineage in the future. After renovation (1986), the land use right came to belong to an individual, and the
government accepted the name transfer of the right (1993). Thus, a lineage completely lost the right to manage the
land. After the Cil became rich through coffee cultivation, the groom brought the land use right of his family as
dowry. The result was that the land use right became private right, and the lending changed to the present. The
addition of the land for the dowry is the only change in the role of the home from the lineage.
On the other hand, the paddy field that K owns is the paddy field that K owns because of lineage. For K, the paddy
field must be succeeded to ancestors from generation to generation.
By each family member's judgment, even now, it would be impossible to dispose of the paddy field. The only thing
that each family could dispose of was the property, which the couples themselves built. Due to the above-
mentioned result, W now considered the Cil as a target in the case of selecting a groom.
CONCLUSION
As a result of each group being converted to different religions, religious status being an important part of social
status, the Sre and the Cil became equivalent from the 1930s onwards. The Cil concentrated on coffee cultivation
earlier than the other groups. The sale price of rice per harvest is 280,000 dong, while that of the coffee is
525,000 dong. The price of land for coffee fields becomes higher than those for paddy fields. As for the order of the
economic status of each group in the field, K was first place, W was second place, and the Cil were in last place until
1989.
This status begins to change after coffee cultivation started, and the Cil have the highest economic status now,
with K having the lowest. K and W looked down upon the Cil until recently. However, as the economic status of the
Cil begins to rise, as does the value of the land, K and W are becoming more accepting of the Cil as marriage
partners. The economic status of two were reversed by the conversion of livelihood beginning in 1989. The author
has met several youths who graduated from a university. However, most, except the person who graduated from
Normal University and became the school teacher, engage in agriculture or become agricultural laborers
because of a lack of farmland. Therefore, the social mobility between generations is very rare. The change of the
social class is only half done.

Mamoru Honda
REFERENCES
Hội Thành Tin Lành Việt Nam (Miền Nam) (2001). Kỷ Niệm 90 năm tin lành đến Việt Nam 1911-2001, Những sự kiện
và hình ảnh. Hồ Chí Minh: Hội Thành Tin Lành Việt Nam (Miền Nam).
Hội Thành Tin Lành Việt Nam (Miền Nam). 2001. Kỷ Niệm 90 năm tin lành đến Việt Nam 1911-2001, Những sự kiện
và hình ảnh. Hồ Chí Minh: Hội Thành Tin Lành Việt Nam (Miền Nam).
Tổng cục Địa chính (1999).Tập bẩn đồ địa danh-địa giới các tỉnh Đông Nam Bộ.Hà Nội:Nxb Bản Đồ.
Honda Mamoru. 2010.“Implications of Social Change in the Cil, A Local Group in Coho, Vietnam” International
conference Asian Rural Sociology Association 4. Legaspi, Asian Rural Sociology Association， pp.303-311.
Jennings, Eric T. 2011. Imperial Heights: Dalat and the Making and Undoing of French Indochina (From Indochina to
Vietnam: Revolution and War in a Global Perspective). Berkeley and Los Angeles, University of California
Press.
Raw, Maran La. 2007. The continuing relevance of E.R.Leach’s Political Systems of Highland Burma to Kachin
Studies, In Social dynamics in the highlands of Southeast Asia: reconsidering Political systems of Highland
Burma by E. R. Leach, Francois Robinne and Mandy Sadan(eds). Leiden [u.a.] :Brill .pp.31-67.
Sprenger, Guido. 2007. From Kettledrums to Coins: Social transformation and the flow of valuables in Northern
Laos, In Social dynamics in the highlands of Southeast Asia: reconsidering Political systems of Highland Burma
by E. R. Leach, Francois Robinne and Mandy Sadan(eds). Leiden [u.a.]: Brill. pp.161-186.

PROBLEMS AND CHALLENGES IN TURNING LAND INTO CAPITAL IN
VIENTIANE CAPITAL, LAO PDR
Yo Saysoulinh
Ph.D. Candidate of NUOL
Tel. +856 20 2220 2601
ABSTRACT
Turning land into capital becomes a critical issues in Vientiane Capital and across the country since there is conflicts among
local indigenous people inheriting land for living from generation to generation. This paper examines problems and
challenges in turning land into capital in Vientiane Capital, Lao People’s Democratic Republic (Lao PDR). The qualitative
research methods were employed in order to obtain the understanding on the problems and challenges related to turning
land into capital. Hence, content analysis was used to interpret the transcribing data and observations. The turning land
into capital in Vientiane Capital Lao PDR was usually turning the state empty land into capital by promoting foreign direct
investment, urbanisation and sports facilities. It was found that turning land into capital involved in financial problems since
the government had to compensate the indigenous people depended very much on agricultural land and natural resource.
To turn the land into capital can also mean to turn indigenous people to labour or to financially support them to move out of
the place of land concession, including finding the new land for them to continue agricultural production. This seemed to
increase conflict between the indigenous people and the project implementers although it was the government land. It was
also found the government land has not been clearly identified in the areas, the large number of the indigenous people
invade the government land and use it for years without any conflict in accordance with land law, the indigenous people can
own the land. However, there was contradict when implementing such law since the indigenous people believed that they
finally become the owner of the land that they need market price compensation. The challenge for turning land into capital
is that it is difficult to turn people into employable labour, the practice of turning land into capital in Vientiane requires
people with high level knowledge for industry as well as service. To migrate people from the areas of turning land into the
capital it also means to increase poverty, specifically the poor people with no other lands for agriculture and they are in
needs of land for living. Hence, the compensation policy for these people varies from other people in the community since
the government also need to reduce poverty in accordance their millennium development goals (MDG) and to also erase
Laos from the list of the least developed country by 2020. Secondly, it is difficult for the government to set standard market
price for the compensation since it depends very much on the place and change in macro-economy and micro-economy in
the areas in which the turning land into capital has been implemented. The practice of turning land into capital
compensation is to implement the project as schedule or milestone while it is crucial to keep balance between the
development and the benefits of the people affected from the project. Final challenge was on environmental issues the
turning land into capital project in Vientiane were on urbanisation and sport facilities in which it may maximize land benefits
while indigenous people lost their access to natural resources since the project removed all rich natural resource for buildings
and transforming geographic land use to sport grounds. Apart from that the environmental sustainability shall be considered
as concerned issues.
Keywords: turning land into capital, problems, challenges, environment issues
INTRODUCTION
The Lao PDR is situated in Southeast Asia, bordering Cambodia, China, Myanmar, Thailand, and Vietnam. The
country is landlocked and contains 23,080,000 hectares of land. The landscape is mostly mountainous with some
plains and plateaus. The highly variable climate is characterized by a wet season and a dry season. The
population is 6,541,432 persons and growing at a rate of 1.4% annually. Approximately 66% of the population
lives in rural areas. The estimated annual rate of urbanization is about 5%. Lao PDR’s population growth is
concentrated in rural areas (Census, 2012).
Lao PDR has 30 wetland sites, covering about 1 million hectares (4% of total land area). The country’s largest
wetlands are located in Champasak, Savannakhet and Vientiane Capital (IUCN 2011). Lao PDR is thickly forested.
Forests cover about 68% of Lao PDR’s land area. About 17% of Lao PDR’s land area is nationally protected (CIA

Yo Saysoulinh
Urbanization has increased in recent years. The population has gone from 83% rural in 1995 to 66% rural in 2011.
Lao PDR defines urban land broadly. Villages are considered urban so long as they are near district or provincial
government offices, have more than 600 residents or 100 households, have access to roads for motor vehicles,
contain a majority of households with electricity and have a market. Under this standard, there are about 960
urban villages in the country. The highest proportion of urban population lives in Vientiane Capital. Much of Lao
PDR’s urban land is held under private long-term use rights (similar to private ownership) as a result of land titling
in larger cities and towns. Rapid growth of urban populations has increased the need for improved infrastructure
(Rabé et al. 2007; World Bank 2005).
Land degradation is a constant concern in Lao PDR. The Food and Agriculture Organization (FAO) considers 84% of
Lao PDR’s land to be at least moderately degraded. Most of the country’s land has a slope of 20 degrees or more.
This factor, especially when combined with the types of soil and heavy rainfall in the wet season, leads to soil
erosion, particularly in the northern uplands where slopes are steeper and soil quality is poorer. Additionally, the
poverty prevalent in the northern uplands leads to the unsustainable exploitation of resources, an increasing
demand for land and shortened fallow periods, all of which contribute to more land clearance, depletion of soil
nutrients and lower agricultural productivity.
Population growth, village relocations and increased investment in agriculture, infrastructure and mining projects
have further increased pressure on land and led to more degradation. Land clearance and deforestation
characteristic of the swidden agricultural system practiced in the uplands, along with illegal logging, lead to further
soil erosion. To combat soil erosion and land degradation, in recent years the GOL has discouraged swidden
agriculture and promoted community-based forest management and more stabilized production through the
introduction of tree crops and livestock production (Lestrelin 2009; World Bank 2005; GTZ 2009; World Bank 2006;
Yokoyama et al. 2006).
Lao PDR also has a large amount of unexploded ordnance (UXO) remaining in rural areas from bombings during the
Indochina War. The presence of UXO poses an additional impediment to accessing and using land, especially in the
poorest districts (World Bank 2005; UNDP 2012). Vientiane Capital is situated along the eastern bank of the
Mekong River. The urban area of Vientiane Capital is located between the Mekong River and a hinterland of
wetlands and ponds. The topography is relatively flat with wetlands to the east and interspersed with paddy fields.
Vientiane Capital in 2005, a dominant land use type is forest area, which occupied about 68% of total area,
followed by 17% of paddy area. Rapid economic development and population growth may have largely affected
the land use pattern. The built-up area doubled from approximately 3% of total area in 1995 to 6% in 2005.
Vientiane Capital is divided into nine districts. Five districts are classified as rural: Naxaythong, Xaythany,
Hatxayfong, Sangthong and Pak Ngum while four districts are predominantly urban: Chanthabuly, Sikhottabong,
Xaysetha and Sisattanak. The population of Vientiane Capital was 797,130 and the population density was 203
persons per square kilometres, (Census, 2012). Vientiane Capital has high economic and demographic growth
potential. There is a rapid urban area expansion toward the suburbs along arterial roads without having enough
infrastructure. Hence, it experienced urban sprawl with bad living conditions and inappropriate social services. To
counter such problems, appropriate measures shall be taken promptly based upon a comprehensive urban
development plan.
Vientiane Capital needs to strengthen its urban economic functions, particularly, in commercial and business,
industry and logistics, and improve liveability at the same time. A concept of “Multi-core structure” is proposed in
consideration of location and size of necessary functions to accommodate them. In this sense, three determinants
are taken into account:
 Centralized pattern or decentralized pattern

 Location of required urban function
 Conservation of natural environment and higher productive agricultural land Multi-core structure aims at
controlling expansion of existing urban centre with creating a few of sub-centres and urban clusters to avoid
over-concentration and disordered expansion of the existing urban centre.
 Sub-centres: KM21, Thanaleang, Dongdock, Naxaithong and Railway town.
 Urban clusters: Khok Hae, Tha Ngon and Ban Pao

