ARSA 2010 International Conference Proceeding - Volume I

ASIAN RURAL SOCIOLOGY IV
“The Multidimensionality of Economy,

Energy and Environmental Crises and
their Implications for Rural Livelihoods”
Asian Rural Sociology Association

International Conference
September 7-10, 2010
Bicol University, Legazpi City, Philippines
Volume I
Editors:
Lutgarda L. Tolentino
Leila D. Landicho
Surichai Wun’Gaeo
Koichi Ikegami
ASIAN RURAL SOCIOLOGY IV
“The Multidimensionality of Economy, Energy and

Environmental Crises and their Implications for Rural
Livelihoods”
Copyright© 2010
Published by the College of Agriculture

University of the Philippines Los Baños
College, Laguna, Philippines
Asian Rural Sociology Association (ARSA)

Email: arsa_1996@yahoo.com
Website: www.arsa1996.org
Editors: Lutgarda L. Tolentino, Leila D. Landicho, Surichai Wun’Gaeo, and Koichi Ikegami
Layout and design: Reinelen Manuel-Reyes
ISBN 978-971-8778-86-9
Cover photo: A village in Imugan, Sta. Fe, Nueva Vizcaya, Philippines

(Photo courtesy of the UPLB Institute of Agroforestry)
FOREWORD
The Asian Rural Sociology Association (ARSA) was formed in 1992 by a group of
Asian who participated in the World Congress of International Rural Sociology
Association (IRSA). The formation of ARSA was deemed necessary to cultivate the
development of rural sociology as a science; extend the possible application of results of
scientific inquiry to the improvement of the quality of rural life; and, exchange and
generate meaningful scientific founding for the rural development of Asia.
ARSA regularly holds its International Conferences to provide a forum for its
members and other interested individuals to share recent developments in rural
sociology, and tackle issues and concerns that revolved around rural sociology in Asia.
ARSA has already organized three International Conferences. The 1st International
Conference was held in Kasetsart University, Thailand in 1999 with the theme
“Globalization and Rural Social Change”. The 2nd International Conference was
organized with the theme “Prospects of Asian Rural Sociology for the 21st Century” and
was held in Indonesia in 2004. The 3rd International Conference was held in Sanhe,
China in 2007 with the theme “Competitiveness and Human Insecurity in Rural Asia”.
For the fourth time, ARSA organized the International Conference on September 7-
10, 2010 at the Bicol University, Legapzi City, Philippines with the theme “The
Multidimensionality of Economy, Energy and Environmental Crises and their
Implications to the Rural Livelihoods”. The 4th International Conference served as a
forum to: a) share experiences in implementing innovative rural development programs
in response to the energy, economic and environmental crises in Asia; b) discuss the
role of rural sociology in the energy, economy and environmental discourses; and, c)
discuss the climate change issues and their impacts to the rural livelihoods.
The Conference was organized into plenary/keynote presentation, and

parallel/simultaneous paper presentations that revolved around the subthemes, namely:
innovative rural development programs in response to energy, economic and
environmental crises; locating rural sociology in energy, economic and environmental
discourses; and climate change issues and their impacts to rural livelihoods.
The keynote and parallel presentations indicated that the Asian rural society has to
deal with social, economic, political and cultural issues brought about by modernization
towards the 21st century. While some developed countries in Asia, such as Japan and
Korea, have resolved the agrarian-related issues and concerns, their rural societies are
now confronted with aging and declining population. These issues bring us to the
questioning of the reproducibility of rural society under the project of modernity, on the
one hand, and the beginning of a new life under the post-modern period, on the other.
Thus, the recent developments now are along the areas of retirement farming, citizen
farming, the birth of a producer, among others.
Meanwhile, the other Asian rural societies which have yet to resolve the agrarian-
related issues, focused their initiatives towards achieving economic development either
through the conventional methods of production and enhancement of market integration,
or pursuing sustainable development endeavors.
The Asian rural society used to be organized along the many variants of social
capital. However, these have diminished because of the transformation or shift from the
traditional approach to more modern ways of life. Social capital in its modern variant
could be tapped to solve conflicts, prevent a disease, enhance the adoption of
sustainable agriculture and organic farming, manage natural resources, and many more.
Several papers in this conference dwelled along these areas.
Today, the Asian rural society is confronted with a new set of socially-constructed
problems such as climate change, disasters, and natural resources management.
Relative to these, we have to understand how our consumptive behavior affects our
renewable and non-renewable resources to ensure sustainable development. But at the
same time, we begin to reconsider the idea that after all, there are relationships between
humanity’s actions and natural phenomena. This highlights the blurring of boundaries of
the physical, biological and social sciences today. Many papers presented in the 4th
International Conference attest to this reality.
We hope that this Conference Proceedings will serve as a vehicle to help build the
body of knowledge of rural sociology in Asia. May this also inspire not only the rural
sociologists, but also other development-oriented individuals to continue the quest for
sustainable development in Asian rural societies.
THE EDITORS
CONTENTS
Page
KEYNOTE PAPERS
Socioeconomic Reality of Agricultural/Rural Development and Rural

Sociologists Roles in Globalizing Era 1
Yoshio Kawamura
The DBP-Forest Program: Responding to the Call for Environmental

Protection and Poverty Alleviation 11
Aurora C. Maghirang
Climate Change, Energy, and Rural Livelihoods: Planning for Resilience 24

Graeme Lang and Joann Chow
Agribusiness and Public Policies: Navigating the Dramatic Changes in

the Agri-food Systems in the Asia-Pacific Region 53
Jayson Cainglet
GENDER ROLES IN RURAL DEVELOPMENT
Social Roles of the Indigenous Women in Occidental Mindoro,

Philippines: Issues, Concerns, and Policy Implications 73
Susanita G. Lumbo, Mary Yole Apple M. Declaro,
Venessa S. Casanova, and Elmer G. Ruedas
The Hanunuo Women’s Perspectives of Environmental Protection and

Upland Farming Systems in Occidental Mindoro, Philippines 82
Susanita G. Lumbo
Work and Life Balance of Female Farmers and Workers in Japan:

A Comparative Analysis 94
Michi Tsutsumi
The Role of Women in Environmental Conservation in Sorsogon

Province, Philippines 106
Glenton O. Guiriba
Management Practices and Needs of Women Farmers in Occidental

Mindoro, Philippines: Their Implications to Rural Livelihood 113
Susanita G. Lumbo, Mary Yole Declaro and Venessa S. Casanova
Page
Social Network: An Effective Communication for Stopping Teenage

Pregnancy 123
Phasuk Kaewcharoenta
Livelihood of Elderly Citizens and Trends for Increasing Suicides in

Thailand
Duangkamol Poonual and Patcharin Sirasoonthorn 131
SOCIOCULTURAL AND POLICY ISSUES ON RURAL DEVELOPMENT
Sociocultural Factors Influencing Fishers’ Participation in Coastal

Resource Management in Anini-y, Antique, West Central, Philippines 143
Ma. Eva. T. Aldon, Dianne H. Tormon and A. C. Fermin
Poverty and Phenomenology of Rights in Southeast Asia:

Justice and Rural Development in the Philippines 154
Atsushi Miura
Social Assistance Policy for Family Members of Suicide:

Experiences from a Community in Phichit Province, Thailand 165
Rungtiva Manovachirasun, Montri Kunphoonmmarl,
Taweesak Siripornpibul and Chommanard Wannapornsiri
Primary Education and Economic Development in Nepalese Rural

Village: Focusing on Talku Dudechaur Village, Nepal 178
Saraswoti Bharati
Social Relationships Formed Through Maize Cultivation in a Mien

Hillside Village, Northern Thailand 190
Takashi Masuno
A Comparative Analysis of Volunteer Tourism in Two Conservation

Areas in Thailand and Vietnam 201
Patcharin Sirasoonthorn and Nathalie Coren
The Social Insecurity in Mae La Temporary Shelter, Thasongyang

District, Tak Province, Thailand 212
Bandan Buadaeng, Taweesak Siriporniboon and Patcharin Sirasoonthorn
Page
TRADE, INDUSTRY AND TECHNOLOGY DEVELOPMENT
Changes of Silk Production and Trade Structure in China after the

1980s 223
Ni Hui
Market Structure and Procurement System of Shrimp Export Industry in

Bangladesh 236
Shuraya Tasnoova, Tomoyuki Yukata and Izumi Iwamoto
Changing Meanings of Boat Racing in Nan Province and their

Implications for Thai's Creative Economy 246
Ms. Rattanapoorn Thongkiew and Patcharin Sirasoonthorn
Influence of Fishing Gears on the Excessive Use of Fishing Grounds in

Batan Estuary, Central Philippines 254
Ryutaro Kamiyama, Jon P. Altamirano, Keiko Yoshino and Hisashi Kurokura
Developing Marine Fishery Reserves and Sanctuaries for Coastal

Resources Management: Lessons and Experiences in Bicol Region,
Philippines 263
Angelo P. Candelaria and Nestor W. Dullesco
Policy Recommendations for Agricultural Drought: Case Study from

Phichit Province, Thailand 277
Gwyntorn Satean and Patcharin Sirasoonthorn
From Rice Economy to Oil Palm Plantation: Occupational Alternatives

of Farmers in Pak Phanang District, Thailand 287
Kanjana Laochockchaikul
SOCIAL CHANGE AND TRANSFORMATION I
Implications of Social Change in the Cil, A Local Group in Coho,

Vietnam 303
Mamoru Honda
From Men of Maize to Men of Coffee: Integrating the Mayan

Indigenous Culture in the 21st Century of Multiculturalism in Guatemala 312
Hideki Nakata
Transformation of Life and Culture in North Tohoku Region, Japan as

Influenced by the Modern Environmental Changes
(PART 1. Background Information and Purpose of Research) 323
Takashi Sasaki, Toshiyuki Chiba, Eiko Kusaba,
Page
Yoshinori Honma, Masashi Kawasaki and Reiko Osato

(PART 2. Residential Evaluation) 331
Yoshinori Honma, Takashi Sasaki, Toshiyuki Chiba, Eiko Kusaba, Masashi
Kawasaki and Reiko Osato

(PART 3. Changes in life, culture and industry for food and nutrition in 341
the rural areas of Iwate Prefecture)
Takashi Sasaki, Toshiyuki Chiba, Eiko Kusaba, Yoshinori Honma, Masashi

(PART 4. Maintaining Japanese rural folk culture) 351
Eiko Kusaba, Takashi Sasaki, Yoshinori Honma, Toshiyuki Chiba, Masashi
Reforming China’s State-Owned Farms: State Farms in Agrarian

Transition 365
Q. Forrest Zhang
Community-Level Natural Resources Management: Towards Food

Security and Sustainable Livelihood 379
Sayamol Charoenratana
SOCIAL CHANGE AND TRANSFORMATION
Scenario Analysis of Generational Change of Farmland Managers in a

Depopulated Rural Community in Japanese Less-Favored Areas 389
Ken-ichi Yonezawa and Midri Aoyagi-Usui
The Life After a Great Transformation: Social Capital and Community

Groups in Rural Northeast Thailand 401
Masatoshi Uehara
Trends and Regional Conditions in Irrigation and Drainage Canal

Maintenance in Japan 412
Yasuko Honda
Ways of Life of Khmer Diaspora Fishermen in Thailand 422

Supawadee Monnaramit
Page
Assessing the Potable Water Consumption in the Selected Households

in Sto. Domingo, Albay, Philippines 429
Angelo P. Candelaria
Status and Challenges of Building the Capacity of Young Women

Farmers in Japan 444
Kyoko Morofuji and Keiko Yoshino
Reducing Poverty of Cocoa Smallholders in Desa Compong and Desa

Maddenra, Indonesia 454
Muhammad Arsyad
Yoshio Kawamura
Socioeconomic Reality of Agricultural/Rural Development

and Rural Sociologists’ Roles in Globalizing Era
Yoshio Kawamura, PhD

Professor of Agricultural/Rural Development Economics
Faculty of Economics, Ryukoku University
Abstract
In the 21st century, any country is expected to develop into a more globalized society
which is directly associated with high technology information development. With this
background, this paper deals with a basic strategy for agricultural/rural development in the
globalizing era, based on socioeconomic characteristics of agriculture.
For this purpose, we have to consider the changes in the international environment to
which agricultural/rural communities have to face; the peculiarity of agriculture which is a
given condition directly affecting the process of agricultural development in globalizing
economy; the strategic framework for agricultural/rural development in the globalizing
environment; and, the roles of rural sociologists in the agricultural/rural development in the
globalizing era.
Keywords: rural development, globalizing economy, environment, rural sociologists
Introduction
In the 21st century, any country is expected to develop into a more globalized
society which is directly associated with high technology information development.
With this background, this paper deals with a basic strategy for agricultural/rural
development in the globalizing era, based on socioeconomic characteristics of
agriculture. For this purpose, we have considered: the changes in the international
environment to which agricultural/rural communities have to face; the peculiarity of
agriculture which is a given condition directly affecting the process of agricultural
development in globalizing economy; the strategic framework for agricultural/rural
development in the globalizing environment; and the roles of rural sociologists in the
agricultural/rural development in the globalizing era.
September 2010 y Legazpi City, Philippines 1

Socioeconomic Reality of Agricultural/Rural Development and Rural Sociologists’ Roles in Globalizing Era
Industrial Differentiation in Coping with Globalization: Mobility of

Input Resources and Output Commodities
Globalization of the economy (and domestic deregulation is the other side of the
same coin) is progressing rapidly along with the development of advanced information
technology. Since national economies are still based on countries or local communities,
acute tension builds up between globalization and locality. Conflicts between
transnational corporations and national governments/local communities and difficulties
in international coordination all originate in this tension.
It is important to note that globalization does not have the same impact on every
type of business but brings about a beneficial or adverse impact according to the
mobility (liquidity) of the inputs and outputs of particular industries. Figure 1 shows the
types of industries according to the combinations of mobility of inputs (resources),
which an industry’s production process depends, and mobility of outputs (products),
which an industry’s commodity market depends.
High
Output
Information Money Material Human Land
Information Media
Mobility
of
Money Finance Resource
Input Material Manufacture
Human Education
Real Estate
Land Agriculture
Development Low
High Low
Mobility of Commodity
Traded Commodity Non-traded Commodity
Figure 1. Type of industry by input-output mobility.
“Information, money, goods (materials), human (labor), and land” are in the order
of mobility of both inputs (resources) and outputs (products), and these resources and
products would be placed in the reverse order in terms of locality. Seen from the input
side, information and money with high mobility can be procured globally (across
national boundaries), while land with zero mobility can be supplied only locally. Human
2 4th Asian Rural Sociology Association (ARSA) International Conference

Yoshio Kawamura
resources, which have limited mobility (there are social barriers such as language,
values and customs), are relatively difficult to procure globally. The same thing can be
said on the output side: information and money as merchandise have a high degree of
mobility and therefore can be traded globally regardless of nationality, while there is
only locally limited need for land. Education is typically a human-related merchandise,
and it is relatively difficult to find global demand for education because the demand for
education is of a local nature due to cultural and social barriers such as language, values
and customs. We shall call such merchandise with strong locality a “non-traded
commodity” market as opposed to a “traded commodity” market, which is merchandise
of more general, common or universal character.
Industries related to communication, news media and finance, which deal with
information and money, are the most susceptible to globalization and are, at the same
time, in the most advantageous position to cope with globalization. In contrast,
industries dealing with land such as real estate development are only indirectly
influenced by globalization and they find it hard to cope with it. Education, which deals
with human resources, is also one of the industries on which globalization has only an
indirect influence and could not be easily be coped with. The outputs of these industries
are non-traded commodities and they are protected from harsh global competition by
social barriers.
It is important to note that most industries have a significant positive correlation

between inputs and outputs in mobility but agriculture, which deals with land, is placed
in a peculiar position. Land, which is the most important and basic input for agricultural
production, has no mobility and can be supplied only locally, while its outputs, farm
products or food, are traded commodities with a relatively high degree of mobility and
are demanded globally across national boundaries. For this reason, agriculture is the
industry with difficulty in coping with globalization.
What, then, should we do with agriculture? There are two alternatives. One is to
treat agricultural products as traded commodities and to look for a means to survive
global competition. The other is to regard agricultural products as non-traded
commodities and to avoid global competition. Which to choose depends on our
evaluation of agriculture’s characteristics on the supply side as well as the nature of the
food on the demand side.
Since agriculture is a unique industry with strong locality, it can cope with
globalization most effectively when those who are engaged in agriculture “think
globally and act locally.” It is necessary, therefore, to analyze the universality or
common nature and local peculiarities or unique nature of local agriculture and to have
an objective evaluation of its strengths and weaknesses. It is also necessary to identify
the nature and characteristics of the demand side which is directly related to food
culture. These clarifications are the first social responsibility for rural sociologists for
agricultural/rural development.

Basic Framework for Agricultural Development Mechanism: Labor Intensive

Type (Labor Productivity Oriented) vs. Labor Saving Type (Land Productivity
Oriented) of Agricultural Development
This section suggests the basic framework for agricultural development. We clarify
the dynamic structure of agricultural development which is directly affected by regional
or local conditions. An objective evaluation of the strengths and weaknesses of
agriculture based on regional peculiarities must be performed before we can achieve
sustainable development to cope with globalization.
Agriculture owes its characteristics to the fact that it is an organic manner of

production while other industries such as manufacturing are inorganic 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. At the same time, the regionally peculiar characteristics of agriculture are
intensified by the social environment, that is, the lifestyle of the people in the region
who are economic entities. Land, labor and capital, which are the inputs needed for
production, vary qualitatively and quantitatively from region to region. The regional
peculiarities bring a different type of development path to regional agriculture. This is
the basic reason why the same development theories or principles that are applied to
other industries such as manufacturing can not be simply applied to agricultural
development.
Since agriculture is organic production, it is directly affected by two environments,

the natural environment and the societal environment, whereas other industries are
affected generally only by the latter environment. Figure 2 shows a simplified model of
the regional peculiarities of the utilization of inputs (capital, labor and land). Here, a
wide variety of natural and social environments are dichotomized into two simple
models for each. The wet and dry areas are the two simplified models of the natural
environment, while the traditional and new societies are the two simplified models of
the social environment.
In wet areas, unless intensive labor is inputted during the period from sowing to
harvesting, fields will become overgrown with weeds due to high temperature and
humidity and the yield will drop. The degree of intensive labor as input, vis-à-vis, how
meticulously crops are taken care of, determines the yield. Accordingly, agriculture in
wet areas must become very labor intensive and is geared towards improving land
productivity. Technology development and capital investment are focused on mainly
floating (circulating) capital such as new breeds and fertilizers. With labor as a given
condition, the scale of agricultural management has to be small.
In contrast, in dry areas, there is a relatively weak impact of the labor input on the
yield during the period from sowing to harvesting, compared with wet areas, because of
less impact of weeds on the yield. Thus, in order to increase the yield, it is necessary to
cultivate as much land as possible with limited time and labor force. Agriculture in such
areas has to be labor-saving to cultivate more land with a given condition of labor force,
and, thus, aims at improving labor productivity. Technology development and capital

Yoshio Kawamura
investment are made in fixed assets such as agricultural machines. Land operation on a
large scale is the logical answer.
“Traditional society” means a society with a high population density such as in Asia
and Europe. In such a society, the high density of population provides an excessive
supply of labor and reduces the standard of wages. As a result, labor-intensive economy
is a more rational option. Agriculture, too, has to become labor-intensive, inputting into
a piece of land as much labor as possible to increase the yield. The improvement of land
productivity is the guiding principle of such agriculture. With limited land and large
population as given conditions, land operation on a relatively small-scale is an
inevitable result.
New societies are those with low population density such as America and Australia.
Low population density means shortage of labor, which in turn leads to a high standard
of wages. Naturally, labor-saving economy is more rational in such societies. Since a
large tract of land has to be cultivated with a limited number of labor force, agriculture
has to be labor-saving and aims at improving labor productivity. Accordingly, the scale
of land operation has to be large.
Natural Environment
Wet Area Dry Area

Population Density
(High)
Traditional Labor Intensive
Soc. A B ↓ → Current Capital Intensive
Small Scale of Land
Social Wage (Low)
Environment Population Density
(Low)
Labor Saving
New Soc. C D ↓ → Fixed Capital Intensive
Large Scale of Land
Wage (High)
Labor Input Labor Input

Requirement Requirement
(High) (Low)
↓ ↓
Labor Labor
Intensive Saving
Current Fixed
Capital Capital
Intensive Intensive
Small Scale Large Scale

of Land of Land
Operation Operation
Figure 2. Types of agriculture in temperate zones.
By making models of agriculture, we have seen that the type A agriculture (wet area
and traditional society) and the type D agriculture (dry area and new society) develop in
completely different, in fact, contrasting ways. The former is oriented toward
labor-intensive agriculture with the improvement of land productivity as a distinctive
feature, while the latter is geared to labor-saving agriculture with the improvement of
labor productivity as an objective. In the former, investment is made in floating capital
in order to accelerate technological innovation concerning the objects of labor, while in

the latter, capital is invested in fixed assets to accelerate technological innovation

concerning the means of labor. Typical examples of type A and type B agricultures
would be Japanese and American agricultures, respectively. According to this modeling,
the modernization of Japanese agriculture associated with the national economic
development can be regarded as a transition from A (traditional society=low-wage
society) to C (new society=high-wage society), since the standard of wages has been
rising. In any event, we must note that the development mechanism of agriculture varies
according to the natural and social environments.
The variation of the development mechanism of agriculture can be easily seen in an

international comparison such as these. However, even within Japanese agriculture
which is categorized as agriculture of a traditional society in a wet area, there is
significant deviation among different regions. In this case, the separating out of
variables determining the deviation in natural and social environments is in itself an
important task and the second responsibility of rural sociologists who are dealing with
regional agro-socioeconomic studies. By doing this, we will be able to clarify the
peculiarities of agriculture of a region, assess the strengths and weaknesses of it
objectively, and provide a basis for studying the development of agriculture.
Paradigm Shift in Development Scheme: Fordism Type vs. Nichism Type of

Development
Unlike the manufacturing industry, agriculture, forestry and fishery have strong
local character because they are directly influenced not only by the socioeconomic
environment but also by the natural environment. Production systems in these industries
are difficult to change in a short period of time, and therefore, they cannot swiftly cope
with changes in the market. In fact, Japanese agriculture has faced fierce competition
from imported farm products since imports were liberalized.
Every region has its mainstay agriculture featuring its locality. The technology and
know-how that farm households in the region have acquired in regard to the mainstay
agriculture are very important resources for the region. Since the mainstay agriculture
has been established by dint of years of accumulation, no region can be vitalized if it is
weak. The mainstay agriculture is, though often inconspicuous, the most important and
basic production system for the region. Therefore, the most important step for the
development of regional agriculture is to foster sustainable development of the mainstay
agriculture.
In the history of the modernization of agriculture, the development of the mainstay

agriculture has been considered, in much the same manner as in other industries, in
terms of Fordism1 type of production systems. The word “Fordism” originates from
Henry Ford, the American automobile king, who established the mass production
system by division of labor. The essence of Fordism is economy of scale or mass
1
The “theorie de la regulation,” which has made a structural analysis of the crisis of modern
capitalism, is one of the theories that point out the limitations of economic development
by Fordism type mass production.

Yoshio Kawamura
production of a small variety of goods, which in agriculture takes the form of

“monoculture, large-scale holding, mechanization, higher labor productivity, cost
reduction, and survival in price competition”.
We have to note that this kind of production system is predicated on the Fordism
type indifferent market (Figure 3: A1-A2) that caters to mass-consumers. In this type of
market, there is fierce competition between domestic and imported agricultural
products. If we are to acquire added value and survive in this type of market, we must
either reduce costs and prices by enlarging scale (Figure 3: A1) or develop new breeds
and charge higher prices (Figure 3: A2). However, it is difficult and risky for a
large-scale production system to transform itself to swiftly cope with changes in the
market.
Market
Fordism Type Nichism Type

(Indifferentiated (Differenttiated
Market for Mass Market for Specified
Consumers) Consumer)
Nichism Type
(Diversified/Multiple-crops in Limited D C
Production)
Dynamic
Function
High Added
Production
Fordism Type
Value A2 B2
Commodity
(Specialized/mon
o-culture in Mass
Production) Ordinary Potential
Commodity A1 B1 Function
Potential Function Dynamic Function
Figure 3. Hypothetical framework of production-market linkages.
In contrast, if goods are targeted at relatively small-scale differentiated markets of

differentiated consumers, they will generate added value and have development
functions (Figure 3: A1→B1, A2→B2). This type of market is called a nichism2 type
market. As economic terms, the phrases “niche market” and “niche industry” are often
used to indicate that the market or industry is intended for a small gap that has been
neglected. We shall here define nichism as a system that intends to exert its capabilities
in a small-scale market in ways best suited to the environment. Generally, farmers who
are engaged in large-scale monoculture find a nichism type market too small and treat it
only as a complement to the main market. However, a small number of agricultural
cooperatives with large-scale holdings have acquired nichism type markets of
considerable scale by tying up with consumer cooperatives in urban areas in the case of
Japan.
2
Nichism is derived from niche, which means: 1) a shallow ornamental recess in a church wall
for a statue etc., 2) a place or occupation suited for a person’s capabilities or 3) a position or
role taken by a kind of organism within its environment.

It is very important to recognize that Japanese Fordism type production is

objectively small scale operation at global standard, for instance, compared with
American production. Furthermore, Fordism type production is only possible in limited
areas in the case of Japan where 75 percent of total land are mountains. Thus, the
absolute major part of Japanese agriculture is operated under the small-lot-sized
production. Therefore, the nichism type production, which exerts its capabilities in a
small-scale market in ways best suited to the environment, is inevitable in Japan in
order to survive in globalizing economy. Multi-product, small-lot-sized production
(nichism type production) is fit for nichism type markets (Figure 3: C). Organic farming
involving cooperation between farmer and consumer as mentioned earlier is an example
of this. In the U.S., organic farming and cultivation of ethnic foods are connected with
Farmers Markets. Nichism may well be effective in agriculture, which is an essentially
local economic activity, especially in regions with unfavorable conditions such as
mountain areas.
Introduction of nichism systems means diversification of regional agriculture. Some

of the farm products that local governments have designated as promotion crops in
Japan need marginal or peripheral forms of agricultural operations different from that of
the mainstay. Nichism type agriculture is a new business. Diversification of regional
agriculture makes it possible for farmers including women and aged persons to take part
in the peripheral agriculture and this diversifies economic risks.
When the mainstay agriculture and the peripheral agriculture are complementary to
each other such as agronomy and animal husbandry, they may be linked together and
integrated on a regional level. We shall call such organic and horizontal integration of
different types of agricultural operations as “regional integrated agriculture.” Regional
integration will lead to cost reduction in agricultural management and contribute to its
stabilization. In addition, it will contribute to environmental conservation by
assimilating the ecosystem into the regional agricultural management system and
sustain its development.
How to form channels from production to market is important to agriculture of

either (nichism or Fordism) types of production. Since agriculture is directly influenced
by the natural environment, it is difficult to transform the system of production swiftly
in response to changes in the market. Such gaps between production and market can be
bridged by food processing. Food processing may be classified as a secondary industry,
but because of its closeness to agriculture (primary industry), it can be called a
semi-secondary industries Food processing responding to market needs is especially
effective. Food processing can convert mass-produced products of Fordism type
agriculture into small-lot-sized multiple products. In this sense, food processing is very
important to agriculture. What is to be processed to meet market needs is not limited to
goods, but can include services such as education and tourism, which are ordinarily
classified as tertiary industries. We shall call such integration of agriculture with
secondary and tertiary industries as “integrated agri-business.”
Especially in regions with unfavorable conditions, where nichism may be the only
choice for local development, new possibilities for regional development will be found

Yoshio Kawamura
in the strengthening of direct access linkages between agricultural production and

market and in the promotion of the secondary and tertiary industries related to
agriculture. This may be the third field of rural sociologists’ responsibility who are
studying not only intra- and inter-relations of rural communities but also rural-urban
linkages in the society.
Roles of Rural Sociologists for Development in Globalizing Era
Globalizing economy based on high technology information development is not

solely an external change in international environments for the local community but
directly associated with a internal change of the domestic society. As shown in Figure 4,
most of the developed countries have become post-industrial societies, in which the
tertiary industries are predominant. It is possible to understand that this social transition
occurred in the late 1960s or early 1970s in the United States and in the late 1970s or
early 1980s in the case of Japan. This shift has been eventually leading to the expansion
of the quaternary industries, which refer to the portion of tertiary industries that is
related to research and development. It is important to recognize that the quaternary
industries are the driving force of the development of a society in the age of
globalization.
100
Percent of labor force
75
50
25
0
Pre-industrial Early Late Post-
industrial industrial industrial
Source: Berry et al, The Geography of Economic System
(Englewood Cliffs, N.J.: Prentice-Hall, 1976) p.24.
Figure 4. Change of industrial structure in economic development
This shift indicates that, in a post-industrial society, every industry has to become
knowledge-intensive. What is necessary is a direct linkage between the quaternary
industry and the other three industries for constructing a network of knowledge
intensive primary, secondary, and tertiary industries3. Therefore, there is an urgent need
3
Kawamura Yoshio, “Industry-University Network in Kyoto,” (Kyoto Shoko Joho, No. 154,
Industry and Tourism Bureau, Kyoto City, July 1995).

to build up a support system that cultivates regional or local community capable of

functioning in a knowledge intensive society. Rural communities today are in such a
critical state that the development of the support system has passed the stage of
consideration and reached the stage of implementing specific action programs. This is a
fundamental reason why we should recognize the social responsibility of rural
sociologists for societal development in the globalizing era.
References
Association of Regional Agricultural and Forestry Economics (ed.), Research Issues and Methods
for Regional Agricultural and Forestry Economics, Osaka: Fumin-Kyokai, Feb. 1999,
pp.43-65 (in Japanese).
Hayami, Y., and V. W. Ruttan, "Japanese Agriculture Under Siege," The Political Economy of
Agricultural Policies, Hampshire, 1988.
Honma, Masayoshi, “Negotiation on Agriculture and Japanese Measures in WTO,” Agriculture

and Economy, Vol.69, No.12, Oct. 2003, pp.17-26 (in Japanese).
Iguchi, Takashi (ed.), Re-establishment of Regional Agriculture and Forestry in the Globalizing
Era, Tokyo: J-FIC, 2009 (in Japanese).
Japanese Association for Rural Studies(ed.), The Rise of Part-time Farming and Its Sustainability
in Rural East Asia in 21st Century (Annual Bulletin of Rural Studies) Vol.40, Tokyo:
Nousangyoson-Bunka-Kyokai, Nov. 2004, pp.27-75 (in Japanese).
Kawamura, Yoshio, "Framework for Integrated Rural Development Plan in Globalized Economy:
Based on Japanese Experiences," Planning for Integrated Local Community Development,
Asian Productivity Organization, 1997.
Kawamura, Yoshio, Japanese Agricultural/Rural Economic Development and Alternatives to

Regional Development with the Globalizing Economy, Osaka: JICA-OSIC, 2009.
Koike, Tsuneo (ed.), Agricultural Development and Roles of Local Government’s Agricultural
Policies in Japan, Tokyo:Ieno-hikari-Kyokai, Jan. 1998, pp.139-184 (in Japanese).
Tomczak, Franciszek, "From Peasant Agriculture to Agribusiness: Path of the Family Farms
(Households) Development," Annual Bulletin of Research Institute for Social Sciences,
No.30, Ryukoku University, March 2001.
Tsujii, Hiroshi, “Agricultural Agreements and Japan in the New Round of WTO: Impacts to Rice
Production, Agriculture and Rural Society,” Agriculture and Economy, Vol.69, No.12, Oct.
2003, pp.27-39 (in Japanese).