Yo Saysoulinh
Urban development shall be limited in the designated area and other area will be agricultural or conservation area
to be maintained basically with existing land use or conserved. There are six conserved zones: historic conservation
zone, the place of historic and cultural heritage such as low shop-house buildings for tourism attraction; inner
urban zone, the strengthening zone as urban function of Vientiane Capital, a centre of regional economic hub in
GMS and national centre of the Lao PDR; outer zone, the surrounding area of the inner urban and is capable of
providing sufficient residential areas with good living environment; sub-centre zone: Thanalaeng, DongDok,
Naxaithong and Railway Town, the areas developed as a new urban accumulation to relocate certain urban
functions from the urban centre and to receive new urban activities; outskirt zone is an important place from
environmental and disaster prevention viewpoint identified as maintained/conserved as current land use; and
urban cluster zone: ThaNgon, Khok Hae and Ban Pao, areas developed to local economic and service centre serving
surrounding villages as well as to distribute population from the urban centre (see Figure 1).
The first Vientiane Master Plan for urbanisation was developed by French Consultants in 1962. In accordance with
the plan the city was extended towards the south, however, because of rapid growth, the city slowly become
disorderly. In 1982, Vientiane Capital local authorities began to work on a new Master Plan for Vientiane City with
the support from UN-HABITAT. The Master Plan was put in place in 1985. During 1998-2000, such Master Plan was
re-reviewed, resulting in the Vientiane Master Plan 2002-2010. Residential areas continue to expand beyond the
Master Plan boundaries resulting in high population densities in the city centre and other commercial areas
including encroachment on wetland and green areas because of uncontrolled development (Thammanousouth,
2009).
The turning land into capital (TLC) of the government of the Lao PDR is to stop shifting cultivation and unproductive
practice of agriculture. However, in Vientiane Capital is different from other provinces. The key objectives of the
government are to industrialize and modernized all development spheres, to contribute into strengthening the
national economy and eventually to improve living conditions of all people with accordance to the legislation of Lao
PDR. Hence, tuning land into capital in Vientiane Captial is the investments in Special and Specific Economic Zone
(SEZ) development in forms of economic development through land use or resource utilisation mechanism with a
focus and a higher rate of return. Such investments have emphasised on the development of infrastructure and
public utilities, which facilitate building of enabling environment for businesses, industries, services and others
under the government’s laws and regulations, and policies in promoting market oriented economy.
There are six Specific Economic Zone (SEZ) development in Vientiane Capital: Vientiane Industrial and Trade Area
(VITA), Saysetha Development Zone (SDZ), Phoukhyo Specific Economic Zone (PSEZ), Thatluang Lake Specific
Economic Zone (TLSEZ), Longthanh – Vientiane Specific Economic Zone (LVSEZ) and Dongphosy Specific Economic
Zone (DSEZ). This paper examine types of turning land into capital practice in Vientiane Capital. It also investigates
problems and challenges in all types of turning land into capital.
LITERATURE REVIEW
Turning Land into Capital from 2000 up to 2014
The growing demand from the mainly foreign private sector for gaining access to Laos’ land and natural wealth,
market forces are considered as another key instrument for facilitating sustainable development. Hence, the focus
of LUP has shifted from ‘rationalizing’ existing land-uses to identifying ‘empty’ space or freeing space for the
development of large scale mining, hydropower, plantation and agri-business concessions (Goldman, 2001).
Through this process, Laos has effectively become a new ‘resource frontier’ for global capital flows and investment
(Barney 2009). Hence, Granting land concessions became a key policy instrument to make supposedly un- or
underutilized land productive while achieving goals in other stated government policies (Hanssen 2007): i.e. (i) to
eradicate shifting cultivation by allocating swidden land to mainly foreign companies that would invest in modern
and more productive technologies, (ii) to aggregate small and remote villages closer to main roads while allocating
large tracks of remote land to more profitable industrial plantation projects, (iii) to provide opportunities to upland
ethnic minorities to develop or ‘civilize’.
Officially, provincial administrations have the power to authorise land leases up to 100 ha of State forest land while
district authorities are limited to 3 ha. The MAF has the authority to approve up to 10,000 ha while larger
concessions require the approval of the National Assembly. In many reported cases however, these regulations

Yo Saysoulinh
have been ignored, with concessions of thousands of hectares granted by provincial authorities. In addition, a
growing number of reports highlighted negative socioeconomic and ecological impacts of land concessions (Dwyer
2007). Reasons for inadequate implementation of land policy were found in a lack of capacity within responsible
State institutions, on the one hand, and a perceived lack of incentives to correctly implement said rules and
regulations, mainly among provincial and district authorities, on the other hand. Where the livelihoods of local
communities were negatively affected by those developments, this was often seen as a technical detail to be
addressed by adequate compensation. Importantly, the agency took the lead in systematically inventorying State
land leases and concession contracts passed with private companies. As an outcome of this process, a decree was
promulgated in 2009 aiming at providing clear guidelines about how to ‘turn land into capital’ (Prime Minister’s
Decree No. 136).
It stresses the need to refine existing rules by establishing a proper filing, monitoring and reporting system, to
harmonize the price for land rent across the country, and to monitor the implementation of regulations. It also
makes NLMA responsible for grading potential concession areas against a classification based on biophysical
indicators such as soil and vegetation types. Under the new decree, concessions will only be allowed to plant
industrial crops deemed suitable for each particular parcel of land. A number of provincial Land-Use Master Plans
were thus designed by NLMA in order to identify potential land available for concessions and provide guidance to
the overall territorialisation project. At the national level, the Ministry of Planning and Investment (MPI), with
support from the Province of Yunnan (China) and the ADB, also developed two regional southern and northern
master plans for industrial economic development.
While land concession policy and practices were revisited, local participation issues also gained increased attention.
The ‘P’ of ‘Participation’ was thus added to LUP to create a new approach called Participatory Land-Use Planning
(PLUP). Drawing lessons from reported deficiencies of LUPLA and reflecting concerns over concession development
and land grabbing, PLUP includes several major innovations. It pledges to better coordinate intervention of
governmental organizations, to facilitate the integration of land-use plans developed at the village, village cluster
and district scales, and to improve the collection, management and storage of spatial data (MAF 2000). The
possibility of communal land titling is also introduced as a tool to preserve existing land management systems and
prevent land grabbing.
Legal Framework
The formal law governing land rights in Lao PDR includes the 2003 Constitution, the 1990 Law on Property, the
2003 Land Law, the 2004 Law on Protection and Development of Women and the 2005 Law on Heritage and Basis
of Inheritance. The Constitution guarantees that the state will protect property and inheritance rights of individuals
and organizations. It also declares all land to be a “national heritage” and that the state will ensure use, transfer
and inheritance rights to land as defined by law. The 1990 Law on Property establishes and defines five forms of
property: state property; collective property; individual property; private property (property belonging to a private
economic unit other than an individual or collective); and personal property (items for personal use). It also
establishes that ownership of all land, underground resources, water, forests and wild animals is vested in the
state, though the state may grant rights of possession, use, transfer and inheritance to other entities (GOL
Constitution 2003; GOL Property Law 1990).
The 2003 Land Law lays out the scope of land-use rights. All land is owned by the national community, and the state
must safeguard long-term rights to land by ensuring protection, use, usufruct, transfer and inheritance rights. The
Land Law lays out categories of land (agricultural, forest, water area, industrial, communication, cultural, national
defense and security and construction) and defines the scope of use rights for each. It also establishes the basic
organization of land-use management authorities and framework for land registration. The Land Law provides the
basis for registering land rights and defines land certificates and land titles. The process for requesting and
distributing land-use rights documents is elaborated in Decree 88 on the Implementation of the Land Law (GOL
Land Law 2003; GOL Decree 88/PM 2008).
The Land Law provides that land titles shall constitute evidence of permanent land-use rights, and establishes a
system of temporary land-use certificates for agricultural and forest land, allowing rights to such land to be passed
by inheritance, but not transferred, leased or used as collateral. The Land Law also does the following: allows Lao

Yo Saysoulinh
citizens to lease land from the state for up to 30 years; allows the state to lease out land or grant land concessions
to non-citizens; prohibits land speculation; and guarantees compensation for state takings of land use rights. The
Land Law provides for settlement of land disputes before the local land-management authority or before the
People’s Court (GOL Land Law 2003). The Land Law was scheduled to be revised in 2012, and draft amendments
have been submitted to the National Assembly, but none has yet been adopted. The GOL has indicated that this
revision will provide a legal framework for large-scale land reform. In addition to revising the Land Law, the GOL
has also drafted a new comprehensive national land policy that prioritizes increased local land management. The
GOL also plans to focus on increasing access to land and tenure security for rural households as part of its
continued efforts to alleviate poverty (Sengdara 2012).
The 2009 Law on Investment Promotion defines the principles, regulations and measures for promotion, protection
and management of investments and lays out rules for granting land leases and concessions to investors (GOL Law
on Investment Promotion 2009). Customary systems of land management and allocation exist alongside the formal
system, with initiatives in recent years to integrate some traditional practices into the formal law. In many rural
areas of Lao PDR, communities control common property, such as forests or pastureland, and have devised local
customary rules for the management of land resources and allocation of land to group members. The 1990
Property Law recognizes cooperative or communal property rights generally. The Prime Minister’s 2006 Decree 88
on Land Titling and the current National Socio-Economic Development Plan include provisions to issue communal
land titles for land allocated by the government to village communities. In January 2013, the GOL issued the first
community land titles for agricultural and forestry land to five villages that had been relocated as part of
preparations for construction of the Nam Theun 2 hydropower dam and reservoir. The GOL plans to issue
community titles to the other nine villages that were relocated under this project as well (Lastarria-Cornhiel 2007).
Tenure Types
All land in Lao PDR is state property. The state can grant individuals and organizations short- or long-term use
rights. A land title is evidence of permanent land-use rights, which in practice resemble private property rights.
Property rights evidenced by a land title can be bought and sold, mortgaged or bequeathed. Land titles are
common in urban and peri-urban areas (Lastarria-Cornhiel 2007).
In rural areas, holders of land-use rights can obtain a temporary land-use certificate (TLUC) for agricultural or forest
land. These are issued under the land use planning and allocation program. TLUCs are valid for three years, and the
rights a TLUC evidences can be bequeathed and inherited but cannot be sold, leased or used as collateral. By 2006,
over 330,000 households (about half of all rural households in Lao PDR) had been issued TLUCs. Although in theory
the rights evidenced by a TLUC can be converted to permanent land-use rights over time, the law provides no clear
mechanism for this conversion to take place. Many TLUCs are expired, and, in practice, the land-use rights
evidenced by TLUCs are informally exchanged or transferred (RRDTC 2009; GOL Land Law 2003b; World Bank
2006b; Lastarria-Cornhiel 2007).
Rural families may also request a Land Survey Certificate (LSC) to prove permanent land-use rights. Rights
evidenced by LSCs can be bought, sold, mortgaged and bequeathed (GTZ 2009). Local authorities may also issue a
Land Tax Declaration or a Land Tax Receipt. In rural areas, land users sometimes use these documents as proof of
land-use rights or to assert compensation claims when land concessions occur. However, these documents cannot
be used to transfer land rights (GTZ 2009).
Under customary or informal rules in rural areas, local communities often control common property, including
upland areas, grazing land, village-use forests and sacred forests. All community members are entitled to use
communal land, and village authorities may grant similar use rights to those from surrounding villages. Communal
tenure systems have evolved over a long period and vary from village to village. There is no formal registration
process for communal tenure, though it remains an important part of the cultural, political, social and economic
frameworks of rural communities (Lastarria-Cornhiel 2007; World Bank 2006; Mann and Luangkhot 2008).
Rural families may also hold land use rights – to homestead plots, paddy land or land for swidden agriculture –
under informal or customary rules. Such land-use rights may be allocated by customary local authorities under
local rules. For example, the village head (Nai Ban) or local administrative committee may allocate swidden
agriculture plots to village households and mark the temporary boundaries on an annual basis. Customary tenure