Aurora C. Maghirang
The DBP FOREST PROGRAM :

Responding to the Call for Environmental Rehabilitation
and Poverty Alleviation
Aurora C. Maghirang
Senior Assistant Vice-President
Development Bank of the Philippines
Makati City, Philippines
acmaghirang@devbankphil.com.ph
Abstract
This paper highlights the experiences of the Development Bank of the Philippines
(DBP) in carrying out its corporate social responsibility through environmental protection
and rehabilitation, and creation of rural livelihood enhancement opportunities for the local
communities who are the recipients of the program and the recognized stewards of the
environment.
The DBP-Forest Program which started in 2005, has spurred the reforestation of open
and denuded areas, and revitalized the mangrove areas. This program has demonstrated
that sustainable upland and coastal development is best achieved through multisectoral
collaboration and participatory approach, amidst challenges posed by both manmade and
natural calamities, including climate change.
In both upstream and downstream industries in the countryside, member-beneficiaries

and participants of the DBP forest projects have grown over 4380. At the same time,
partnership was established with the people’s organizations, local government units, state
colleges and universities, and government agencies in the locality.
There are now 34 DBP forest projects in the far flung areas in the Philippines. Most of
these projects are still in the early stages of implementation, while others are now starting to
harvest fruits from the different fruit tree plantations, and fibers from abaca, aside from the
cash crops that are being integrated in the plantation. These initial income-generating
activities may further be developed to give way for more potential downstream industries
and innovative social business opportunities in the future.
Keywords: corporate social responsibility, collaborative approach, DBP-Forest

Program, social business

The DBP Forest Program: Responding to the Call for Environmental Rehabilitation and Poverty Alleviation
The Development Bank of the Philippines (DBP): A Backgrounder
Owned 100% by the Philippine Government, the DBP is the 7th largest bank in the
country and has been topping the government-owned and controlled corporations in
corporate governance. It is the first local bank to be certified under ISO 14001 for its
Environmental Management System, and just recently, has expanded the certification to
include five regional management centers. In 2008, its Head was awarded the Most
Outstanding Chief Executive Officer of the Year, and in separate years, has earned from
the Association of Development Financing Institution in Asia and the Pacific the Most
Outstanding CSR Project awards for its DBP-Forest Program and DBP Endowment for
Education Program.
DBP is the country’s premier development bank. It sees its role in creating wealth
for the nation and caring for the well-being of the Filipino people and the environment.
In the more business context, DBP promotes growth and global competitiveness of
priority enterprises in the country. These efforts are all geared towards poverty
alleviation.
DBP’s Priority Development Thrusts
DBP is guided by four principles in pursuing its goals. First, is the optimization of
competitive advantage from the archipelagic configuration of the country. Thus, sea-
based infrastructures for farm-to-market access are given priority. Second is the respect
for human dignity and the recognition that our people are the nation’s most important
resource, and therefore, overseas Filipino workers (OFWs) and the services sector are
likewise given due attention. Third is the strict adherence to the principles of sustainable
development. One of such principles is the equation of sustainability to environmental
responsibility. And finally, DBP has an institutional bias in favor of the Micro, Small
and Medium Enterprises (mSMEs), especially those in the countryside.
Along these guideposts are DBP’s priority thrusts, namely: Infrastructure and
Logistics, Social Services, Environment, and Priority Investment Enterprises including
mSMEs. The DBP’s loans and technical assistance, as well as advocacy campaigns help
development projects and initiatives that actualize these priority thrusts.
Infrastructure and Logistics support projects such as the “road-roro” terminal

system that makes vertical interconnections and horizontal links among the islands of
the country; systems of post harvest facilities, cold storage, and transport that make
travel and movement of people, goods and services more affordable, could bring about
competitive advantage out of the country’s archipelagic configuration.
Under Social Services are projects that contribute to the Millenium Development
Goals. These include socialized housing, education, delivery of healthcare services and
facilities, and livelihood.
To intensify efforts of supporting the growth and development of the country’s

mSMESs, the DBP actively participates in the government’s SULONG, and One Town

Aurora C. Maghirang
One Product (OTOP) programs, and partners with other microfinance institutions. DBP
recently contributed to Credit Surety Funds that enhance the creditworthiness of
mSMEs. An umbrella program was also developed to provide mSMEs with reasonable
loan terms at a shorter turnaround time.
Environmental advocacy addresses solid waste management, pollution prevention

and control, energizing the country preferably with renewable energy technologies, and
providing potable water supply. DBP, regarded as the Bank for the Environment, funds
“clean and green” projects. It is increasingly addressing climate change concerns
including carbon finance and management.
Among the DBP’s environmental initiatives and exercise of corporate social

responsibility is the DBP-Forest Program.
The DBP-Forest Program
How exactly was the DBP Forest Program conceived? One might say it was from a
challenge posed by the extreme events resulting from climate change, and perhaps, from
human activities. In November 2004, the province of Quezon was hit by a tragic
typhoon that washed out thousands of houses, damaged agriculture, properties and
infrastructure in millions of pesos, and killed hundreds of human lives.
How does an institution, standing proud as the Bank for the Environment respond to
such pain? Such denudation and massive destruction point to deforestation of forest
lands that has ceased to provide safety to people in the community that has found refuge
near such lands for its sources of livelihood. How should one strike a critical balance
between environmental responsibility and economic development?
The DBP-Forest Program is the Bank’s collaborative model of sustainable

development, helping bolster the interdependent relationship of all living organisms for
mutual development and survival. The DBP-Forest Program, a green partnership
initiative, helps restore the environment, while at the same time, creates livelihood
opportunities to the people that are recognized to be the same rural community that shall
nurture the environment. It was developed in December 2004 after the tragedy in
Infanta, Quezon, and was launched in April 2005 in Abucay, Bataan.
There are two types of DBP-Forest Projects. These are the: a) Upland
Rehabilitation Projects that aim to prevent soil erosion, conserve and improve water
quality, provide habitat to wildlife and promote biodiversity; and, b) Coastal
Rehabilitation Projects that aim to prevent coastal erosion and serve a natural guard
agains strong wave incursion, and seve as spawning grounds of fishes and crustaceans.
Basic Principles of the DBP-Forest Program
The DBP-Forest Program is a reforestation project, and therefore it does not

embrace the cutting of trees to plant another set of trees. The program is not a loan, but
rather a partnership project with the qualified local development partners. The DBP-

Forest Program promotes the sustainable project management, and thus, the principle of
counterparting is also a unique feature of this project.
Program Features and Requirements
The DBP-Forest Program is a grant which could be accessed by the different

sectors including the people’s organizations (POs), local government units (LGUs), and
state colleges and universities (SCUs). Other government agencies which have large
forest areas under their management are also eligible to become forest partners of the
bank.
While the DBP-Forest Program is open to all qualified organizations from various
sectors, the project site requirements play a vital role in the selection process. The
proposed project site should have a slope of 18% and above; accessible; and, should not
be subjected to any land use change. The project proponents should also ensure that the
proposed high value fruit tree species should be compatible with the biophysical
conditions of the project site. The qualified project sites should be within the critical
watershed area that is being managed by a committed group, with the necessary
expertise in forest project establishment and management.
The denuded forest plantation areas under the jurisdiction of the LGUs, SCUs,
including the Community-Based Forest Management sites of the DENR are among the
eligible project sites.
The DBP-Forest Program provides the financial support to the eligible institutions
to carry out their upland or coastal rehabilitation projects. The proponent institutions
stipulate their roles and responsibilities, including their counterpart to facilitate the
project implementation. The DBP-Forest Program and its Forest Partners agreed to
establish a sharing arrangement of 70:30 for the harvests from the high value fruit trees;
70% goes to the forest partner and 30% is given back to DBP for it to be able to provide
fund support to other potential forest partners.
This pioneering environmental initiative seeks to preserve the environment and

intensify reforestation efforts not only to protect the lives and properties from natural
calamities, but also to provide livelihood opportunities for the local communities.
Program Status
To date, there are already 34 approved DBP Forest projects nationwide. These
forest projects are being implemented in partnership with 15 POs, 12 LGUs, six (6)
SUCs and one (1) government agency. The total project area covers around 5,754.77
hectares, of which 3,654.59 hectares have already been planted. DBP costs share a total
Php102.56M out of the total project cost of Php188.75M. There are now about 4,381
member beneficiaries of the DBP-Forest Program.

Aurora C. Maghirang
Average survival rate of the upland forest stands were recorded at 77%, excluding
two forest projects that were recently gutted by fire. On the other hand, coastal forest
survival rate averages 73%.
Major Problems and Issues
• High mortality. Risk of varied weather disturbances, la niña, el niño, forest fires;
pests, diseases and infestation.
• Political support. Issuance of necessary and applicable local ordinances. LGU

financing/assistance for logistical support. Changes in local government
administration may change priorities.
Benefits and Development Impact
Based on the results of the 2009 Participatory Assessment, Monitoring and

Evaluation (PAME) of the 23 DBP-Forest Projects, and based on the project monitoring
reports submitted by the Forest Partners and as verified during project sites visit, there
are several socio-economic and environmental impacts that have been generated by the
DBP-Forest Program. Among these are as follows:
• Enhanced information and awareness. Plantation as learning laboratory for

physical and social dynamics.
• Organizational dynamics and networking. The program facilitates for Forest

Partners to deal with DENR, DA, LGU, NGOs and Funders.
• Reduced illegal cutting. Former kaingineros and illegal chainsaw cutters have
become forest plantation workers.
• Poverty alleviation. Income earned with multiplier effects from sale of planting
stocks and intercrops; labor fees for maintenance and establishment.
More specific socio-economic and environmental effects in each selected DBP

Forest project are detailed in the attached matrix.
Lessons Learned from Project Implementation
Based on the findings of PAFERN/PAME: “The DBP Forest Program depicts a

model of how a corporate entity could help restore the environment and secure the
future of upland dwellers, farming communities, and fisherfolk.”
Greater rate of success in reforestation is achieved through partnership and

collaboration, as demonstrated in the following ways:
• Multisectoral Project Management. Technical expertise is very vital in project

implementation; thus reliance to DENR/DA/SUC for proper advisory for sites

suitability, species-site matching, plantation establishment and management,

seedling care, etc.
• Engaging the community offers a win-win approach. Well-informed stakeholders

guarantee full participation.
• Best Practices for replication
o Scholarship program and work for study program

o Active partnership with the DENR and the Provincial Governments
o Harnessing the cooperation of informal settlers in forest rehabilitation
o Planting technologies that can be adopted: marcotting of Mindoro pine, cluster
planting of bacauan, lemon grass planting along contours, slant planting
technology of mango for early flowering and fruiting
o People empowerment–improved leadership and organizational capability,
enhance technical skills, confidence building resulting to more network and
linkages
Challenges and Directions
Survival of our young DBP Forest projects continues to be challenged by both man-
made and natural forces. While climate change is mitigated by mature, robust forest, it
does at the same time, pose strong forces that critically threatens young plantation at its
vulnerable stage like our 1-5 year old forest projects right now.
We hope that our Forest Partners will continue to nurture the seeds that we have
planted, so that a few more years from now, our Partnership would grow into another
form of partnership–that of a forest-based manufacturing industry with DBP as the
credit provider. Then we may realize our long term goal of developing downstream
industries in the rural areas. Then we may see our Forest beneficiaries reaping the
bountiful harvest amidst strong economic activities.

Aurora C. Maghirang
Development impacts of the DBP-Forest Projects in the Philippines
Forest Partner Social Impact Economic and Environmental

Financial Impact Impact
Carangian Fisherfolks Strengthened organizational Fishery products Improvement on
Devt Cooperative sense of business thru are abundant as catch fish and
San Jose N. Samar exploring potential aqua- manifested by other aquatic
silviculture project, focusing newly constructed resources.
on culturing crablets, fishing
shrimps and other aquatic structures/ponds Improving the
resources; sourcing of funds around the mangrove area
and tagging other agencies plantation site. through
for the establishment and enrichment
support of the proposed planting of
project. bakauan sp.
West Visayas State Privilege to plant The problem on
Many farmers outside the
University intercrop as an kaingin, charcoal
University are being hired
Lambunao, Iloilo alternative source making and
and paid for labor, thus
of income illegal logging
strengthening University-
has been
community relationship.
Intercrop of minimized if not
bananas, coffee, totally solved.
Sense of responsibility
cacao and etc. that
enhanced as each farmer
gave the partner
cooperator protected their
increased income
own assigned areas.
of at least P1,000
per month .
Tarlac College of Planting of Agroforestation
Agriculture intercrops as an establishment
Strengthened university-
San Clemente, Tarlac alternative source helps the area to
community relations due to
of income of improve its
employment of 15
community sub- physical
households living in San
partners was also condition through
Jose Mayantoc for the
encouraged. enrichment
project
planting of native
species.
BALIKATAN Forest partners are being 1. 25% per Agroforestry was
Marilog District, trained by different agencies hectare of established that
Davao such as DA and exposed to cacao started to helps the area be
activities that will enrich bear fruits and productive and
their knowledge on farming. were sold for rehabilitated
Taking proper care of P45/kilo. through planting
individual farmlot was also of forest trees and
observed, because Planting of fruit trees.
community partners realized intercrops as
that it will give them partners Sloping terrain
additional income once counterpart can be was strengthened
harvestable. also a potential with the
alternative income plantation
of the PO.


UKAFA Forest partners are being 1. Harvest of
Marilog District, trained by different agencies cacao and
Davao and exposed to activities that rambutan fruits
enriched their knowledge on now becomes a - do -
farming. source of
income for
farmers.
2. The making of
tablea
(chocolate
chip) out of
cacao seeds
was also a
source of
alternative
income.
City Government of Cooperation, support and Plan to construct a Mangroves
Tagum vigilance of the residents spawning ground planted along the
near the creeks who actively area for crabs riverside serves
participate in the protection (Culture and as buffer zone,
and cleanliness of the area. propagation area) spawning area for
under the bridge aquatic resources
adjacent to the and soil erosion
Partnership with heads of mangrove control.
families within the plantation.
community. Potential source of
income.
Potential
ecotourism area
because of the
activation of river
cruise,
construction of
floating restaurants
and installation of
a baywalk.
38 heads of
families who are
now contractual
workers are being
supported
financially through
the labor
component of the
project.

Aurora C. Maghirang

MASAGKA Inc. Strengthening of the Planting of cash Agroforestry
Pilar, Bataan organization through regular crops as intercrops plantation has
meetings. such as banana, been adopted.
cassava, Improvement of
vegetables, forest cover can
peanuts, corn and be seen in few
rice as an years time.
alternative source
of income
PG Mindoro Forest partners were given Intercrops as an Conservation of

proper training for the proper alternative source Mindoro pine
establishment and of income. (Pinus merkusii)
maintenance activity of which is
plantation. These trainings considered as
were supported by the their flagship tree
provincial government and was done through
other agencies. marcotting.
Biodiversity was
also conserved
PG Guimaras Strengthening relationship Complementing Improvement
with the fisherfolks. the livelihood mangrove area
project (Seaweed through assisted
Farming) of the natural
Provincial regeneration
Government that
provides additional
income.
Palawan State Because of the project, some Market of Abaca Through planting
University of the members of adjacent fiber and latex of fruit trees and
community in the project smoke sheath of forest trees, the
were organized and rubber tree are still forest area as well
encouraged to participate in in search and as the open
the project. Encouraged to looking for a good denuded areas has
plant rubber trees and abaca pricing. Demands been rehabilitated
instead of continuously for these raw and become
resort to kaingin activity and materials are high. productive. Forest
shifting cultivation which is protection and
their traditional source of forest production
income. were established.


MultiSectoral Interaction of various NGOs Forest partner as Watershed area
Watershed within the Council well as the was partly
Management Council composition. Strong community relying rehabilitated
Real and Infanta, representation as a group on the water through planting
Quezon with other sectors including supply coming of fruit trees and
the private sector. from the natural indigenous tree
spring of the forest species.
becomes very
significant to the
community,
therefore
initiatives and/or
equity from the
partners such as
monthly dues has
been implemented
for maintenance of
the water system.
Kinikilalang PO members demonstrated An increase in the The mangrove
Mangingisda ng resiliency. Despite the series production of fish plantation served
Mabatang(KIMAMA) of typhoons that completely and other marine as buffer against
and Balikatan ng mga devastated the plantation, resources were strong winds and
Mangingisda para sa they continued replanting . experienced in the waves especially
Bakawanan, PO made representations area thus, resulting during typhoons
Inc.(BAMABA) with DENR and LGU for to the increase of
Abucay, Bataan assistance in reviving the income of the
project. fisher folks of the
Brgy. Mabatang,
Abucay, Bataan.
PG Cagayan The associations can already Some farmer Cutting of trees
Gattaran, Cagayan conduct their own meeting to beneficiaries had were minimized
tackle some issues, however, improved their inside and outside
when technical problems dwelling to a semi- the project.
occurred, the PNREO assists permanent. Some Stands of Teak
the partners. were able to (Tectona grandis)
purchase home and
appliances, farm miscellaneous
implements and species had
even cellphones improved. Also
from the amount illegal hunting of
received by them wildlife had been
from their minimized.
plantation
establishment and
seedling
production
activities.

Aurora C. Maghirang

Cagayan State Strengthened the Farmer
University cooperators association
Lallo, Cagayan through the desire of the
group to further develop the
project, new set of officers
have been selected.
Linking to other agencies to

source vegetable seed has
Farmers were able
been done by the partner; Agroforestry
to earn monetary
therefore the problem system has been
benefits from
regarding the supply of adopted.
intercrops.
vegetable seed was solved.
Due to the many benefits

that are being derived from
the project, farmers are now
more aggressive to source
out more funds from
different organization to
further develop the project.
UPLB-Landgrant The community, through Improved financial Initial
Siniloan, Laguna effective information status of families improvement on
campaign efforts changed whose members the area can be
their views about the forest. were hired and witnessed - no
involved in the more illegal
Priority in hiring local project. chainsaw cutters
people for the project apprehended.
improved the involvement in
protecting the forest.
Mahaba Tribal Council Active participation of the Members earned Help arrest
for Cultural members becomes wages from the environmental
Communities observable because of the project. degradation
Inc.(MTCCCI) benefits that they will reap through planting
Cabadbaran, Agusan during the harvest stage. of fruit trees and
Del Norte forest trees to an
Continuous support of open idle land.
DENR in the implementation
of the project.
PG Gamay Community partners viewed Participants are Enrichment
the project as an opportunity hired and being planting of
to improve the mangrove paid through their mangrove forest
area as a potential labor. may improve the
ecotourism park and source physical
of abundant aquatic condition of the
resources. area after a few
years time.


Visayas State Active participation of the Aside from labor Improvement in
University, beneficiaries becomes visible cost, some Forest cover in
LGU Palompon during the implementation of members of the the watershed
Leyte the project. With the help of community area was visible
VSU, good working established nursery and it will be
environment was developed. to produce planting further improved
stocks, therefore in few years time.
another income
had been
generated.
PG Aurora Presence of the project Become an Reforestation
Baler, Ma. Aurora, deterred illegal cutting alternative and through
Casiguran activities. added source of diversified
income to the planting of fruit
The community members family- this has trees and forest
now have a social activity addressed the trees.
that harnesses their economic concerns Coastal
potentials and active of the many community’s
participation on the project. households protection against
involved in project strong waves and
implementation. winds through
mangrove
plantation
establishment.
Mangroves would
help improve or
increase fish
catches.
Palawan Council for Members of partner PO Members are being
Sustainable Devt highly motivated in paid through their
Quezon, Palawan participating in the project, labor and
giving importance on the collection of
benefits that they will get propagules.
from the project.
PG Sarangani Plant to engage on
Alabel goat farming as an
alternative source
of income. Part of
agroforestry
component.
Binulasan Fisheries The project serves as bridge Collection of Mangrove area
and Aquatic Resources to reunite the members and planting was rehabilitated
Management their commitment not only to propagules and as well as the
Association, Inc. the project but also to the labor become improvement of
(BFARMAI) organization. source of income. coastal area can
Infanta, Quezon Empowered PO worked be seen because
through with DENR for the Potential income of planted
CBFMA approval from nipa duting bakauan sp.
harvesting period

Aurora C. Maghirang

PG Bulacan People are aware of the Participants area Improving the
Malolos importance of the creek as being paid through creek through
well as the purpose of their labor. planting of
rehabilitating it. mangrove
species.
Bambang Fruit and Strengthened cooperative Additional source Perceived soil
Vegetable Growers movement of income for coop erosion
Assoc. members prevention in the
Bambang, Nueva highly steep
Viscaya slopes of the
project site.
PG Nueva Vizcaya Strengthening relationship of
the local government with
the existing Pos.
SMMV,SAMMAKA The PO’s are conducting Resulted to Mangrove
TIBMAD,IMBO regular monitoring and increase in income rehabilitation
PMSO patrolling within their of the members through
Bolinao and Anda, established plantation and through wages for enrichment
Pangasinan are conducting maintenance labor in planting planting of
and protection activities. The propagules and Bakauan Lalake
PO’s viewed the project very construction of and Bakauan
important not only to the fences within the Babae
environment, but also to plantation.
them in the future.
Income of the
Association also
increased from the
share in the
project.
PG Marinduque Members and participants Members in Upland and
are given opportunity to selected barangay Mangrove
enhance their knowledge in sites are hired and rehabilitation
organic farming and being paid on their through planting
administrative management labor. of indigenous
through the conduct of species and fruit
trainings and seminar of trees
PLGU.

Climate Change, Energy, and Rural Livelihoods: Planning for Resilience
Climate Change, Energy, and Rural Livelihoods:

Planning for Resilience
Graeme Lang1 and Joann Chow2

Department of Asian and International Studies
City University of Hong Kong
Abstract
Climate change, along with the predicted increasing energy problems in the coming decades due
to the depletion of fossil fuels, will produce many consequences for rural livelihoods -- in
agriculture, fisheries, forest products, tourism, trade, and maintenance of rural infrastructure.
Some of these impacts will depend on geographical location, (including proximity to major cities
and rivers), altitude, local ecology, and local dependence on particular types of crops, trees, and
fisheries. Many of these impacts will be linked in complex ways. In this paper, we sketch the
major types of impacts predicted for rural areas in Southeast Asian societies and in the
Philippines, noting the links and feedbacks, and the complexity of linked changes. We include
the problem of inevitable energy price increases, and the likely impacts on cities, and then note
the consequences for rural areas which have dense economic and social interactions with cities.
Next, we describe the concept of ‘local resilience’, and its applications in providing a general
goal and facilitating practical policies for rural districts willing and able to initiate longer-term
preparations for the coming crises in climate and energy. However, the political challenges are
enormous, and we conclude with some reflections on the politics of longer-term preparations for
these approaching crises.
Introduction
All societies will have to deal with two very big problems in the coming few
decades: the consequences of global warming, and, impending shortfalls in the supply
of energy. Both of these problems will become increasingly serious before the middle of
the 21st century, and will have profound impacts on production, trade, tourism, and in
general, on livelihoods and personal and family security. Global warming, and
impending energy shortages, will also inevitably have major impacts on political
stability and on relations between countries as they compete for resources and security
in an increasingly stressed world.
Global warming is receiving the largest amount of attention in international forums.

However, the impact of the coming energy shortages, as fossil fuels are depleted (first
oil, then natural gas, and then, finally, coal) will be even more severe, during the
coming decades, than the impacts of global warming. There is evidently no adequate
1
Graeme Lang is Professor of Sociology in the Department of Asian and International Studies.
For correspondence: e-mail: graeme.lang@cityu.edu.hk
2
Joann Chow is Senior Research Associate in the Department of Asian and International Studies.

renewable substitute for the amount of energy from oil, natural gas, and coal which is
annually consumed by the developed and developing countries.
We would like to elaborate on the two problems of energy, and climate change, and
their likely impacts to Southeast Asian societies. Then we proceed to a more focused
look at the Philippines, as an important context for discussion and analysis of these
problems. Finally, we address solutions, noting that the long-term solutions for
climate-change and energy crisis overlap – both problems must lead us to the pursuit of
sustainable, resilient, low-carbon local economies.
The Energy Problem, and Implications for Food Production
All countries eventually and inevitably face the prospect of declining oil supplies,
when we reach the global ‘peak’ of oil production, and enter the period in which oil
production will begin to decline (Heinberg, 2004, 2005; Deffeyes, 2005). Some analysts
predict the peak of oil production between 2006 and 2010. The most optimistic analysts
predict the peak and the beginning of the subsequent decline of oil production before
2030. In other words, we are only two decades, at most, and possibly only a few years,
from the beginning of the peak and subsequent decline in oil production. Renewable
sources of energy currently supply only a small fraction of total energy consumed in
most societies, and despite some optimistic projections, renewables will evidently not
supply more than a fraction of the energy which we currently get from oil in the future.
The decline in oil supply will have large implications for global food production, since
much of the global food supply requires oil and natural gas for fertilizers and pesticides,
and since oil is used in harvesting, packaging, and transporting food over large
distances. Facilitating the transformation of agriculture into large-scale specialized
production, fossil fuels have also led to an unprecedented specialization of food
production and unprecedented flow of food between regions and countries. But this
food-production-and-distribution system will become unsustainable with the declining
availability of fossil fuels (Pfieffer, 2006).
The global food system is already drawing down grain reserves, which have
declined steadily between 2000 and 2008. The ‘food price spike’ in 2008, related in part
to the sudden increases in the price of oil, produced social instability in many countries,
and caused governments and international organizations to reassess the crucial issue of
national food security (Lin, 2008).
Food supply is one of the key issues for sustainability in the post-oil period. We can
not afford to assume that new technologies will rescue and preserve the already
stretched global system of food production and long-distance distribution, which is
heavily dependent on oil and natural gas, in the post-oil era. We must ask the 'hard'
questions about sustainability in general (Barron, 2004) and in regard to food
production for cities in particular (Pfeiffer, 2006; McKibben, 2007; Lang, 2008, Lang
and Miao, 2009b).

The longer-term problem is the declining assurance of adequate food supply for a
growing world population, in the face of rising fuel prices, degradation and over-use of
much agricultural lands, and the lack of substitutes for oil and natural gas to sustain the
current specialized and energy-intensive global food production system (Roberts, 2008).
These problems would be serious enough to make the global food production
system unsustainable even without the further threats to food production from global
climate change (Flannery, 2005).
Climate Change and Impacts in Southeast Asia
It appears to many analysts that we are headed toward severe, if not, catastrophic
climate change (Hansen, 2009), because international negotiations toward mitigation
have not been fruitful, as most recently in Copenhagen in 2009 (Rogelj and
Meinshausen, 2010). At the level of the nation-state, politicians are still bound to the
logic of self-preservation and short-term national self-interest, as perceived and
supported by electorates and by substantial portions of the political and economic elites
in most countries.
Hence, it appears that the global economy will continue to generate increases in
greenhouse gases for the coming few decades, which will probably lead to more than
two degrees Celsius of warming, and there is little we can do about it except to prepare
for what is coming. There is also the growing probability that the release of methane
from permafrost and from sea-beds in arctic regions will produce ‘positive feedbacks’
which may overwhelm whatever mitigation efforts can be mustered, and hence, that we
are approaching tipping points in global climate-systems which will lead to further
warming considerably beyond two degrees Celsius and massive impacts on societies
throughout the world (Anthony, 2009).
The task now is to prepare, or in other words, ‘adaptation’ rather than ‘mitigation’.
Of course, at the national level, countries will need to demonstrate commitment to
mitigation efforts in proportion to the commitments of other similar countries, but in
poor countries, at local and regional levels, adaptation is more urgent. In addition,
measures to reduce dependence on fossil fuels, and to increase energy efficiency and
promote renewables–that is, to address the energy problem–require the same kinds of
measures which can be claimed as measures of ‘mitigation’. Major countries such as
China are clearly taking this path (Miao and Lang, 2010).
Global climate change is almost certain to place additional stresses on grain

production due to the temperature sensitivity of some crops such as rice in important
rice-growing regions such as Southeast Asia (eg. Peng, et al., 2004), and predicted
droughts in some grain producing areas in the interior of continents (eg. in the U.S.).
While two degrees Celsius of warming could facilitate increased crop production in
some areas in Canada and the U.S., and in China (Piao et al., 2010), it would devastate
crop production and lead to increased problems of famine in some countries closer to
the equator, and would probably lead to rising prices of food in global markets (Lynas,
2008). But global average temperatures may well rise more than two degrees celsius., a

prospect which seems increasingly likely since some of the changes predicted by the
IPCC (2007) are occurring decades earlier than the original models had predicted
(Witze, 2008; Tin, 2008).
Extreme weather events including heavy rainfall and flooding in some areas, and
droughts in other areas, are also predicted by all models of global warming. For
Southeast Asia, the IPCC report noted that “extreme weather events associated with El
Niño were reported to be more frequent and intense in the past 20 years” and since the
1970s (Cruz, et al., 2007:473). The frequency of El Niño and La Niña events has
increased. From 1950 to 1970, there were two El Niño and three La Niña events, but
from 1970 to 2000 there were seven El Niño and five La Niña events, producing an
increase in the frequency of associated extreme weather events, which have included
“floods, droughts, forest fires and tropical cyclones” (Amadore, 2005:4).
Flooding and related events have their greatest impact in coastal regions, and in
communities which live in river valleys, or near hillsides vulnerable to erosion and
mudslides. This represents a large part of the country in many societies. Drought can
also afflict regions where rainfall or irrigation from rivers was reasonably reliable in the
past, especially since settled populations in those areas have come to depend on reliable
supply of water.
Of course, the impacts in any particular region vary with geography, latitude,
altitude above sea level, proximity to rivers and the ocean, and the extent of forest
cover. There is a considerable amount of uncertainty in models such as those attempting
to estimate effects on agriculture, for example (see Piao, 2010, for a summary of studies
of the possible impacts of climate change on agriculture in various regions in China).
Impacts can also vary according to the durability of local infrastructure, and the
resources and efficiency of local governments, which in turn are related to economic
development. Prosperous regions have the resources to plan, build, repair, and conduct
relevant research. The various regions in Southeast Asia present different ‘profiles’ of
risk and impacts.
Among the countries in Southeast Asia, the Philippines is considered to be

especially vulnerable to climate change impacts (Raquedan, 2010:444). We now turn to
an assessment of vulnerability of the Philippines to problems of climate change and
future energy shortages, and review some of the policy responses and policy options.
The Philippines: A Case Study
The society and economy of the Philippines are certain to be heavily affected by
climate change. In 2006, Philippines was the “world’s top climate victim” in terms of
damage caused by extreme weather events, and is among the top ten countries on a
‘climate risk index’ for the years 1998 to 2007, on the basis of average damage from
such events during that period (Raquedan, 2010:444). Further damage can be expected
from rising sea levels: a one meter rise in sea level, which is possible during the 21st
century, would submerge an estimated 700 square kilometers of land in the Philippines,
much of it arable or occupied by coastal communities, in 64 of the 80 provinces, and

these impacts would undoubtedly exacerbate social and political conflicts over the use
and ownership of land and resources (ibid.:445-6).
El Niño tends to affect agriculture in the Philippines through drought, while La

Niña tends to produce greater rainfall and increased flooding. High winds and flooding
also destroy dwellings, particularly in areas where construction material is light and
houses are easily demolished.
Diseases can also spread beyond previous ranges due to increased rainfall. For
example, dengue cases increased 48% for the first seven months of 2010, compared to
the previous year, especially in Mindanao, as had occurred during El Niño in 1997/1998
(Uy, 2010). Pests and insects which affect agriculture can also migrate into previously
unaffected regions as local average temperatures rise (Piao, 2010).
The social impacts of these developments can include an increase in poverty

through the impacts on rural agriculture, housing, illnesses, and food prices (if prices
increase as typically occurs when agricultural production is reduced by droughts, floods,
and falling productivity). The increases in poverty observed up to the present have been
modest – perhaps 3-5% percent, raising the proportion of the population in poverty by
some indicators to more than 35% (Ordinario, 2010) – but could be substantially greater
in the future.
Philippines: Agriculture, Fisheries, and Threats to Food Security
In the Philippines, about 34% of the labour force is employed in agriculture,

working on about 32% of the country’s total land area, or about 13 million hectares.
The main crops by area planted, as of 2009, are rice (35%), coconut (26%), corn (21%),
banana (3.4%), and sugarcane (3.1%) (Bureau of Agricultural Statistics, 2010:11).
Much of the production of coconut and bananas is exported, mainly to the U.S. (coconut
oil, pineapple), Netherlands (coconut oil), and Japan (bananas, pineapple, mango).
Meanwhile, the Philippines imports rice, wheat, soy, corn, beef, and frozen chicken
(ibid., p. 52-53). The country is not close to self-sufficiency in food production.
Most farms in the Philippines are small family operations, with less than two
hectares of land. However, there is a concentration of land-ownership in a relatively
small landowning elite, despite government programs supposedly designed to break up
some land-holdings above 25 hectares and redistribute land to landless or tenant
farmers. The size of farms has evidently declined, during the 1990s, possibly as a result
of population growth and the need to subdivide family farms.
This agricultural system is currently inadequate to provide sufficient employment

and generate sufficient food, either for trade or local consumption, to bring the poorest
portions of the rural population out of poverty. Damage to agricultural harvests due to
climate change impacts, particularly linked to more frequent El Niño/El Niña
oscillations, will further reduce the living standards of a substantial proportion of the
rural population.