Yo Saysoulinh
systems vary from village to village. Nai Ban may issue a Village Heads Certificate on Land Ownership, which while
not valid on its own, may be used by local authorities to resolve disputes or used by the family as additional proof
of ownership when applying to the state for an LSC (Lastarria-Cornhiel 2007; FAO 2012; World Bank 2006; Mann
and Luangkhot 2008; GTZ 2009).
Securing Land Rights
Although all land in Lao PDR is owned by the state, the GOL began land titling and land allocation programs in the
1990s to formalize permanent and temporary land-use rights for individuals and organizations (Lastarria-Cornhiel
2007). The goals of the land titling program were as follows: to improve tenure security in areas with rapid land
development; to encourage development of efficient land markets; and to increase government revenue. Land
rights evidenced by titles can be bought and sold, bequeathed and inherited and used as collateral for credit. Land
titling has reduced land disputes in urban and peri-urban areas overall, although new disputes based on inheritance
have emerged. Many households in urban and peri-urban areas have titles to their land (World Bank 2006; Lastarria
-Cornhiel 2007).
For agricultural and forest land, which covers most rural areas, the government may issue temporary land-use
certificates (TLUCs) under the Village Land Use Planning and Land Allocation Program. TLUCs are valid for three
years, and rights evidenced by TLUCs can only be transferred through inheritance. The program has been
implemented systematically. Land authorities have worked village by village, delineating village boundaries,
designating types of land (agricultural, forest, etc.), allocating agricultural land to specific households, issuing TLUCs
and preparing land-use contracts and village land-use agreements. For the sake of expediency, local participation in
the land-use planning process has been limited (Lastarria-Cornhiel 2007; GOL 2008; RRDTC 2009; Lestrelin et al.
2010).
The goals of the TLUC program are to provide more secure land tenure, reduce the practice of swidden agriculture
and substitute more stable practices, and alleviate poverty by teaching farmers to focus on a narrow range of crops
so they can produce a surplus and build linkages to markets and the cash economy. Because of a lack of
infrastructure and poor connection to the rest of the country, these goals could not be met in the most remote
villages, many of which are inhabited by ethnic minorities. As discussed below, the GOL has relocated some villages
under the program (World Bank 2006; GOL 2008).
As of 2005, the GOL had implemented the TLUC program in two-thirds of all officially recorded villages in Lao PDR.
The results of the TLUC program have varied throughout the country, but GOL’s objectives have not been fully met,
in part due to reduced funding for the program and its administration. Independent researchers have found that
the program has been useful in defining village boundaries, reducing land conflicts and leading to overall
agricultural growth. However, allocation was carried out rapidly, with limited local participation and without full
consideration of customary tenure systems. In some cases, the TLUC program has reduced villager access to and
use of agricultural and forest land, especially communal village resources, reducing farm yields and leading to less
secure livelihoods. The program has also widened the gap between some village households, favoring early settlers
over more recent settlers such as young families and new migrants (Lestrelin et al. 2010; Fujita and Phanvilay 2008;
Mann and Luangkhot 2008).
Since 2000 the budget for the land allocation program has declined, reducing the capacity of district offices to
continue implementation and monitoring. In districts where implementation has continued, it was done quickly and
without an attempt to understand and incorporate customary tenure and management practices into the allocation
plan. Budget constraints have also prevented implementation of agricultural extension services and follow-up
activities, such as renewal of expired TLUCs (Fujita and Phanvilay 2008; GOL 2008).
Land Survey Certificates (LSCs) prove permanent land-use rights in rural areas. LSCs operate much like land titles,
and property rights evidenced by an LSC can be sold, mortgaged or bequeathed. Other than a project operating in
two provinces and funded by the German Organization for Technical Cooperation (GTZ), the GOL has not issued
LSCs systematically. Rather, the GOL usually issues LSCs in response to individual requests submitted to the district
land office or provincial land management agency. As of 2007, GOL had issued about 150,000 LSCs countrywide,
covering less than 20% of rural households. A Land Tax Declaration, issued by the District Land Tax Division, allows

Yo Saysoulinh
the holder to use the land, and may be used to record transfer of the right by inheritance. Local authorities also
issue Land Tax Receipts for tax payments. Although Land Tax Receipts are not transferable by law, villagers do use
them as evidence of their rights, including for the purpose of selling or leasing out the land. Most rural land users
have at least a Land Tax Receipt showing that they have paid tax on the land they claim. Citizens can use Land Tax
Declarations and Receipts as evidence of land use when applying for an LSC (GTZ 2009;).
Rural families and communities may also hold land pursuant to informal or customary rules. Customary land tenure
systems, consisting of local informal rules developed over time for the allocation and management of local land,
vary by ethnic group. Under such rules, community authorities assign some agricultural land to individuals and
manage unassigned land and resources as common community property. Customary systems often work well in
the sense that they allow flexible land management while providing enough land tenure security to avoid conflict
over land use. Except in areas where development projects have increased pressure on land and the need for clear
documentation of land rights, surveys indicate little demand in rural areas for formal land tenure registration
(World Bank 2006; Lastarria-Cornhiel 2007).
There is currently no process for registering communal land rights. These rights are either privately held by
individuals, or the state regards the land as public property. Consequently, the state may lease out such land or
grant it in concessions to investors, depriving the informal users of the land without paying the users for the loss of
use. Although the GOL has considered formalizing communal tenure for several years, it is reluctant to deprive
investors of access to these lands. There is also uncertainty as to whether fallow land should be taxed and about
who should pay the taxes on communal land. And although there exist governmental decrees and instructions
defining collective land and establishing rights and limitations of communal land, these have not yet been
implemented. Formal state recognition and registration of communal tenure rights would protect communities
from uncompensated state takings and would allow the community to prove ownership against future claims by
others (Sayalath et al. 2011; Andersen 2011).
The state can also lease land or give land concessions to foreign individuals or organizations. Land leases and
concessions are discussed in detail below (GOL Land Law 2003; GOL 2009). As a result of the increase in land
concessions to foreign investors and other government efforts, the GOL has instituted village relocation and
merger programs, often as a part of the implementation of other policies. For example, under both the Village
Relocation and Consolidation Program (1990–2005) and the Village Land Use Planning and Allocation Program
(under which the TLUCs were issued), some remote villages were relocated, as part of an effort to more efficiently
and effectively provide to these populations access to infrastructure and services such as education and healthcare.
Other villages have been merged or relocated in the course of efforts to eliminate swidden agriculture and opium
cultivation or to integrate ethnic minorities into Lao society. Development and investment projects, such as the
Nam Theun 2 hydropower dam construction, have required village relocations as well. Though most such
relocations and mergers have nominally been voluntary, the GOL has offered incentives to relocate, including
promises of cultivable land, better access to facilities and a better life, while discouraging people from staying by
dismantling public infrastructure. Resettlement programs impact both those being relocated and the residents of
the receiving community. Involuntary relocation efforts have been poorly planned, leading to shortages of
cultivable land, increased competition over land and increased conflicts over land. Resettlement also undermines
the authority of customary leaders, changes livelihood strategies and disperses family groups who rely on each
other for agricultural labour. Resettlement has, however, increased access to schools, health services and other
infrastructure (Mann and Luangkhot 2008; GTZ 2009; GOL 2008).
Land Markets and Investments
Land rights documented by a permanent land title can be bought and sold, and land sales are common in urban
areas where land titles are prevalent. Lao PDR has five procedures for registering land sales. The process averages
98 days and costs about 1.1% of the property value. To register the property transfer the buyer or seller must
complete the following steps: (1) obtain a Land Title Accuracy Certificate; (2) execute a sale-purchase agreement;
(3) have the agreement notarized; and (4) register the transaction with the District Natural Resources and
Environment Office. The office then issues a new title in the buyer’s name. The goals of the land titling program
included making land markets more transparent and increasing land values. Land transactions have accelerated in

Yo Saysoulinh
Lao PDR since the land titling initiatives began (Chanthalasy et al. 2005; World Bank and IFC 2013; Mann and
Luangkhot 2008).
Titled land can also be leased or mortgaged. Foreigners cannot buy land but can lease it from Lao citizens or from
the state for a specific period of time (between three and 75 years, depending on the type of land). Lao citizens can
lease land from the state for up to 30 years. Private lease contracts must be registered with the district Lands
Office. Mortgages must be notarized, certified by the village head and registered with the lands office (GOL Land
Law 2003; Chanthalasy et al. 2005).
Land held under TLUCs or possessed without formal documentation cannot be legally sold, leased or mortgaged.
However, informal land sales in rural areas do occur, with and without documentation. Many rural land users think
of TLUCs as proof of their land rights, even if the TLUC is expired, and many exchange and sell such rights on the
informal market. These sales are not recorded in any registry, and the feasibility of the transfers depends largely on
the community’s willingness to participate in the land market. Informal land markets are especially active and
almost entirely unregulated in resettled and merged villages due to the diminished role of traditional authorities
(GOL Land Law 2003; Chathalasy et al. 2005; Mann and Luangkhot 2008; FAO 2012).
As the result of several factors – including steady economic growth, increased demand for raw materials and a
transition to cash crop production – foreign and domestic investment in large-scale industrial and agricultural
products in Lao PDR has increased dramatically in the last decade, which has in turn, increased the demand for
land. Investors acquire access to land through long-term state land leases, land concessions or contract farming
arrangements (GTZ 2009; GOL 2008). Although lease and concession information is difficult to gather because it is
scattered among various agencies and at various levels, it is clear that land concessions and leases to investors have
become increasingly common: the number of land deals increased fifty-fold between 2000 and 2009. Excluding
concessions for mineral exploration, logging and hydropower projects and contract farming agreements, a total of
1.1 million hectares (about 5% of Lao PDR’s total land area) have been conceded to domestic or foreign parties,
involving the land of about 1900 villages.
Mining concessions accounted for about half of these transfers. About 13% of those 1.1 million hectares have been
conceded for agricultural projects, and about 28% for forestry. Fifteen percent of the investments in agricultural
concessions are domestic, and the rest come from foreign investors, primarily investors from China, Thailand,
Vietnam, Korea and India. Most agricultural concessions have been for cultivation of agro-fuels (jatropha) and
rubber plantations, but also have been made for maize, sugarcane, cassava, agricultural timber products and
cultivation of other cash crops (Schönweger et al. 2012; GOL 2008; Wellmann 2012; GTZ 2009).
Initially, the government embraced land leases and concessions because they provide valuable foreign investment,
may make agricultural land more productive and help to eliminate swidden agriculture. However, government land
leases and concessions also lead to loss of land held by private individuals and communities. Land concessions have
been managed poorly due to several factors: the poorly defined roles of agencies and institutions involved in
granting concessions; a lack of accurate information; low provincial capacity; and a lack of coordination between
sectors. Authorities at different levels may authorize land concessions depending on the size of the parcel involved.
District authorities approve deals involving less than three hectares; provincial authorities approve deals involving
tracts of between three and 100 hectares; the central government or Prime Minister approves deals between 100
and 10,000 hectares; and only the National Assembly can approve deals larger than 10,000 hectares. However, in
practice, district and provincial authorities have granted larger concessions than those allowed under the Land Law
(Kenney-Lazar 2010; GTZ 2009; Wellmann 2012).
Additionally, many individuals and communities have lost access to land they have used and have not received
compensation either because the government does not recognize their rights or because TLUCs have expired.
When compensation is paid, the process is unregulated and officials do not follow guidelines. The amount of
compensation is generally set through a negotiation between the investor and the landholder; the government gets
involved only if there is a dispute or disagreement. Although government guidelines require that compensation
cover replacement value, rates of compensation are typically too low. Compensation may include the promise of
employment, but the promised employment is often difficult and poorly paid. There is often no permanent contract
for the work; and the new concession holders frequently fail to pay the promised wages. Land losers who accept
employment with an investor must switch their livelihood to wage labor, which means their food security becomes
tied to income security (Kenney-Lazar 2010; GTZ 2009; GOL 2008; Wellmann 2012).

Yo Saysoulinh
Environmental risks of large-scale agricultural projects include the following: encroachment on under-funded
protected areas; displacement of farming communities; fragmentation of ecologically important areas; and
potential risks to watersheds and river systems (GTZ 2009). The Prime Minister declared a moratorium on new
economic land concessions in May 2007. The moratorium was revoked in mid-2009, then reintroduced after the
National Assembly began receiving complaints from rural constituents. Despite the moratorium, concessions
continue to be granted. A new four-year moratorium on land concessions to rubber plantations was announced in
July 2012 (GOL 2008; Kenney-Lazar 2010; Wellmann 2012).
Agricultural investors also use contract farming arrangements in Lao PDR. Contract farming provides capital to
farmers in exchange for a guaranteed share of the profits or harvest while the farmer retains rights to the land.
However, it also puts farmers at risk if crops fail or do not meet the quality standards set by the investor, or if the
investor does not honor the agreement. As villagers tend to be in a less favorable negotiating position than the
investor, they also sometimes end up with unfair or unclear contracts. Arrangements in Lao PDR use two different
models. The preferred arrangement is the so-called “2+3 model,” under which the farmer provides land and labor
and the investor provides the technology, marketing and capital as a loan in return for a 70/30 split of the profits
between farmer and investor. In the “1+4 model,” the farmer gives only the land, and the investor is responsible for
planting and maintenance with hired labor. Then the investor gets 70% of the profits. Over 10,000 hectares in
northern Lao PDR are planted under contract farming, usually under a 2+3 arrangement signed for 30–35 years
(GTZ 2009; GOL 2008).
Government Reforms, Interventions and Investments

Since 2010, the GOL has been engaged in reviewing and revising the legal and policy framework governing land and
natural resources. In August 2012, the GOL announced a plan to develop a land policy and related land reforms that
reflect a commitment to the following: protecting the rights of local communities to land; prioritizing local land
management; and developing effective methods to address conflicts over land. The decision to prioritize local
community rights and decentralization of land governance is another indication of the GOL’s intent to find ways of
balancing the interests of local communities with the need for broader economic development, which frequently
impacts access to land and natural resources and tenure security. Other efforts have included the four-year
moratoriums placed on rubber and mining concessions in July 2012. The GOL has also worked with the Swiss and
German development agencies to develop a database of land investments, compiling the information for tracking
and monitoring and to make the information transparent and freely available. In early 2013, using this database,
MoNRE, along with the University of Bern in Switzerland and the German Agency for International Cooperation
(GIZ), released its first national analysis on land concessions (PR Newswire 2012; LIWG 2012b; Vientiane Times
2013).
Land concessions for agribusiness are one means through which the GOL has sought to achieve the following:
increase agricultural productivity; bring unproductive and degraded land under production; and increase domestic
and foreign investment in rural areas. By some estimates, over 1 million hectares of land have been transferred
through concessions, often without complying with even the minimum legal requirements relating to size, land
selection and land use. Isolated reports suggest that rather than benefiting from the concessions, local communities
have lost access to land and natural resources they rely on for their livelihoods. More often than not, promised jobs
and improved infrastructure have not materialized. In 2007, the Prime Minister announced a moratorium on the
granting of new land concessions of over 100 hectares in order to give the GOL time to address gaps in its
regulatory framework and land management strategy.
The Land Issues Working Group (LIWG), a consortium of civil society groups that supports the interests of local
communities, reports that the 2007 moratorium was not enforced, and a new four-year moratorium was placed on
concessions for rubber plantations in 2012. Meanwhile, some provincial governments are addressing the issue of
land concessions with alternative programs. In Saravan Province, for example, concessions have been granted on
19,000 hectares. The provincial government is promoting the 2+3 contract farming arrangement (described above)
under which investors provide farmers with technical assistance, funding and inputs, and farmers provide the land
and the labor to produce commercial crops (Hanssen 2007; Forest Carbon Asia 2012; LIWG 2012b).
The Prime Minister’s 2006 Decree on Land Titling set the stage for titling of community land – both individual and

Yo Saysoulinh
communal plots – in Lao PDR. Community land titling is also an objective of the GOL’s five-year National Socio-
Economic Development Plan. The plan set a target of issuing 1.5 million title deeds over the period 2011–2015. In
January 2013, the GOL issued the first community land titles to five villages that had been relocated to
accommodate the Nam Theun 2 hydropower project (LIWG 2012a; GOL 2010b; LIWG 2013).
RESEARCH METHODOLOGY
To obtain informative data, the author or researcher has conduct in-depth interviews with persons responsible for
the project implementation in each type of turning land into capital. The annual reports of each project were also
investigated thoroughly. The content analysis of transcribing data were made to interpreted them into its topics.
FINDINGS
It was found that the turning land into capital in Vientiane Capital have been mainly implemented on the state
lands. The estimation of the compensation has been divided into four categories. The first category is the legal
residents, equipped with all prescribed documents and development specified by the needs of land use rights, are
fully compensated such as for the development of land, plants, income getting from land, the land and building.
The second category is the illegal residents taking the land with full development of land are fully compensated for
the development of land, plants, building, incomes from land and building. However, the land is not considered to
be compensated. The third category is the residents with all prescribed documents and development specified by
the needs of land use rights, but the land was left empty without any development. The compensation is only on
land area only. The final category is the residents with no prescribed documents and no development of land. In
this case, the compensation is not considered.
The compensations were based upon the existing market price, add 30% of its total value for resettlement. This
means that the compensation for the indigenous people leaving the land is high, but the turning land into capital
also involves in turning the people into labour employable for the project. It was found that the state land
boundary, specifically the conserved forests, have not been clearly marked with adequate signs or fencing systems
and those state lands nearby the communities left empty without any development, which causes the local
people’s settlement and full development of land although they do not have rights to use the land. They have rights
to claim the full compensation from the turning land into capital project. This practice lead to the invasion of state
lands when the local communities have seen the sign of the development in state lands in order to receive
compensation. Apart from that, some of people invading the state land were poor, not being able to live unless
they have sufficient land to do agriculture.
To reduce poverty, the government has provided the state land for the poor to have land for agriculture for living.
However, when the government project on turning land into capital have been put into practice. It is difficult to
claim the state lands back. The government has to compensate the residents as defined. However, the
compensation claim from the residents invading the land were higher than the market price.
CHALLENGES
The challenge for turning land into capital is that it is difficult to turn people into employable labour, the practice of
turning land into capital in Vientiane requires people with high level knowledge for industry as well as service. To
migrate people from the areas of turning land into the capital it also means to increase poverty, specifically the
poor people with no other lands for agriculture and they are in needs of land for living. Hence, the compensation
policy for these people varies from other people in the community since the government also need to reduce
poverty in accordance their millennium development goals (MDG) and to also erase Laos from the list of the least
developed country by 2020.
Secondly, it is difficult for the government to set standard market price for the compensation since it depends very
much on the place and change in macro-economy and micro-economy in the areas in which the turning land into
capital has been implemented. The practice of turning land into capital compensation is to implement the project
as schedule or milestone while it is crucial to keep balance between the development and the benefits of the
people affected from the project.

Yo Saysoulinh
Final challenge was on environmental issues the turning land into capital project in Vientiane were on urbanisation
and sport facilities in which it may maximize land benefits while indigenous people lost their access to natural
resources since the project removed all rich natural resource for buildings and transforming geographic land use to
sport grounds. Apart from that the environmental sustainability shall be considered as concerned issues.
DISCUSSION
The definition of the terms ‘turning land into capital’ is still difficult to be interpreted since people in Vientiane
Capital understand differently from one another. They may translate as mortgage in order to get the money from
the bank to invest in something else. The different of such interpretation ‘turning land into capital’ can be put into
many forms of activity on land use. The term, in fact, means to maximise the benefit from the use of land in its
development.
To turn the land into capital can also mean to turn people into employable labour in the same project, however, the
practice of turning people into employable labourers is somehow difficult since the turning land into capital in
Vientiane Capital requires educated people to be employed. The residents may cope with difficulty as many of them
are poor and vulnerable to be force to low wage labour.
CONCLUSION
It can be concluded that the government practice on turning land into capital in Vientiane Capital has fair measures
on compensation in taking land back while the problem of turning land into capital was on the compensation and
the poor people who are in need of land for agriculture for living in order to generate their proper family income.
The cause of the problems come from the poor management of state land and the policy on reducing poverty by
giving the poor people to development land for their agriculture which finally causes the invasion of state land by
other people in the communities nearby.
The challenges are to turn people into employable labourers for the turning land into capital projects since the
government requires to reduce poverty as to erase Laos from the list of the least developed country by 2020.
The market price of the land depends on its area economy so that it is difficult for the government to set standards
price for the compensation. The environmental sustainability is the matter of concerned in turning land into capital
since Vientiane Capital TLC projects were mainly on urbanisation and mass development in the areas.
RECOMMENDATION
It is recommended that the research on how indigenous people benefits will gain shall be conducted as well as on
how the government maximise the benefit from the project including the environmental issues.
REFERENCES
Andersen, K. (2011). Communal Tenure and the Governance of Common Property Resources in Asia: Lessons from
Experiences in Selected Countries. FAO Land Tenure Working Paper 20. Retrieved from http://www.fao.org/
docrep/014/am658e/am658e00.pdf
Barney, K. (2009). Laos and the making of a relational' resource frontier. Geographical Journal 175(2), 146-159.
Chanthalasy, Anothai, Florian Lintzmeyer, Florian Rock, Bouakham Soulivanh, and Phonsavat Suphida. (2005). Study
on Land Markets in Urban and Rural Areas of Lao PDR. GTZ. Retrieved from http://
www.urbanlandmark.org.za/downloads/land_markets_Lao_PDR.pdf
CIA. (2012). World Factbook: Laos. Retrieved from https://www.cia.gov/library/publications/the-world-factbook/

geos/la.html
Dwyer, M. (2007). Turning Land into Capital: A review of recent research on land concessions for investment in the
Lao PDR. Vientiane: iNGO Working Group on Land Issues.

Yo Saysoulinh
FAO. (2008). Profile of the Lao People’s Democratic Republic. Regional Data Exchange System. Retrieved from
http://www.faorap-apcas.org/lao.html
FAO. (2010). Aquastat: Lao PDR. Retrieved from http://www.fao.org/nr/water/aquastat/countries_regions/laos/

index.stm
Fujita, Y. & Phanvilay, K. (2008). Land and Forest Allocation in Lao People’s Democratic Republic: Comparison Case
Studies from Community-Based Natural Resource Management Research. Society and Natural Resources
21:, 120–133. Retrieved from Society and Natural Resources 21: 120–133.
GOL. (1990). Property Law. Retrieved from http://www.wipo.int/wipolex/en/text.jsp?file_id=180213
GOL. (2003). Constitution of the Lao People’s Democratic Republic. Retrieved from http://www.wipo.int/wipolex/
en/text.jsp?file_id=180175
GOL. (2003). Land Law. Retrieved from http://www.na.gov.la/docs/eng/laws/econ/Land%20&%20Decree%20%