The two strongest El Niño events in the past century occurred in 1982/83 and
1997/98 and both events affected agricultural production, with substantial declines in
production of four main crops – rice, corn, coconut, and sugarcane (Amadore, 2005:17).
Most recently, the El Niño of 2009/10 produced substantial declines in farm production
in the first quarter (2.8%) and second quarter (3.5%), evidently as a result of drought
(Felix, 2010). We discuss rice to illustrate climate impacts further.
Rice
Rice production will almost certainly be reduced by several different kinds of

impacts of climate change within the Philippines. One effect of rising temperatures on
rice production is a likely reduction in rice productivity with increased minimum
night-time temperatures (Buan, et al., 1996; Peng et al., 2004). Recent field studies
organized by the International Rice Research Institute for the last six years of the 1990s,
in six countries in Southeast Asia including the Philippines, found decreases in yields of
10-20% in some areas (Welch, et al., 2010), apparently through processes such as
higher respiration losses (Rice Today, 2007). According to some estimates, each 1oC
increase in temperature could lead to a 10% reduction in rice output (Black, 2010).
In addition, the importation of rice from Vietnam will also be affected in the longer
term. The need to import rice has grown as nearly half of the irrigated land in the
Philippines has apparently been lost to urban development (BBC News, 2010). Rice
shortages and rice conservation have now become public issues, as for instance, when
the government requested fast-food chains to serve half portions of rice with meals.
The Philippines is the top rice importer in the world for milled rice (as of 2007),
importing 1.75 million metric tons of rice in 2009 (Bureau of Agricultural Statistics,
2010), and about 2.47 million metric tons in 2010 (Bloomberg News, 2010). Some of
this importation is a result of short-term government contracts designed to mitigate the
impact of natural disasters on rice production in agricultural regions of the country.
However, some of this rice importing is a result of the persistent gap between rice
production and rice consumption (Cabanilla and Rodriguez, :70).
About 95% of the rice imported by the Philippines (as of 2009) now comes from
Vietnam (Bureau of Agricultural Statistics, 2010: 54). But growing dependence on other
countries for rice supply is likely to be unsustainable, especially since climate change
will severely affect the rice-growing regions on which the Philippines currently
depends. Nearly half of Vietnam’s rice is grown in the Mekong Delta, but rising sea
levels may inundate as much as half of the Mekong Delta farmland by the end of the
century (Newby, et al., 2009). It would be unrealistic to assume that countries which
produce rice will not restrict exports when facing the prospect of internal rice shortages
affecting their own populations.
The saltwater inundation of coastal and delta rice-growing regions is not the only
water-related problem for rice production. Polluted rivers, falling water tables due to
reliance in some areas on pumping water from aquifers, and competition with urban and
industrial uses of water have already affected water resources available for agriculture

in many regions, including China and India (Bouman, 2001; Pearce, 2006). In the
longer term, the supply of river water for agriculture in South Asia and Southeast Asia
is likely to be heavier in the spring (with increased risk of flooding), but reduced during
the summers, as glaciers and snowpack on the Tibetan plateau shrink due to rising
temperatures, leading to reduced melt and runnoff during the hot months of the year
(Cruz, 2007).
Fishery
Fisheries account for about 5% of the labour force in the Philippines (2009), or
about 1.6 million people, and most of these people are in low-income households. How
will climate change and energy problems in the future affect these workers and the
fisheries on which they depend for their livelihood?
The great majority of these people work in coastal and near-shore fisheries (68% to
85% of the workers, depending on the definitions), and in the estimated 470,000 boats
which are under three gross tons. An estimated 62% of these inshore boats are small,
and unmotorized. This large majority of the fisheries workers produce only about 27%
of the total tonnage of fish.
Aquaculture accounted for about 26% of the fisheries labour force (2002), but as of
2008, produced nearly half of the total volume of fish. The government and
international organizations such as World Bank have encouraged the growth of the
aquaculture industry in the Philippines, as a way to increase food security and provide
employment in rural areas. This has been fairly successful, with substantial growth in
the number of workers and the output of aquaculture.
Climate change could affect aquaculture through increased severity of typhoons,

storms, and flooding, as indicated for example by tropical storm Ketsana in September,
2009, followed by Typhoons Parma and Mirinae in October, which had a devastating
impact. Ketsana inundated homes and destroyed fisheries around the largest lake in the
Philippines, in Luzon (IRIN, 2010). Increased frequency of El Niño events, which has
already been observed, is also expected to reduce fish larvae abundance in coastal
waters in East and Southeast Asia (Cruz, et al., 2007). Droughts apparently linked to El
Niño events also effect aquaculture, with “drying of fishponds, shorter production
cycles, stunted fish growth, and fish mortalities caused by stress, poor water quality, and
disease” (Amadore, 2005).
The offshore or commercial fishery accounts for about 6% of the labour force, but
about 27% of the metric tonnage of fish, and 52% of the total volume of fisheries
exports and 49% of the total value of fisheries exports. But the larger boats which chase
tuna have evidently been meeting greater difficulties, possibly as a result of the
warming of the western Pacific, as tuna evidently respond to warming, according to
some fishermen and some scientists, by swimming deeper or migrating to cooler regions
(Maitem and Hua, 2010).

A ban on tuna fishing in the western and central Pacific, to attempt to halt the
continued overfishing of tuna, was implemented from January 2010 to December, 2011.
About 50,000 people depend on the tuna fishery or canning of tuna. The employment
impact of overfishing, the ban on commercial tuna fishing, and the apparent migrations
of tuna into cooler water, will have substantial impact on these people, and on export
earnings from the tuna fishery.
In addition, the ocean-fishery is likely to be affected in the longer term by the

warming of surface waters, and the resulting ‘ocean stratification’ which tends to block
the upwelling of nutrients, reducing the density of plankton, and undercutting the ocean
food chain at its most basic level. A recent study claimed that plankton in the top layer
of the oceans have been declining, evidently because of warming, by about 1% per year
or as much as 40% over the past few decades (Boyce, et al., 2010), with an inevitable
impact on ocean fisheries. This will further exacerbate declines in fisheries due to
overfishing, and further undercut the livelihoods of people dependent on ocean-based
fisheries. It may be the case that increasing ocean acidification will also deplete some of
the organisms in the ocean food chains, although those impacts are not yet well-studied
(Hardt and Safina, 2010).
Impacts of Extreme Weather Events on Housing and Infrastructure
Climate change and extreme weather events will put great stress on the stock of
housing in Southeast Asian societies, and on rural infrastructure. There will be a lot of
physical damage, especially in the poorest areas, causing huge losses and disruption of
work, education, and social welfare, and undoubtedly widening the gap between rich
and poor, as has occurred elsewhere after extreme weather events (Mutter, 2010).
More than 25% of the dwellings in the Philippines are estimated to be highly
vulnerable to damage or destruction from typhoons, and one calculation of damage from
the typhoons between 1980 and 2001 was an average of about 78,000 houses fully
destroyed, and 182,000 partially destroyed (Amadore, 2005:21). The most vulnerable
housing is of course among the poor. A 2004 survey found that among the 30% of the
population with the lowest incomes, only 43% had what were designated as “strong”
housing units 3 (compared to 82% among the rest of the population) (Asian
Development Bank, 2009:26).
There are several obvious consequences for rural livelihoods. The first is that
family wealth, invested in the family dwellings, is destroyed, with the need to borrow or
save for years in order to rebuild. This disrupts and postpones efforts to invest in further
development of economically productive activities such as farming, as well as
disrupting work and production which is economically significant, while families seek
other shelter and begin to try to rebuild. Similar impacts occur at the community level.
Rich countries often rebuild stronger and more durable housing and infrastructure after
extreme events (Mutter, 2010). It is much more difficult to do this in poor countries.
3
“Strong housing unit” was defined as “one with roof and outer walls made of galvanized iron or
aluminum, tile, concrete, brick, stone, or asbestos” (Asian Development Bank, 2009:26).

However, for this problem, there are some obvious measures which can be taken and
which would contribute substantially to rural livelihoods as well as security, as we will
suggest in the final part of the paper.
Energy in the Philippines: Fossil Fuels, Hydro, Nuclear
All societies depend substantially on fossil fuels, and cannot sustain even current
levels of economic activity without them, much less, produce rising standards of living
for a growing population. They will all be heavily affected in due course by rising
energy costs and the eventual and inevitable decline in availability of fossil fuels.
In 2007, the Philippines consumed 10.9 million metric tons of coal, producing 3.7
million tons locally. The Philippines generally imports about 75% of the coal consumed,
mainly from Indonesia, China, and Australia. The government’s aim is to reduce
reliance on imports, but this will require further increases in local coal production,
which has more than doubled since about 2000. Coal contributed about 26% of gross
electric power generation (Philippines Oil & Gas Report, 2010). The Philippines will
continue to rely on coal for power generation in the future (EIU, 2009), with some
coal-fired power plants replacing oil-fired plants, and additional coal-fired power plants
likely to be operating in the coming decade.
Oil is also a key energy input for the Philippine economy. The country imported
about 51 million barrels of oil in 2009 (down from 70 million barrels in 2008), most of
which comes from the Middle East. Domestic production of oil covers less than 10%
of the country’s oil consumption requirements (Philippines Energy Report). In the
1990s, oil accounted for about half of the country’s energy consumption, with about
19% of the electric power produced by oil-fired power plants as late as 1999
(Department of Energy, n.d.). By 2008, oil accounted only for about a third of the
country’s total energy consumption and about 7-8% of electric power generation
(Philippines Energy Report, 2009). Other sources, however, put the contribution of oil
to total energy consumption at about 52% as of 2009 (Philippines Oil & Gas Report,
2010: 12).
The decline in the use of oil for electricity in the Philippines over the past ten years
was a result of the great increase in the consumption of natural gas to produce
electricity, following the development of Malampaya natural gas field which was
discovered in 1992 and commenced production in 2001. Gas now accounts for 32% of
electric power generation, and is the only fossil fuel for which the Philippines is
currently self-sufficient. However, it has been estimated that this field would provide
sufficient gas for the current power plants for only about 20 years, and thereafter, if not
earlier, demand would exceed supply. Imports of liquid natural gas (LNG) would be
necessary, with tentative negotiations occurring already with Indonesia (Philippines Oil
& Gas Report, 2010:43).
The government is attempting to extend rural electrification into areas currently not
electrified, which adds further demand requirements to longer-term planning.
Consumption of coal also increased greatly from the late 1990s.

Hydropower accounted for 16% of electricity generation in 2009 (Philippines Oil &
Gas Report, 2010). Droughts due to El Niño, however, substantially reduced the
quantity of water available for hydropower generation of electricity. Low water inflow
and falling water levels in reservoirs have led to severe power shortages in 2010,
especially in Mindanao. Hydro-power generation in Luzon is also increasingly affected
by drought. Hence, severe power supply problems are a direct result of the impact of
climate events on rainfall, and are serious enough now to be labeled a “power crisis”
(Navarrete, 2010).
There is no nuclear power plant operating in the Philippines. A nuclear plant was
built by Marcos in the 1980s but never produced electricity, and was considered by
international inspectors to be unsafe (it was built near a volcano and earthquake fault
lines).
The problem for the Philippines in the longer term will occur when non-renewable
power sources such as oil, coal, and natural gas are increasingly depleted and costly,
and many regions and communities are forced to rely increasingly on biomass and
especially, wood, for local energy for cooking and heating. This has grave implications
for deforestation, since many of these communities are in or close to forested areas.
To summarize, the Philippines will be affected by climate change in regard to

housing, infrastructure, food supply (including rice production and the importing of rice
from Vietnam), and fisheries. In all of these areas, rural livelihoods will be disrupted,
and wealth destroyed, further impoverishing an already impoverished population, which
in the meantime continues to grow at an unsustainable rate.
The Philippines will also have a serious energy problem in the near future, as
natural gas reserves are depleted over the next couple of decades, and as costs inevitably
rise for fossil fuels which will have to be procured in the global market amidst
increasing competition with other countries for those fossil fuels.
What initiatives have been taken and can be taken to deal with these issues and
threats?
Political Initiatives and Possible Solutions in the Philippines
Raquedan (2010) has outlined the various government initiatives to address

climate-change mitigation and adaptation. Briefly, the Philippines was one of the first
countries to develop an institutional response to climate-change issues when President
Corazon Aquino set up the Inter-Agency Committee on Climate Change (IACCC) in
1991, and subsequently, there have been a number of initiatives at various levels,
including the recent Presidential Task Force on Climate Change (PTFCC) set up by
President Gloria Macapagal-Arroyo, which eventually prepared an Action Plan that
included plans and goals dealing with energy and renewable energy, climate-friendly
technologies, drought-resistant crops, and ‘social mobilization’ (Raquedan,
2010:447-8).

But these initiatives are partial, fragmentary, and in the view of many critics, very
inadequate. Climate change mitigation and adaptation are not yet political or economic
priorities for governments at any level, and thus have not yet been ‘mainstreamed’ into
national and regional policy (Raquedan, 2010).
Part of the problem, of course, is that public opinion in the Philippines is still
overwhelmingly focused on local livelihood and security issues. There is considerable
awareness of the impacts of natural disasters, and some awareness that some of these
events may be related to climate change. Indeed, a survey in 2008 showed that a
majority of Filipinos in all regions of the country had noticed or perceived substantial
climate change over the past few years in their own areas (Raquedan, 2010:454).
Nevertheless, jobs, economic well-being, and health remain their top priorities, along
with some purely local environmental concerns (eg. air pollution, in Manila).
So, there is little broad-based political pressure on political elites to produce climate
change adaptation policies, apart from measures to comply with and benefit from
international climate-change agreements (eg. the Clean Development Mechanism), and
measures to deal with local extreme-weather events, usually post-event. There are a
number of specific policies and measures which can be adopted to deal with particular
problems, including in water management, housing and infrastructure, aquaculture,
energy, and biofuels. We briefly review some of these measures, before turning to a
consideration of a more broad-based conceptual approach to adaptation.
Water Management Options
Communities can take some measures to deal with water scarcity, including
investment in small dams and other infrastructure to capture and channel water from
rainfall and flooding, ‘alternate wetting and drying’, and growing rice like an upland
crop, without using flooded fields.
Water-management infrastructure such as dams and canals are expensive and

labour-intensive, and the use of upland-crop methods of growing rice leads to
substantially smaller yields (Bouman, 2001), even with investments in alternative
irrigation technologies such as drip-irrigation or sprinklers. However, communities
which anticipate reduced rice production and growing demand for local food in the
future should be planning such changes to cope with the anticipated future food-security
problems.
Government assistance would be needed, since many of these communities are too
poor and hard-pressed by immediate economic needs to be able to provide the needed
money and labour, but the costs for some of this would not be high,4 especially if we
consider the costs of inaction and the eventual damage to agriculture and food
production if such work is not done in the coming years.
4
For example, according to Jessica Reyes-Cantos, Head of Rice Watch and Action Network, it
would require only $212.7 million to develop irrigation for 164,000 hectares of rice fields,
resulting in increased yields (IRIN, 2010).

Housing and Infrastructure: Need for Investment in Durability
A major implication of the predicted increases in destructive weather as a result of

climate change is that, there should be a market for reinforcing houses, shops, and other
infrastructure such as roads and bridges, to make them more resistant to extreme
weather events. This would require state subsidies in the form of tax benefits, grants,
and loans, but could stimulate a considerable rural industry devoted to construction,
reconstruction, and reinforcement of existing buildings and infrastructure. Certainly,
people in many of those areas have relevant skills for such work, and training programs
could further augment the skill-base and increase the durability of rural communities
against extreme weather.
Obviously, this is a very complex task, and would require really extraordinary and
visionary political leadership. But investment prior to extreme-weather destruction
could greatly reduce eventual costly damage and disruption to rural economies and
livelihoods, and would be money well-spent, in the longer term. Communities which
take these tasks seriously, and develop the relevant skills and experience, will be much
more resilient, and recover more quickly from disasters, with less destruction of
personal and family wealth and less disruption to the local economy.
Aquaculture: Opportunities and Risks
We agree with the increased emphasis on aquaculture as a more viable way than
ocean-based fisheries to produce increased food as well as further employment for rural
populations, although we can also see reasons to be concerned about the impacts of
global warming on aquaculture, as indicated above. Certainly, the prospects of flooding
from heavy rainfall, rising sea levels and resulting saltwater intrusion into river deltas,
would suggest that careful planning is needed for further expansion in aquaculture, and
that investments in water-control systems such as dams and canals, although expensive,
would also help to protect at least some aquaculture from these climate-related impacts
(Newby, et al., 2009; World Fishing, 2009).
Energy: The Need for a Longer-Term Strategy
The Philippines has set a goal of increasing energy efficiency by 10%, under the
Philippines Energy Plan for 2009-2030 (Department of Energy, Philippines; Lee U,
2010) which would reduce the demands on the system provided that the energy savings
are not then consumed by other sources of demand for power. In the longer term, gains
in energy efficiency can reduce pressure to build new coal-fired power plants, and
reduce consumption of fossil fuels. But energy efficiency is a strategy for the margins of
the problem of energy. It does not deal with the basic problem that at present,
non-renewable and rapidly depleting sources of energy are required for most of the
processes in the economy, and there is not yet any practical substitute for the amounts of
energy currently derived from fossil fuels.

It is possible that the government under the new President, Benigno Aquino, may
turn to nuclear power to deal with the inevitable future energy shortages (Agence
France-Press, 2010), as other countries such as China, Vietnam, Thailand, and
Indonesia, are planning and building new nuclear power plants during the next decade
(Caballero-Anthony, 2010). A government Task Force is currently assessing prospects
for expanding nuclear power supply in the Philippines. This is a very expensive way to
provide electric power, but many analysts in a number of societies have concluded that
nuclear power is necessary to help us to get through the coming decades and “keep the
lights on” as fossil fuels are depleted and eventually unavailable for most uses.
But even if the Philippines commenced to plan nuclear power facilities

immediately, it would be about ten years before such facilities would begin to produce
electric power, and it seems very unlikely that they could compensate for the eventual
decline in the supply of natural gas produced within the Philippines for electricity
generation.
However, the Philippines is one of the world’s top producers of geothermal energy,
after the U.S., contributing about 17% of the electricity supply. Obviously there is
considerable room to expand geothermal energy supply, and this should be prioritized
as a long-term strategy for sustainable production of electricity.
Renewable energy sources from biomass, mainly from wood and agricultural waste,
still comprise a very substantial proportion of primary energy supply – nearly 20% as
late as 2007–and this is especially important in remoter rural areas not served by electric
power grids. In the short run, the government’s deregulation of the oil industry and
increased competition in LNG supply led many households to switch from biomass to
LNG for cooking (Lee U, 2010:156). However, there is a real risk as natural gas
supplies are depleted in the coming decades, and prices of LNG rise again, that the use
of biomass for cooking and heating will grow and lead to further depletion of forests.
Technologies which can make the most efficient possible use of biomass are
extraordinarily valuable, and researchers should be working with rural populations to
develop and test better methods of producing and using biomass for energy.
Biofuels: Not Yet a Viable Solution
One of the possibilities for rural development is biofuels, especially since there is
increasing state-level prioritization of energy self-sufficiency in the Philippines, as
elsewhere, including a national policy on the mixing of biofuels with regular fuels. 5
However, the problem with so-called first-generation biofuels such as corn, cassava, and
sugarcane is that they often compete with food production for water and arable land,
and typically reduce food output while increasing the prices of grain (IEA, 2010).
Likewise, studies in the Philippines have attempted to assess the impact of increased
5
The National Biofuels Act of 2006 mandates a diesel fuel target of 1% biodiesel blend and 5%
bioethanol blend for gasoline by 2009, rising to 2% and 10% respectively by 2011 (IEA, 2010).
The Philippines is one of only three countries in the Asia Pacific region which mandate biofuel
use (the others are China and Thailand).

rural production of biofuels, and have provisionally also concluded that biofuel crops
such as sugarcane do compete with food production, and reduce food output from
agriculture, particularly from rice and corn, even though they may also increase rural
incomes and rural employment (Cabanilla and Rodriguez, n.d.).
The problem is to figure out whether increases in employment and incomes

sufficiently compensate rural communities for reduced food production, and probably,
rising prices for commodities such as rice and corn.
So-called second-generation biofuels may appear to avoid the problem of

competition with food production by using marginal lands unsuitable for food
production, and relying on water which would not otherwise be available for
agriculture, including brackish or salt water, and rainfall on marginal lands (IEA, 2010).
Jatropha is the one of the biofuel crops which can be grown on marginal land not
suitable for agriculture, and could also increase rural employment and incomes, without
negative impact on food production. But since this crop has to be grown on marginal
lands, there are issues of harvesting, transportation, and probably water supply, which
can complicate the prospects for increased jatropha production for biofuels in the
Philippines and other parts of Southeast Asia.
‘Marginal land’ is also sometimes used by landless people or nearby poor

communities for various kinds of activities such as grazing and subsistence agriculture,
and hence the conversion of ‘marginal’ land to jatropha production can reduce
livelihood opportunities for the rural poor even if the land is not used directly for
commercial agriculture (IGES, 2008:110).
In addition, it seems that farmers sometimes grow jatropha and other biofuel crops
on arable land previously used for food production, because the profit or overall
economic benefit is higher. This impact on arable land would be increased if biofuel
production uses large-scale production methods which require higher levels of inputs
such as water and fertilizer to maximize profitability. This may be the result of recent
foreign investments in jatropha biofuel production such as by Korean firms (Olchondra,
2009), which will inevitably compete with food production. There is also increased risk
of deforestation in order to create more space for biofuel production, as has occurred
with palm-oil plantations in Malaysia and Indonesia.
So, increased production of jatropha can reduce food output and may also
contribute to deforestation even if it can be grown on marginal land, because
food-producing land or forested land would be converted to biofuel production if there
was profit in doing so (Reyes, 2007). The ‘agro-forestry’ models for upland livelihoods
(Tolentino, et al., 2010) are much better for strengthening local resilience than
conversion of arable land to biofuels.

We have noted some measures which can address particular problems arising from
climate change impacts, and from the impending energy-supply crisis, in the coming
few decades. We would now like to turn to a more general set of concepts and
strategies which we think can produce general guidance for longer-term change.
Sustainability and resilience: the keys to survival
The solutions to both the climate-change and energy-crisis problems overlap. We

need to move towards low-carbon economies, which do not rely on non-renewable
sources of energy, and which can operate sustainably without further depleting our
ecological resource-bases, and without creating substantial outputs of carbon dioxide
and other greenhouse gases.
In short, we need sustainable, low-carbon, lower-energy economies, with a range of

occupations and livelihoods which can produce what societies need in order to support
family life and generate enough surpluses for government, the arts, education, science,
and defense.
The key concepts in thinking about and planning the needed transitions to
sustainable low-carbon economies are sustainability, and resilience.
‘Sustainability’ means that inputs to an economy are renewable, or can be

substituted with renewable inputs in due course, so that economic activity can be
continued indefinitely without depleting the resources needed by future generations.
This is a difficult goal, because so much of current global, regional, and local economic
activity depends on burning fossil fuels, and hence is not ‘sustainable’ without an
adequate energy-substitute. Currently, it seems that no combination of increased energy
efficiency and greater use of renewable sources of energy can compensate for the
eventual depletion of fossil fuels. It is also apparent that many resources which are
renewable in principle – fisheries, forests, soil, arable land – are being depleted and
degraded at unsustainable rates.
Sustainability
‘Sustainability’ is a huge challenge. Although the word is widely used in

environmentalist and developmentalist discourse, many of those uses of the word
‘sustainable’–as in ‘sustainable development’–have become essentially meaningless.
A common interpretation of ‘sustainable development’ is that development policies
must find a balance between economy, social development, and environmental
conservation. This is not ‘sustainability’ at all.
In fact, what we probably need is strategies for ‘sustainable retreat’ from

high-carbon economies and lifestyles (Heinberg, 2004), not ‘sustainable development’,
unless we redefine ‘development’ so that it no longer refers to rising standards of living
and the implied rising levels of consumption. ‘Sustainable retreat’ refers to the idea that
if we do not try to plan the transitions to low-carbon economies before the inevitable
energy crisis begins to develop, then the transitions will be more like a cascading and

chaotic series of shocks and economic crises which will be much worse than a planned
and progressive ‘retreat’.
Resilience
‘Resilience’ is a more complicated concept, and is much less widely used, but in
this paper, we argue that it is equally important. ‘Resilience’ refers to the ability of a
local community or regional society to deal with a variety of problems by mobilizing
local resources in talent, skill, knowledge, and production. These problems could
include changes in weather and climate, changes in agriculture and production, declines
in availability of local resources and of imports of raw materials, and increased
incidence and threats of diseases and epidemics.
Resilience is greatest where local production and services are diverse, where the
related local skills are reproduced in each succeeding generation, and where the
organizations which nourish and utilize those skills can be mobilized quickly in many
different ways to deal with changes and threats.
Resilience is lowest where the local economy has become dependent on a narrow
range of products and services linked to overseas trade in the global economy, but
where demand for those goods or services, and the resources to produce them, are
contingent on conditions of demand and supply in the global economy. Resilience is
especially low if the local economy is also dependent on skills located and reproduced
outside the local area.
An extremely resilient local economy is one which could supply local and regional
demand with useful products and services without being much affected by what is
happening in the global economy, and which can adapt quickly to changes in local
circumstances due to the diversity of local knowledge and skills.
Of course, resources and energy are important in dealing with threats to local
livelihoods. A diversity of local skills will not be so useful if the local economy depends
heavily on imported inputs, and if those inputs are not sustainably produced.
Sustainability and resilience should be priorities for all communities and regions in
the coming few decades. We believe that in the retrospective view of 30 or 40 years
from now, this will have become very clear, and communities which focused on
sustainability and resilience, or already had those natural advantages, will have many
reasons to congratulate themselves, while communities which do not have those
advantages, and neglected to develop them, will have many reasons for regret.
Unfortunately, current policies at the national, provincial, and local levels have very
rarely adopted these priorities, and are overwhelmingly focused on short-term economic
and political goals. Most of those goals and policies are not directly conducive to either
sustainability (in the strong sense of that word) or to resilience.

Many analysts (e.g. Heinberg, 2004, 2005; Pfeiffer, 2006; McKibben, 2007) have
proposed that some degree of relocalization of food production is essential, and that
measures to support and promote relocalization should begin now, rather than waiting
until food-supply problems become acute or food prices begin to rise sharply due to
external factors. A small number of cities and towns have taken up this challenge in
their own policy papers, and have begun to try to implement measures to work toward
greater sustainability and resilience. The so-called ‘transition towns’ movement
(Hoskins, 2008) which began in the U.K., aims to promote and support increased food
localization through local initiatives, in collaboration with urban planners, local
colleges, and local farmers. One of the themes of this movement is “local resilience”:
the capacity of local communities to deal with external supply problems by producing
food and other essential goods and services locally, as much as possible.
Partly for those reasons, some major cities such as London are also working to
provide more space for local agriculture (Levenston, 2008), and urban planning
departments elsewhere are increasingly contributing to this kind of analysis and policy
development (eg. Hamm and Baron, 2004; Viljoen, 2005; Cassidy, et al., 2008). A few
cities, such as Oakland, California, have developed action-plans to work toward these
goals (City of Oakland, 2008).
Empirical studies and models indicate the benefits of increased localization of food
production in reducing environmental costs or externalities (eg. Pretty, et al., 2005,
focusing on the U.K. food system), and providing increased food security in cities and
countries where poverty puts some of the population at greater risk (eg. Mougeot,,
2006).
Cities which industrialized only recently, and which included intensive agriculture
within and near the city, as in many cities in mainland China (Lang, Miao, and Chen,
2010) and Southeast Asia, can manage this transition to increased local food production
partly by expanding current land-uses with current local knowledge and local research.
A number of cities in mainland China are strongly committed to urban and

peri-urban agriculture (Lang and Miao, 2009b), as indicated for example at the recent
World Urban Forum in Nanjing in November, 2008, which included a session on 'Urban
and Peri-Urban Agriculture for Resilient Cities (Green, Productive, and Socially
Inclusive)', co-organized with the FAO and other organizations by the Chinese Urban
Agriculture Association and the Nanjing Agriculture and Forestry Bureau.
But many other cities in China and elsewhere have become heavily dependent on
long-distance trade, and on mass tourism, have given up peri-urban food production,
and pay little attention to the looming problems in the supply of energy. These cities
will be strongly affected in due course by declining fossil fuels, and the resulting rising
transportation costs, recessions in world trade, and food price increases.

Much of this analysis and activism is concerned with cities, and their policy
responses. It is also widely noted that the proportion of the world’s population who live
in cities continues to grow, and that urban residence may eventually become the
dominant mode of life for a majority of the world’s population. Rural areas have
received little attention in discussions of sustainability and resilience. However, the
changes which can be anticipated in food supply, and in the provisioning of cities from
their more immediate rural hinterlands, will provide many opportunities as well as
threats to rural areas.
Plans and Prospects for Rural Sustainability and Resilience
The most crucial action plans are those which will help rural communities to cope
with what is coming, and give them the best chances to nurture livelihoods and develop
longer-term resilience and sustainability for local production in the face of the events
and changes which seem to be on the horizon. A top priority in these plans should be a
reduction in fertility.
Demographic features of Philippine society will put even more pressure on rural
livelihoods. The population of the Philippines, which is already more than 92 million, is
apparently growing at close to 2% per year (a higher rate than any other country in the
region), which would lead to a doubling of the population approximately every 35
years. This is obviously unsustainable from an economic, social, and ecological
perspective, and will inevitably lead to severe problems in employment, food security,
health, and undoubtedly, to social and political conflicts and turmoil.
Climate change will have a much more devastating impact on a country which only
precariously feeds and employs a rapidly growing population, than on a country with a
stable population with adequate land, food, and resources to maintain livelihoods and
produce surpluses for investment in human capital and in bolstering infrastructure.
There are some signs of moderate increases in support for family planning
programs, and perhaps some weakening of the political impact of opposition to birth
control by the Catholic church; it is also striking that a fatwa was adopted by Muslim
leaders in Mindanao supporting all forms of contraception (Edmunds and Fujimura,
2005). Employment, poverty reduction, health, education, conservation of needed local
habitats, and per-capita accessibility to public facilities and services will all be
improved in the longer-term by a substantial reduction in fertility. But resilience is
undermined by poverty and continued rapid population growth. Indeed, the number of
people living in rural areas on less than U.S.$2 per day actually increased between 1988
and 2006, to an estimated 27.8 million, with another estimated 10.4 million people
living at the same income level in the cities (Asian Development Bank, 2010).
There is much to be gained from aggressive promotion of family planning,

contraception, and reduced fertility, which requires courageous leadership, and
proactive government policies and programs (Mapa, et al., 2010). People need to see the
short-term and long-term benefits for families, for communities, and for the country as a
whole. It is now very urgent to attack this problem directly, because the convergence

and ‘perfect storm’ of approaching crises will be upon us around the time that the
population of the Philippines, at current rates of growth, will have doubled if no
effective action is taken to prevent it.
Food production
It is also urgent to work toward greater food security. Crop diversification is one of
the important strategies, and there is a considerable legacy of work and research toward
crop diversification in the Philippines over the past few decades (Espino and Atienza,
2001). However, in the longer term, it will be production of food crops for local and
regional consumption which will be most valuable.
There is a need to provide greater support for diverse and intensive production of
food crops for local and regional consumption, through grants, education, promotion,
marketing, and arrangements with local and government organizations which buy food.
The best longer-term strategy would be to progressively replace luxury-non-food

crops for export with diverse food crops for local and regional consumption. In the
longer term, as energy costs inevitably begin to rise sharply again in the coming decades
as global oil production declines, shipping fresh bananas to Japan and the U.S. and
coconut oil to the U.S. and Europe will not be economically or politically viable.
To implement these kinds of changes, substantial coordination and input is required

from regional and local governments, and from research institutes, local education, and
planners. There has been a lot of rural-development work in the Philippines which
provides some of this kind of apparatus.
The Comprehensive Agrarian Reform Program (CARP), which started more than
twenty years ago under President Corazon Aquino (drawing on plans developed during
the Marcos era), was ostensibly designed to redistribute land to landless rural dwellers,
and thus reduce poverty (while also reducing support for the rural Communist
insurgency). The program would take land from farms larger than five hectares, and
allocate it to landless families.
Some land was redistributed in this way (Department of Agrarian Reform, 2009),
but major landowners, including the Aquino family, have evidently been able to avoid
redistribution of their land to agricultural workers. CARP has been strongly criticized
by some farmer-groups and activists, on the grounds that it provides for and legitimizes
acquisition of land by agribusinesses, and by foreign corporations accumulating land to
produce for the export market, legitimizes tenant farming in which landlords can
continue to collect a large share of each harvest from tenant farmers, and doesn’t lead to
significant redistribution of land to landless farmers (Corpuz, 2009).
The effectiveness of this kind of redistribution was considerably reduced by the

slow pace of implementation, inadequate funding, insufficient technical capacity, and
bureaucratic delays and difficulties, which also facilitated resistance, evasion, and
occasional repression by landowners.

But some aspects of those programs should be strengthened, using existing

bureaucratic experience and concepts. More resources should be funneled into the
program of identifying ‘Agrarian Reform Communities’ (ARCs), in which a village or
cluster of villages is provided with extensive support for optimal development of land
and agricultural production and related services and infrastructure. Around 2,000 of
these ARCs were launched, up to 2009, involving about 9,000 villages or village
clusters (Planning Service, Department of Agrarian Reform, 2009). But government
funding is inadequate, and some of these ARCs are funded in part by foreign
donor-organizations. In the longer term, this kind of program should be a priority.
Diverse food crops produced for local and regional consumption through intensive
cultivation of land, with minimum inputs from artificial fertilizers and with the required
energy derived from humans, animals, or biomass, is much better in the longer term
than monocrop agriculture for export, which relies heavily on fossil fuels for fertilizers,
harvesting, storage, transportation, and refrigeration. In the short run, profits from the
latter may be greater, but in the longer term, monocrop agriculture with high energy
inputs from fossil fuels will be highly vulnerable, and when trade and markets for such
crops decline, the local population will not easily be able to return to local food
production for local and regional subsistence.
Cities will also be highly vulnerable to food-price problems in the coming decades.
Cities will increasingly wish to turn to their own rural hinterlands for crops. There will
be increasing reliance on crops which are seasonally available. Agricultural regions
which are currently close to cities will be well-placed to serve urban markets if they
manage to retain diverse local food production, even if it is labour-intensive.
Municipalities in China are currently required by law and policy to maintain substantial
food production within the boundaries of these municipalities (which include the rural
counties surrounding many Chinese cities). There is considerable pressure on that arable
land from urban expansion, but state requirements serve as a partial check on such
expansion (Lang, Miao, and Chen, 2010). In the Philippines, it should be a matter of
national and provincial urgency to protect the arable land around cities as much as
possible, even though there are large profits to be made in selling farmland for urban
expansion.
Finally, it has become a trend on some countries for urbanites to begin to engage in
small-scale ‘hobby-farming’ in rural districts near cities, partly to get fresh food, and
partly to experience the production of crops, and to learn some of those skills. There are
opportunities for rural-dwellers to get income and support their own farming operations
if they can find ways to develop this kind of service and market for urbanites.
So-called ‘community-supported agriculture’ (CSA), in which urbanites pay farmers for
the right to get some of the crops of particular farms, including sometimes the
opportunity to participate in farming activities, is one of the ways in which this
increased interaction between farmers and urbanites occurs overseas. There should be
many opportunities to develop such markets and networks in the Philippines.

Work, skills, and human capital
A good long-term strategy would be to try to integrate education, as much as

possible, with the preservation and development of rural skills and knowledge in
agriculture, low-carbon construction and maintenance, crafts, health, medicine, and
entertainment. It will be increasingly important and necessary, in the longer-term, to get
these products and services locally. The more these skills and services are fostered
locally, the stronger will be the local communities in which they are organized and
nurtured, because people will interact with each other more at the local level, depending
less on imported goods and services to provide what they need. Interaction through a
richer network of local exchange and through sharing and teaching of skills will help to
integrate younger and older generations, and the disparate parts of each community
which currently may have little to do with each other. This denser interaction and
collaboration will increase social capital, through the experience of exchange and
collaboration, and hence, it will increase resilience when such communities have to face
future economic difficulties or natural disasters.
Research
Research is obviously very important in producing the best mixes of crops,

sustainable agricultural practices, methods of increasing energy efficiency, and sources
of renewable energy for local production. Research can also make great contributions in
regard to durable and resilient housing and infrastructure. Hence it is very important to
develop stronger links between local universities or colleges and local farmers,
construction units, builders, planners, and entrepreneurs. There is a role for government
in providing earmarked funds for such research, and in prioritizing it in grants to local
universities.
Local, regional and national politics
Leadership is the key to progress toward resilience and sustainability. NGOs alone
cannot generate sufficient political pressure or mobilize sufficient resources to produce
these kinds of achievements, although they have an important role in publicizing the
problems and possible solutions, and in providing useful information and ideas for
public discussion.
In China, it has become clear that local environmentalist leadership is sometimes

crucial for innovation in local communities toward better management of local
environmental conditions (Li, Miao, and Lang, forthcoming). But it is very rare to find
members of political elites who are willing to work toward those kinds of longer-term
goals. In China, however, the local leadership was partly responding to national
incentive policies, such as the program to certify cities with the award ‘National Model
City of Environmental Protection’, to which cities could aspire with sufficiently strong
environmental good-practice, and which provided substantial career incentives for local
leaders to pursue this award. Cities also expected to benefit from increased foreign
investment if they showed themselves to be highly progressive in their local policies.

It should be possible for regional and national leaders, once they understand the
longer-term value of developing greater local resilience, to develop policies and awards
to incentivize local political and economic elites to take the lead. They could find
willing allies among some farmers’ groups, business and trade associations, and NGOs
for such efforts. This pursuit of local resilience will certainly happen eventually, as the
nature of the looming crises from the coming energy shortages and from climate change
become clearer. Are there enough far-sighted leaders to start this process before it
becomes urgent?
Conclusions
The two problems of climate change and impending depletion of fossil fuels will
produce huge impacts in all societies in Southeast Asia, and the Philippines will be one
of the societies in the region which will be most strongly affected. The impacts will
disrupt rural livelihoods especially in agriculture and fisheries, but also in aquaculture,
with further impacts on housing and rural infrastructure. But both problems can be
addressed by working toward low-carbon economies in which sustainability, and
resilience, are the guiding concepts.
Sustainability mainly requires a move to low-carbon production and transportation,

and a progressive relocalization of food production in particular but also a relocalization
in the provision of many other important local goods and services, and the nuturing and
development of the relevant skills and knowledge.
Resilience requires the fostering of a greater diversity of local forms of production

and services, and a commitment to strengthen local economies and reduce dependence
on imported resources, as well as reducing dependence on exports to other societies
where distant events will interrupt trade in some commodities and reduce demand.
To promote sustainability and resilience, there is a role to be played by local

educational institutions from schools to colleges and universities, but it will require
substantial government commitment, and far-sighted leadership, to provide the needed
push, and the required funds. Such leadership should be applied to greatly strengthening
and expanding existing programs such as the Agrarian Reform Communities program.
Paradoxically, the prospects for both far-sighted leadership, and substantial funding
to build resilience and sustainability, will decline in direct proportion to the escalating
future impacts of energy shortages and climate change. The reason is that both
energy-crisis and climate-change impacts will divert government energy and funds into
urgent short-term responses, reducing if not eliminating the resources needed for
planning and implementing longer-term and more far-sighted changes. This paradox
makes it all the more crucial to press for the beginnings of the needed programs,
funding, and leadership now, before the funds and the leaders become completely
preoccupied with a cascading series of impacts and crises which seem increasingly
likely in the coming decades.

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Jason Cainglet
Agribusiness and Public Policies:

Navigating the Changing Agri-food Systems
in the Asian Region
Jayson Cainglet
AAI-Asia Knowledge Network and International Development Studies
Miriam College, Quezon City, Philippines
jaycainglet@yahoo.com
Abstract
In 2007, AAI-Asia convened a Knowledge Network Meeting in conjunction with the Asian Rural
Sociology Association Congress that was held in Beijing, China. This Knowledge Network meeting
brought together a select group of Asian academic researchers and other analysts who shared critical
perspectives on corporate control of food production and distribution systems.
A key outcome of this meeting is the commitment of the participants to conduct these research
studies as the Knowledge Network’s initial contribution in the ongoing discourse on the dramatic
changes occurring in the region throughout the agri-food chain: from farm to fork. Outside the
existing network of AAI, we hope that these research studies will serve as resource materials to other
NGOs, social movements, other academic researchers and the general public who are interested to
know the developments and updates in the agri-food system and agribusiness operations in the Asia
region.
Likewise, we hope that these studies can positively contribute in various advocacies for poverty
reduction and rural livelihoods by national formations, farmers’ alliances, gender-based networks,
food sovereignty coalitions and rural poor organizations. This paper provides the highlights of these
studies with the hope that these can positively contribute to various poverty reduction and rural
livelihood advocacies of the national formations, farmers’ alliances, gender-based networks, food
sovereignty coalitions and rural poor organization.
Growth and Concentration in the Poultry-Animal Feed Complex: The Charoen

Pokphand Group and Agri-Food TNCs in the Asia-Pacific Region
The paper by Dr. David Burch analyses the growth of the poultry-animal feed
complex in the Asia-Pacific region, and the extent of corporate concentration in this
highly integrated sector. The paper notes the recent growth in the production of
chicken and chicken products in both the developed and less developed countries,
resulting in particular from the emergence of a local poultry sector in the less
developed countries.
The increasing real income in the less developed countries, and the shift in dietary
preferences, has led to an increase in world consumption of poultry and poultry
products. Also of significance is the growth of exports of poultry from the less

Agribusiness and Public Policies: Navigating the Changing Agri-food Systems in the Asian Region
developed countries, as consumers and retailers in the industrialised countries access

cheaper sources of supply, and as developed country processors shift their operations to
low-cost centres of production overseas. As a consequence, the poultry production and
processing industry is gradually being relocated from the more developed countries
such as the United States, to countries such as China, Brazil and Thailand. The
companies which operate within these new producing countries are large-volume
processors which are highly integrated. One of the pioneers of this ‘model’ is the
Charoen Pokphand (CP) Group, which has grown to become Asia’s largest agribusiness
conglomerate.
The CP Group was established in Bangkok in 1921 by two Chinese immigrant

brothers. The company’s modern expansion began in the 1960s, when the current Chief
Executive Officer, Dhanin Chearavanont, assumed control of the company, and
expanded into the processing of poultry and contracting with growers to raise chickens
for processing. The CP Group established a fully-integrated operation by supplying the
day-old chicks, animal feed, veterinary requirements, and then processing the products
for local and export markets. The Group later expanded the contract farming model to a
wide range of commodities, including pork, fruits and vegetables, seed production and
dairying.
In the 1980s and 1990s, the company moved into the food retail sector, operating a
number of franchises for the KFC chain of fast food outlets in Thailand, and for the
operation of 7-Eleven convenience stores, as well as joint venture supermarkets with
foreign retailers.
There was also a considerable program of diversification into the marketing of

fertilizers, pesticides and agrochemicals, and the production of tractors, carpets, cement,
petrochemicals, vehicle parts, telecommunications, insurance and property
development. This model was also repeated in its many overseas operations, which
included investments in poultry and other agri-food products, prawn aquaculture, food
processing, property development, retail outlets, insurance and much more. By 1995,
the Group emerged as the largest agro-industrial chain in Asia, with a turnover of
US$4.05 B., a workforce of 100,000, in over 250 companies in 20 countries, including
Malaysia, Indonesia, Singapore, Taiwan, South Korea, Japan, Belgium, Germany,
Vietnam and the US.
China provided the greatest scope for overseas expansion. While the production and
processing of chicken and chicken products led this expansion, the CP Group also
established a profile across a wide range of activities, including motorcycle production,
telecommunications, petroleum exploration and retailing, supermarkets and shopping
malls, and property development.
The Asian economic crisis in 1997 affected the CP Group quite significantly, and it
was forced to restructure a number of its operations within Thailand and overseas, with
the aim of focusing on its core agri-food operations. Among other developments, it paid
particular attention to expanding its poultry operations, which is a reflection of the CP
Group’s origins and its role as an innovator in large-scale poultry production,

Jason Cainglet
processing and marketing in the Asia-Pacific region. The Group established its first
integrated poultry operations in Thailand in 1973, mainly for the purpose of supplying
the Japanese market. But the Group had also a significant domestic market, especially
through its operation of a large number of KFC franchises. By 2001, it operated over
300 stores, which gave it major benefits in terms of its capacity to vertically integrate its
poultry operations and generate significant economies of scale. However, in 2001, the
CP Group sold its holdings of the KFC franchises, and chose instead to concentrate its
own chain of chicken restaurants, known as Chester’s Grill, which was established in
the early 1990s.
At the same time, the CP Group continued to expand its exports of processed and
semi-processed chicken products to many countries, as well as investing in the
establishment and/or acquisition of integrated poultry operations in many countries,
including Indonesia, China, Malaysia, Vietnam and Turkey. In recent years, the Group
has moved into Europe acquiring processing operations in the UK in 2008 with the
purchase of 17 companies engaged in poultry processing, importing and wholesaling. In
2008, it also established a feed mill and poultry processing plant in Russia, and opened
new sales office in Poland, Portugal and Greece. The Group’s China operations have
been particularly significant. It was one of the first foreign companies to invest in
China, when in the late 1970s it set up its poultry operations, again adopting a model of
a vertical integration. The Group supplied animal feed, and marketed the end product
through the KFC franchises it operated in 13 Chinese cities, and through the
supermarket chains it was establishing in numerous sites.
The model of an integrated poultry industry which the CP Group pioneered in the
Asia-Pacific region has been widely adopted by other companies throughout the region.
However, the Group maintains a dominant position in an animal feed/poultry complex
which displays a high level of concentration overall. At the early stage of the integrated
production system, the CP Group held the largest share of the Thai market in 2002 (20%
of the total) and of the market in Indonesia in 2001 (44% of the total). In the provision
of animal feed, the CP Group had the largest share in the Thailand market (40% in
2001), Myanmar (13% in 2002) and China (7% in 2005). It was the second largest
supplier of animal feed to Indonesia in 2001 (20% market share) and third largest in
Vietnam in 2004 (9.3% market share).
The other major suppliers of animal feed in the region are the Indonesian company
Japfa Comfeed and the US multinational Cargill. In the production and processing
stage, the CP Group holds the largest market share in Indonesia (60% of the total),
China (27%), Thailand (21%), but with little or no exposure in the Philippines or
Malaysia. When it comes to exporting, the CP Group is the largest operator in Thailand,
accounting for 27% of Thai poultry shipped overseas.

A further detailed analysis of the data shows that the levels of concentration in the
animal feed/poultry complex in the Asia-Pacific region vary from one country to
another. There are consistently high levels of concentration in the poultry breeding
sector, in the animal feed sector, and in the production and processing sector, in both
Thailand and Indonesia, while there are pockets of concentration in other countries and
sectors, e.g. poultry production and processing by the San Miguel Company in the
Philippines. However, the CP Group is without doubt the dominant player, a position it
achieved as a consequence of its early involvement in the poultry industry and its
proximity to the expanding investment opportunities in the Asia-Pacific region.
Equally important though, is the role of the Thai state which has served to
underwrite the Group’s growth, not only in the poultry sector but in other key areas at
home and abroad. Not only has the CP Group benefited from the financial and
infrastructure support provided by the state, it has also been benefited from government
policies for agricultural and rural development, and in particular, state support for the
contract farming system which has been a key component of the Group’s operations in
poultry, pork, dairy, fruits and vegetables, corn for animal feed, seed production and
more. From the 1970s onwards, numerous agencies of the Thai government have
promoted contract farming in support of corporate agriculture in general and the CP
Group in particular.
The close relationships between the Group and the Thai governments are
demonstrated by the continuous interchange of personnel between the government and
the CP Group and other corporate players. Among other exchanges, this ‘revolving
door’ has seen the CEO of the CP Group appointed as a non-elected Senator in an
Upper House of Parliament established by a military junta, followed by the appointment
of the disgraced leader of this junta appointed to a position in the CP Group. In another
instance, the vice-president of the CP Group was appointed to the position of Deputy
Minister of Agriculture, and later, to a senior position in a regional economic grouping
which, among other things, gave a high priority to a system of cross-border contract
farming. This was of great benefit to the CP Group, particularly in terms of the low-cost
sourcing of cheap inputs to the production of animal feed for the Thai poultry sector.
The issue of the changing structure and organization of, and levels of concentration
in, the poultry industry in the Asia-Pacific region and the wider world, raises a number
of important issues. New poultry producing and processing companies are emerging in
the region and beyond, in response to changing dietary patterns; at the same time, many
western-based producers are shifting their production to new low-cost sites in the less
developed countries in order to meet demand from all over the world. These
developments, combined with the growing demand for biofuels, are likely to increase
the pressure on the supplies of grains for human consumption, with implications for
food security. However, it seems unlikely that such concerns will down, at any time
soon, will slow the rapid growth in the poultry industry in the region.

Jason Cainglet
TRIPS, the Patent Maze, and Implications for the Food Sector in India
Dr. Jagjit Plahe’s paper entitled ‘TRIPS, the patent maze and implications for the
food sector in India’, attempts to make clear the complex policy changes which
occurred when India came to subscribe to the World Trade Organisation (WTO)
regulations on intellectual property rights, and the implications of these changes for
small farmers in India.
The first patent legislation enacted in India occurred in 1858, under British rule, and
was subsequently amended in 1911. It allowed for the patenting of foods,
pharmaceutical and chemical products for a period of 16 years. In the post-
independence period, it was revealed that between 80 and 90 percent of patents were
held by transnational companies, and 90 percent of these were not being exploited in
India. The country’s post-independence patent legislation was designed therefore, to
establish a patent regime which would better serve India’s development needs. The
1970 Patents Act restricted the granting of patents in the area of food and agriculture,
drugs or medicine, including most agricultural chemicals. Food and agricultural
resources instead operated under a common heritage regime in which agricultural goods
were able to be freely exchanged.
The issue of patents and the application of intellectual property rights to the food
and agricultural sector emerged as an issue in the Uruguay Round of negotiations under
the auspices of the General Agreement on Tariffs and Trade (GATT). In the
negotiations over the scope of a Trade Related Intellectual Property Rights (TRIPs)
regime, India and Brazil were leaders among the less developed nations in resisting the
introduction of a regime of intellectual property rights which went beyond the trade in
counterfeit goods. However, India came under intense pressure from the United States
to concede to the inclusion of the issue in the negotiations.
The developing countries sought to ensure that negotiations over the scope of
intellectual property rights were seen in the wider technological and developmental
context of individual developing countries. India and other less developed countries
sought to ensure that they could exercise the option of maintaining certain restrictions
on the scope of intellectual property rights.
Despite concerns over the patentability of agricultural and food products, the
Government of India agreed to preliminary amendments to its patent policy by the year
2000, and to adopt full patent protection by 2005, in order to ensure compliance with
the TRIPs Agreement. As a consequence of the legislative delays, which resulted in
India’s case being referred to the Dispute Settlement Body of the WTO, the first
amendments to the 1970 Act were not introduced until 1999. By 2005, a number of
additional amendments ensured that patents for food, agri-chemical and pharmaceutical
products were able to be patented. However, the same was not true of processes, i.e.,
the 1970 Act did not allow the patenting of any method of agriculture or horticulture,
and also prohibited the patenting of any process for medicinal, surgical, curative,
prophylactic or other forms of treatment, or any process for a similar treatment to
animals or plants to render them free of disease or increase their economic value.

While the TRIPS Agreement allowed members to exclude from patentability, the
diagnostic, therapeutic and surgical methods for the treatment of humans and animals,
plants were not excluded, and since 2003, any method for the treatment of plants has
been patentable. The TRIPS Agreement has also extended the duration of a patent from
seven years under the 1970 Act, to twenty years. In addition, the TRIPS Agreement has
served to strengthen rights of patent holders over third parties.
The TRIPS Agreement allows for members to exclude plants and animals and
essentially biological processes from patentability. Micro-organisms, non-biological
processes of producing plants and animals, and microbiological processes should be
patentable. However, the TRIPS Agreement does not define the terms, ‘essentially
biological processes’ or ‘micro-organisms’. The members are able to limit the scope of
patentability by defining these terms narrowly. The inclusion of the patenting of micro-
organisms in the amended legislation, the Indian Government could have defined this
term in such a way that protection would have been extended to Indian farmers and the
agricultural sector as a whole. But the Government chose not to define the term at all,
and not to prohibit the patentability of any seeds or plants derived from patented micro-
organisms. Similarly, the Government of India did not take advantage of the flexibility
provided by the TRIPS Agreement to define the terms ‘novelty’, ‘invention’ or
‘industrial application’ narrowly, and thereby extend further protection to the
agricultural sector.
The implications of these changes to India’s patent laws, which allow for patent
rights to be held over plants and plant varieties, are far reaching. Since 2005, over 700
patents have been granted in the food, agro-chemical and biotechnology sectors.
Majority of these are being held by foreign companies or individuals. Users of seeds
which are patented are required to enter into license agreements which restrict their use
of the material.
One form of restriction limits the buyers of protected seed from using that seed for
breeding or research purposes, which compromises research and development of new
varieties of food crops in India. This, in turn, has led to an increasing concentration
within the food, agro-chemical and seed sectors, as companies engaged in mergers and
acquisitions in an attempt to achieve greater freedom from inter-company restrictions of
research and development. This is leading to even greater levels of concentration in the
ownership of patent rights.
The second restriction applies to farmers, and limits their right to sell or re-use seed
that they have grown. Moreover, farmers would have to pay more for proprietary inputs
and seeds. Concentration in the agro-food and seed sectors, with the lessening of
competition, is likely to lead to the over-pricing of inputs, and a threat to food security.
Farmers also face the prospect of being prosecuted for violating a company’s seed
patents, and would be unable to engage in traditional practices of seed saving, exchange,
re-use or sale. While farmers have the choice of not adopting protected varieties, this
may not apply under conditions of contract farming, where seed varieties are usually
specified by the contracting company.

Jason Cainglet
The Government of India has some scope to safeguard the rights of small farmers.
While the TRIPS Agreement requires all WTO members to extend patent protection to
micro-organisms, this does not categorically exclude plants. With revision of Article
27.3(b) still in progress, the Government of India has the option of completely
prohibiting the patenting of life forms, including micro-organisms, genes, cells, etc., in
order to safeguard the agricultural sector. Under Section 3(j) of the amended Indian
Patents Act, the Government has also an option of excluding all seeds and plants from
patentability, by defining the term ‘micro-organism’ very narrowly. It has the same
scope for flexibility in defining the terms ‘invention’ and ‘inventive step’.
New Ventures, Same Results: The Case of the Philippines’ Diversifying San Miguel
Corporation
In ‘New Ventures, Same Results: The Case of the Philippines’ Diversifying San
Miguel Corporation’, Rowena Soriano and Jayson Cainglet document and analyse
the continuing re-invention of the largest company in the Philippines through an
ongoing process of diversification and renewal.
In addition to its recent expansion in the food, packaging and beverages sectors,
San Miguel Corporation has aggressively moved into new areas of investment,
including petroleum and electricity distribution, telecommunications, and the
construction of toll roads and expressways. The corporation has successfully bid for the
right to manage two major power plants, and made an unsolicited proposal to build and
operate the Laiban Dam, east of the capital Manila.
This program of diversification is being funded by the sale of existing assets and
through additional fund raising through the stock market. In terms of asset sales, San
Miguel Corporation sold its interests in the Australian-based companies National Foods
Limited (with a key focus on dairy products), and a large stake in the flagship San
Miguel Brewery to the Japanese Kirin Holdings. San Miguel also sold J. Boag, a
Tasmanian brewery, to Lion Nathan, the New Zealand brewer; the minority stake in
NutraAsia San Miguel, which owned the major share of Del Monte Pacific Ltd.; 65% of
its shares in Coca-Cola Bottlers; and, a 35% stake in its Japanese packaging unit to its
long-term investor and partner, Nihon Yamamura Glass. San Miguel also raised capital
through a public listing of 5% of the San Miguel Brewery, and planned further share
listings of the food subsidiary, in preparation for a planned expansion of its brewery
operations in a number of Southeast Asian countries.
Despite these asset sales, San Miguel maintains a growing share of the food,
beverage and packaging business. It started out as a one-product company, and has
evolved into the largest publicly-listed food, beverage and packaging conglomerate in
Southeast Asia. The company operates over 100 facilities throughout the Asia-Pacific
region, and accounts for 2.24% of the Philippines gross national product. Despite the
global financial crisis, the corporation has continued to generate strong sales and net
income. It owns an array of well-known brands in beers, spirits, soft drinks, processed
and packaged food products, meat, poultry, dairy products, flour, pancake mix, snack
foods, coffee, vegetable oils, animal and aquatic feeds, and packaging products, which

are exported to more than 60 markets throughout the world. It has established strategic
partnerships with a wide range of international companies, including Japan’s Kirin
Brewery, the US Hormel Foods Corporation and others.
The Corporation’s role as a beer producer represents a large part of its business
activities. It holds 95% of the Filipino market for beer, and its recent growth in output
and profits reflects its regional expansion, especially into Thailand, China, Hong Kong
and Indonesia. Through Ginebra San Miguel Inc. – the world’s largest gin producer and
fourth largest spirits producer – the company manufactures a wide range of spirits,
including gin, brandy, vodka and whiskey and non-alcoholic drinks such as mineral
waters and non-carbonated drinks.
In the food and agribusiness sector, the San Miguel Purefoods Company Inc.
(SMPCI), is the largest Filipino food manufacturer and produces a wide range of iconic
brands. It owns and operates many fully-integrated livestock production facilities. It is
the largest producer of commercial feeds and poultry in the Philippines, accounting for
an estimated 40% of the market. It is also the country’s largest pork and beef producer,
and through the Monterey Food Corporation, operates fully integrated production
facilities which produces beef, hogs and lambs, and also undertakes their slaughter,
processing, distribution and retailing. Monterey operates over 300 farms throughout the
Philippines, as well as contracting operations with third parties.
Under a joint venture with Hormel USA, the San Miguel subsidiary company
Purefoods-Hormel accounts for two-thirds of the Filipino market for processed and
manufactured meats. Another subsidiary, San Miguel Mills Inc., is amongst the
country’s largest flour producers and accounts for a wide range of specialty flour
products, including snack foods and noodles. Other products include margarines, butter,
cheese, milk, cooking oils, desserts and coffee. SMPCI has also moved into the food
service sector with the establishment of Great Food Solutions (GFS), which supplies the
company’s products to a wide range of restaurants, fast food outlets, hotels,
convenience stores, caterers, and more with fresh and processed meats, dairy products,
condiments, flour, and fats and oils.
Outside the Philippines, the SMC food group has undertaken a major investment
program to expand the output and distribution of a wide range of products in the region;
processed halal meat products for retail, food service outlets and institutional customers
in Indonesia; and hog farming and animal feed operations in Vietnam. The company’s
packaging subsidiary operates 16 plants at home and overseas (in China, Vietnam
Indonesia and Malaysia), producing glass bottles, PET bottles, corrugated cartons,
paperboard, paper pallets, plastic crates and cups, and much more besides – a total
package of products which also supply the requirements of SMC breweries in China and
Vietnam. Recent investments in the packaging sector include the purchase by an SMC
subsidiary of a majority stake in the Australian Cospak Group, the largest packaging-
trading firm in Australasia. These and other acquisitions have resulted in SMC
Packaging Group becoming a major supplier, not only to SMC subsidiaries, but to
multinational corporations such as Nestle, Unilever, Kraft, Diageo, Del Monte, Coca-
Cola and Pepsi-Cola. San Miguel Properties Inc. (SMPI) is the subsidiary company

Jason Cainglet
engaged in the development, sale and leasing of properties. Among its other holdings, it
has a 51% share of the Bank of Commerce, a medium-size operation which also
services the banking needs of the corporation.
With the resources acquired from its program of corporate restructuring and asset
sales, the San Miguel Corporation undertook a major diversification in 2008. It
currently holds a 43% stake in the Manila Electric Co. (Meralco), the largest electricity
distributor in the Philippines. It also holds a 51% share of the Petron Corporation, the
country’s largest oil refiner, and in 2009, acquired a 32.7% stake in Liberty
Telecommunications Holdings. The company is actively pursuing other potential
acquisitions in the telecommunications sector, and is exploring possibilities in the
coalmining sector. This interest in energy is also evident in SMC’s successful bid to
operate as a contract manager for the Sual Power Plant, and again is actively exploring
further opportunities for investment in this area.
The San Miguel Corporation has also been making large investments in toll roads
and highways, beginning with its acquisition of a majority holding in Ausphil Tollways
Corporation, a Filipino-Australian consortium responsible for the construction of the
North Luzon eastern Freeway. SMC has also taken a 35% stake in the Private
Infrastructure Development Corporation (PIDC), which is earmarked to start the
construction of the Tarlac-Pangasinan-La Union tollway. SMC is also a partner with
Star Tollways Corporation in a bid to construct the Subic-Clark-Tarlac Expressway
(SCTEX), potentially the country’s largest freeway. SCTEX is also a major participant
in the rail infrastructure proposals for metropolitan Manila, which will involve the San
Miguel Corporation in the long-term operation and maintenance of a light rail transit
route, a transport hub for trains and buses, and a feeder highway.
Among the other projects in the pipeline is a proposal to establish an agro-industrial

zone in association with the Kuok Group of Hong Kong, in a project designed to
increase food output over an area of one million hectares. San Miguel is also reportedly
in discussions with the Toyota Tsusho Group for the acquisition of the Mariveles Grain
terminal in Bataan. This interest in integrated agricultural production facilities is closely
linked to other aspects of San Miguel’s food operations, most notably in the supply of
products such as corn and cassava for animal feeds, as well as other products serving as
inputs to SMC operations.
It seems clear that the San Miguel Corporation is positioning itself to focus its
future operations upon activities which rely less upon the mature markets of food,
beverage and packaging activities, in which competition and consolidation are
intensifying, and the prospects for further growth are limited. Instead, SMC is seeking
new areas of growth and profit generation, such as the energy sector.
However, SMC’s plans for diversification have not been without their problems.
For example, the company’s plans are hindered to some extent by its inability to access
the 24% of SMC’s share capital currently tied up as a result of a dispute with coconut
farmers over ownership. Questions have also been raised about the acquisition of Petron
and the apparent circumventing of the takeover rules which require a majority buyer to

purchase the remainder of a company’s shares on the same terms by which it made its
majority purchase.
Similar questions have been raised about a number of other major projects. For
example, concerns have been expressed about the terms upon which San Miguel
acquired Meralco, and about the complex and non-transparent inter-firm dealings by
which San Miguel acquired its holdings in the company. Similarly, the process of
bidding for the Laiban Dam project, and the actions of the Manila Waterworks and
Sewerage Services in circumventing accepted tendering practices associated with the
supply of water services, were commented on by the World Bank.
The role of San Miguel in the power sector has raised questions about the
privatization of public utilities in the Philippines. There have been doubts raised that
privatization has led to increased efficiency or cheaper energy prices, while the focus of
private energy producers is on the interests of shareholders rather than consumers.
Despite this, there is no doubt that private corporate interests will continue to expand
their operations in sectors previously served by public utilities. San Miguel has plans for
more power plants and will maintain its major role in a deregulated oil industry
dominated by only three companies. Through its policy of diversification and
expansion, the company will maintain its dominant role in the agricultural and industrial
sectors, unaffected by any anti-trust legislation or regulatory constraints on
concentration and declining competition. Weak domestic governance in the Philippines
is allowing a concentration of economic power in a company whose operations touch
everyone’s lives.
Nestle’s Coffee Cultivation and Its Impacts on the Small Farmers in

Xishuangbanna, Southwest China
The paper by Wanying Wang, Xing Lu and Xiaofeng Kang focuses on the economic
activities of a village community in the Yunnan province of China, their involvement
with coffee production and their relationships with the Nestle company.
The paper begins with a discussion of the costs and benefits to farmer groups, and
the advantages and disadvantages to rural communities, and the commitment to a
corporate model of agricultural development, in which the rural producers enter into a
supply agreement with global agri-food companies. In an attempt to evaluate some of
these issues, the authors undertook a detailed case study of coffee cultivation in one
village in the Xishuangbanna prefecture, in an area where the Nestle Company has long
been involved. The study was conducted in Mangjingmian village in Xishuangbanna
prefecture. Data collection, extended interviews with local villagers and officials, and
the use of participatory observation techniques were the major components of the study.
The area under analysis experienced extensive deforestation in recent years, as

native forest was cleared and gave way to coffee, rubber trees and other commercial
crops. The village under scrutiny was a Dai minority village, with 86 households. The
land area owned by the village under collective arrangements totaled 325.7 hectares,
57% of which is devoted to coffee, which remained the most important source of