282003%29%20Eng.pdf
GOL. (2008). Decree 88/PM on the Implementation of the Land Law. 3 June. Retrieved from http://
www.forestcarbonasia.org/other-publications/decree-on-the-implementation-of-the-land-law-lao-pdr/
GOL. (2009). Law on Investment Promotion. Retrieved from http://www.forestcarbonasia.org/wp-content/

uploads/2011/10/12.-Law-on-investment-promotion-No.-02-NA.pdf
GOL. (2009). Law on Investment Promotion. Retrieved from http://www.forestcarbonasia.org/wp-content/

uploads/2011/10/12.-Law-on-investment-promotion-No.-02-NA.pdf
GOL. (2010). Lao PDR: Forest Carbon Partnership Facility: Readiness Preparation Proposal (R-PP) Submitted to World
Bank. Retrieved from December. http://www.forestcarbonasia.org/other-publications/forest-carbon-
partnership-facility-readiness-preparation-proposal-r-pp-lao-pdr/
Goldman, M. (2001). Constructing and Environmental State: Eco-governmentality and other Transnational Practice
of a 'Green' World Bank. Social Problems Vol. 48 (4), 488-523.
Gorsuch, J. (2007). Rice: The Fabric of Life in Laos. Lao-IRRI Project. Retrieved from http://web.archive.org/
web/20070628094304/http://www.irri.org/donors/SDC/pdfs/RiceFabricOf%20LifeInLaos.pdf
GTZ. (2009). Foreign Direct Investment (FDI) in Land in the Lao PDR. Retrieved from http://www.laolandissues.org/
wp-content/
Hanssen, C. (2007). Lao land concessions, development for the people? Vientaine: CIDSE-Laos.
Kenney-Lazar, M. (2010). Land Concessions, Land Tenure, and Livelihood Change: Plantation Development in
Attapeu Province, Southern Laos. Retrieved from http://www.laolandissues.org/wp-content/
uploads/2012/03/Kenney-Lazar-Land-Concessions-Attapeu1.pdf
Lao Statistics Bureau. (2012). Census. Vientiane: Lao Statistics Bureau.
Lastarria-Cornhiel, S. (2007). Who Benefits from Land Titling? Lessons from Bolivia and Laos. International Institute
for Environment and Development. Gatekeeper Series 132. Retrieved from http://
pubs.iied.org/14553IIED.html
Lestrelin, G. (2009). Land degradation in the Lao PDR: Discourses and policy. Land Use Policy 27, 424-439.
MAF. (2009). The Sub-Working Group on Uplands Development. Policy Brief #2: Rural Land Management and Land
Administration. 28 August. Retrieved from http://www.laolandissues.org/wp-content/uploads/2011/12/
SWG-Land-Management-Policy-Brief-2008.pdf

Yo Saysoulinh
Mann, E., and Luangkhot, N. (2008). Study on Women’s Land and Property Rights under Customary or Traditional
Tenure Systems in Five Ethnic Groups in Lao PDR. Land Policy Study No. 13 under Lao Land Titling Project II.
Lao-German Land Policy Development Project. Retrieved from http://www.laolandissues.org/wp-content/
uploads/2011/12/Women-Land-Rights-Study-Liz-Mann-et-al.pdf
Rabé, Paul, Thenekham Thongbonh, and Vongdeuane Vongsiharath. (2007). Study on Urban Land Management
and Planning in Lao PDR. Land Policy Study No. 10 under Lao Land Titling Project II. Lao-German Land
Policy Development Project. Retrieved from http://www2.gtz.de/dokumente/bib/07-1646.pdf
Schönweger, O., Heinimann, A., Epprecht, M., Lu, J., and Thalongsengchanh, P. (2012). Concessions and Leases in
the Lao PDR: Taking Stock of Land Investments. Centre for Development and Environment, University of
Bern. Bern and Viantiane: Geographica Bernensia. Retrieved from http://www.decide.la/MoNRE_Book/
Concessions-Leases-LaoPDR_2012.pdf
Sengdara. (2012). National Assembly Tackles Land Disputes. Vientiane Times. 14 November. Retrieved from http://
www.vientianetimes.org.la/FreeContent/FreeConten_National_Assembly%20members.htm
Thammanousouth, S. (2009, September). Civil Society with Urban Development in Vientiane City, Lao PDR.
Retrieved from Network of Southeast Asian and German Experts: http://www.forum‐urbanfutures.
UNDP. (2012). About Laos. Retrieved from http://www.la.undp.org/content/lao_pdr/en/
Wellmann, D. (2012). Discussion Paper on the Legal Framework if State Land Leases and Concessions in the Lao
PDR. Northern Upland Development Programme. Retrieved from http://www.laolandissues.org/wp-
content/uploads/2012/03/Legal-Framework-of-Concessions-in-the-Lao-PDR-Discussion-paper-GIZ-
Wellmann.pdf
World Bank. (2005). Lao PDR Environment Monitor. Retrieved from http://siteresources.worldbank.org/NEWS/
Resources/report-en.pdf
World Bank. (2006). Lao PDR: Rural and Agricultural Sector Issues Paper. Rural Development and Natural Resources
Sector Unit, East Asia and Pacific Region. Retrieved from http://documents.worldbank.org/curated/
en/2006/05/7107239
World Bank. (2006). Lao PDR: Rural and Agricultural Sector Issues Paper. Rural Development and Natural Resources
Sector Unit, East Asia and Pacific Region. Retrieved from http://documents.worldbank.org/curated/
en/2006/05/7107239/lao-pdr-rural-agriculture-sector-issues-paper
World Bank. (2012). Development Indicators: Lao PDR. Retrieved from http://data.worldbank.org/country/lao-pdr
World Bank. (2012). Lao PDR Overview. Retrieved from http://www.worldbank.org/en/country/lao/overview
Yokoyama, Satoshi, Koji Tanaka, and Khame Phalakhone. (2006). Forest Policy and Swidden Agriculture in Laos. NIE
-SEAGA Conference: Sustainability and Southeast Asia, 28–30 November, Singapore. Retrieved from http://
geog.lit.nagoya-u.ac.jp/yokoyama/papers/seaga2006p.pdf

THE HISTORY OF THE ACTIVITIES, HOPES, AND POSSIBILITIES OF
FARM WOMEN IN JAPAN
Rieko Tsuru
Kibi International University
tsuru@kiui.ac.jp
ABSTRACT
Within the rural sociology field in Japan, we have been studying rural women in feminist perspectives since the 1990’s. One
example of the phenomena explored is the transformation of the social status of rural women in Japan over the Post-war era.
Another is the social process of female empowerment in this dimension of Japanese society over time. We found that one of
the greatest factors which brought rural women from being virtually invisible participants in society, into being more
conspicuous members of it, were farm activities performed by female farmers-which we will call farm women’s activities. These
activities are exemplified by such as holding farmers markets and farm stays, operating farm restaurants, teaching cooking
classes, conducting food events in rural communities, and so on. Farm women have changed themselves with great
independence, and have deeply affected their families and communities. Many rural communities in japan are underpopulated
area and threatened with decline or disappearance. However, many of the communities where farm women’s activities have
developed and continue to develop are very vigorous. There are some reasons for this. In particular, farm women’s activities
have succeed in constructing mini-economies in the regions they take place. There, they support farm women’s incomes, bind
their social relationships, and generate overall life satisfaction throughout the area. Consequently, farm women’s activities
have created and promulgated various new values in the women’s families, communities, and entire society. By studying these
activities, we could learn ways to construct a sustainable and stable lifestyle for ourselves and our families. In this report, I will
focus the history of farm women’s activities in Japan and make clear the results and complexities-with the goal of elucidating
an alternative to rampant globalization around food, agriculture and whole ways of life.
INTRODUCTION
The purpose of this paper is to focus on the history of farm women’s activities in Japan and make clear their results
and complexities-with the goal of elucidating an alternative to rampant globalization around food, agriculture and
our whole way of life. For a long time women in rural society had been taking only a subsidiary role and their
social status was very low in their house and overall regions since the Meiji era. Many researchers have been
focused on the activities of men in rural society and they seldom did so with women there. The women in rural had
been an “invisible presence” for a long time. From around the 90’s the tendency has been changing within the
rural sociology field in Japan. Studies from Feminist perspectives have begun around then. Kumagaya Sonoko
(1995) is the pioneer in that field. After that Akitsu Motoki et.al (2007), Tsuru Rieko (2007), Hara Juri (2009),
Tsutsumi Masae ed (2010), Nakamichi Hitomi (2012) , and so on have .
SOCIAL BACKGROUND OF FARM WOMEN’S ACTIVITIES
Farm women’s activities are the social economic activities driven primarily by women and often including their
family members in rural areas, which provide agricultural products or agricultural processed food to consumers in
a different supply chain from the conventional one. For example, they are unmanned or manned farm products
markets, processing and sales activities, tourist homes in farmer’s houses, farmer’s restaurants and so on. They
were generated in the 80’s and have been developing up to now. We can find the seeds of the farm women’s
activities in the life reforming movement in the 70’s or the women group activities of farmers’ cooperatives.
These phenomena were coined “farm women’s activities” in the vision “middle and long –term vision about
women in rural, mountainous and fishery areas” and they were supported by government policies. The number of
farm women’s activities has been increasing and the establishment of the law “Basic Low for a Gender-Equal
Society” in 1999 served as a tailwind to that development. The agricultural policies after World War Ⅱ was aimed
at modernizing agriculture in Japan through a law named the Basic Agricultural Act established in 1961. The acts
attempted widen the scale of farm management. It was meant to radically reform to mechanize processes of
produce, to take in a lot of pesticides and chemical fertilizer and it had been reforming radically Japanese
agriculture from the self-sufficient type to the industrialized type.

Rieko Tsuru
In spite of the aim of the government, it didn’t succeed. Except of a few farm houses which were oriented to that
modernized agriculture, most of the farm houses in Japan were far removed from the law and couldn’t reform their
style of agriculture to be more profitable. So, in the 1960’s in many rural or mountainous areas many young people
started to go to big cities to get non- agricultural jobs. As a result these regions began to have serious social
problems, being underpopulated and full of worries about the diminishing regional societies. On the other hand in
big cities an explosive increase in population caused troubles of congestion, lack of appropriate housing, chronic
heavy traffic, water contamination, air pollution and so on.
In addition, the development of mining and industry led to pollution problems and food contamination. In the 70’s
a social movement around organic farming arose among urban consumers, and producers and researchers in the
agricultural field. They were united in the goal of seeking the overall ideal in agriculture and food Japan. In rural and
mountainous areas there had been a spreading movement for the improvement of living since after World War Ⅱ,
including movement for kitchen gardens, for a successor of techniques around processing soy bean paste, soy sauce
and Japanese pickled vegetables, and for rethinking eating habits by women departments in agricultural
cooperatives. These had been slow and steady efforts and enriched much expanded daily life deeply. In those
activities many women had been empowered and they had strengthened social bonds among themselves. Many of
farm women’s activities started to be focused since the 90’s around promoting gender equality and also the
revitalization of agriculture and its rural areas, which are the root of such movements.
The Great East Japan Earthquake on March 11th, 2011 and the accident at the Fukushima nuclear power generation
plant destroyed a huge number of people’s lives drastically and violently. Many lives were lost and most of people
had to change their jobs, schools, residence, and way of life, or are now thinking of changing them. One of their
choices is to move to a rural area and being a rural life, and this has a high affinity with farm women’s activities.
THE ACTUALITIES OF FARM WOMEN’S ACTIVITIES AND THEIR SOCIAL MEANING
Social functions of farm women’s activities
We will for the purpose of explanation divide the social functions of farm women’s activities into two parts,
individual, or Ie, and Mura, or regional society. The individual effect of empowerment is the biggest function. Farm
women’s empowerment means that it is a social process for women in rural society who previously hadn’t any
social power or influence to make a decision or decide principles thus any right of participating in such situations is
transformative towards a person having a role in changing the society, politics and the economy. The power
women gained is to recognize their own will and to assert themselves, it is also to have some influence in farming
management, farm house management and the entirety of daily life including decision-making.
In modern society we need money to realize our desires. The result of having some money is that farm women
could spend it as they like even if the amount was little. With this many farm women felt a new freedom of mind
and action increased self- confidence. Women began forming an identity which involves the taking of significant
responsibility and the adoption of social roles such as farmer, ordinary citizen, and autonomous individual and so
on. What’s more, they had many good companions with whom to respect and evaluate each other. At the same
time their relationships to family and regional society changed . As the spouse and family experienced many
changes, their relationships with the women transformed in many cases from hierarchical to equal, with the
internalization of positive influences. For Mura or regional society there was the generation of small business or
mini-economies, good companions, and an increase of trust to others. With this we can begin to see the many
changes, for example, change in values, increased acceptance of diversity, the re-evaluation of variety and
heterogeneity, a change in the local identity of habitants, an increase in the satisfaction of living.
In particular generating small economies in each Mura meant developing some economic activities called small
businesses or community businesses, which related to many social relationships, social groups and social
organizations and brought a kind of profundity to the society. And it presented an alternative style and nonpolar
concentration of economic activities, and a large scale system moving towards efficiency of economy and society. It
is the new type, describable as a dispersed, independent, autonomous small society or small life sphere in an area
which we can live in just moving by foot or bike; we can live there until the end of life. It seems like such an
alternative social system and life style is vaporous, but stronger than we expect, and a strategy against
globalization.

Rieko Tsuru
SOME ISSUES
Differentiation of labors and worker’s collectives
Worker’s collectives mean that people invest in, work in, and manage the business entity in equal partnership with
each other. For example, there are many cases; small workshops run for and by disabled persons, vocational
facilities, restaurants or lunch vendors in town run by housewives and so on. In capitalist society at the beginning
a selection of labor was done, that is to say, into “first-class labor” and “second-class labor”. The former is made up
by young and healthy men who can work efficiently every day, the latter is disabled people, elderly people and
women who usually require much extra care; they are inferior in efficiency to men. Thus, there was no choice to
create a working place by them if no one hired them. As the result of that, the industries which have been
springing up around farm women are very small entities, but they have a different perspective which rethinks
some values. For example, meritocracy is good and ordinary, things such as that. In this sense, these areas are alive
as an alternative social sector.
Farm women had been positioned in their farm management not centrally but peripherally, so another social
sector in farming they had been generating through farm women’s activities is really similar to. Farm women’s
activities are the rural style of worker’s collectives.
From unpaid work to paid work
The bearer of farm women’s activities is not men but women and usually not younger women. This fact has great
meaning. In rural society middle aged and elderly women had previously taken many roles, such as house worker,
child rearer and caretaker of the old, manager of the kitchen garden, preparer of every day’s meal, maker of
processed food(pickled vegetables, soy paste, soy sauce and so on), and provider of meals on rice-planting day
and the day of festivals. Women didn’t positively choose these roles and were assigned automatically to the farm
women role in the farm house and the rural society. Although this unpaid work has been necessary for people in
daily life, it often can’t earn any money. Entrepreneurship changed these works from unpaid work to paid work.
Actually, out of those I talked with, most of the women who experienced the change for themselves spoke of it
vividly and impressionably.
Rethinking about society
I can give an example of “unintended consequences” of farm women’s activities, which also constitute a change in
existing values and a new generation of values. These are the thoughts and practices with which the farm women
fundamentally rethink their society things. Most of them told me about how they started to think about they
hadn’t before; what a prosperous life is, what the virtue of agriculture is, why they have lived in those places, and
so on. They have thought such questions when they alone or when working and having a break with their
companions. They have thought, talked, and moved to action in every dimension related to their activities. The
cycle of cognition and resulting action was created and has continued in their daily life.
CHANGES IN FARM WOMEN’S ACTIVITIES AND SOME PROBLEMS
The new characteristics and the evaluation
The characteristics of women’s farm activities are outlined roughly by small size of management, a regional basis, a
marked wish beyond self-interest and a set value on that interest, as well as on making fellowship, a high average
age, good influences on the region and agriculture in the region, a positive effect on women’s empowerment, and
so on and so forth. But recently there appear new characteristics which we could find; large-scale management
size, non-relation to a specific region, an increased basing of their actions on the expansion of personal profit,
individualization, a lower average age, and so on. What exactly should we recognize in these new changes? I think
it is too simple to simply conclude the tendency is negative, but if we just grabbed the changes and didn’t interpret
the meaning of those changes, it would be too naïve, wouldn’t it?

Rieko Tsuru
What are farm women’s activities presented
For what and for whom?
Some groups have continued to confirm the importance of not forgetting the original purpose of their activities; on
the other hand, some groups have gradually but profoundly changed their purpose or wishes in comparison to the
original inspiration. The change is, as we say, founder’s amnesia. The orientation of large-scale of the management
size is arises up in and out of the group in proportion to the increase in their income and stability of activity. But in
many cases women choose the way to maintain the original condition. Some evaluate the choice as not so good,
and after all the farm women’s sense of management is on that idealistic level in many cases. It is in many senses a
negative evaluation, but I think we can adopt an opposing perspective. They wish not to change their life
dramatically and they choose not to expand and to maintain. Many consider the original purpose of their activity,
and they are reminded that it lies not in self-interest, but in living in the region with their family and compatriots. I
sometimes heard women say that they need money fairly, but that too much money evokes a negative emotion.
Not competition or survival but symbiosis and solidarity
Nowadays in Japan a trend of praising meritocracy and competition has been spreading. The policies of farm
women’s activities reflect this trend, neo-liberalism. The idea manifests in policies supporting motivated farmers,
which seems virtuous to us, but it includes some risks around falling into this neo-liberalism easily. What is
motivation in the area of agriculture? Is it the farmer or group that tries to expand the scale of farming and to cut
cost reduction? Who is non-motivated person? It is the farmer with a side job, elderly a full-time farmer, small size
farm women’s activity group?
If we would choose the policy based on the same idea of the globalization logic of the survival of the fittest, there
were no chances of success against the globalization. It is wise not fighting at the place that the enemy set and
fighting at the place that I set it by oneself. There is many practices much kind of farmers, full-time, with a side job,
large-scale, small size and non-farmer have gathered to manage region resources as a member of the region, to
manage a direct sales store or to unite producer and consumer directly makes a small regional economy system. I
would like to face up to the reality.
It is not correct that only full-time farmer has been making and maintaining and supporting with rural area, regional
society, food and agriculture in Japan. Including a full-time farmer there is various people living in regional society
and cooperates with each other to manage and maintain agricultural irrigation channel, the other facilities and
resources for a long time.
The gaps among farm women
When whole women were discriminated just as women, it seemed like a monolith, but since the 90’s the situation
with farm women has been changing. Some of them have been expanding their fields of action; in agriculture,
farmhouses, agricultural organizations and rural management society through a lot of gender equality policies. On
the other hand, there still remain quite many women who are poor at stating their opinion, and who don’t have
enough social room to make a decision, but recently there has been spreading a cold attitude to the women-namely
that the level of their consciousness is low and that it is their own fault.
I think that the gap is not bad in itself; the problem is the trivialization of the causes of that difference into an
individual problem and a matter of personal responsibility. Families types are quite various, some families support
women, others put them down. If it is difficult for a woman to understand her choice and action through her family,
in that case her self-recognition and actions are indeed limited. It is not the case that every woman stands at the
same starting line. Thus, it isn’t appropriate to deal with personal gaps among farm women as the own
responsibility. We can’t promote women’s empowerment without changing ourselves and our surround
environments.

Rieko Tsuru
The combination with region is necessarily and essentially
Farm women’s activities have generated at their result the combination of regional resource usages to allow the
creation of works by individuals; it has aimed for individual autonomy and for the local region. Most habitants
there are familiar with the activity groups, even if they are not directly concerned with one. This means that the
groups are embedded in the region; and that is indeed a tendency for inhabitants to recognize the group as a local
or regional treasure. In such an overarching situation it is natural to gather much information, acknowledgement
and ideas from various individuals, groups, organizations and networks. And it is easy to make relationships with
these aforementioned individuals, groups, organizations and networks.
The meaning of work for farm women
Recently the purpose of farm women’s activities is turning from kindling fellowships towards business
management, and some call this change “maturity”. This word maturity is valuated. In modern society I think it is
better to be careful when we use this word, because it has been latched to economic centrism. Again it is
important to consider why people work. Sociologist Tateiwa(2009) said, that at first work is the way for people to
live, but before we know it, work changes from way to purpose; it’s really strange. And it is important for us to
generate the contributed system unless the gaps among working individuals.
If we primarily seek profit, we don’t need the place of work to be located in a rural area. It doesn’t matter if we
transfer to a more convenient place, seeing as to begin with we don’t need to continue to live in a rural area. On
top of that, it might be possible to hire employee from outside of the region who work harder for a cheap salary.
If we think personal expenses are just cost, we should cut personal expenses as much as possible in order to
increase profit. Or we could expand the operation or facility and aim at mass-production and mass sales, in the
view of economy of scale. Such choices might bring us more money and profit, we might become busier. But is
this mindset right? And is it good? To use regional resources as much as possible and to work together with local
people is much better than such an alternative for others, and for the region.
CONCLUSION AND THE PROSPECTS OF FARM WOMEN’S ACTIVITIES

Farm women’s activities has not only promoted women’s empowerment but also affected their families, regions
and whole society to generate new values. Since the period of high economic growth in Japan most of the rural
communities in the nation have become underpopulated areas threatened with decline or disappearance. But
people there have been trying to use some social resources to fullness in order to continue living there; the
seminal example is farm women’s activities. Farm women are becoming the standard bearers supporting
agriculture management in one sense, because it is empty in their farmhouses. Husband and son are now engaged
to non-agricultural jobs. In the ensuing process women have concerned themselves with morning markets and
direct sales stores, and they have usually in turn come into conflict with existing social norms. But they
maneuvered those norms and generated new ones step by step, empowering themselves. Such vigorous women
influenced to intimate others and rural society. And their activities led many to rethink women and the ideal
“type” for agriculture, farmer’s life and the rural village. It generates new social phenomena and issues, organic
farming movements, awareness of distortion in the market, Japanese farm policies under globalization, farmer
attitudes; the list goes on. These trends are related to perspective, inspiring us to think and feel about
interconnectedness between individual and society.

Rieko Tsuru
REFERENCES
Akitsu, Motoki et.al .2007. Nouson Gender,(gender in rural society),(in Japanese ),Kyoto,Showado
Hara, Juri ,2009. “Nousonjoseikigyou no ayumi to tenkan”(the history and the turn in farm women’s activity),
Nougyo to Keizai.Vol.75.No.13. pp.5-14
Kumagaya, Sonoko .1995. “Kazokunougyoukeiei niokeru josei no jiritu”(women independent in family farm),
Annual Bulletin of Rural Studies, Tokyo, Noubunkyo (in Japanese).31
Nakamichi, Hitomi, 2012. “Gender kenkyu no douko” (the trend of gender studies), Annual Bulletin of Rural
Studies.48. Tokyo, Noubunkyo (in Japanese), pp. 276-287
Tateiwa, Shinya.2009. “Tada ikirareru sekai ni”(toward the just living world), Asahi newspaper, March 2th,9 th,16th.
(in Japanese )
Tsuru, Rieko.2007., Noukajosei no Shakaigaku(sociology about farm women), (in Japanese), Tokyo, Komonzu
Tsutsumi Masae ed 2010, A Turning Point of Women, Families and Agriculture in Rural Japan,(in English),
Tokyo, Gakubunsha