Jason Cainglet
income to villagers. Villagers also grew tea, rubber and agalloch (a tree crop with
aromatic and medicinal properties) in their forest land, and rice in their farming land.
Nestle Company introduced the coffee cultivation in 1995 through a training and
technical support to one cultivator, after which many households already participated.
By 1998, nearly all households were cultivating coffee, and the output continued to
expand despite fluctuating prices and adverse weather. However, local forests were
rapidly depleted and until 2008, 75% of forests had been replaced by coffee cultivation.
The Nestle Corporation has been operating in Yunnan Province since 1986, with
the support of the provincial government. From the beginning, Nestle provided inputs,
credit and training to the local growers. This development has had a significant impact
on income levels. From 2007, income from coffee cultivation grew rapidly, and has
become the largest source of income in the village, replacing paddy rice and tea. The
improved income not only enabled the villagers to improve their material conditions, by
renovating their houses and purchasing vehicles, but also led to a high degree of
dependence on coffee.
Coffee production provided only 35% of household incomes in 1999, a figure

which rose to 60% by 2007. Over the same period, the share of household income
provided by paddy rice and other crops declined from 35% to 20%, which had a
significant impact in terms of the sustainability of the livelihoods of village households.
This dependence on coffee is heightened by the fluctuations in world price which
impact on the prices. However, growers in Mangjingmian village have benefited from
the competition between buying merchants that have emerged in recent years, replacing
the monopoly purchasing practices of the Nestle Corporation.
The increasing prices paid for fertilizer and pesticide, which have replaced labour as
the largest single cost of production, further increases the likelihood of a fall in income
from coffee. One response to this uncertainty has been to diversify and to introduce a
new crop – agalloch – which is hoped to provide some security for the future.
Among the many social impacts arising from the increased coffee production is a
significant decline in livestock production. This is because of a reduction in pasture
areas due to coffee expansion, a shortage of labour, the purchase of tractors as
substitutes for draft animals, the high costs of animal feed for breeding purposes, and
fertilizer run-off which pollutes the waterways where ducks live. There were also major
environmental impacts as regards the conversion of natural forest to coffee production.
Between 1999-2007, the area devoted to natural forests declined by 94%, while
land devoted to paddy production fell by 22%. Over the same period, tea and coffee
production increased by 480% and 2446%, respectively, which led to a loss of
biodiversity and a reduction in water flows. There were also impacts in terms of
pollution of drinking water from the use of pesticides and fertilizers in coffee
cultivation, and a reduction in the availability of wood fuel, the main source of energy
for many villagers. Moreover, increasing deforestation meant that villagers could no
longer collect the freely-available non-timber forest products – vegetables, fruits,

bamboo and animal feed – which had sustained them in earlier times. The only other
source of these free resources were in the adjacent Natural Reserve Areas, but
government regulations prohibited such harvesting, and villagers frequently came into
conflict with the authorities. Government attitudes towards increasing coffee cultivation
also changed as more forestlands were cleared, while sanctions for illegal clearing were
imposed.
One very positive outcome of the introduction of coffee cultivation is the improved
status of women, who were the main focus of the Nestle Corporation for training and
innovation. Some women also emerged as trainers themselves and conveyed their
knowledge to other women in the village, which gave many women a new-found status
within the home, and increased confidence to engage in village activities. This was one
of the numerous outcomes from the increased cultivation of coffee in Mangjingmian
village, which clearly has had significant costs as well as major benefits.
Emerging models of Contract Farming in the cotton belt of Maharashtra
Mr. Milind Murukgar’s paper on the emerging models of contract farming in the
cotton belt of Maharashtra focuses on the recent attempts to introduce a new way of
organising production and marketing of a commodity which has long been grown in
the state.
India is the world’s largest producer of cotton, which accounts for 27 percent of the
world acreage devoted to this crop. Yields, however, at 502 kg per hectare, are well
below the world average of 742 kg/hectare. Within India, Maharashtra state has the
largest area devoted to cotton, but the yield of 272 kg/hectare, is even lower than the
All-India average. The reasons for this low level of productivity are numerous, but the
lack of irrigation and reliance on rain water, and the poor quality of soils are the major
causes. In addition, poor quality inputs, the lack of institutional credit for the purchase
of pesticides and fertilizers, and the collapse of the state’s extension services, contribute
to low levels of productivity. Despite these, farmers continue to grow cotton because
there a few opportunities to grow alternative crops.
The long-standing state monopoly over the marketing of cotton, which was
originally established in order to ensure that grower received a fair price, eventually
became a further impediment to improvements in productivity and incomes. Corruption
with the system of grading, delayed payments to farmers, the lack of incentives to
improve the quality of output, and the ‘leakage’ of raw cotton to interstate processors,
eventually led to the demise of the state monopoly in 2002. This opened up new
opportunities for modern, private sector processing facilities, which was to set the stage
for the emergence of contract farming operations in this sector.
In the Indian context, the appeals of contract farming, as opposed to the

corporatization of agriculture, are many. The contract farming system can provide high
quality inputs to many small, poor farmers, and can offer technical support, at a low
cost. The system integrates the inputs and the outputs of the grower, through an
agreement which specifies the price to be paid to the farmer in return for his or her

Jason Cainglet
output. However, organizing a contract farming system in India, where small farmers
proliferate, raises a number of problems. The lack of familiarity with contract farming
schemes, and the scepticism that is evident among growers who have been cheated by
officials and moneylenders in the past, leads to opportunistic behaviours, including
selling their produce ‘off-contract’ to itinerant traders. These problems are compounded
in Maharashtra state by the erosion of incentives to produce a high quality product.
The initial attempts to introduce contract farming operations in Maharashtra state

clearly demonstrated the problems encountered by the industry, especially with the issue
of quality. The major factor determining the quality of cotton output is the seed variety.
However, farmers in Maharashtra state had traditionally planted more than one variety
of seed, in part to minimise risk, and in part because of their obligations to seed
merchants and distributors, who provided seed on credit. In this situation, farmers took
the seed provided by the distributor, who would make available a variety on which they
make most commission.
With the introduction of the contract farming system though, the opportunity to
change these practices arose. Under the contract, farmers would receive a limited range
of high quality hybrid seed at a discounted price, and would receive a premium price if
quality standards were met. In addition, state extension services would provide support
to farmers, although it is the responsibility of the farmer to deliver the crop to the
processing company. In 2005-2006, 619 farmers who were working on 500 hectares of
land signed up to the contract, and produced over 11000 quintals of cotton. In 2007-
2008, there were 10000 farmers who entered into contracts with 10 processing
companies. However, this rapid expansion was not sustained and this season saw many
farmers selling their cotton at the farm gate to traders, rather than transporting it to the
processors.
The reasons behind this development are many and complex. The processing
companies accused the growers of reneging on their contracts, and failing to exercise
the patience that is necessary to realize the full benefits of a premium product. However,
an alternative explanation suggests that the growers were vulnerable to the traders who
purchased their cotton at the farm gate, because of their indebtedness. However, this
does not explain why so many farmers reneged on their contracts. What is clear is that
the rapid increase in the domestic price of cotton at the end of the second season in
2006-2007, resulted in competition of their produce at the farm gate, and the
opportunity to receive a high price is on the spot. This also freed the grower from the
obligation to deliver the cotton to the processor, at a time when transport costs were
rapidly escalating. Farmers were not only achieving a large windfall in selling their
produce at the farm gate, but they were also maximising their returns what was seen as a
risk-taking innovation, i.e. planting only a single variety.
While the initial attempts to establish contract farming in cotton production in

Maharashtra state have proved to be difficult, a number of processors are persisting with
this approach. The eventual outcomes are a balance between the farmer’s exposure to an
internationally-traded commodity which may fluctuate in price on the one hand, and the

assurances that a contract system which produces a high value quality product, on the
other.
Women in Agriculture: Findings from Guangdong and Fujian Provinces
The paper from Dr. Lanyan Chen looks into the current situation of rural women in
the Chinese province of Guangdong and Fujian.
Since the early 1980s, more and more men from the countryside have moved to
urban areas to seek employment, leaving women working mostly isolated on their
families’ (most likely their husbands’ families’) contracted land and taking the lion’s
share of social reproduction. Women often work on the land without entitlements.
Thus, they usually get far less benefits from the overall economic growth and still
coping with the rising “three problems” in the countryside. These “three rural problems”
are: 1) a life that has become difficult due to a decline in income and social security; 2)
obsolete agricultural production, which has been rendered inept in the face of world
competition; and, 3) rural areas that are underdeveloped because of an urban-biased
economic orientation.
Among these problems, the inadequate increase in income and living standards is a
primary concern. Meanwhile, the restructuring and policies to bolster agriculture and
promote rural development that is socially equitable and economically sustainable are
seen as the means to address that concern.
This concern has a gendered nature as women now make up the majority of the
agricultural labor force. According to a government report in 2004, 60.1 percent of
employed women were in agriculture, a figure that was 9.4 percent higher than that for
men.
Some of the challenges that rural women face include unequal access to land and
other productive resources, and local governments’ policies to promote “lead
enterprises,” popularly known as “dragonhead enterprises,” in heading the rural
restructuring.
Such policies sometimes have a tendency to extend the gender disparity between
women—who are concentrated in labor intensive farming and animal raising (apart
from their social reproduction responsibilities)—and men who dominate enterprises or
operations in processing and sales.
Rural women, thus, remain at the lower end of the value chain of production while
men dominate the higher end of this chain in marketing, having bigger returns. This
paper discusses more recent findings from the countryside of Guangdong and Fujian
Province where women occupy the lower end of the market chain by selling their
agricultural products in local farmers’ markets or wholesale markets that have been set
up mostly by men to meet the needs of distance markets, big agribusinesses, and
retailers, both domestic and transnational, such as Carrefour.

Jason Cainglet
Men not only control the local markets, but also supply chains between the local
markets and the retailing end of product sales. Women’s income is not only
comparatively lower than that of the men, but it is also used for covering the costs of
social reproduction.
These are serious challenges not only to rural women, but also to the growth of
agriculture and the development of the countryside. The paper examines one specific
cooperative – Ri Sheng Lychee Cooperative, which supports women having a higher
participation in processing and sale of agricultural products. It suggests a need for rural
women to participate in policy discussions in order to respond to the gendered nature of
the “three rural problems.”
It points out the impacts of isolation created by these problems on the lives of rural
women and seeks to recommend how important it is for rural women to overcome their
isolation by forming economic cooperation and cooperatives and how they can increase
income through their participation in economic restructuring and the adoption of
policies favorable to that restructuring.
The findings of this paper indicate that the Ri Sheng Lychee Cooperative has a
potential to help rural women like Mrs. Cai to overcome isolation and find collective
ways to compete in the market. Lacking resources and being at the lower end of the
value chain of agricultural production, rural women are at a disadvantageous position
not only in terms of their participation in market and trade, but also in terms of their
bargaining power against wholesalers and, ultimately, international agribusinesses and
retailers. Further research is required in order to identify ways of improving rural
women’s status and adopt policies that would help them advance economically and
socially.
The research findings point to the need for researchers to closely examine rural
women’s demand for access to productive resources including land and credit, and for
an enhanced ability to deal with big players in markets, including wholesalers and
transnational corporations, in the modernization of agriculture currently underway in
China, where rural women are still disadvantaged. One proposal that holds the key to
such research is the promotion of women’s participation in making policies governing
rural restructuring and trade that are more sensitive to meeting rural women’s gendered
needs as discussed in the paper.
The Philippine-China Agricultural Agreements: A Solution to China’s Growth

Dilemma?
The paper by Floreen Simon and Jayson Cainglet looks into the Philippine-China
Agricultural Agreements. There are at least nineteen known agricultural agreements
between the two countries covering at least a million hectares of land.
Doubts have since surrounded the agreements. The absence of consultations with
stakeholders has shadowed the real intentions of the agreements. There have also been

questions on how and where the Philippine government intended to source the land it
has committed.
The authors contend that years of participation in the World Trade Organization
(WTO) and other bilateral trade agreements have not enabled the Philippine agriculture
sector to fare better. In fact, it has only undermined the local economy and destroyed the
livelihoods of small farmers, artisanal fishers, and other subsistence producers.
Viewed from the outside, China seems to have two faces: the China that is
undergoing unprecedented growth over the years, and the China that is facing growing
restiveness amongst its people. This paper seeks to put in context these seeming two
Chinas, and thereby understand the reasons for China’s standpoint in forging these
agreements.
There is no question that China’s growth in the last two decades has been
unprecedented. So fast has China’s growth been that as many as 300 million people are
middle class or upper middle class by any definition, and that number is equivalent to
the population of the United States and of the European Union.
Yet hundreds of millions of rural Chinese are mired in poverty, earning an average
of $285 a year. It is in understanding these pressing domestic economic conditions that
one can also understand the reasons why China is taking these steps in international
trade.
China’s economic conditions have long been faced with concerns that hinder it
from sufficiently providing for the needs of its population. Topping the list is the dearth
in arable lands. Although China’s agricultural output is the largest in the world, only
about 15 percent of its total land area (1.4 million square kilometers) can be cultivated.
Of this, only about 1.2 percent or 116,580 square kilometers can permanently support
crops and only 528,000 square kilometers are irrigated.
In eastern China, a booming economy and growing urban sprawl have increased the
use of arable lands for construction purposes. Over the past five years, half of the
country’s newly added construction land area, a total of 2.19 million hectares, was
converted from existing or potential farmlands. In China’s west, where the government
has promoted the restoration of degraded or fragile ecosystems, lower-quality arable
lands have been appropriated for forest or grassland replanting efforts. This has been the
dominant driver of arable land loss in recent years, accounting for around an average of
87 percent of the annual net losses of the past four years.
As China continues to industrialize and farmlands are converted to industrial lands,

food security is becoming more and more threatened. Recent studies focusing on
China’s agricultural trade with ASEAN indicate that China is at a more disadvantaged
position in that it has imported more agricultural products than it has exported. However
disadvantaged, this can be traced from China’s inherent need to feed its people and
compounded by its inability to produce enough food supply.

Jason Cainglet
Many studies have also cited that together with China’s economic boom came the
ever-widening gap in rural and urban incomes and standard of living. Moreover, the
government’s international trade directions have also caused shifts in interests of the
farming population in terms of the crops that they intend to produce. Government
policies, even during low agriculture production, are to import land-extensive crops,
such as wheat and rice, in order to save croplands for high-value export products.
These social and economic conditions in China lay the foundation for China’s
aggressive international trade policies and directions. This is especially true for China’s
agriculture and trade agreements forged with the Philippine government.
China’s trade relations with its neighbors in South East Asia as well as in some
other countries in the global south have mostly been agriculture in nature. This is a
direct response, as indicated earlier, of the Chinese government’s need to ensure its food
security and provide for the changing needs of China’s growing consumer base.
In the case of the Philippines, cause-oriented groups have already voiced their
position that these are the only reasons why China has forged a number of agricultural
agreements with the Philippine government and private Philippine entities.
An immediate cause of concern by several farmers’ organizations in the Philippines

was the reported millions of hectares committed by the Philippine government in these
agreements.
A question of legality arises as to how the Philippine government can lease such a
large area to foreign investors. Under the Philippine Constitution, only corporations that
are at least 60-percent-owned by Filipinos may lease lands within the public domain,
and such corporations cannot lease more than 1,000 hectares of public land.
The Philippine government makes it clear that the lands in the agreements will
cover not only public lands but also private lands whose owners are “willing to be part
of the project.” Nevertheless, all private lands that are devoted to, or suitable for,
agriculture are under the coverage of the Comprehensive Agrarian Reform Program
(CARP). Therefore, there are valid reasons for peasant groups to be skeptical with these
agreements as these will impact on the completion of the land reform program.
In the midst of the questions being raised by various stakeholders, the Philippine
government was compelled to declare a status quo to give way to stakeholder
consultations. There is, however, no indication that the Philippine government is
backing out of these deals. In fact, an initial identification of lands was already done and
that several consultations with “stakeholders on the ground” were being continuously
conducted.
Many sectors in the Philippines have already voiced their opinion that these
agreements favor China. They say that these agreements are China’s way of addressing
some of its domestic problems and have never been intended to address the concerns of

the host country. There is no doubt that China’s economic boom has resulted in their
increased need for food and fuel.
In a sense, according to the paper, China is framing its trade relations with other
countries based on its defined national agenda, which may not be the case for the
Philippines. A study done by a Philippine NGO shows that the costs and possibility of
displacement due to progressive trade liberalization under various FTAs are greater and
more definite than the potential gains that would be derived from the opening up of new
export markets.
Hence, a number of NGOs and farmers’ groups in the Philippines are calling for a
comprehensive and all-inclusive review and impact assessment of the country’s
experience and commitments under different trade agreements should be undertaken. It
is only after the impact on the agriculture sector, or any other sector for that matter, is
assessed can there be a better grasp in defining and formulating national objectives,
policies, and programs on these trade negotiations.

Susanita G. Lumbo, Mary Yole Apple M. Declaro, Venessa S. Casanova, and Elmer G. Ruedas
Social Roles of the Indigenous Women in

Occidental Mindoro, Philippines:
Issues, Concerns, and Policy Implications
Susanita G. Lumbo, Mary Yole Apple M. Declaro,

Venessa S. Casanova, and Elmer G. Ruedas
Occidental Mindoro State College
Murtha Campus, San Jose, Occidental Mindoro, Philippines
tsinelas_yole@yahoo.com
Abstract
This paper looks into the state of Mangyan women as they perform their multiple roles-market or
productive, reproductive or household maintenance, and community management. This paper
also analyzes the problems they have encountered and their aspirations for a better life.
The Mangyan women are very poor and heavily burdened with economic and domestic
responsibilities. They need to have access to safe water, better farm-to-market road, and regular
health services. Women are actively involved in a wide array of economic activities but they do
not have access to and control of production resources. These limit their potentials to increase
their productivity. Development projects introduced in the indigenous people’s (IPs) communities
were designed for men. There are no support services to ease their burden.
In order to elicit equal participation and benefits of both men and women, development projects
should be institutionalized in the IP communities. There is a need to improve women’s access to
and control of resources and benefits; address women’s double burden of parenting and
breadwinning roles through the provision of support services; and, provide training and
educational opportunities for them
Keywords: indigenous people, access, women, resources
Introduction
The province of Occidental Mindoro, Philippines occupies the western portion of

the island of Mindoro. It is composed of 11 municipalities and is the third largest
province in Southern Tagalog Region. The province is characterized by successive
ranges of mountains, intermittent valleys and ecological plateaus with rolling prairie
land along the coastal regions.
The Mangyans, one of the country’s indigenous peoples (IPs), comprise 15 percent
of the total population of Occidental Mindoro, Philippines. They are composed of six
major tribes, namely: the Iraya, Alangan, Batangan (Tau-Buhid), Tadyawan, Buhid, and
Hanunuo. The Ratagnons, often referred to as Visayan Mangyans and considered by
anthropologists to have originated from Cuyo, Palawan, are also found in the
municipality of Magsaysay (Center for Environmental Concerns Philippines, 2000).
September 2010 Legazpi City, Philippines 73

Social Roles of the Indigenous Women of Occidental Mindoro, Philippines: Issues, Concerns and Policy
Implication
The Mangyans are generally poor. For so many years, a number of government
agencies, non-government organizations-both foreign and local, and even private
organizations have initiated development programs in their communities. The efforts, to
a certain extent, have contributed in uplifting the lives of the Mangyans. One query that
needs to be addressed however is: Do women in the indigenous communities also
benefit from these development efforts?
There is a popular perception that women, in general, have been neglected in the
mainstream of development. Their importance and contribution to socio-economic
affairs have long been unrecognized and undervalued. Economic strategists and policy
makers view socio-economic and even political development agenda as the men’s
domain. Thus, women have not been able to benefit from these opportunities.
The sector that is most affected by this kind of perception is the rural women
particularly the IPs. Development planners failed to realize that in a rural setting,
women do not only perform reproductive or household maintenance roles but also
market or productive roles-as farm laborer. If the programs continue to fail in
addressing women’s needs and concerns, problems in the community prevail.
Community problems are women’s problems as well because of their social role as
nurturer of life.
The Philippine government has recognized the state of women and their important
role in nation building. Hence, Republic Act No. 7192 of the Philippines known as the
“Women in Development and Nation Building Act” promotes the integration of women
as full and equal partners of men in development and nation building and for other
purposes. By virtue of this Act, efforts are directed to empower women, eliminate
gender discrimination, and achieve equality. With this, women become agents and not
just beneficiaries of development.
In view of helping development workers in coming up with appropriate programs

responsive to the needs and interests of IP women, there is a need to understand who
they are, what things are important according to their own views and perspectives, and
how these things should be addressed and attained. Hence, the profiling of IP women is
very important.
This paper looks into the state of women Mangyans as they perform their multiple
roles-market or productive, reproductive or household maintenance, and community
management. Specifically, this paper analyzes the problems that they have encountered
and their aspirations for a better life. Some recommendations are also posed to address
their needs and concerns, improve their access to basic social services and widen their
participation in economic and political activities.

Methodology
This study is employed participating techniques in gathering the data. The

triangulation method was used to generate and validate the data. Documentary analysis,
field observation, key informant interview, and focused group discussion were also used
to gather relevant data.
Data collection was done from February 2005 to March 2008. Participatory rapid
appraisal (PRA) tools and techniques such as trend analysis, livelihood analysis,
financial analysis, Venn diagram, time line, problem tree analysis, transect mapping,
resource flow analysis, livelihood and health analysis, and strengths, weaknesses,
opportunities and threats (SWOT) analysis were used to achieve a comprehensive
picture of the communities. The data were validated by the participating tribes such as
the Hanuoo in Quintal, Lagnas, Canabang, and Emoc; the Buhid in Bato-ili, Canturoy,
Balinagaso, Salafay, and Danlog; Tau-Buhid (Batangan) in Poypoy, Balani, and
Balangabong; Iraya in Puricon; Ratagnon in Bamban; and HaGuRa (mixed tribe
consisting of Hanunuo, Gubatnon, and Ratagnon in Sitio Pugo, Gapasan, Magsaysay.
Community elders like the Gurangons, tribal leaders, teachers, students, local
government leaders, and individuals from the Mangyan Mission, Plan International
(now Plan Occidental Mindoro), National Commission for the Indigenous People,
Habanan Buhid and Panlalawigang Samahan ng Katutubong Mangyan sa Mindoro
served as key informants in this study.
Findings
Ecological and Socioeconomic Status of the Mangyan Communities
• Land and natural resources. Most settlements are found in the uplands and near the
river banks-the chief source of their means of living. Many of the communities are
mountainous with secondary forest vegetation. The area is a source of forest
products like trees, wild animals, and exotic vegetables. The sloping portions of the
area are utilized for slash-and-burn cultivation or “kaingin” where annual crops like
native rice, corn, root crops, and vegetables are planted. Perennial crops such as
banana, papaya, and others are also planted. The undulating portions are used for
pasture areas.
• Economic activities. Banana (Musa sp), rice (Oryza sativa), and root crops like
cassava (Manihut esculenta), sweet potato (Ipomea batatas) and yam (Dioscorea
spp) are the major crops grown by the Mangyans. The total yield is only about 0.1
ton per hectare for upland rice and 2.3 tons per hectare for lowland rice. They also
grow vegetables like beans, tomato, eggplant, and winged bean. Most of the
produce are used mainly for home consumption. The Mangyans are also engaged in
backyard animal production for family consumption and as additional source of
income. Other sources of livelihood include broom making from tiger grass and
coconut midribs and native basket making, selling bamboos and cogon, and

Implication
working as wage laborers in nearby villages during planting and harvesting season.
Young boys work as farm assistants while the girls work as household helpers.
Forest products like orchids, honey, nito, and rattan are gathered by the natives and
sold in the lowlands during summer. Many Mangyans are still engaged in charcoal
making which is a major cause of forest destruction. The Mangyans are generally poor.
The average monthly income per household with five members is more or less
PhP1000.
• Housing facilities. The houses are small with a floor area of less than 10 square
meters. Some sleep with their pets and backyard animals beside them. The houses
are made of light materials such as bamboo, cogon, and wooden posts. Kerosene
lamp is the lighting system. They use either charcoal or firewood as fuel. There is
lack of clean water and sanitation facilities. Deep well creeks, rivers and dams, are
the water sources for cooking, drinking, and sanitation. They do not have toilets or
pit latrines. Instead, wilderness, river banks, rice paddies and open fields are the
areas where they dispose of their wastes in the kitchen utensils include plastic wares
and tin cans. Empty plastic containers of diesoline and oil are used for fetching and
storing water. Some families have transistor radios that provide them local news
and entertainment.
• Education. Although the IPs are given the opportunity to pursue formal education,
getting good education is still wanting for the majority of the Mangyans. Lack of
school buildings, inadequate facilities, and lack of books and competent teachers
are still some of the major constraints. There are primary schools with multi-grade
classes handled by one or two teachers in most of the villages. For families wanting
their offspring to finish elementary and secondary education, the children need to
walk several hours from home to school and back everyday; hence, drop out rate is
high. Absences and tardiness are also problems as the children contribute most of
the family labor during planting and harvesting season. Another reason for dropping
out of school is the lack of food during lean months particularly before the
harvesting season.
• Service institutions. Most tribes have primary schools and chapels belonging to the
Catholic and Protestant congregations. Some communities have not been reached
by agricultural technologists though these are within their areas of assignment.
Local leaders like the barangay captains have not visited some communities. Hence,
the natives lamented that they are deprived of basic social services. Health care
services come rarely as most communities are very far and inaccessible by any form
of transportation. Market is hundred miles away. Women and children trudged
barefoot for hours in the hot sun or heavy downpours over terrain and crossed rivers
in order to bring their produce to the market. They carry around 30 kilograms of
goods on their heads or backs.

Life activities in Mangyan communities
• Mothers. Women are tied up with housekeeping like washing clothes, cooking, and
child rearing. They also help in farm activities like planting, harvesting, post-
harvest handling, marketing and raising of farm animals. They also fetch water and
gather firewood. Elder women are equipped with bolo tied around their waists and
body bags for economic purposes. Women’s favorite past time is “huntahan,” and
“hingutuhan” while savoring their “nganga” made of beetle nut and lime.
• Teenagers and Children. Their labor contribution includes helping in the pasturing
and feeding of animals, planting and harvesting, gathering firewood and fetching
water, washing clothes and dishes, preparing food, and making handicraft such as
beads, brooms, and baskets. Child workers are also equipped with a bolo like their
elders. A ritual is made before a bolo is entrusted to the child with strict instruction
that the weapon is used solely for good intentions and most importantly, it should
not be used to harm anyone.
Teenagers perform housekeeping and farm work like their parents. Their past time
include “huntahan” talking about boys and other issues around the village,
“ambahan” and watching local basketball tournaments within and outside their
community. Some folks whose villages are about one to two hours walk to the next
barangay with electricity and television go in groups to watch primetime TV shows
until midnight. They also attend benefit dances during fiestas in the neighboring
communities till wee hour in the morning.
• Organization and Leadership pattern. The Mangyan families are predominantly

patriarchal. The husbands make decisions in many aspects of family and
community living. Budgeting is done by women. Local organizations are managed
by all-male officers. Women play supportive roles like serving as cook and
water/firewood gatherers during village gatherings.
Some women who have attended formal schools speak up their minds during the
meetings and challenge everyone’s ideas and opinions regarding matters and issues
confronting their community. Their views have begun to influence community
decisions. This suggests that education and training opportunities for women could
slowly dislodged, the patriarchal system.
Issues, concerns and problems being encountered by the Mangyan women
• Insecurities. IP women perceived that regardless of their roles and responsibilities,

they could not be considered equal with those in the mainstream society. The
women could hardly compete their produce in the market. They believed that the
issue on sanitation could be a reason why people do not prefer their produce.
• Land ownership likewise remains an elusive dream. The women were afraid to
develop their farms for fear that their lands would be taken away from them in the
future.

Implication
• Peace and order. Many IP communities have witnessed the conflicts between the
military and the rebels. Some of their relatives and friends have been victims of
atrocities being suspected as supporter of the underground movement or as informer
of the military. Their biggest fear is being trapped in cross fires and military
operations.
• Farm productivity and income. Poverty is a phenomenon that persists in the IP

communities. Low productivity and income are listed as their primary problems
during lean or difficult months “tigkiriwi,” wild yam is primary sustenance while
waiting for the harvest season. In the financial situation analysis, food was their
first priority. One Buhid woman lamented that during difficult times, she goes to
bed with an empty stomach and wishes she dies in her sleep.
• Environment. Women were worried about the low farm productivity which they
attribute to the poor soil condition. They perceived that chemical agriculture could
help this problem. However, they lack the financial resource to purchase the
required inputs. The IP farming communities have been experiencing natural
calamities that resulted in land erosion, flood and loss of biodiversity. They were
wary about the Tagalogs’ (non-Mangyans) economic activities such as illegal
logging, mining, and the intrusion to their ancestral domain doing ‘kaingin” and
desecrating the holy land areas.
• Health and Sanitation. Malnutrition, poor sanitation and high population were
among the problems listed by women in the health analysis. The Mangyan
communities have no toilet facilities. The wastes are disposed in rice paddies,
creeks, canals, and grassy areas. Trash is everywhere, which indicates that
consumption of junk foods was already imbibed by the IP communities.
Merchandise sold in local stores is more of cheap junk food rich in fats, sodium and
other forms of preservatives. It is likely that young Mangyans nowadays prefer this
junk food over their traditional boiled banana, sweet potato or cassava.
Women washed their clothes in open canals where the animals drink and where the
farmers also wash their farm tools at the end of the day. Drinking water is usually
impure and unsafe for human consumption. Major illnesses that prevail in the
communities were believed to be water borne such as diarrhea, dysentery, cholera,
and typhoid fever. Other diseases include cough, skin diseases, malaria, influenza,
sore eyes, boil, asthma, and tuberculosis.
Initiatives Towards Promoting Women’s Welfare
There had been development efforts made in the past to uplift the level of living of
the IP communities. Government, non-government, and even private institutions had
introduced interventions in the tribes, but their contributing to the improvement of the
way of the mangyan one yet to be seen. But the Mangyans are grateful of the various
trainings and seminars conducted in their communities because had widened their
horizons and helped them understand their situations.

Although there are still families that are fatalistic and could not appreciate the value
of education, the construction of primary schools in their villages made a significant
difference. Many believed that educating their children would be a key in redeeming
themselves from inextricable ignorance, poverty, and helplessness.
The Occidental Mindoro National College (OMNC) is the only state college in the
province with a mandate of providing people with practical information and skills in
agriculture, home management, natural resource management and community
organization. Through the extension function, OMNC helps rural people increase their
productivity and income and maximize utilization of locally available human and
material resources. Although a newcomer in enabling the IP communities, the always
gives priority to the programs. Extension programs like the Sustainable Upland
Development Program (SUDP), Sustainable Agricultural Development Extension
Program (SADEP) and Poverty Alleviation Promotion through Environment and
Livelihood Program (PAPEL Buhid) are established to empower and improve their
quality of life.
Since 2004, OMNC has extended various education and training activities in at
least 13 IP communities in the province. The topics are along the areas of agriculture,
environmental conservation, livelihood, health, gender, and education. Majority of the
participants were women. This suggests that women are no longer interested in matters
concerning their reproductive and economic roles but also in issues and problems
confronting them. This implies further that many IP women are now wiling to
participate in the socio-economic management of their community.
Conclusions and Implications
• The IP women are very poor and heavily burdened with economic and domestic
responsibilities. Social, economic and political problems aggravate their difficult
situation. Their afflictions can be lessened if basic social services are provided such
as access to safe water nearby, better farm-to-market road, regular medical services,
and others.
• Women are actively involved in a wide array of economic activities but they do not
have access to and control of production resources. They cannot avail of production
loans also. These limit their potential to increase their productivity.
• Women are not affiliated with any community organization and yet they participate
in all activities. Leadership positions can be extended to them. They can be trained
to lead and manage community projects.
• Women who have attended formal education can articulate their thoughts on
matters and issues concerning their community. Giving them the opportunity to
attend formal and or non-formal schools ensures greater participation of many
women in development initiatives.

Implication
• Women have aspired for a better life for their children. This suggests that they have
already conquered dogmatism and fatalism which had embedded their culture for a
long time. This indicates that the Mangyans are open to embracing cultural changes
that will lead them towards a better life.
• Development projects introduced in the IP communities were designed mostly to

benefit men. There were no provision, for support services to ease women’s woes
and burdens.
Recommendations
• Institute development projects in the IP communities which elicit equal

participation and benefits of both men and women.
• Increase women’s access to and control of resources and benefits.
• Address women’s double burden of parenting and breadwinning roles through the
provision of support services.
• Encourage active participation of women in planning, implementing and evaluating

community projects.
• Provide training and educational opportunities for women. Implement programs

that build capability of women in legal literacy, income generation, values
orientation, skills training, natural resource management, and stress and crisis
management.
Acknowledgment
The researchers wish to acknowledge the Extension and Community Organizing

students who helped in the conduct of the Participatory Rural Appraisal in the IP
communities. Similarly, the team would like to thank fellow development worker Mr.
Nelson A. Orfiano and Mr. Garry L. Calitang for the insights and experiences shared on
how to deal with IP’s and their leaders.