WHY KHMER FARMERS ARE RESISTING NGOS:
CONTRADICTIONS BETWEEN PARTICIPATORY DEVELOPMENT
IDEAS AND PRACTICES IN RURAL CAMBODIA
Sayaka Akiho
Doctoral Program
Graduate school of Humanities and Social Sciences
University of Tsukuba, Japan
s08akiho@dpipe.tsukuba.ac.jp
ABSTRACT
How has the relationship between Khmer farmers and non-governmental organizations (NGOs) changed through participatory
development efforts? This study investigates the socio-cultural changes in post-conflict Cambodia by focusing on a rural
development project and analyzing the power relationship between these changes. The civil war in Cambodia, which lasted for
more than two decades, devastated the lives of the Khmer people, especially their social relationships. From the end of the war
until now, the Khmer culture and rural society have been in the process of reconstruction through Khmer farmers’ everyday
practices and their interactions with outsiders, represented by foreign aid agencies and NGOs involved in carrying out rural
development projects since the 1991 Paris Peace Accords. It is now common to see NGOs form farmer organizations in order to
promote new agricultural skills to the villagers and empower them through networking. For this reason, NGOs are considered
as pivotal actors in socio-cultural change among rural communities. This paper focuses on a local NGO that has, since 2001,
operated a participatory development project in a rural area where the author has conducted fieldwork from 2005 to 2013. In
addition, this project introduced new agricultural techniques and formed farmer organizations at the village, district, provincial,
and national levels. However, in 2009, the farmers severed their relationship with the NGO after criticizing their management
methods. This shows that the NGO’s project not only influenced socio-cultural change but it also empowered the farmers with
the ability to critically view their relationship with the NGO. This dynamic change in the Khmer farmers–NGO relationship also
suggests that the development project, based on a Western idea that attempted to empower the farmers, actually transformed
the existing local social relationship, and as a result a contradiction of participatory development emerged.
INTRODUCTION
In 2009, leaders of the Khmer farmer association expressed their objection to a local non-governmental
organization (NGO), which had given them long-term participatory assistance, and severed their relationship with
the project. According to these leaders, this time period was called “the time of revolution pe:l padevoat.” In this
case, why did the Khmer farmers refuse such assistance from aid workers and a local NGO? Through an
ethnographic account, this paper first examines how the Western idea of “participation” in a social context of rural
Cambodia emerged and then focuses on the gaps between the participatory development ideas and practices of
the NGO and the Khmer farmers.
According to the study titled, “Le Paysan Cambodgien” by Jean Delvert, a French scholar of Cambodian society,
“The Cambodian is a peasant” (Delvert 1961). After his survey, Cambodia experienced a long-term political conflict
that brought damage not only to rural society, but to the country as a whole. Since 1991, the process of
reconstruction and development has been driven by numerous domestic and international institutions. Currently,
the rise in its garment and tourism industries have also become a contributing factor to both the country’s overall
economic growth and social change at the rural level. However, to date, Delvert’s statement has remained true;
since, Cambodia is still predominantly an agricultural society, with approximately 85% of the population living in
rural areas and more than 25% working in the agricultural sector. More specifically, the majority of the rural
population comprises farmers who cultivate rice mainly for subsistence.
Accordingly, how can we better understand a relatively new phenomenon, such as a participatory development
project driven by outsiders, in the context of post-conflict Cambodia? Ledgerwood and Vijghen criticize some
Khmer and Western observer’s analyses that Khmer society is slowly returning to its pre-revolutionary form. In
addition, they state that this view is misleading and that the society has been constantly re-created, re-imagined,
and re-negotiated through the everyday practices of people going about their lives after such a long-term civil war
(Ledgerwood & Vijghen 2002, pp. 109-110). Under such dramatic national level changes, the rural people’s
everyday lives comprise both social continuities and discontinuities and thus, if only the changes and its

Sayaka Akiho
discontinuities are stressed, then it is impossible to obtain an accurate picture of the country’s contemporary
society as a whole.
One of the key factors that have helped transform rural Cambodia has been the development projects operated by
the state, local/international non-governmental organizations (NGOs), the United Nations, etc. The majority of
these projects are based on the Western idea that international aid agencies can produce and promote
participatory development, which seeks to engage local populations in various development projects. Since the mid
-1980s, such efforts had become the mainstream, but the past decade has witnessed a growing backlash against
such approaches in which participation attempts to “tyrannize” development (Cooke & Kothari 2001). Some
scholars have even insisted that this mainstreamed idea essentially concerns the exercise of an “agency” in relation
to development and thus, it is important to analyze how a local people’s agency relates to social change under this
“tyrannized” situation (Long & van der Ploeg 1994; Hickey & Mohan 2004).
The point of such criticism is that although participatory development has engaged with issues of power and
politics, it has become a technical approach that depoliticizes what should be an explicitly political process (Cooke
& Kothari 2001). Such debates have provided an insight into participatory development as an arena of “political
matter” between practitioners and beneficiaries. The majority of these aforementioned studies have focused on
how local people “act” in such development projects through a so-called bird’s eye analysis. However, it is difficult
to find a study that illuminates the participatory development process and power relationship between NGOs and
farmers from the farmer’s perspective. If a disproportionate emphasis is placed on the practitioner’s perspective in
regard to the power relationship and politics between aid workers and the local people, then regardless of whether
it is unintentional or intentional, it dismisses the viewpoint of those with less rationale from the field of discussion.
People’s perceptions of development are significantly shaped by the culture in which they live, e.g., the Cambodian
patron–client relationship is based on the social relationship from the village level to the national level.
Therefore, this paper examines a local NGO’s participatory development project in order to capture the complex
and political character of the people’s agency within the development process, focus on its impact on rural society,
examine how the social relationship between local elites (i.e., the NGO) and the Khmer farmers changes in the
context of post-conflict development process, and describes the actors’ perception of the relationship and their
interactions with the aid workers. The critical point is that what is taken as “participatory development” in the
context of rural development in Cambodia reflects the social and local micro-political relationships and
contradictions that the development systems entail. The methodology of this study is based on anthropological
fieldwork conducted by this author from 2005 to 2013, and the analysis is based on ethnographic data collected
through participatory observation and interviews mainly with farmers and leaders of the farmer associations in a
southern Cambodian village.
BACKGROUND: THE POLITICS OF PARTICIPATION AND DEVELOPMENT
In the field of development, international aid institutions produce new development discourses and ideologies that
practitioners then implement into their projects. In general, institutions that produce such development discourses
are international aid institutions in Western countries, such as the World Bank, United Nations, etc. However, the
eventual implementation of such discourses is usually performed far from where the ideas were first conceived.
Thus, such gaps in perception have caused conflicts or friction between the practitioners and the recipients.
To date, it has been some time since a participatory development project had been conducted by a local/
international development agency in a rural development project. This particular type of development project,
based on other top-down development approaches, was influenced by the work of Robert Chambers (1983, 1997).
The broad aim of participatory development is to increase the involvement of socially and economically
marginalized people in the decision-making processes of their own lives. According to the World Bank, participation
is a process through which stakeholders share control over development initiatives, decisions, and resources that
ultimately affects their lives. This recognition and support for greater involvement of local people’s perspective,
knowledge, priorities, and skills presented an alternative to donor-driven and outsider-led development and it was
rapidly and widely adopted by individuals and organizations. Subsequently, participatory approaches to
development have been justified in terms of sustainability, relevance, and empowerment (Cooke & Kothari 2001,
p. 5). However, over the past two decades, there have been a number of critiques regarding such populist
participatory approaches (Bastian & Bastian 1996; Mosse 1997; Stirrat 1996). One critical discussion was presented

Sayaka Akiho
in “Participation: The New Tyranny?”(Cooke & Kothari 2001) after which a response titled, “Participation: From
Tyranny to Transformation?” was published by Hickey and Mohan (2004). The discussion by Cooke and Kothari
(2001) provides critical insight into the participatory discourse, through a conceptual and ideological examination
of its theory, method, and practices. They also focus on the nature of tyranny—the illegitimate and/or unjust
exercise of power—in participatory development, explored how these projects facilitate tyranny, and provided
insight into the arena of “political matter” between practitioners and beneficiaries. Furthermore, like other critics
of tyranny, they argue that participatory development has often failed to engage issues of power and politics and
it has become a technical approach that depoliticizes what should be an explicitly political process (Cooke &
Kothari 2001).
RURAL DEVELOPMENT IN RURAL CAMBODIA
Rural development projects initiated by international aid agencies and local/international NGOs have proliferated
in rural Cambodia after the 1991 Paris Peace Accords. Currently, official development assistance (ODA) is
equivalent to 9.4% of the gross domestic product (GDP) and $78 per capita. In 2009, Cambodia was the second
most aid-dependent country in Southeast Asia, with a per capita aid of $51.7. Consequently, the country has been
referred to as being “aid-dependent” (Hughes 2009; Dosch 2012).
Approximately 85% of the Cambodian population lives in rural areas and the majority are engaged in rice farming
and growing vegetables. In fact, agriculture accounts for 36% of the GDP and employs 51% of the labor force
(MAFF 2012). According to a World Bank report, despite the industries and services that significantly contribute to
the economy, 34.5% of Cambodians suffer from poverty and most of them comprise farmers in rural areas (World
Bank 2006, 2012). Agriculture is considered a key sector in the national economy, and for the Khmer farmers, it is
also a key factor in poverty reduction.
Before focusing on the changing NGO–farmer relationship in participatory development projects, it is the
important to identify the category of NGOs in the social context of Cambodia. Because of social disruptions and
the long-term political situation, social scientists were unable to conduct field surveys inside the country and thus,
written historical materials on rural society are scarce in comparison with neighboring Southeast Asia countries. In
Khmer, an NGO is onkha mummen roatapibar, which is literally translated into English as a “non-governmental
organization.”
In the context of everyday life, it is referred to as onkha (organization) and it consists of two categories related to
development (depending on the nationality of its actor): onkha krau proteh or onkha baran (international NGO)
and onkha khmer (Khmer or local NGO). In 1989, international NGOs began undertaking community development
work at the village level and employing urban Khmer staff for such projects (Ledgerwood 1998, p. 138). The
number of registered International NGOs increased from roughly 100 in 1996 to approximately 400 in 2000. There
are 1791 NGOs (450 International NGOs and 1341 Local NGOs) currently active in Cambodia. (Downie &
Kingsbury, 2001, p.59; Landau, 2008, p.247, Chum 2010, p. 75). Most of the representatives of local NGOs are
Khmer, who went overseas as refugees or had earned degrees at universities abroad. Moreover, NGO staff
members generally obtained a bachelor’s or master’s degree and worked for aid agencies, such as NGOs, owing to
the relatively high salaries offered. In short, Khmer NGOs consist of so-called Khmer elites, whereas the recipients
of the rural development projects are simply farmers.
Social relationships in Cambodia are hierarchical (not fixed), based on social rankings related to age, wealth,
political position, religious preference, and sex. The exchange practices between the wealthy and poor, and
powerful and dependent basically depend on patron–client relations and like other countries in Southeast Asia, it
often forms the basis of social life in Cambodia (Ledgerwood & Vijghen 2002; Marston 1997) and acts as a useful
model for analyzing new phenomenon like participatory development. To discuss the NGOs (Khmer elites)–farmer
relationship, it is necessary to first conduct a brief review of the accumulated literature regarding patron–client
system in Southeast Asia.
According to James Scott, the patron–client relationship is a dyadic tie involving a largely instrumental friendship
in which an individual of higher socioeconomic status uses his/her own influences and resources to provide
protection or benefits (or both) for a person of lower status who reciprocates by offering general support and
assistance, including personal services to the patron (Scott 1976, pp. 124-125). Marston (1997) and Vijghen (2002)