References
Andres, Tomas Quintin D. 1988. Community Development: A Manual. Quezon City: New Day
Publishers.
Center for Environmental Concerns Philippines. 2000.
Handbook for Developing and Conducting Gender Training for Agricultural Extension Workers.
University Center for Women’s Studies. University of the Philippines, Diliman, Quezon
City, Philippines. 1995.
Joint Circular No. 2004-1 Guidelines for the Preparation of Annual Gender and Development
(GAD) Plan and Budget and Accomplishment Report to Implement the Section on
Programs/Projects Related to GAD of the General Appropriations Act. April 5, 2004.
Lumbo, Susanita G. 2001. LGU’s, NGO’s and FO’s Partnership in the Integrated Pest
Management for Rice Project in Occidental Mindoro Philippines. Unpublished Ph.D.
Dissertation, University of the Philippines Los Baños, College, Laguna, Philippines.
Mikkelsen, Britha, 1995. Methods for Development Work and Research: A Guide for
Practitioners. Indian, London Sage Publications.
Participatory Rapid Appraisal Results. 2005-2008.
Republic Act 7192. Women in Development and Nation Building Act

The Hanunuo Women’s Perspectives of Environmental Protection and Upland Farming Systems in Occidental
Mindoro, Philippines
The Hanunuo Women’s Perspectives of Environmental

Protection and Upland Farming Systems in Occidental
Susanita G. Lumbo
Associate Professor V
Occidental Mindoro State College Murtha Campus
San Jose, Occidental Mindoro, Philippines
misphk@yahoo.com.ph
Abstract
This paper describes the sustainability of the upland farming system of the Hanunuo Mangyan
women in Occidental Mindoro, Philippines to enrich or debunk the theory within the mainstream
society that they are a party to the unabated destruction of the forest resources. The Hanunuo
women’s lives and means of living are closely attached to nature. They have intimate knowledge
about their environment. Since they are still young and have acquired basic education and are
actively involved in community organizations, they can help implement effective environmental
projects.
Being responsible mothers, they can also become good environmental managers. With assistance
from external groups, the Hanunuo women can be tapped to help initiate sustainable upland
development in the community. The lack of viable economic options forced them to abandon
some ecological practices. As such, they should be given greater access to resources, credit,
education and training.
The indigenous women have good perspectives of environmental protection, but their upland
farming systems were observed to be “moderately sustainable.” Some practices failed the
requirements of sustainability such as cultural acceptability, environmental soundness, economic
viability, and socially just and humane. The women are aware of their being deliberate wayward
stewards of the environment as they are confronted with intertwined cultural, socioeconomic and
political problems and issues.
Research results suggest the need to institute non-farm and off-farm livelihood activities to
augment the income of women; introduce new crops with economic potentials and which could
adapt to the poor soil conditions in the community; and educate the Hanunuos about
environmental protection, impact of population pressure on resources use, health, and sanitation.
Keywords: Hanunuos, indigenous women, upland farming system, environmental

protection

Susanita G. Lumbo
Introduction
In the light of economic problems, increasing environmental degradation and

feminization of poverty, came the interest in women’s role in agriculture and rural
development (Braidotti, et. al. nd.). Women’s agricultural activities are changing as
demographic pressure on land and degradation result in increased rural poverty and
male migrating off the farm in search of wage employment. Increasingly, the farmer in
the developing world is a woman (Saito and Spurling, 1993).
The Nairobi Forum in 1985 presented case studies on the involvement of women in
forestry and agriculture. Women were portrayed as environmental managers whose
involvement was crucial to the achievement of sustainable development. In the late
1980’s, the Women, Environment and Development (WED) promoted women as
privileged environmental managers who possessed some skills and knowledge in
environmental care. Within the development framework of WED, women are seen as
the most valuable resource in achieving sustainable development. Women and nature
are perceived to be related because of their close dependence on nature for subsistence
needs (Braidotti, et. al. nd.).
In what ways are women affected by the environment? Bina Agarwal (1991) citing
the experiences of poor peasant and tribal women in rural India, reported that women
have typically been responsible for fetching water and fodder and have also often been
the main cultivators. Thus, they are likely to be affected adversely in quite specific ways
by environmental degradation. Agarwal (1991) quoted Vandana Shiva (1989), who
noted that “violence against women and nature are linked not just ideologically but
materially.” Poor women are dependent on nature for drawing sustenance for
themselves, their families, and their societies. The destruction of nature, thus, becomes
the destruction of women’s sources of living.”
This paper is premised on the development framework of WED that the Mangyan
women, whose primary economic activities are attached to nature, have direct bearing
on the present condition of the environment. This assumes that the women are
responsible managers of the environment and this is reflected on their perspectives of
the environment and status of their upland farming system. This posits that their upland
farming systems possess dimensions of sustainable agriculture such as cultural
acceptability, ecological soundness, economic viability, and socially just and humane
(Perlas, 1993). Results of this case study, therefore, debunks the growing perceptions
among the people in the mainstream society that the Mangyans have been a party to the
unabated destruction of the forest resources because of their economic activities
particularly slash-and-burn method of cultivation and charcoal making.
The Mangyans, one of the country’s indigenous peoples (IP), comprise 15 percent
of the total population of the province of Occidental Mindoro. They are composed of six
major tribes; namely, the Iraya, Alangan, Batangan (Tau-Buhid), Tadyawan, Buhid, and
Hanunuo. The Ratagnons, often referred as Visayan Mangyans and considered by
anthropologists to have originated from Cuyo, Palawan, are also found in the
municipality of Magsaysay (Center for Environmental Concerns Philippines, 2000). The
September 2010  Legazpi City, Philippines 83

Hanunuos are called by their fellow Mangyans as “Mangyan patag” because of the
proximity of their settlement to the lowland communities occupied by the “damu-ongs”
or non-Mangyans. They are mostly traditional subsistence farmers.
A study was conducted to assess the sustainability of the upland farming system of
the indigenous women in Hanunuo, Occidental Mindoro, Philippines. Specifically, this
study aimed to: a) describe the socioeconomic and psychological characteristics of the
Hanunuo women; and, b) determine the farming practices of women and their
perspectives on environmental protection.
Methodology
The study was conducted in Sitio Emok in Barangay Paclolo, Magsaysay,

Occidental Mindoro, Philipppines. Sitio Emok is a tribal community inhabited by the
Hanunuo Mangyans. The community has an estimated land area of 350 hectares which
is part of the ancestral domain. About ten hectares are flat lands, which are utilized for
wet rice production while the rest is either hilly or mountainous with more or less 45
percent slope used for “kaingin” (swidden farming) and pasture.
This study employed participatory rapid appraisal techniques. The triangulation

method, consisting of household survey, field observation, key informant interview and
focus group discussion, was used in generating and validating the data.
Results and Discussions
Traditional notion of wealth and system of inheritance and land administration
The indicators of wealth among the Hanunuos are the amount of beads used as
adornment, use of gold put in a jar during “dulot” (offering), and ownership of land and
animals. Households who own ricefields regardless of size and farm animals especially
cows, are regarded as well-off families or “meron”.
To prevent fragmentation of land property, ownership remains with the head of the
household, usually the grandfather or father. In the event of old age or demise of the
owner, the oldest male offspring becomes the land administrator. But all the other
children would have an equal share in terms of privileges and benefits such as the right
to cultivate. For small parcels of land, cultivation can be done on a rotation basis or any
form of fair mechanism agreed upon by all members of the family.
The administration of the land cannot be entrusted to women because they marry,
and therefore, carry the family name of their husbands. The Hanunuos are more
threatened if the women marry a “damu-ong” who is usually more educated and
politically powerful. The elders are afraid of the possibility that a “damuong” husband
would impose policy on the land administration that is contrary to their cultural beliefs.
The Hanunuos are forbidden to mortgage a land because of the possibility that it could
be foreclosed anytime.

Susanita G. Lumbo
Leadership /Decision-making patterns
There are two leadership structures that exist in Sitio Emok. These are the political
leadership, and the leadership through the Council of Elders or “gurangons”. In political
leadership, the community is headed by a tribal leader who is selected with the blessings
of local government officials. The tribal leader would call for meetings every time
important information needs to be disseminated or implemented. There is active
participation among members of the community. On the other hand, the Council of
Elders are usually the oldest members of the tribe who possess wisdom and
understanding about matters relative to their identity and existence. They are consulted
on sensitive issues affecting their community. In the event that there are conflicting
ideas over matters between a political leader and a “gurangon,” the latter’s decision
prevails. The “gurangons” are more powerful because of their belief that disobedience
to the elders would mean “gaba” (misfortune).
Agencies/organizations providing assistance to the community
A number of government, non-government, and private organizations have been

assisting the Mangyans in their socioeconomic needs. But, they revealed that no agency
had provided them with technical and financial assistance on efficient upland farming
system or sustainable upland development.
Socioeconomic characteristics of the Hanunuo women of Sitio Emok
Majority of the Hanunuo women are relatively young (at least 36 years old) and
have earned an elementary education. Some (30%) of the women, particularly those
who are the older members of the community, have not attended formal schools. One of
the reasons perhaps was the inaccessibility of the schools in the past. But it is quite
interesting to note that all of them have children who are currently studying or have
attended formal schools. This can be attributed to the fact that Sitio Emok has already
an elementary school. Many of their children continue studying in high schools
sponsored by organizations associated with the Catholic Church. This explains why the
Hanunuos in Emok are Catholics and their gatekeepers are priests and nuns.
The Hanunuos have bigger family size with an average size of seven members.
They are small landholders with at least 1.6-hectare farm located about three to five
kilometers from their village. Only a portion of the more or less five-hectare ancestral
domain entrusted to every household is arable while the bigger part is forest. Emok is
located along Caguray River and is surrounded with a number of springs. Hence, water
for irrigation is available year round.
Charcoal making, swidden farming, lowland rice farming, and “arawan” (daily-
wage earning) are the major sources of income. The Hanunuos work as farm laborers
especially during planting, harvesting, and hauling in nearby lowland communities. The
teenagers work either as house helpers or storekeepers.

The Hanunuos of Emok are in frequent and close contact with the “damu-ongs”
who hire them for daily wage labor. They brush elbows with the “damu-ongs” in
jeepneys, fiestas, basketball tournaments, and even in schools. A number of
intermarriages between the “damu-ongs” and the Hanunuos in Emok were also noted.
The women are affiliated with several community organizations such as Sibil,
Mangyan Nagkakaisang Kababaihan (MANAKA), and Samahahang Mangyan
Nagkakaisa, Inc. (SAMANA).
These findings show that the Hanunuo women’s lives and means of living are
attached to nature. Their settlements and livelihoods show intimacy with the
environment consisting of rivers, springs, land and forests. It suggests that the
Hanunuos are knowledgeable of the requisites of a good environment for their own
survival.
Psychological characteristics of the Hanunuo women
The Hanunuo women’s greatest fear is being inflicted with a disease needing
expensive medication. They fear of dying young especially when their children are still
small because no one would look after them. They are afraid of the greater possibility
that their husband gets another wife and eventually neglects their children. Similarly,
they are afraid of accidents that would result to broken limbs or paralysis, making them
physically incapable to earn a living. They also fear having a broken family and
experiencing extreme poverty.
Meanwhile, the Hanunuo women aspire to improve their land productivity and
income. They wish they could serve sufficient and nutritious food daily, their children
could finish college and later, earn a good job, and have a happy and peaceful family
life. They wish that the Mangyan youth would not forget their humble beginnings
especially their cultural identity.
Most women talked about their multiple burden roles: reproductive and productive
roles. Aside from looking after their children and attending to their needs, they also
fetch water, gather firewood, search the forest for “nami” (wild yam), and help in the
farm.
Many women revealed that they experienced hunger especially during “tigkiriwi”
(lean months) particularly during the months after planting or before harvesting. Farm
productivity is not enough to meet their daily needs. They lack food so that many of
their children are undernourished and sickly.
Social problems include the proliferation of vices in their community. The women
have noticed the deliberate deterioration of children’s values like their attraction to the
lifestyle of the lowlanders and the change in the mode of dressing, food preferences, the
pressure to acquire electronic gadgets like cell phone, and the use of beauty products to
enhance one’s appearance.

Susanita G. Lumbo
The psychological characteristics of the Hanunuo women show their strengths as

mothers and life-givers. Their fears, aspirations, and problems revolve around the
welfare of their family especially the children. These suggest that women would do
everything to protect their families from all forms of harm, and provide for their needs.
Since women’s means of living is directly connected with the environment, they would
do everything to protect it. Good mothers are also good environmental managers. As
what Shiva (1989) forwarded, poor women are dependent on nature for drawing
sustenance, thus, destruction of nature becomes the destruction of their sources for
staying alive.”
Upland farming systems being practiced by the Hanunuos in Sitio Emok
Table 1 shows the sustainability of the upland farming systems that are being
practiced by the Hanunuos. Sustainability was assessed in terms of cultural
acceptability, environmental soundness, economic viability, and socially just and human
practices/activities. It is rated using a three-point scale as follows: 3 (sustainable), 2
(moderately sustainable), and 1 (not sustainable).
Table 1. Sustainability of the upland farming systems of the Hanunuos in Sitio Emok,
Occidental Mindoro, Philippines.
Upland Farming Systems Biophysical Indicators Sustainability
Cropping System
• Home garden • high diversity but poor crop yield 2
• minimum soil disturbance; overcrowding
• Perennial Garden of plants
• multistorey cropping, high diversity but 2
low productivity
• minimum soil disturbance, no
appropriate planting distance
Farm Practices
• Site selection – most farms are • continuous cultivation 1
permanently cultivated • resistant native rice varieties are planted;
• Varieties planted – native, hybrid fruits and vegetables are tried 2
hybrid, any variety • use of hand tools for cultivation; sweet
• Soil, water and nutrient potato as cover crop; weeds pulled and 3
management- minimum tillage, piled between plants; crop residues
use of cover crop, stubble uncollected and allowed to decay 1
mulching • use of plant extracts, cellophane, and
• Pest control – cultural, toxic chemicals
botanical, chemical

Cropping Systems
• Home garden and perennial garden are the two cropping systems that are being
employed in Sitio Emok
• The home garden is located at the lower portion of the farm
• It is a small parcel of land allotted for annual crops primarily for family
consumption
• The hilly or mountainous part of the farm is planted to various fruit tree species
such as coconut, coffee, banana, papaya, jackfruit, breadfruit, mango, and cacao.
These are planted between forest trees. Multi-storey cropping and minimum soil
disturbance are practiced but no appropriate planting distance is observed resulting
in the overcrowding of plants. This causes the plants’ competition in sunlight and in
the absorption of nutrients. Crops are thin and have poor yield. The farming system
in home and perennial gardens were rated as “moderately sustainable” based on the
above-mentioned biophysical indicators.
The upland farming systems of the Hanunuo women reveal their intimate
knowledge about the environment and its conservation. They could articulate on the
rationale and impact of every farm practice as follows:
Site selection
Traditionally, before the Hanunuos can proceed with the kaingin making, they first
seek permission from Apo Puro (god who manages the mountains) for approval. The
approval or disapproval can be obtained in a dream. If the dream is beautiful like seeing
a lovely lady or a happy face, it means Apo Puro approves it. Otherwise, the Hanunuo is
forbidden to cultivate the area because it is a holy ground. The Mangyan tries another
until he finds a suitable area for kaingin.
The Hanunuos practice swidden farming with proper safeguards to prevent the fire
from spreading to the surrounding vegetation. A fallow period, at least five years, is
observed to allow the swidden farm to recover and to prevent land deterioration. The
new vegetation consisting of grasses, shrubs, and trees indicates that the area is again
suitable for farming. This was the scenario many years ago.
With the present issues and problems on shrinking land and increasing population, a
fallow period could no longer be observed. The Hanunuos are aware that continuous
cultivation has adverse effects on the environment like opening the area to land
deterioration and erosion and loss of biodiversity. Hence, this particular farm practice is
rated “not sustainable.”

Susanita G. Lumbo
Varieties planted
The Mangyans plant any variety of crop that is available in the community and
neighboring barangays. Hybrid vegetable seeds brought in by a damu-ong were tried.
However, because they are not quite knowledgeable about the planting requirements,
this usually results in poor harvest.
The mangyans still prefer planting native rice varieties such as maka-awa, mitaw,
diamante, inaday, binuhangin, binato and kinuto which are resistant to pest and
diseases. Hybrid rice was once introduced by a fellow Mangyan who had attended a
seminar on hybrid rice production but the new technology did not last because it was
not fully explained or simply it did not fit the socio-economic and cultural conditions of
the community. Hence, sustainability of their farming system in terms of this practice is
“moderately sustainable.”
Soil, water and nutrient management
The Mangyan women use hand tools like bolo, wooden sticks and shovels in
cultivating crop. They practice multi-storey cropping. Sweet potato is planted as cover
crop to conserve soil moisture. According to them, the leaves of sweet potato are like
mongo that could be a good used as source of nutrients. Weeds are pulled and piled
between the plants allowing them to decay. Plant residues are utilized as stubble mulch.
The weakness of the women’s farms is that fruit trees are not cleared of tall grasses
which can be a haven of harmful insects, vectors, and rodents. But then their soil, water
and nutrient management practices can be rated as “sustainable.”
Pest control
The Hanunuos’ strategies in controlling pests are already influenced by the

diffusion of the integrated pest management (IPM) technology introduced to them by a
non-government organization. Before the farmers employed cultural method like mouse
trap or no method to eradicate pests believing that insects and other organisms would
stop feeding on their crops once they are full. Nowadays, their methods include a
combination of cultural, botanical, and chemical control. They burn fresh bark of
amuyong tree with a very strong odor in the control the rice bugs and corn borer.
A rotten frog put in a bamboo stick and placed at the middle of the farm is also
employed. At day time, rice bugs swarm the rotten animal; at night they are smoked to
eradicate the pests. Some women also use kakawati or madre de cacao and red pepper
extract as botanical pesticide. Plastic “sando” bags or cellophane tied in a rope line
across the rice field is used to drive away rats. When the cellophane is blown by the
wind, it creates noise that drives away rats. It was observed however that plastic bags
are scattered everywhere, in the forests, rice paddies and river banks, showing that they
were not kept after use.

The women revealed that chemical control method is also practiced even for upland
rice native varieties. They have observed that botanical pesticides seem not effective in
eradicating harmful insects. The indigenous peoples’ experience can be explained by the
fact that insects may have developed resistance to botanical pesticides in a manner
similar to chemical pesticides. According to The Second Asian Development Forum,
the use of botanical pesticides may result in pests’ resistance, resurgence, and creation
of new pests. Hence, this particular farm practice the Hanunuos can be rated “not
sustainable.”
Perspectives on environmental protection
The women’s perspectives on environmental protection were determined on the

basis of their understanding of the benefits of the farm practices (Table 2) and their
responses on the question “What the community should do and should not do to protect
the environment? (Table 3).
Table 2 confirms women’s high knowledge on environment-friendly farming

practices. The women understand that land, forests, rivers and other resources are
nature’s gift and sources of their living that should be protected and preserved. They
know what should be done and should not be done to protect the environment (Table 3).
They are aware that illegal logging, mining, and others are destructive. But they admit
they are also guilty of some unfavorable activities like charcoal making which has
become their main source of living. They claimed, however, that they could not avoid
destruction because they have no other options. With the awareness of the economic
viability of charcoal making among the younger generation, many have overlooked and
deliberately ignored the ecological implication of this economic activity.
Table 2. Perceived environmental benefits of the Hanunuo women’s farm practices.
Farm Practices Environmental Benefits
Multi-storey cropping • prevents pest infestation

Use of native plant varieties • increases biodiversity
Minimum tillage • reduces use of toxic chemicals
Use of cover crop • holds soil in place, reduces surface
Stubble mulching runoff
Cultural pest control • keeps the soil from drying
Botanical pest control • increases organic matter; reduces
loss of soil nutrient
• prevents soil and water
contamination by chemicals
• prevents soil and water
contamination by chemicals

Susanita G. Lumbo
Table 3. The Hanunuo women’s perspectives of what community should do and should
not do to protect the environment.
What should be done What should not be done
1. Plant trees 1. Cut trees without re-planting

2. Keep the surroundings clean and 2. Illegal logging
green 3. Mining
3. Free rivers from rubbish 4. Charcoal making
4. Prevent forest fire 5. Throwing of garbage in the rivers and
5. Report illegal loggers to authorities canals
6. Do not use chemical pesticides 6. Fishing by electrocution
7. Practice composting 7. Pesticide use
8. Follow the environment laws 8. Burning of plastics
The results of this study show that the Hanunuo women have very good
perspectives of environment protection. It shows their intimacy with nature knowing
exactly what is happening in their midst and understanding why and how things happen.
However, being mothers themselves who are also providers and nurturers of life, they
could not help going beyond limits to provide their loved ones with an urgent basic need
like food. As one philosophizes, a mother cannot tell her hungry child to stop crying
because she needs to plant trees first so that she can buy milk tomorrow. The thought of
environmental degradation alone is not a concrete motivation for women to sometimes
violate nature like charcoal making because of their immediate concern to provide their
family with basic daily needs especially food.
• The Hanunuo women’s lives and means of living are closely attached to nature.
They are knowledgeable of the requites of good environment for their own survival.
Since they are young with basic education and are actively involved in community
organizations, they can help implement environmental project effectively.
• The Hanunuo women are strong life-givers and nurturers. As good mothers, they
can also become good environmental managers. With external help, they can be
tapped to help in initiating sustainable upland development in the area.
• The lack of viable economic options among women forced them to abandon some
ecological practices. They should be given greater access to and control over
resources, credit, and education and training.
• Although the indigenous women have good perspectives on environmental

protection, their upland farming systems are “moderately sustainable.” Some
farming practices do not meet the requirements of sustainability such as cultural
acceptability, environmental soundness, economic viability, and socially just and
human.

• The women are aware about their being deliberate wayward stewards of the
environment as they are confronted with intertwined cultural, socioeconomic and
political problems and issues. They need equal opportunities, access to and control
of resources like owning and managing a land.
Recommendations
• There is a need to institute other non-farm or off-farm sources of income for the
Hanunuos to help augment their income. Government must be clear on its
environmental policies and implement them strictly while offering viable livelihood
options to help the Mangyans.
• There is a need to introduce new crops with economic potential and which can
adapt on less fertile soils but could still provide the needed cash for the family.
• The Hanunuos need to be educated about environmental protection and

preservation, impact of population pressure on resource use and allocation, and
health and sanitation.
Acknowledgment
The author wishes to express her gratitude to the Hanunuo women who participated
in the case study. Heartfelt thanks are extended to the Orozas and Montillas especially
Pindang, Kangkang, Duday, Meloy, Delfin and Bekyot who opened not only their
homes and farms but also their thoughts and hearts to help make this study a reality.
References
Agarwal, Bina. 1991. “The Gender and Environment Debate”: Lessons from India.” Compiled
Notes in WD 231-Gender-Responsive Planning and Administration. University of the
Philippines Diliman, Quezon City, Philippines. AY 2008-2009.
Alcantara, A. J. 2002. Environmental Management of the Hilly-Land Farming System.”

Abstracts of Researches on Soil and Water Conservation in the Philippines. DA-BSWM,
UPLB, & DA-BAR..
Braidotti, R. et. al. “Women, the Environment and Sustainable Development.” Compiled Notes
in WD 231-Gender-Responsive Planning and Administration. University of the Philippines
Diliman, Quezon City, Philippines. AY 2008-2009.
Center for Environmental Concerns Philippines, 2000
Colting, R. D. and I. T. Corpuz. 2002. Controlling Erosion in the Highland Areas of the
Philippines. I. Use of Cover Crops. In: Abstracts of Researches on Soil and Water
Conservation in the Philippines. DA-BSWM, UPLB, & DA-BAR.

Susanita G. Lumbo
Eswaran, Hari, nd. Sustainable Agriculture in Developing Countries: Challenges and U.S. Role.
World Soil Resources, Soil Conservaion Service, USDA, Washington, DC.
Handbook for Developing and Conducting Gender Training for Agricultural Extension Workers.
1995. University Center for Women’s Studies. University of the Philippines Diliman,
Quezon City, Philippines.
Orno, Jesusita L. Multistory-Multiple Cropping System, A Sustainable System for the Upland:
The Case of Bagong Silang,Makiling Forest Reserve, Philippines. In: Sajise, Percy E. and
Nicomedes D. Briones. 1996. Environmentally Sustainable Rural and Agricultural
Development Strategies in the Philippines (Lessons from Six Case Studies). SEAMEO
Regional Center for Graduate Study and Research in Agriculture (SEARCA).
Paningbatan, E. P., D. T. Guinto and R. A. Comia. 2002. Soil Conservation for Hilly-Land
Farming Systems. In: Abstracts of Researches on Soil and Water Conservation in the
Philippines. DA-BSWM, UPLB, & DA-BAR.
Perlas, Nicanor. The Seven Dimensions of Sustainable Agriculture. Paper presented during the
Second Asian Development Forum, 22-27 February 1993, Xavier University, Cagayan de
Oro City, Mindanao, Philippines.
Sajise, Percy and Delfin Ganapin, Jr. 1990. Overview of Upland Farming Issues. In: Resource
Book on Sustainable Agriculture for the Uplands. International Institute of Rural
Reconstruction Philippines.
Shiva, Vandana. 1989. “Women in Nature.” Compiled Notes in WD 231-Gender-Responsive

Planning and Administration. University of the Philippines Diliman, Quezon City,
Philippines. AY 2008-2009.
Toribio, Ma. Zita B. and Jesusita L. Orno. The Indigenous Agroforestry Production System of
the Ifugao. In: Sajise, Percy E. and Nicomedes D. Briones. 1996. Environmentally
Sustainable Rural and Agricultural Development Strategies in the Philippines (Lessons from
Six Case Studies). SEAMEO Regional Center for Graduate Study and Research in
Agriculture (SEARCA).

Work and Life Balance of Female Farmers and Workers in Japan: A Comparative Analysis
Work and Life Balance of Female and Male Farmers and

Workers in Japan: A Comparative Analysis
Michi Tsutsumi
Tokyo University of Agriculture and Technology, Japan
michiii77@hotmail.com
Abstract
This paper aims to clarify the actual conditions with regards to the work and life balance (WLB)
of female farmers and workers in Japan. It examines how WLB is related to female farmers’
improvement of farm productivity, and participation to social and farm management activities. It
mainly focuses on the time-budget (life) of the female farmers. Specifically, the actual conditions
and the features of female farmer's WLB are clarified using a comparative analysis between
gender and the type of work that they are engaged in.
The difference of the daily routine between the female farmers and the female workers was
analyzed. According to the survey, there was a difference in time spent on work and daily routines
between the two groups. The daily routine survey was divided into six categories, which are:
child care hours, domestic duties hours, working hours, binding hours, free time, and sleeping
hours.
The results of the time-budget analysis between the female farmers and female workers revealed
that the former maintains their balance during the cropping season, while the latter maintains
their balance during work days and day-off. The female employees are controlling balance every
week especially during weekdays or holidays. This paper suggests that WLB depends greatly on
the type of work or labor.
Keywords: work and life balance, female farmers, female workers
Introduction
In Japan, WLB is mainly discussed on the level of labor and employment. However,
WLB of female farmers is not much recognized, and it seems that the degree of
attention is low in the policy making process.
The purpose of this report is to shed light upon the work and life balance of female
farmers, how they work, raise children and do their domestic duties. It analyzes and
examines what WLB means to female farmers who try to improve productivity and
participate in the society as well as in farm management. This report mainly focuses on
the time-budget (life) of female farmers. Their WLB is analyzed by comparing with that
of workers and male farmers.

Michi Tsutsumi
Methodology
The differences in the daily routines between farmers and workers were analyzed. A
national study done by the Japan Agriculture Development and Extension Association
(in which the author also participated) and data prepared by Japan Broadcasting
Corporation were used as secondary data.
The work style in urban areas has changed during the course of industrialization
from self-employment of merchants and craftsmen to employment in corporate
organizations. Those who work in an organization are placed in a subordinate and
restraining position. On the other hand, farmers work independently even though they
may belong to a group.
The differences in the daily routines of farmers and workers were analyzed, and
their WLB was evaluated. The following is the analysis of the amount of time spent for
life. In the time-budget survey, there were often overlaps. The daily routine survey was
divided into six categories, namely: child care hours, domestic duties hours, work hours,
bonding hours, free time, and sleeping time.
Child care hours
It is clear in Figure 1.1 that female farmers spend 114 minutes on child care during
weekdays, and 238 minutes during holidays. On the other hand, the female workers
spend 79 minutes on weekdays, and 112 minutes on holidays. There is a large difference
in child care hours on weekdays and holidays. When the child care time per person by
gender is compared, women spend more time with their children in all cases. However,
the child care hours of female workers on holidays and weekdays are almost the same as
those of female farmers. When child care hours on holidays and weekdays are compared,
both farmers and workers spend more time on holidays.
The child care hours of farmers are shown by age and gender in Table 1. Women
spend 320.1 minutes while men spend about 109 minutes. Women spend three times
more than men on child care. The average child care hours of women in their 20s are
556.4 minutes. The average child care hours of men in their ‘20s are 166.8 minutes. The
numbers sharply decreased on weekdays. Among the respondents in their ‘40s and
above, women spend 60 minutes and men devote 71.4 minutes with their children.
Female farmers in their ‘20s spend 560 minutes or more on child care during
holidays (Table 2), than on weekdays. Male farmers in their ‘30s to ‘40s spend more
time on holidays than weekdays.

Male 70
MaleWoker
Worker 15
Male 114
Male Famer
Farmer 60
Holiday
Female 112
FemaleWoker
Worker 79 Weekday
Female Famer 238

Female Farmer 144
0 50 100 150 200 250
Figure 1. Time of child care per person (minutes).
Table 1. Time
Table1-1 of child
Time careCare
of Child by age
bybracket (during –weekdays).
Age Bracket Weekday-
Living hours amount (The time amount was Living hours amount on a pro-rata basis (It
totaled regardless of the presence of the divided in proportion when there was repetition Parameter
repetition of the act). in the act, and totaled it in 24 hours).
Age
Female M ale Female M ale F M
Doer Average Doer Average Doer Ratio Average Doer Average (Person) (Person)
Ratio (%) time(min) Ratio (%) time(min) (%) time(min) Ratio (%) time(min)
24 & below 90.9 426.0 60.0 150.0 90.9 275.9 60.0 102.5 11 5
25～29 80.5 556.4 60.7 166.8 80.5 384.3 60.7 102.9 41 28
30～34 93.9 339.0 67.7 111.5 93.9 236.1 67.7 77.5 115 96
35～39 90.1 190.2 42.7 95.6 90.1 140.8 42.7 65.9 91 82
40 & above 33.3 60.0 42.0 71.4 33.3 60.0 42.0 54.1 3 50
Total 89.7 320.1 54.0 109.0 89.7 224.5 54.0 74.7 261 261
Note: Slashed out figures in the population parameter column require attention in the time amount analysis because the respondents were less
than ten.
Table 2. Time of child care by age bracket (during holidays).

Table1-2 Time of Child Care by Age Bracket – Holiday
Age
Rate of Average Doer Average Doer Ratio Average Doer Average (Person) (Person)
doe (%) time(min) Ratio (%) time(min) (%) time(min) Ratio (%) time(min)
24 & below 81.8 561.7 40.0 127.5 81.8 342.7 40.0 108.8 11 5
25～29 87.8 566.3 71.4 213.8 87.8 399.7 71.4 129.6 41 28
30～34 93.0 448.7 72.9 213.0 93.0 302.8 72.9 152.9 115 96
35～39 81.3 268.8 48.8 160.5 81.3 180.8 48.8 105.6 91 82
40 & above 66.7 37.5 48.0 235.0 66.7 25.5 48.0 143.0 3 50
Total 87.4 409.7 59.8 201.9 87.4 277.6 59.8 135.7 261 261
than ten.
Domestic duty hours
Figure 1 indicates that female farmers spend more time on domestic duties than
female workers do. The female farmers spend 156 minutes on weekdays, while female
workers spend 91 minutes. The former spend 155 minutes on holidays while the latter
spend 111 minutes.
This could be explained by the fact that workers do not work during holidays, while
a lot of farmers do. This was also observed in men who spend very little time on
domestic duties. How much time is spent on domestic duties seems to be affected by the
work structure and the labor system of farming. The time spent by men on domestic
duties is only 10 minutes during weekdays.