Sayaka Alkiho
state that the Cambodian patron–client relationship is more flexible or “loose.” Ledgerwood and Vijghen state that
despite the inherent flexibility, the Khmer peasant could not exist without a “patron.” Additionally, they note that
there are new dynamics to old patterns because of the interactions with outsiders from beyond the local network,
the most important of which are development programs conducted by NGOs or international aid organizations
delivered in cooperation with the state (Ledgerwood & Vijghen 2002). The next section describes how
“participation” was embodied in the Khmer NGO (patron)–farmer (client) relationship by focusing on its diversities,
the people’s recognition, and practice.
The process of the changing NGO–farmer relationship in rural Cambodia
Herein, an overview of the participatory development project, conducted by a leading local NGO in TP Village
(Tramkok District, Takaev Province), a southern rice farming area of Cambodia. Since 2001, this project has been
dynamically expanded around the nation and was viewed as a “successful case,” both at the national and
international level. The president and staff members of the NGO are Khmer, and the president earned a PhD in
agriculture in Germany. Its main donors comprises international institutions and its activities focus on the following
five aspects: 1) improved health conditions; 2) improved capital gains from income and saving; 3) management of
natural resources and the environment; 4) participation in local governance; and 5) development of collective
action and mutual cooperation among farmers and stakeholders.
The idea behind forming a farmer organization emphasized the necessity to promote a new agricultural
technique and serve as base of collective action and mutual cooperation among the members. Each
region of the country includes a farmer organization from the village level or samakom kaseko (farmer
organization) to the state level or sahapoan (farmer federation). Within each level, the leaders attend meetings
several times a year to share their experiences and problems.
At the first orientation meeting held by the NGO in the village, over 100 villagers were in attendance to hear more
about the NGOs’ project in detail. However, the majority of the villagers left after the orientation without choosing
to participate in the project since its activities differed from the villagers’ intentions. Specifically, the villagers did
not join the project since they had originally thought that the NGO would provide some money or goods, much like
other NGOs or political parties. However, activities of this NGO comprised teaching the villagers about new
agricultural techniques and forming a farmer organization. Consequently, the project began with only four
interested members of which one person (named Bun) was elected as the leader of the farmer organization. After
its inception, the membership increased annually from 17 in 2003 to 93 villagers in 2009 (72% of the villagers).
According to Bun, in the process of the project, the NGO staff members focused on educating the farmers and
emphasized the importance of cooperation and how the organization did not belong to the NGO, but to the
farmers themselves. These messages, repeated during the process, were based on the NGO’s policy and the
“participatory development approach.” As one member stated, “I did not quite understand when the NGO said,
‘We learn from you’ and ‘sharing experiences and agricultural skills are important for us,’ which was something
that we were not used to.” As Bun looked back on it activities, he stated, “the NGO staff and we were like bong
puon. They stayed at villagers’ houses and ate together.” In this case, bong puong means relatives and it represents
the interfamilial relationship or relative-like relationship with others.
By 2006, the NGO staff members had left the village and the organization activities were operated by Bun.
Apparently, the NGO had begun initiating other similar projects across the country. However, in 2009, the leaders
of farmer organizations began expressing opposition against local NGOs from which they eventually severed their
relationship. According to these leaders, this period was called, “the time of revolution pe:l padevoat” since it was
the time to reverse the relationship between those who had power and those who did not.
Naturally, this raises the question of why the people rejected the NGO even though they eventually established a
cooperative bong puon relationship. According to the leaders who resisted the NGO, from 2006 to 2009, their
criticism stemmed from the NGO’s budget control of the federation and its activities. More specifically, the farmers
suggested new activities and requested that funds be released toward such activities. However, the NGO did not
agree to such proposals and according to the farmers, “The federation did not belong to us, it belonged to the
NGO. They said good things, but they did not do what they had originally said.” Additionally, the leaders stated,
“Previously, the NGO and us cooperated together like bong puong. But now it is different. We realize that the NGO

Sayaka Akiho
controls us like the state. Some farmers even thought of the NGO like aumae (parents). But it’s not true. The
farmers have to cooperate, decide activities based on our rural lives, and solve the problems together.”
According to the representative of the NGO regarding the incident, “It was just an internal split and one of those
things” and added that “some farmers view the state as aumaea. Has aumae raised kon (children)? We are
different from the state. We continue to help farmers.” After the incident, the leaders of the farmers established a
new federation on their own and currently, they are building relationships with donors who can cooperate with
them instead of controlling the process.
CONCLUSION
This paper has presented a detailed account of the complex relationships between farmers and a local NGO,
especially in regard to vertical cooperation, as seen in “aumae–kon (parents–children)” and horizontal
cooperation, as seen in “bong puong (relative).” In the process of the NGO’s project, the staff members repeated
the participatory development discourses and, from early on, the farmers were perplexed since such statements
did not fit the local political relationship between the NGO and the farmers. However, they internalized the
participatory development discourse in the process of the project, which shows how the farmers became an
“autonomous subject.” In contrast, the Khmer elite (NGO) denied the autonomy of the farmers, which means that
they were steadfast in their traditional patron–client approach. Therefore, this case study shows that because of
contradictions in the development processes between the Western “participation” idea and actual
implementation, implementation was ultimately constrained by the micro-political culture of the particular
location and situation.
ACKNOWLEDGEMENT
This work was supported by a Grant-in-Aid by the Japan Society for the Promotion of Science Fellows. I would also
like to express my sincere gratitude to the Cambodian people who welcomed me into their society and showed
me the reality of their everyday lives during my fieldwork.
REFERENCES
Bastian, Sunil and Nicola Bastian. 1996. Assessing Participation: a Debate from South Asia. Delhi: Konark
Publishers.
Caroline Hughes.2009. Dependent Communities Aid and Politics in Cambodia and East Timor. New York: Cornell
Southeast Asia Program.
Chum, Samnang. 2010. NGO Coordination and the Changing Aid Environment in Cambodia: Challenges and
Opportunities. MA thesis. Victoria University of Wellington.
Cooke, Bill and Kothari, Uma. 2001. Participation: the New Tyranny?. New York: Zed books.
Downie, S. and Kingsbury, D. 2001. Political Development and the Re-emergence of Civil Society in Cambodia.
Contemporary Southeast Asia, 23(1), 43-62.
Jean Delvert.1961. Le Paysan Cambodgien. Paris and The Hague: Mouton and Company.
Jörn Dosch. 2012. The Role of Civil Society in Cambodia's Peace-building Process: Have Foreign Donors Made a
Difference?. Asian Survey. Vol.52. No.6, pp.1067-1088.
Ledgerwood, Judy.1998. Rural Development in Cambodia: The View from the Village. Frederick Brown and David
Timberman, ed. Cambodia and the International Community: The Quest for Peace, Development, and Democracy.
New York: Asia Society, pp. 127-147.
Landau, I. 2008. Law and Civil Society in Cambodia and Vietnam: A Gramscian Perspective. Journal of
Contemporary Asia, 38 (2), pp.244-258.
Ledgerwood, Judy and Vijghen, John. 2002. “Decision making in Khmer village.” Ledgerwood, Judy ed. Cambodia
Emerges from the Past: Eight Essays. Dekalb: Southeast Asia Publications, Northern Illinois University,
pp.109-150.

Sayaka Akiho
Long, Norman and Jan Douwe van der Ploeg. 1994. “Heterogeneity, Actor and Structure: Towards a Reconstruction
of the Concept of Structure.” D. Booth ed. New Directions in Social Development: Relevance, Realism and
Choice. London: Longmans, pp. 62-89.
MAFF. 2012. Annual Report for Agriculture Forestry and Fisheries 2011-2012. Phnom Penh: MAFF.
Marston, John. 1997. Cambodia 1991-94: Hierarchy, Neutrality and Etiquettes of Discourse. PhD
dissertation. University of Washington.
Mosse, David. 1997. The Ideology and Politics of Community. Participation: Tank Irrigation Development in Colonial
and Contemporary Tamil Nadu. R.D. Grillo and R.L. Stirrat, eds. Discourses of Development: Anthropological
Perspectives. Oxford: Berg Publishers, pp. 255-291.
Robert Chambers. 1983. Rural Development — Putting The Last First. Essex, England: Longmans Scientific and
Technical Publishers; New York: John Wiley.
Robert Chambers. 1997. Whose Reality Counts: Putting the First Last. London, UK: Intermediate Technology.
Hickey, Samuel and Mohan, Giles. 2004. Participation-From Tyranny to Transformation?: Exploring New
Approaches to Participation in Development. New York: Zed Books.
Scott, James C. 1976. The Moral Economy of the Peasant: Rebellion and Subsistence in Southeast Asia. New Haven
and London: Yale University Press.
Stirrat, R.L. 1996. The New Orthodoxy and Old Truths: Participation, Empowerment and Other Buzz Words. Sunil
Bastian and Nicola Bastian, eds. Assessing Participation: a Debate from South Asia. Delhi: Konark Publishers,
pp. 67-92.
World Bank.2006. World Development Report 2006. Washington, DC: World Bank.
-------.2012. World Development Report 2012. Washington, DC: World Bank.

ARSA 2014 International Conference Proceeding - Volume II

Uploaded by

Document Information

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

ARSA 2014 International Conference Proceeding - Volume II

Uploaded by

Copyright:

Available Formats

CONTENTS

The Re-Organization of Rural Community with Development of Social Business: Case 7

A Rural Regeneration Prototype : Insights into Social Networks of a Rural Community of 15

Role of NGOs in Disaster Response: Case of the Sidoarjo Mudflow, Indonesia 23

Failure of Village Administrations after Displacement: A Case Study of the Sidoarjo 30

Increasing Income of Farmers in South Sulawesi: Case Study 58

Assessment of Forest Ecosystem Service Demand-Supply Balance for Sustainable Rural 69

How Sericulture Became More Localized in Guangxi China 75

Agricultural Reforms Pertaining to the Collective Ownership of Mountain Farmland in 116

Structures and Processes Shaping Societal Development

Dual Direction of Migration

Pathways for Sustainable Development

Lessons Unlearned: New Breeding Techniques in the Age of Trans-science 331

Carlos da Conceição de Deus

Keywords: Coffee, Timor-Leste, CCT, Wellbeing, Satisfaction

From Challenges to Prosperous Future in Rural Asia  Volume 2 1

Figure 1. Map of Timor-Leste

Figure 1. Sucos of Ermera District. (Source: DNE,

RESULTS AND DISCUSSION

From Challenges to Prosperous Future in Rural Asia  Volume 2 3

Table 1 . Satisfaction of cooperative members with performance of CCO/CCT.

Satisfaction with the services of CCT(% farmers) 15.1 20.9 64.0

Satisfaction with CCT as company (% farmers) 7.0 17.4 75.6

% farmers 18.6 80.2 1.2

Source: Deus 2011

Table 2. Satisfaction of cooperative members with services provided.

CCO training and solutions for coffee Unsatisfied Equal Satisfied

Source: Deus 2011

4 From Challenges to Prosperous Future in Rural Asia  Volume 2

Table 3. Quality of life of cooperative members.

Source: Deus 2011

Table 4. Participation and decision making

% of farmers 7.0 32.5 60.5

Satisfaction as member of CCO Unsatisfied Equal Satisfied

Invited to attend CCO meetings Never Sometimes Often

% of farmers 76.7 12.8 10.5

Participation and involvement Yes No

Participation in CCO decision making (% of farmers) 18.6 81.4

Source: Deus 2011

From Challenges to Prosperous Future in Rural Asia  Volume 2 5

6 From Challenges to Prosperous Future in Rural Asia  Volume 2

From Challenges to Prosperous Future in Rural Asia  Volume 2 7

Shimanto Drama Corporation

a) Organization Summary and Business Development

b) Characteristics of Shimanto Drama as Social Business

Shimanto Drama assumes three missions: 1) industrial development

From Challenges to Prosperous Future in Rural Asia  Volume 2 9

Figure 2. Sales turnovers of Shimanto Drama

Rural Issues Solved by Shimanto Drama

10 From Challenges to Prosperous Future in Rural Asia  Volume 2

Organization Summary and Business Development

Okamisan-ichi started from a women’s processing group

In 2001, the Towa-son Local Food Management Council—

As their business expanded, a system for stability was set

From Challenges to Prosperous Future in Rural Asia  Volume 2 11

Characteristics of Okamisan-ichi as Social Business

For the first 5 years, Okamisan-ichi’s sales were about 30

Social Values Figure 3. Mushroom Sales at JA Kochi Hata Towa Branch

Rural Issues Solved by Okamisan-ichi

12 From Challenges to Prosperous Future in Rural Asia  Volume 2

From Challenges to Prosperous Future in Rural Asia  Volume 2 13

1) Refer to the cited reference [1] for details.

4) See the cited reference [4] for details.

5) See the cited reference [5] for details.