Michi Tsutsumi
Both male farmers and male workers spend little time on domestic duties. Among
the male workers, the number of those who do domestic duties on holidays is slightly
higher. Clearly, fixed gender roles exist regarding child care and domestic duties.
Young female farmers, 24 years of age or younger, spend 208.6 minutes on

domestic duties on weekdays (Table 1-3). The next age group, 30 to 34, spends 189.9
minutes. Male farmers, with ages from 35 to 39, spend 52.5 minutes. The next age
group, 40 and above, spends 43.1 minutes. The youngest group, 24 and younger, spends
the least amount of time, which is 30 minutes.
Meanwhile, Table 4 indicates that many female farmers of 24 years of age and
younger spend 220.9 minutes on domestic duties on holidays. Those who are 40 years
and older spend 195 minutes. However, the age group of 25-29 spends the least amount
of time, which is 158.8 minutes. Male farmers, particularly those who are 40 years and
older, spend 63 minutes on holidays, while the youngest group, 24 years and younger,
spend as little as 15 minutes.
Male Woker 18
Male Worker 6
Male 6
Male Famer
Farmer 7
Holiday
FemaleWoker
Female Worker 111
91 Weekday
Female Famer
Female Farmer 155
156
0 50 100 150 200
Figure 2. Domestic duties time per person (minutes).
Table 3. Time of domestic duties by age bracket (during weekdays).

Table1-3 Time of Domestic Duties by Age Bracket - Weekday -
Age
24 & below 100.0 208.6 40.0 30.0 100.0 139.9 40.0 30.0 11 5
25～29 97.6 170.3 14.3 37.5 97.6 118.8 14.3 18.1 41 28
30～34 100.0 189.9 13.5 42.7 100.0 144.2 13.5 33.7 115 96
35～39 96.7 170.1 14.6 52.5 96.7 137.8 14.6 40.6 91 82
40 & above 100.0 170.0 16.0 43.1 100.0 152.5 16.0 39.1 3 50
Total 98.5 180.6 14.9 44.6 98.5 138.0 14.9 35.1 261 261
than ten.

Table 4. Time of domestic duties by age bracket (holidays).

Table1-4 Time of Domestic Duties by Age Bracket - Holiday -
Age
24 & below 100.0 220.9 20.0 15.0 100.0 133.6 20.0 7.5 11 5
25～29 95.1 158.8 14.3 41.3 95.1 109.9 14.3 23.3 41 28
30～34 95.7 171.3 11.5 61.4 95.7 129.1 11.5 41.3 115 96
35～39 96.7 190.4 15.9 46.2 96.7 152.5 15.9 33.4 91 82
40 & above 100.0 195.0 10.0 63.0 100.0 175.0 10.0 46.0 3 50
Total 96.2 178.5 13.0 52.1 96.2 135.1 13.0 35.8 261 261
than ten.
Work hours
Female farmers work for 353 minutes on weekdays and 187 minutes on holidays.
Female workers work for 408 minutes on weekdays and 68 minutes on holidays. This
data indicate that female workers work longer than female farmers do on weekdays. On
holidays, female farmers work about one hour longer than female workers.
On the average, male and female farmers work 50-90 minutes less than workers do
on weekdays. The analysis of male and female farmers’ work hours confirmed that: 1)
they work less than the workers on weekdays; 2) they work about 2 hours longer than
workers on holidays; and 3) the difference in the work hours on weekdays and holidays
was smaller than that of the workers.
Among different types of work, the pig farming requires both female and male
farmers the most amount of work (Table 5). For female farmers, the types of most
time-demanding work are: 1) poultry, 2) open culture, 3) dairy husbandry, and 4)
greenhouse culture. For male farmers, these are: 1) dairy husbandry, 2) beef, 3)
poultry, 4) open culture, and 5) greenhouse culture.
During holidays, pig farming still demands 405 minutes of work from female
farmers, (Table 6), followed by 1) poultry raising, 360 minutes, 2) dairy husbandry,
321.8 minutes, 3) beef production, 312.5 minutes, 4) fruit growing, 312 minutes, and 5)
open culture, 276.3 minutes. Those who work on millet, potato and bean farms spend
the least amount of time, which is only 30 minutes on holidays.
For male farmers, dairy husbandry is the most time-demanding: 540 minutes on
holidays. Next is “others”, 442.5 minutes, then beef production, 432.3 minutes,
greenhouse culture, 428.1 minutes, and open culture, 412.9 minutes.

Michi Tsutsumi
Male Woker 161

Male Worker 578
Male 297
MaleFamer
Farmer 491
Holiday
68
FemaleWoker
Female Worker 408 Weekday
Female Famer
Female Farmer 187
353
0 100 200 300 400 500 600 700
Figure 3. Work time per person (minutes).
Table 5. Time of farm work by crops (during weekdays).

Table1-5 Time of Farm Work by Crop s - Weekday -
Living hours amount (The time amount was Living hours amount on a p ro-rata basis (It
totaled regardless of the p resence of the divided in p rop ortion when there was rep etition Parameter
The highest number rep etition of the act). in the act, and totaled it in 24 hours).
of sales total Female M ale Female M ale F M
Rice (%)58.8 241.5 (%)78.4 437.3 58.8 220.9 (%)78.4 424.7 51 51
M illet,Potato,Bean 25.0 15.0 100.0 453.8 25.0 7.5 100.0 450.0 4 4
Industrial crop 55.6 306.0 100.0 433.3 55.6 270.0 100.0 429.7 9 9
Op en culture
68.2 371.0 100.0 527.0 68.2 338.5 100.0 518.5 22 22
vegetable
Greenhouse culture 64.6 340.6 91.7 520.9 64.6 330.7 91.7 505.0 48 48
Fruits 54.2 335.2 85.4 466.1 54.2 300.2 85.4 436.3 48 48
Flowers and
78.6 288.4 89.3 547.2 78.6 274.0 89.3 537.6 28 28
ornamental p lants
Dairy husbandry 72.2 351.9 94.4 567.4 72.2 337.3 94.4 562.1 18 18
Beef 81.8 255.0 90.9 544.5 81.8 230.3 90.9 536.3 11 11
Pork 50.0 442.5 100.0 611.3 50.0 435.0 100.0 565.0 4 4
Poultry 100.0 390.0 100.0 525.0 100.0 375.0 100.0 525.0 1 1
Other 52.9 268.3 76.5 515.8 52.9 255.6 76.5 487.1 17 17
Not e: Slashed out figures in t he populat ion paramet er column require at t ent ion in t he t ime amount analysis because t he respondent s were less
t han t en.
Table 6. Time of farm work by crops (during holidays).

Table1-6 Time of Farm Work by Crops - Holiday -
The highest number repetition of the act). in the act, and totaled it in 24 hours).
of sales total Female M ale Female M ale
F M
Doer Average Doer Average Doer Ratio Average Doer Average
(Person) (Person)
Rice 31.4 244.7 56.9 293.8 31.4 169.9 56.9 286.4 51 51
Industrial crop 33.3 275.0 44.4 401.3 33.3 150.4 44.4 401.3 9 9
Open culture
54.5 276.3 77.3 412.9 54.5 270.0 77.3 392.4 22 22
vegetable
Fruits 31.3 312.0 54.2 387.1 31.3 261.7 54.2 351.3 48 48
Flowers and
42.9 213.8 82.1 380.9 42.9 197.5 82.1 365.8 28 28
ornamental plants
Dairy husbandry 61.1 321.8 94.4 540.0 61.1 314.7 94.4 527.5 18 18
Beef 54.5 312.5 100.0 432.3 54.5 217.5 100.0 417.3 11 11
Pork 50.0 405.0 75.0 410.0 50.0 342.5 75.0 402.5 4 4
Poultry 100.0 360.0 100.0 240.0 100.0 270.0 100.0 240.0 1 1
Other 23.5 168.8 47.1 442.5 23.5 146.3 47.1 405.0 17 17
than ten.

Binding hours
Figure 4 shows binding hours per person. Female farmers are bound by some kind
of work or duty for 714 minutes on weekdays and about the same amount of time on
holidays: 677 minutes. But female workers are bound only for 408 minutes on holidays,
much less than on weekdays when they are bound for 654 minutes. On weekdays, male
workers are bound for 692 minutes, while male farmers for 574 minutes, the former 118
minutes longer than the latter.
When compared, farmers are, on the average, bound by work or duty longer than
the workers. The differences between male and female farmers’ binding hours on
weekdays and holidays are insignificant. But the differences in male and female
workers are quite considerable.
On weekdays, female farmers who work on millet, potato, and bean farms are
bound for 135 minutes on average (Table 7). Those who are in dairy husbandry are
bound for 82.5 minutes, open culture for 61.5 minutes, and greenhouse culture for 60.9
minutes. Male rice farmers are bound for 106.9 minutes on weekdays, followed by
millet, potato and bean farmers for 78.8 minutes, pig farmers for 60 minutes, and beef
producers for 57.9 minutes. On holidays, female farmers in dairy husbandry are bound
for 115 minutes, followed by 70 minutes of flower and ornamental plant growers, and
69 minutes of beef producers (Table 8). Poultry farmers are bound for much less: 30.0
minutes, as well as fruit producers with 31.5 minutes.
Among male farmers on holidays, beef producers are bound for the most amount of
time: 128.6 minutes. Then come millet, potato, and bean farmers with 95 minutes and
rice farmers with 82.5 minutes. Poultry farmers come last with 15 minutes.
( )
Male Woker 355

Male Worker 692
Male Famer 451

Male Farmer 574
Holiday
Female 408
Female Woker
Worker 654 Weekday
Female Famer
Female Farmer 677
714
0 200 400 600 800
Figure 4. Binding time (child care, housework, and ork) per person (minutes).

Michi Tsutsumi
Table 7. Farmer’s
Table1-7 Farmer'sbinding hours:
Binding community
Hours: by crops
Commuting by (during
crops -weekdays).
Weekday -
F M
(Person) (Person)
Rice 31.4 43.1 62.7 106.9 31.4 40.8 62.7 104.1 51 51
Industrial crop 22.2 22.5 77.8 49.3 22.2 18.8 77.8 45.0 9 9
Open culture
45.5 61.5 59.1 48.5 45.5 49.3 59.1 45.0 22 22
vegetable
Fruits 50.0 59.4 64.6 42.1 50.0 47.9 64.6 37.3 48 48
Flowers and
35.7 42.0 53.6 40.0 35.7 33.0 53.6 32.5 28 28
ornamental plants
Dairy husbandry 22.2 82.5 27.8 57.0 22.2 75.0 27.8 43.5 18 18
Beef 72.7 60.0 63.6 57.9 72.7 47.8 63.6 53.6 11 11
Pork 75.0 50.0 100.0 60.0 75.0 42.5 100.0 52.5 4 4
Poultry 100.0 30.0 100.0 30.0 100.0 22.5 100.0 30.0 1 1
Other 41.2 47.1 76.5 42.7 41.2 43.4 76.5 32.1 17 17
than ten.
Table 8. Farmer’s
Table1-8 Farmer'sbinding hours:
Binding community
Hours: by crops
Commuting by (during
crops -holidays).
Holiday -
F M
Rice 15.7 43.1 19.6 82.5 15.7 25.5 19.6 80.8 51 51
Industrial crop 0.0 - 44.4 33.8 0.0 - 44.4 31.9 9 9
Open culture
31.8 47.1 45.5 82.5 31.8 38.2 45.5 76.5 22 22
vegetable
Fruits 20.8 31.5 41.7 50.3 20.8 21.8 41.7 41.8 48 48
Flowers and
10.7 70.0 46.4 43.8 10.7 50.8 46.4 30.6 28 28
ornamental plants
Dairy husbandry 16.7 115.0 16.7 45.0 16.7 100.0 16.7 42.5 18 18
Beef 45.5 69.0 63.6 128.6 45.5 50.0 63.6 123.9 11 11
Pork 50.0 52.5 75.0 50.0 50.0 47.5 75.0 37.5 4 4
Poultry 100.0 30.0 100.0 15.0 100.0 30.0 100.0 15.0 1 1
Other 11.8 37.5 47.1 58.1 11.8 37.5 47.1 49.1 17 17
than ten.
Free hours
As shown in Figure 5, free time of female farmers is shorter than that of female
workers. The differences between weekdays and holidays are also small. Male farmers
have 245 minutes free time on weekdays and male workers have 174 minutes. On
holidays, however, male workers have about one hour more than male farmers do on
holidays. Male and female farmers tend to have less free time.
Table 9 shows that female farmers of 24 years of age or younger have the most
amount of free time, 120 minutes on weekdays. Next comes the 25-29 year-old female
farmers with 70 minutes. The amount of free time decreases sharply from female

farmers in their ‘30s as they only have 55-62 minutes. Male farmers of 24 years of age
or younger has the least free time on weekdays, which is 30 minutes followed by
those who are 40 years or older with 60 minutes, 35-39 year-olds with 103.1 minutes,
and 30-34 year-olds with 120 minutes. The age group of 25-29 has a lot of free time,
which is about 202.5 minutes. On holidays, female farmers of all ages have 120-150
minutes of free time (Table 1-10). Similarly, even male farmers have 120-240 minutes
regardless of age.
Male Woker 414

Male Worker 174
Male Famer 346

Male Farmer 245
Holiday
Female Woker 319
191 Weekday
Female Worker
Female Famer 287

181
Female Farmer
0 100 200 300 400 500
Figure 5. Free time per person (minutes).
Table 9. Free time by age: meeting friends, casual conversations, etc. (during weekdays).
Table 1-9: Free Time by Age: meetimg friends, casual conversations, etc. –Weekday-
Living hours on a pro-rata basis (Divided in
Living hours (Summed up regardless of
proportion when the action was repeated and Parameter
whether or not the action was repeated).
summed up for 24 hours).
Age
(Person) (Person)
Ratio (%) time (min) Ratio (%) time (min) (%) time (min) Ratio (%) time (min)
24 & below 18.2 120.0 20.0 30.0 18.2 39.0 20.0 30.0 11 5
25～29 14.6 70.0 7.1 202.5 14.6 33.2 7.1 198.8 41 28
30～34 15.7 55.8 7.3 120 15.7 39.0 7.3 75.7 115 96
35～39 13.2 57.5 9.8 103.1 13.2 51.7 9.8 90.9 91 82
40 & above 0.0 ― 8.0 60.0 0.0 ― 8.0 60.0 3 50
Total 14.6 62.0 8.4 106.4 14.6 42.1 8.4 87.5 261 261
than ten
Table 10.
Table Free
1-10: timeTime
Free by age:
by meeting friends,friends,
Age: meeting casual conversations, etc. (during
casual conversation, etc. holidays).
–Holiday-
Age
(Person) (Person)
24 & below 18.2 150.0 20.0 180.0 18.2 87.5 20.0 180.0 11 5
25～29 12.2 123.0 7.1 120.0 12.2 67.9 7.1 82.5 41 28
30～34 12.2 153.2 18.8 226.7 12.2 103.6 18.8 147.0 115 96
35～39 17.6 135.0 14.6 167.5 17.6 95.4 14.6 152.3 91 82
40 & above 33.3 150.0 10.0 237.0 33.3 50.0 10.0 194.5 3 50
Total 14.6 141.3 14.6 202.5 14.6 93.2 14.6 152.4 261 261
than ten.

Michi Tsutsumi
Sleeping hours
Male and female farmers sleep about the same amount of time on weekdays and
holidays. Male farmers sleep for 460 minutes on weekdays and 470 minutes on holidays
(Figure 6). Female farmers’ sleeping hours during weekdays is almost the same as that
of female workers. However, female workers sleep half an hour longer on holidays.
Male and female workers sleeping hours during holidays is one hour longer than
that on weekdays. As shown in Table 11, 30-34 year-old respondents sleep for a long
time on weekdays, which is about 450.1 minutes. The age group with the shortest
sleeping time is 40 years and older with 300 minutes. The male farmers’ age group with
the longest sleep on weekdays is 30-34 age group with 476.1 minutes. Next is 25-29 age
group with 473 minutes, and then 24 years and younger with 465 minutes. Female
farmers in their ‘20s and ‘30s sleep for about 450 minutes on holidays. But, it goes
down to 350 minutes for the group of 40 years and older (Table 12). The male farmers
of 30-34 years of age sleep for the longest on holidays: 499.2 minutes. The age group of
24 years and younger, has the shortest sleeping hours, which is 435 minutes.
Male Woker 516

Male Worker 420
Male Famer 470

Male Farmer 460
Holiday
Female 491
FemaleWoker
Worker 418 Weekday
Female 453
FemaleFamer
Farmer 424
0 100 200 300 400 500 600
Figure 6. Sleeping time per person (minutes).
Table 11. Sleeping time by age (during weekdays).

Table 1-11: Sleeping Time by Age –Weekday-
Age
(Person) (Person)
24 & below 100.0 428.2 100.0 465.0 100.0 404.8 100.0 465.0 11 5
25～29 100.0 438.3 100.0 473.0 100.0 429.0 100.0 470.9 41 28
30～34 100.0 450.1 100.0 476.1 100.0 443.0 100.0 470.4 115 96
35～39 100.0 425.4 100.0 444.1 100.0 423.2 100.0 442.2 91 82
40 & above 100.0 300.0 100.0 443.7 100.0 300.0 100.0 442.2 3 50
Total 100.0 437.0 100.0 459.3 100.0 430.6 100.0 456.1 261 261
than ten.

Table 12. Sleeping time by age (during holidays)

Table 1-12: Sleeping Time by Age –Holidy-
Age
(Person) (Person)
24 & below 100.0 429.5 100.0 435.0 100.0 410.2 100.0 435.0 11 5
25～29 100.0 461.7 100.0 481.6 100.0 444.9 100.0 475.9 41 28
30～34 100.0 477.3 100.0 499.2 100.0 472.8 100.0 491.0 115 96
35～39 100.0 441.8 100.0 464.6 100.0 438.2 100.0 463.0 91 82
40 & above 100.0 350.0 100.0 471.6 100.0 345.0 100.0 468.6 3 50
Total 100.0 459.0 100.0 479.9 100.0 452.3 100.0 475.2 261 261
than ten.
Conclusion
When female farmers and female workers are compared, there is a difference in the
distribution of the time of "work and life". Female farmers’ working hours are short and
their child care and housework hours are long. Female farmers’ binding hours are longer
than female workers’, and their free hours are very short. On holidays, workers sleep
longer than farmers, although there is no big difference in their weekday sleeping hours.
In any case, it was confirmed that men do not spend much of their time on child care
and domestic duties. They are work-centered. The gender division of labor is clear, but
female farmers do not necessarily protest against it. They also have acknowledged that
they can manage their own time. Female farmers’ life is not so much punctuated with
weekdays and holidays like that of workers, but with farming seasons. Dairy, pig, and
poultry farmers who operate throughout the year are busy year-round. The balance of
their living hours is similar to that of workers. Workers balance their "work and life" on
weekdays and holidays. WLB is thus primarily determined by the type of labor.
The work environment in general has been changing. Attaining good WLB is an
urgent matter to enrich the quality of life. It is essential to pursue how each individual
can manage and use his or her own time for this purpose.

Michi Tsutsumi
References
Cabinet Office, Government of Japan, 2008 Shoshika Hakusho Tokyo: Saeki Insatsu.
Cabinet Office, Government of Japan, 2007 Kokuminn Hakusho Tokyo: Jijigahosha
Cabinet Office, Government of Japan, 2008 Seikatsu no Chowa Suishinshitsu

http://www8.cao.go.jp/wlb/ (June 8,2010)
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
NHK, 2006 Year 2005 Kokumin Seikatsu Jikan Chosa Hokokusho Tokyo: Japan Broadcasting
Corporation,
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.

The Role of Women in Environmental Conservation in Sorsogon Province, Philippines
The Role of Women in Environmental Conservation in

Sorsogon Province, Philippines
Glenton O. Guiriba
College of Social Sciences and Philosophy
Bicol University, Legazpi City, Philippines
guiribaglenton@yahoo.com
Abstract
This paper highlights the role of women in environmental protection and conservation in
Sorsogon Province, Philippines. The discussion revolves around the issues such as women’s
perspectives on the environment; the nature of their participation and their motivations to
engage in environmental protection and conservation; challenges encountered; approaches
employed to address the challenges in environmental protection and conservation; and future
directions in environmental protection and conservation.
This paper further argues that women are directly affected by the state of the environment. This
is because of the traditional roles imposed by the society’s patriarchal system to the women like,
providing and preparing food; cleaning the house; washing the clothes and dishes; gathering
fuelwood; fetching water; and taking care of the children. The special links between women and
the environment underscore the following concerns: the position of women, the origins of
women’s victimization within the ecological crises and the possible options to save the
environment, and empower women.
Keywords: women, environmental protection, conservation, traditional roles
Introduction
This study describes the interrelatedness of women and the environment. Likewise,
this study presents the interrelatedness between the oppression of the women and
degradation of the environment. Further, this study underscores the following main
topics: women’s perspectives on the environment; women’s nature of work in the
environmental protection and conservation; their motivations in working for the
environmental protection and conservation; challenges encountered in working for the
protection and conservation of the environment; women’s solutions to protect and
conserved the environment; and their roles in environmental protection and
conservation.
The study is a feminist research. This study employed a case study method, with 17
women as key informants. The key informants were all adult women from the Province
of Sorsogon, Philippines, who are directly and actively involved in the activities
towards environmental protection and conservation. The 17 key informants were
purposively chosen. They came from government and non-government organizations,
and are working on environmental protection and conservation. The study employed

Glenton O. Guiriba
dialogical and interactive qualitative interview.
The study was anchored on the theory of Vandana Shiva (1998), which places a
high premium on “feminine principle” as a source of life. Women, according to her, are
the original givers of life and caretakers of environment, and it is the western patriarchal
development strategies and western science that have displaced the feminine principle
and victimized women, non-western people and the environment. Shiva further argued
that the marriage of patriarchy and capitalism had subjugated women to the
environment.
In the same manner, Bina Agarwal (1993), also expressed the victimization of
women in political, economic and gender terms. For her, patriarchy and the process of
satisfaction and privatization impoverish women and render them the hardest hit by
environmental damage. Similarly, the feminist theory asserted that patriarchy is the
main cause of women’s oppression, subordination and abuse.
Both Shiva and Agarwal asserted that women should be the central actors in
environmental management. This is because of their closeness to the resource base due
to their daily survival tasks and their being caught in the maelstrom of environmental
degradation. They believed that being the privileged caretaker of the environment is the
key to women empowerment. Women are propelled to actions more conducive to
environmental protection and regeneration.
This paper further argues that women are directly affected by the state of
environment because of the traditional roles imposed by the patriarchal system of the
society to the women like, providing and preparing food; cleaning the house; washing
the clothes and dishes; gathering fuel wood; fetching water; and taking care of the
children. The multi-faceted roles of women lead to their multiple burdens because of
society’s sexist and discriminatory practices which are based on the patterns of
patriarchal culture.
Results and Discussion

Women’s perspectives of the environment
The state of environment affects the well-being of man and the entire web of
creation. Most of the key informants viewed the environment as the life support system
of people. They believed that without the environment the humanity could not survive.
They also viewed the environment as the source of life.
The key informants claimed that environment and women are interrelated based on
the roles that they play. Just like the environment, women are also life-givers, nurturers
of life and providers for the sustenance of life. In terms of resource utilization, women
are the major users of natural resources. Thus, women are directly affected by the state
of the environment because of their social and household functions. Because their roles
are highly dependent on the environment, the women respondents believed that
environmental degradation would also lead to women degradation, as this would
deprive them of a better quality of life and a healthy environment to the children that
they nurture.

Women’s participation in environmental protection
Results of the key informant interviews revealed that women have varied
involvement in the environmental protection and conservation. But, in general their
nature of involvement is along the technical training, policy advocacy, project proposal
preparations, planning, and program designing and supervision of environmental
programs. Most of these women were actively involved in tree planting, mangrove
reforestation, coastal clean-up, waste segregation and solid waste management. They
also create awareness programs to enable the communities become aware about the
importance of environment.
The women have also developed their own informal approaches to problem solving.
Rural women groups represent the first level of the institutional framework needed to
ensure bottom-up development processes. The traditional knowledge of women are vital
inputs to activities involved in the sustainable use of natural resources.
Women’s motivations to work for environmental protection and conservation
The women in Sorsogon believed that the only way to protect themselves and their
families is to protect the environment around them. This is the primary factor that
motivates women to actively participate in environmental conservation program
regardless of whether they would get income from such programs or not. The women
also recognized the need to conserve the natural resources for the next generations and
believed that they could contribute to environmental conservation and management in
their own personal capacities. The information campaign, training programs and
seminars that were provided to the women also served as mechanism to create
awareness about the relevance of a healthy environment.
Moreover, these women used their creative and productive energies to work for the
environment to express their deep concern for their children and future generations.
These efforts are used as their vehicle to sustain.
Challenges encountered in the environmental protection and conservation
The women in Sorsogon Province are confronted with a number of challenges in

the implementation of their environmental conservation programs. The limited budget is
the primary constraint. The positive attitude, appreciation and awareness about the
importance of clean air, clean water and a healthy environment in general, have to be
instilled among the community members. As observed, the community members have
little appreciation on the environmental projects that are currently being implemented.
There is also a need to educate the local government units about environmental
conservation because, at present, environmental conservation programs are not
integrated in their development programs and plans.
The women observed that they remain largely absent at all levels of policy
formulation and decision-making in the natural resources and environmental
management, conservation, protection and rehabilitation. Despite the recent growth and
visibility of women’s non-government organizations (NGOs) working on the issues of
the environment, they are still challenged because of the different priorities of the LGU.

Glenton O. Guiriba
Moreso, the political culture of bureaucracy, and the corruption at all levels of the
government agencies had added to the burdens of family survival and welfare, and the
deterioration of the environment.
Approaches employed to address the challenges in environmental conservation
To address the challenges that are being faced in the implementation of

environmental conservation programs, the women conduct house-to-house campaigns to
enable people understand about the importance of the environment; conduct information
education campaigns through YES-O camps, seminars on environmental issues,
environmental protection and conservation education projects and contests that would
promote the consciousness and awareness of the pupils, teachers, parents and the
community people towards a balanced ecology and for sustainable development,
organize symposia and invites authorities to give information and orientations about
environment, solid waste management, global warming, climate change and adaptation,
and disaster risk reduction. The women also build linkages, networking, and partnership
with the NGOs and some LGUs working on environmental protection and conservation.
The women carry out the activities with the NGOs and LGUs to take part in the
responsibility of protecting and conserving the environment. Similarly, they involved
the private sectors like the media and other institutions.
The women also initiate trainings and capacity-building activities. They also
organize cross-learning experience to the community leaders to expose them to the
different environmental conservation initiatives in other places which they could
possibly replicate in their own communities. The women’s groups also involved the
community leaders to expose them to the different environmental conservation
initiatives in other places which they could possibly replicate in their own communities.
The women’s groups also involved the community leaders when they do community
organizing, PO building, community education, research and partnership. In addition,
they train people about the appropriate livelihood projects and, to some extent, provide
them with tools and equipment that are necessary for the establishment of the livelihood
projects.
Future directions in environmental protection and conservation
The key informants acknowledged and recognized their vital roles in the protection
and conservation of the environment.
They claimed that women could serve as a role model and catalysts for sustainable
environment. Being mothers, it is their role to educate and give their children
consciousness and awareness about the importance of the environment. Women should
be among the stewards of the environment. Thus, they should be keen and observant
about the state of the environment and should be watchful particularly to those who
continuously degrade the environment. Based on their initial experiences, the key
informants argued that women could really make a difference in terms of enlightening
the minds of the community members about the importance of environment, and in
harnessing the active participation of the community members in environmental
conservation and management. The women should also actively participate in the

decision-making process to be able to integrate their perspectives on the concerns and

matters about the environment. The women should likewise mobilize other stakeholders
to work together in protecting and conserving the environment. Environmental
protection and conservation should be the responsibility of all the citizens, regardless of
gender, age, occupation, and socio-economic status.
Conclusions
The following conclusions were derived based on the research findings:
• Women view environment as the life support systems of humanity. It is the source
of all life, that people are dependent on the environment. Without good
environment, our life will not be peaceful and healthy.
• Women’s involvement on environmental protection and conservation work is

crucial in the management and utilization of the natural resources. In general, the
key informants are involved in the technical, policy, project proposal
conceptualization, planning and program designing, and supervising the
implementation of the project.
• Women’s commitment and dedication to work is a manifestation of their selfless

love and concern for the environment; for their children; and for the future
generation. While this work is not economically viable, they are aware and
conscious that the only way to protect themselves and their family but to protect
Mother Earth.
• Women’s limited access and opportunities in the decision-making process constrain

the implementation of their environmental conservation programs.
• The lack of awareness, consciousness and commitment; how to change the attitude
of the people towards environment; how to care for the environment; how to
develop their love for livable environment; how to shift the paradigm of the local
leaders on sustainable development and environment; and how to sustain the
programs and projects for the protection of the environment are among the
challenges that confront the women groups in the implementation of environmental
conservation programs.
• Women play multiple roles in the family, community, and in the protection and
management of the natural resources. Their multifaceted roles lead to their multiple
burdens.
• Women’s perspective on the connections of women and environment are linked to

the domestic roles of women. Further, women’s roles are directly affected by the
state of environment because women are the main users of resources like coastal
and water resources, forest resources and other land resources.
• Women viewed degradation of environment as equal to the degradation of women

because it deprived them of a better life, better resources, and it makes motherhood

Glenton O. Guiriba
more difficult because it limits the opportunities for the women.
• Achieving sustainable environment and development will only be possible through

collaborative works and efforts of all the STAKEHOLDERS – the women and men,
the young and the old, communities, church, academe, LGU’s, civil society groups,
business, and the households.
Recommendations
• Provide opportunities for women, to encourage their participation in environmental
decision making process at all levels, including them as managers, projects
designers and planners, and as implementers and evaluators of environmental
programs and projects.
• Facilitate and improve women’s access to information and education particularly

along the areas of science and technology, management, economics and sociology,
in order to enhance their knowledge, skills and opportunities for participation in
environmental decisions.
• Promote the participation of local communities, particularly women in the

identification of public service needs, spatial planning and the provision and design
of infrastructure like the water pumps.
• Establish strategies and mechanisms to increase the proportion of women,

particularly at the grassroots levels, as decision makers, planners, technical advisers
and beneficiaries in the design, development and implementation of policies and
programs for natural resources management and environmental protection and
conservation.
For the Non-Government Organizations:
• Conduct advocacy programs on environment and environment and natural

resources management.
• Facilitate the access of women to knowledge, skills, marketing services and

environmentally sound technologies to support and strengthen their crucial roles
and expertise in resource management and biodiversity conservation.
• Provide opportunities for women to participate in decision-making regarding

sustainable resources management and the development of policies and programs
for sustainable development.
• Identify and promote environmentally sound technologies that have been designed,
developed and improved in consultation with women and that are appropriate to
both women and men. Provide technical assistance to women particularly those in
the rural areas. The technical assistance could be along the areas of agriculture,
fisheries, small enterprises, trade and industry to ensure the continuing promotion
of human resources development programs for women.

For the Government Agencies:
• For the Government to seriously and honestly implement existing environmental

laws, the passage of the total commercial log ban bill, repealing of the mining law,
and the implementation of Philippine Agenda 21. There is a need to popularize
good environmental laws and all other instruments related to the environment and
development of which the Philippines is a signatory. Women should be provided
with informed courses to equip them with tools for environmental campaigns and
lobbying. Laws that definitely contradict Agenda 21 and other existing
environmental laws should be reviewed and amended.
• Environmental education that is gender sensitive and gender-responsive should be

given both in formal and non-formal setting. The primary goal of this is to raise
environmental awareness and consciousness and actions of the majority of the
population so they will be more vigilant and committed in keeping watch over the
environment.
References
Agarwal, Bina. 1993. The Gender and the Environment Debate: Lessons from India. Feminist
Studies Vol. 18 No. 1
Shiva, Vandana. 1998. Staying Alive: Women, Ecology and Survival in India. London Zed
Books.

Susanita G. Lumbo, Mary Yole Apple M. Declaro and Venessa S. Casanova
Management Practices and Needs of Women Farmers

in Occidental Mindoro, Philippines:
Their Implications to Rural Livelihood
Susanita G. Lumbo
Mary Yole Apple M. Declaro
Venessa S. Casanova
Occidental Mindoro State College
Murtha, San Jose, Occidental Mindoro, Philippines
Abstract
This paper describes the demographic and socioeconomic characteristics, farm management
practices and needs of women farmers in Occidental Mindoro, Philippines. The women farmers
in Occidental Mindoro are small landholders who practice multiple cropping and are engaged in
small-scale animal production. They are not affiliated with any organization and have not
attended training programs, especially those related to agriculture and farm business
management. They have not received any technical and financial assistance from government
and non-government organizations.
They occasionally practice farm record keeping for planning and decision making. However,
their farm records are not updated regularly. They do not seem to appreciate the importance of
preparing project proposals. Sourcing of funds is the women’s foremost consideration to improve
agricultural productivity and income towards a better quality of life. They do not think of farming
as a business but only a source for family subsistence.
Keywords: women, management practices, farming
Introduction
Many studies reveal that women grow around half of the world’s food, but hardly
own any land, find difficulty of availing of loans, often hardly reached by extension and
other services, and are overlooked by agricultural planners and implementers. One
obvious manifestation of women’s inequity over men is their role as mother and wife-
which is vital to the whole being of society, which consumes around half of their time
and energy-is unpaid and undervalued (UN, 1985).
Roling (1988) notes that women deserve special attention especially in planning and
designing development intervention due to the fact that they have agricultural and non-
agricultural roles, tasks and responsibilities which are distinct from those of men and are
not substitutable by men. Paris (1993) reports that, inspite of the women’s crucial roles,
they are often excluded from research, technology, and development, training, and
extension programs, both as client and change agents.

Management Practices and Needs of Women Farmers in Occidental Mindoro, Philippines:
Numerous literature have already been written recognizing the significant

contribution of women in the arena of development. In the agriculture sector, for
instance, women are not only considered as laborers and as husband’s partner in making
major farm decisions but also as farm managers. However, women’s experience as farm
managers is not well- explored.
With the discovery of women as important actors in the context of development,

many private and government agencies are intensifying their efforts to empower women
by involving them in development activities. Norman (1994) reveals that in Los Baňos,
Laguna, Philippines, women have almost equal access as men to memberships in
people’s organization (POs). Women respondents expressed high level of participation
in all phases like planning, decision making, implementation and monitoring and
evaluations activities of the POs. Individual observers at Research Management Center
at University of the Philippines Los Baňos contend that gender issues may not be
working in the Philippines since Filipino women these days are becoming powerful.
They are now advancing in the fields previously identified as men’s domain. Nowadays,
it is not surprising to see women occupying higher positions both in the government and
non-government organizations.
Bunthirasmi (1987) did a case study on women leaders and rural women’s
participation in some development projects in Thailand. The study reveals that because
of society’s prejudice against leadership capabilities of women, Thai women do not get
top administrative positions. Even when they become leaders, they find it hard to make
the people believe that they can effectively perform their functions and because of this,
women’s participation in development programs is less. Bunthirasmi further observes
that leadership activities of women in the community are not seen as impediments to
good family management. They are still engaged in goal-setting, planning and
implementing while actually performing most of the household activities. This implies
that women can still get involved in the development programs without prejudice to the
management of the family.
Women play an essential and significant role in agriculture. It has been estimated
that their labor produce almost half of the world’s food (UN, 1985). But they do not
only contribute much of the agricultural work force, because they are also principal
contributors as agricultural managers, and decision makers (Keulen, 1995 and Bara,
1995).
There are reports showing that given the same kind of help, encouragement and
incentives as men, women’s agricultural productivity can equal that of men. In Africa,
there is evidence that women can become more productive farmers than men. In Kenya
where 38 percent of the farmers are women, those women managed to harvest the same
amount per hectare as men, despite the latter’s access to loans, advice, fertilizers, hybrid
seeds and insecticide. When women were given the same level of help, they were found
to be more efficient than men and produced bigger harvests (UN, 1985).

Paris and del Rosario (1993) reveal that in Cambodia, women who constitute 64
percent of the adult population also head some 35 percent of the households. Of the total
household surveyed, 44 percent of the farms are managed by women who are widows,
separated or divorced. The female heads of households have smaller farms (average .56
ha) which are also constrained by lack of access to irrigation facilities.
Agricultural technology in the developing world is too often designed and

disseminated without recognizing that many farm managers and decision makers are
women. Saito and Spurling (1993), therefore, suggest that to reach women with
appropriate message and technologies, research and extension services must understand
what men and women do in agriculture.
Women are not poorly served by extension services but are also put at a significant
relative disadvantage. Lewis (1992) reports that women could not seen access to
extension assistance primarily because they are women. In Kenya, even the large and
successful women farmers had less contact with extension agents than men with smaller
and less productive farms. Lewis emphasizes that denial of access to extension services
only impoverishes the quality of the advice that extension agents can offer.
Bara (1995) stresses that those female household heads have been generally by-
passed by the extension machinery because extension services tend to be male-oriented.
ADB (1990) reports that insufficient resources are allocated for extension activities
directed to meet the special needs of women farmers.
Generally, this study endeavored to determine the profile, management practices,

and needs of women farmers in the SAMARICA Area of Occidental Mindoro.
Specifically, it intended to a) describe women from different types of households in
terms of their personal, family, and socio-economic characteristics, and; b) determine
the management practices and needs of women farmer entrepreneurs. Information
generated from this study can serve as basis in designing programs that will maximize
their productivity, and hence, increase their economic contribution to the larger society.
Methodology
The study was conducted in the municipalities of San Jose, Magsaysay, Rizal, and
Calintaan (SAMARICA Area) in the province of Occidental Mindoro, Philippines. The
area was purposively chosen because of its proximity to Occidental Mindoro State
College-Murtha Campus. The study employed multi-stage sampling procedures.
Purposive sampling was used to determine the municipalities covered in the study.
From each municipality, barangay-representatives were identified using simple random
sampling technique.
All women who are engaged in farming and other related activities from each
sample barangay were included in the study. Sample size of women respondents were
determined using the Slovin’s formula and observing a degree of confidence at 10%
error. A total of 163 women participated in this investigation.

A survey was used as the data gathering technique using a structured questionnaire.
The questionnaire was pre-tested among women farmers of Barangay Murtha. They
were not included in the final list of respondents. The instrument was revised based on
the results of the pretest.
Data gathering commenced in September 2008 and ended in August 2009. Several
times during the data gathering period, the instrument was reviewed to ensure that
necessary information needed from the subjects are included. Data were validated using
the triangulation method comprising of key-informant interview, field observation, and
focus group discussion. The data collected were processed using descriptive statistics
such as frequency, percentage and rank.
The Respondents
Most women farmers were young (39 years old and younger) and high school
graduates. Majority (84.0%) were from joint-households which means the women are
engaged in farming along with a male partner or their husband. These findings affirm
results of the study conducted by Lumbo (2001) less than a decade ago that farmers in
Occidental Mindoro were mostly married and had attained high school education.
Table 1 shows that majority of the women had an average family size of 6-8
members. This suggests that farmers still prefer bigger household size because in
agrarian communities, the farmer’s family is the chief source and supplier of farm labor.
The women, including members of their household, had not undergone any medical
examination. The reason perhaps is that cough, headache, stomach pain, diarrhea and
others which they experienced are common ailments and can be treated even without
seeking medical help. This however suggests the possibility that medical services are
neither available nor have reached their community.
Majority of the women were landowners (60%) with an average farm size of at least
three hectares (57%). This means that women farmers of the province are no different
from their counterpart in many parts of the world as according to Saito and Spurling
(1996), many small-scale farmers worldwide are females.
The women farmers were not affiliated to any community organization (78%), had
not attended any training or seminar related to farming and business (79%), and had not
received any technical or financial assistance from any development organizations. This
finding implies that women were not reached by extension services. Therefore, they did
not have opportunity to learn new skills that may have helped improve their
productivity and income.
Similarly, extension programs available in the community may have been designed
to serve men without realizing that many farmers are women. The World Bank (1991)
as cited by Saito and Spurling (1996) reported that extension systems failed to reach

women farmers because they are viewed as farmers’ wives and not farmers in their own
right. This scenario happens worldwide, including the Philippines. Furthermore, women
were not able to receive technical and or financial assistance because this is usually
granted to organized group of individuals with similar goals and objectives. Most
women availed of production loans (72%) from private lenders and merchants, friends,
neighbors, and relatives. This practice may be explained by the fact that women are
smallholders so that bigger capital is not necessary. Similarly, limited education and
unfamiliarity with banking procedures make it difficult for women to secure bank loans.
Women who grow subsistence crops likewise may have difficulty in generating cash to
repay loans.
The presence of informal lending institutions, however, brings may be

disadvantageous to the women. Berger (1989) as cited by Saito and Spurling (1996)
revealed that it has been argued that as long as women depend on informal markets,
they will remain outside the economic mainstream. They tend to be segmented from the
larger market. Farmers’ production surpluses could have limited opportunity for better
market options.
Results also show the existence of informal relationship in agrarian communities

where economic transactions are anchored on neighborhood, mutual helpfulness, trust
and confidence.
Farm management practices of the women in the SAMARICA area
The women-respondents revealed that their foremost concern is capital

requirements of farming. Most of the time they lack funds to buy the needed inputs and
pay the farm laborers.
Availability of farm labor was likewise considered as a problem because nowadays

many rural dwellers prefer lesser physical jobs. As more men leave the farm in search
of off-farm employment, increasingly women are the de facto heading farm households
(Saito and Spurling, 1996). Scarcity of labor was experienced during planting and
harvesting seasons. Women likewise paid attention to the availability of farm
implement needed in the operations.
As shown in Table 2, the farm management practices of women were ranked based
on their responses. Gama and pakyawan were still practiced among farming
communities. Gama is similar to bayanihan or batarisan wherein farmers and their
household exchange labor with others. Pakyawan on the other hand, is an arrangement
that requires negotiating with one or two persons for labor supply.

Table 1. Socioeconomic characteristics of the women respondents.

Personal characteristics
Category Frequency Percentage (%)
(n=163)
Age 39 years old and younger 55 34
40-49 41 25
50-59 46 28
60 years old and older 23 14
Household type Joint-household 137 84
Widow-household 19 12
Single household 7 4
Educational attainment At least elementary 58 36
At least high school 71 44
At least high school 34 20
Family characteristics
Health (Have sought some Yes 60 37
medical help) No 103 63
Common diseases Coughs & colds 147 90
experienced* Fever 124 76
Headache 95 58
Stomach pain 72 44
Diarrhea 51 31
Rheumatism 51 31
Eye diseases 46 28
Fatigue 41 25
Family size 5 and below 28 17
6-8 109 67
9 and up 26 16
Socio-economic characteristics
Farm size 3 hectares and below 93 57
4-6 hectares 59 36
7 and up hectares 11 7
Tenure status Owner 98 60
Amortizing owner 21 13
Sharecropper 16 10
Leaseholder 28 17
Organizationally affiliated Yes 36 22
No 127 78
Attended trainings, Yes 36 22
seminars and others related No 127 78
to farming
Received technical and Yes 33 20
financial assistance No 130 80
Availed of production loans Yes 117 72
No 46 28
Sources of credit* Private lenders/merchants 67 41
Friends/neighbors/relatives 54 33
Cooperative 41 25
Banks 15 9
Reasons for credit source No other source 55 34
preference Easy to borrow 47 29
No collateral 33 20
Part of the agreement 18 11
Lower or no interest 10 6
*multiple response

The farmers procured farm inputs from the local stores and cooperatives on credit
payable after harvest. This explains why they sold their produce to the stores and
cooperatives aside from the private traders. Selling their produce to the private lenders
usually put the farmers at a disadvantage position. They no longer have complete
control of their produce especially in terms of getting better price. Price of some
commodities especially tobacco is dictated by local traders who also provided the
farmers capital loans and other material inputs.
Generally, women farmers do not keep farm records. They said it is not necessary
because they are already familiar with the details of the farm. Women contended that
they only manage small farms and recording of activities and transactions already make
things complicated. Only less than 10% admitted doing sort of record keeping but data
are not complete and up-to-date. Few women found keeping farm records important.
This serves as their basis in planning farm operation, measures of farm productivity,
helps identify problem areas, and helps in the proper allocation of resources.
Table 2. Farm management practices of women farmers in SAMARICA Area,

Occidental Mindoro, Philippines.
Management Practices
Things considered in agricultural production Rank
a. budget 1
b. availability of manpower 2
c. availability of farm implement 3
Method of selecting/hiring farm labor
a. gama 1
b. pakyaw 2
c. suki 3
d. anyone who is available will do 4
e. anyone who is already trusted 5
Basis of hiring rate
a. prevailing rate 1
b. through negotiation 2
Source of Farm Inputs
a. stores 1
b. cooperatives 2
Market Outlet
a. private traders 1
b. stores 2
c. cooperatives 3
Perceived importance of keeping farm record
a. serves as basis in planning farm operation 1
b. measures economic performance of farm 2
c. identifies weak or problem areas 3
d. helps in the proper allocation of resources 4

Management needs of women farmers
Majority of the women farmers said they could not think of anything that will help
them manage their farming activities. They said they have been doing the tasks all their
life. They argued that training is not needed unless there are new ways of doing farm
work to increase productivity and income. They wanted to improve their level of living,
to have fair price of their produce commensurate to the expenses incurred, and to have
better returns on investments.
Drawing from the responses of women farmers, it can be said that women wanted
to improve the effectiveness and efficiency of their farming enterprise. This implies
providing farmers the opportunity to learn new skills, and technologies that will help
them attain better agricultural production and income. Furthermore, this suggests
designing extension programs to suit farmers’ conditions and needed.
Only less than 50% of the respondents directly admitted they needed some skills
training on sourcing of farm inputs, keeping farm records, sourcing of funds, pricing of
goods produced, and others (Table 3) because women farmers do not think of farming
as enterprise but only as a regular source of family subsistence.
Table 3. Farm management needs of women farmers in SAMARICA Area, Occidental

Farmers’ perceived management skills needed % Rank
a. Sourcing of farm inputs (fertilizers, seeds, pesticides, feeds, 49 1.5

vaccines, etc.) 49 1.5
b. keeping farm records 46 3
c. sourcing of funds 44 4
d. pricing of goods produced 42 5
e. choosing right market for goods produced 31 6.5
f. hiring of labor 31 6.5
g. preventing losses
Based on the results of the study, the following conclusions are drawn:
• The women farmers are at the life stage where their productivity can be maximized.
Neglecting their potential is a waste of very important productive resource. They
can help generate livelihood options in their communities. They can also assume
leadership positions in community organizations.
• The women are constrained by the very basic requirements important in their
productive roles. It shows the absence of extension support for them. Interventions
must be installed to help women perform their roles efficiently and effectively.

• Women farmers do not think of farming as enterprise but only as a regular source of
family subsistence. But they wish to improve their productivity and income. This
implies that given the right motivation, technical and financial support, and better
market options, the women can be trained to become good entrepreneurs.
Recommendations
In view of the above findings, conclusions and implications, the following are
hereby recommended to address women’s issues and concerns:
• Formulate and implement rural development programs that ensure women’s equal
access to resources and benefits. Address women’s double burden of parenting and
breadwinning roles through the provision of health, information, technical, credit,
and market support services.
• Provide women farmers education and training opportunities especially in the

effective and efficient management of their farming enterprise. Extension programs
specifically designed to address women’s needs and priorities must be instituted.
Build the capability of women in income generation and community development.
There is also a need for orientation of women’s values.
• Encourage active participation of women in community organizations and

involvement in the planning, implementation and evaluation of community projects.
References
ADB, “Gender Issues in Agriculture.” Papers and Proceedings of the Regional Conference on
Gender issues in Agriculture, Manila, Phils.5-6 Dec. 1990.
Bajracharya, B.1991. “Women Farmers Involvement in Agricultural Research in Nepal.”

Pachribas Agricultural Center. Kathmandu, Nepal.
Bunthirasmi, Tawit.1987. Women Leader and Women’s Participation in Some Development

Programs/Projects in Petchabun Province, Thailand: A Case Study. Unpublished Doctoral
Dissertation, University of the Philippines, Los Baños, Laguna.
IRRI, 1985. Women Rice Farming. Proceedings of a Conference on Women in Rice Farming
Systems. IRRI, Manila, Philippines. 26-30 September 1983.
Lumbo, Susanita G. 2001. LGUs, NGOs, and POs Partnership in the Integrated Pest
Management for Rice Project in Occidental Mindoro, Philippines. Unpublished Doctoral
Dissertation, University of the Philippines, Los Baños, Laguna.
Niva, Bara.1995. Women Farmers Contribution on Sustainable Agriculture in the Tribal region
of Bihar, India. Unpublished Doctoral Dissertation, University of the Philippines, Los
Baños, Laguna.
Norman, Lawrence P. 1994. Women Participation in PO’s in Los Baños, Laguna. Unpublished
MS Thesis, University of the Philippines, Los Baños, Laguna.

Paris, Thelma R. What Research Offers… A Better Life for Women in: Food Comes First for
Asia. Proceedings of the Australia-IRRI Day Event on 16 April 1993, Canberra, Australia.
Crawford Fund for International Agricultural Research.
Paris, TR. 1988. Women in rice farming systems: A preliminary report of action research
program in Sta. Barbara, Pangasinan. A paper presented in the Consultative Workshop on
Women Rice Farming Systems in the Philippines. University of the Philippines Los Baños,
International Rice Research Institute and Philippine Institute for Development Studies pp.
57-102.
Roling, Niels. 1988. Extension Science. Information Systems in Agricultural Development.
Saito, Katherine and Spurling, Dapne. 1993. “Agricultural Extension for Women Farmers”.
Interpaks Digest, Vol. 1 No. 3 Fall 1993.
Trinidad, Rosario G. 1993. Rural Women’s Participation in Farm and Non-farm Activities in
Camalaniguan, Cagayan. Unpublished Doctoral Dissertation, University of the Philippines,
Los Baños, Laguna.
United Nations. 19.

Social Network: An Effective Communication

in Controlling Teenage Pregnancy in Thailand
PhD Student, Social Development, Faculty of Social Sciences
Naresuan University, Thailand
phasuk_k@hotmail.com
Abstract
The incidence of pregnancy and spread of sexually-transmitted diseases [STD] in early teenage
years is continuously increasing in the rural communities in the north of Thailand. The major
objective of this paper is to provide sex communication advice for the parents and teenagers in
the rural communities. The study was conducted using in-depth interview, focus group
discussion, seminar, panel discussions, and survey questionnaires.
Results showed that teenage pregnancy is caused by internal and external factors. The internal
factors include: (1) lack of proper communication with teachers, families, and peers in daily life,
and (2) relying on friends’ suggestions regarding unsafe sexual behaviors. The external factors
are (1) financial problems in their families and communities, (2) inappropriate sex education
courses in school, and (3) sex-related information received from the media, the internet and
telephone.
This paper highlights the essential elements of social networking for better sex communication
between parents and teenagers. These are as follows: (1) clarification on problems and its roots
in each community; (2) cooperation with all actors in the community for solving and preventing
the problems; (3) development of communication skills by parents, teachers, and teenager risk
groups; and (4) development of community policies for the prevention of unsafe sex problems in
teenagers.
This article suggests that in order to prevent teenage pregnancy and unsafe sex behaviors, it
requires a better understanding about the causes of the problems and the participation of all
actors in the teenagers’ social network. There are three important methods to manage these
problems, namely: supporting key activities, establishing better communication channels, and
creating appropriate policies.
Keywords: social network, teenage pregnancy, sex communication

Social Network: An Effective Communication for Stopping Teenage Pregnancy
Introduction
The incidence of unsafe sex and teenage pregnancy is increasing among teenagers
in Thailand. Teenage pregnancy and childbearing are associated with early sexual
activities (Mcllhaney, 2000). A study by the Child Watch project in 2005 found out that
there were 62,000 teenagers with cases of unwanted pregnancy in Thailand, and among
them, are 2,600 pre-teenagers aged between 12 and 14 years old (Praseartvit, 2007). The
survey also revealed that between 2001 and 2007, 60 ten-year old girls were pregnant,
and that the rate of sexually transmitted disease (STD) tended to increase in student
groups (Bunyarattapan, 2008).
Pre-teenage pregnancy and unwanted pregnancy are increasing in areas of northern

Thailand. The teenage group are at risk of an abortion, light-weight infant, high
mortally rate of infants, frequent death of women in childbirth, STD, loss of
opportunities in society, lack of opportunity for education and employment, unstable
income status, a broken marriage, abandonment of the infant by giving them to the
relatives, and low-quality child care. These problems affect the social well-being in
multi-dimensions including families, children, and communities.
Pregnancy among high school teenagers has been gradually increasing from 33.33
percent in 2007 to 37.68 percent in 2008. Labile and STD have also been increasing
continuously. The social factors influenced risky sexual behavior among teenagers in
rural areas include: peer influences, sexual counseling, having a boyfriend or girlfriend,
and sex-explicit media. In addition, cultural factors such as broken family, divorce, little
interaction with parents and children, abuse of education for children, fashion, and the
media (Kumpirat, 2003; Aubolsaaad et al., 2009) are among the cultural factors
influencing the increasing rate of teenage pregnancy.
The social network is conceptualized based on the presence of many social actors
for problem-solving, although the issue of teenage pregnancy lacks communication.
Parents did not seriously taken into consideration educating their children about sex on
the belief that their children would abide by the Thai social codes of no sexual
intercourse before marriage and little mentoring about safe sex. The parents also
perceive that sex communication is shameful. However, early sex communication to a
child should be seen as a guide only and not as a means to encourage the children to
engage in sexual activities at an early age. There is an important role for parents in
conveying self-esteem, promoting family relations with skill to avoid sex drive,
informing about safe sex, dealing with medium-level situational crisis, and addressing
other issues concerning sexual development (Raekkhao, 2000).
However, the science subjects could hardly tackle sex education topics. Parents
believe that children learn sex education from school. Nowadays, Thai teenage students
learn about sex from groups of friends, mass media, magazines, phone sex clips, and the
internet (Senanayake, and Faulkner, 2003; Rosnatu, Lafrate, and Scabini, 2007;
Ledbetter, 2009).

Objective
This paper highlights the results of a study which aimed to improve sex
communication between parents and teenagers in rural communities in northern
Thailand.
Research Methodology
The research undertaken adopted a multi-methodological approach. The first stage

observed the problems and attitudes in junior high school students. The next stage
studied qualitatively the sexual behaviors by using action research to attain the specific
information needed. The process involved setting a stage community that will
encourage the dissemination of research outcomes to the parents, community leaders.
The last stage expanded the area of learning and encouraged children and teenagers to
follow the recommended policy. There were 830 people in the sample group.
Quantitative data analysis was used with descriptive statistics. Qualitative data analysis
revolved a substance synthesis, content analysis, and conclusion and induction.
Findings
The major causes of pregnancy in teenagers can be grouped into internal and
external factors. Among the internal factors are as follows:
Communication that affects teenage pregnancy and unsafe sex of teenage group
The data from in-depth interviews and focus group discussions on teenage
pregnancy and unsafe sex indicated that the risk factor shares many of the same points,
including family, school, friends, addictive substances, technology, and community
environment.
Little sex communication in the family
There was a very little and to some extent, no communication about sex, within the
family. This topic is often perceived as shameful and therefore love affairs and
relationship with the opposite sex are always kept as a secret by the teenagers.
“I can talk about everything with my parents except about my girlfriend and
her pregnancy by me. That secret can’t be said because they will insult me and
kick me” (teenage boy, 15 years old)
Teenage boy, 15 years old
I don’t talk about sex with my parents. Instead, I would just ask my close
friend about the topic” (teenage boy, 15 years old)

Because they are pre-occupied with their economic activities such as work and/or
business, the parents surely have time to talk with their children, particularly as regards
with sex education. Instead, they expect the teachers and the school to be responsible in
providing sex education.
The recommendation is about family and guardian development emphasizing on

building-up a good friendly relationship within the family. Parents must take care of
children more closely, doing activity together as a family and to find a role that sets a
good precedence for the child (recognizing the modern context), and to follow-up, take
care of each other, reveal one's feelings, and listen together.
Sex communication in school
The sex education in schools largely dwell on physiology. It does not cover topics
such as relationship between a man and a woman; and between friends. In addition, the
age difference between the teacher and the students results in different perspectives on
social issues.
“In the ‘Health’ subject in secondary education, a teacher teaches about the
sexual organs of a man and a woman. (Pregnant teenager, 15 years old)
This study proposes to improve this situation by strengthening the skills of teachers
to build a positive attitude, and establish positive relations between the teacher, parents
and teenagers, to exchange information through dialogue, promote better problem-
solving, and, add techniques on communication and better learning about sex education.
Sex communication within a peer group
The formation of peer groups are often the starting point when relationships begin
and built. Consequently, teenagers begin to find lovers. The student relationships start
around semester II of grade I secondary school. During this period, they gain more
friends and expand their relationships with other groups. The majority built these
relationships by telephone and internet chat. The teenager’s friends are most important
confidents. How relations lead to engaging in sexual activities has a variety of routes.
The following are the external factors which influence teenage pregrancy.
The addictive substance
Teenagers at their early age, may start the use of addictive substances such as spirits
and liquors, cigarettes and chemical substances. Drinking at home is acceptable to the
parents and the community. However, this builds teenagers’ confidence to engage in
drinking activities, even outside their homes. This behavior often leads to sexual
activities and unwanted pregnancy.

“There has been an increasing number of teenagers who are drinking. They
lose their senses of teaching oftentimes get into trouble. There are cases when
they stop schooling because of their behaviors.
Almost every member of the family drinks liquor.
Mass media and the technology
Teenagers learn from groups of friends, mobile phones, the internet, video clips, sex
videos, sexy Japanese cartoon books, and magazines that contain nude pictures that are
available at the weekend local markets near their houses. Many teenagers have mobile
phones now that can play music, take photographs, and play video clips that could be
shared with friends.
Community environment
Games shops, internet cafes, gambling shops and liquor shops are the local areas in
rural communities where people usually meet. . If the environment is favorable, then
leaders and elders in the community can be role models for teenagers, who will then
develop a positive attitude and promote positive community values that may control
teenage pregnancy and unsafe sex.
The community should also set policies and establish strategies that would enhance
teenage and family values. This should aim to change values towards good cultural
traditions in the community and families with teenagers, and should support teenagers
in the community. Families, teachers, and the wider community should all participate to
promote positive thinking, build self-esteem, and develop skills for spiritual care for
healthy relationships.

Social Network Development of Youth, Teachers, and the Community for the
Prevention of Unsafe Sex
Figure 1. Social network development model for prevention of unsafe sex in rural areas
in the north of Thailand.
According to the model presented in Figure 1, the steps that should be taken to
develop participation and prevent problems associated with unsafe sex among the
teenagers are as follows:
• Work together to build a better understanding about the problems perceived in

the area.
• Coordinate continuously with relevant government offices to provide support

for the psycho-social development of children and teenager.
• Establish communication between parents, teachers, and at risk teenager

groups, and develop deep listening skills and positive communication via art
activities, personal reflections, music, drama, games; and stories.
• Promote sharing and interactions to improve the preparation of suitable

community policies that specifically addresses issues at different levels. Some
approaches include a) sharing and reinforcing positive thinking that develop

skills and help express self-esteem; b) emphasizing mental care and build
understanding of loving relationships; and c) improving child latency through
various activities that are geared towards improving health.
Conclusion
This study concludes that the presence of strong relationships in the community is a
success factor to enable the community to understand the issues about sexual
relationships. To solve the problem of teenage pregnancy, school groups, teachers,
community leaders, families, and students have to change their attitudes, behaviors and
expand learning to other interests. Different forms of modern communication effect
teenagers’ sex education, their personal skills to deal with sexual relations, and their
self-esteem. Morever, unsafe sex prevention policies and programs should be
reformulated to: strengthen parents’ responsibility and teacher communications; try and
understand about the physical and psychological development of teenagers; and clarify,
important social changes, which include promoting policies in the community that
support good communication in the family, and providing space to the teenagers so that
they could express themselves.
In the north of Thailand, communication about sex is a problem that relates to

culture, attitude, education and family background. As such, the prevention of unwanted
pregnancies and sexually transmitted diseases needs the involvement of parents,
schools, and the community. It must also include the local government administrations
that continuously support broader activities for the development of families and
teenagers skills.
Reference
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Duangkamol Poonual and Patcharin Sirasoonthorn
Assessing the Increasing Trend of Suicide Among the Elderly

Citizens in Thailand
Duangkamol Poonual
Faculty of Social Sciences
duang66@hotmail.com
Patcharin Sirasoonthorn
Faculty of Social Sciences
patcharins76@hotmail.com
Abstract
Aging population and poor urban planning are among the emerging issues that confront the
word in the 21st century. These social factors are affecting the lifestyles of the senior residents or
the elderly in the urban areas. To clarify these issues, a survey was conducted among the 34
urban senior respondents in Thailand. These respondents had an age range of 46-85 years old.
Most of them were unemployed, poor farmers and small business entrepreneurs. They were
classified as having low income, low level of education with chronic diseases such as
hypertension and high levels of cholesterol. The problems of these respondents included: (1)
economics (e.g. debt, small amount of savings); (2) social (e.g. alienation, loneliness and
depression); and, (3) behavioral (e.g. problematic eating habit). Moreover, these respondents
were confronted with issues such as the physical hazards brought about by the dangerous
domestic areas (e.g. no grab bars in toilet, unsuitable stairs, unsuitable pavements for
pedestrians, no traffic signals on the roads, and sharp curve). In terms of human rights, these
respondents did not participate in political activities; had no knowledge about their rights in
health insurance, public transportation, and funding.
These findings suggest the need to: 1) improve individual income through the implementation of
livelihood activities such as handicrafts making and wickerwork; 2) increase and strengthen
socioeconomic association for the elderly in the community; 3) increase support from health care
practitioners and community health volunteers; 4) increase knowledge on human rights, politics,
health and education; and, 5) improve public transportation, infrastructures and social facilities.
Keywords: livelihood, elderly citizens, Thailand

Assessing the Increasing Trend of Suicide Among the Elderly Citizens in Thailand
Introduction
Aging population and urbanization are among the major demographic trends both in
the developed and less developed countries. With rapid urban expansion, pressure is
exerted on housing, water and sewage facilities, transportation, and distribution of basic
commodities. In addition, this creates health and nutrition problems, particularly among
those who have recently migrated and are living in slums and shanty towns (Barba and
Rabuco, 1997.p.3).
The problem of aging has likewise become a serious issue, particularly in less
developed countries with “older population”, (those aged 60 years old and above). This
trend is projected to increase at an unprecedented rate in the next 40 years (Table 1).
The rates of increase in older population are expected to be among the highest in the
East and Southeast Asian regions (Mujahid, 2006. p.10.) These demographic changes
are the direct result of the success of socio-economic development that has led to
declines in mortality rates at all ages and reductions in fertility. However, an aged
population might be expected to suffer with the problems of dependency and disability
leading to an increased burden of disease (Jitapunkul, Bunnag and Ebrahim, 1993).
Table 1. Projected aging population in the next 40 years in less developed and
developed countries.
Population (in billion) 2000 2025 2050

Total 6.0 7.8 8.9
More developed countries 1.2 1.2 1.2
Less developed countries 4.7 6.6 7.8
60+ 0.6 1.2 2.0
More developed countries 0.2 0.3 0.3
Less developed countries 0.4 0.9 1.7
Source: World Health Organization Ageing and Life Course Programme
In Thailand, changes in fertility and mortality affect not only the share of the
population in older age groups but the entire age structure. Figure 1 shows the
anticipated changes in the share of the population accounted for by three major age
groups, namely: 0-14, 15-59, and 60 and over. These correspond roughly to dependent
aged children, the working age population, and the older age population. A sizable share
of the population 60 and over, is likely to have ceased their productive economic
activity (Knodel and Chayovan, 2008).

Figure 1. Percentage population of major age groups in Thailand (1950-2050)

Source: United 2007b (medium variant)
In less developed countries, the problems associated with old age are poor diet, ill-
health and inadequate housing, which are all exacerbated by poverty. (World Health
Organization Regional Office for South-East Asia, 2004. p.1). Problems in physical and
mental health are common among elderly because of physical deterioration, undermine
eyesight, mobility, hearing, and weakening capabilities. These problems include being
prone to illness, inactive and feeling unwanted. According to the World Health
Organization, psychological disorders are estimated to rank second from heart disease
as a disease affecting work disability in 2020. Similar to the 2003 National Survey on
Psychological Epidemiology, depression ranks first among the psychological disorders
of the Thai people (Darawuttimaprakorn and Punpuing, 2010).
Furthermore, the changing age structure has reduced the support base for the older
persons. Though traditional family ties continue to remain strong in most countries, the
declining family size, nuclearisation of families and migration, have weakened the
capability of the family to provide care for older parents/relatives (Mujahid, 2006.
p.XII).
In such countries as Japan and Hongkong, suicide rate has significantly increased.
The rapid increase of elderly people led to a higher elderly dependency ratio and
insufficient support from the society, possibly resulting in the increase in the suicide
rate among the old people (Kwon, Chun and Cho, 2009). This is consistent with the
findings of the Mental Health Department of Thailand in 2005 that the senior citizens
had the highest suicide rate at 14% compared to other age brackets. The research
findings also highlighted that the rising suicide rate among older people stems from
socio-economic changes and an increase in social problems. Most of the elderly feel
depressed and vulnerable because of family negligence (Treerutkuarkul, 2005).

In view of these developments, a study was conducted in an urban area of Uttaradit

Province, Thailand to find out and validate the problems and needs of the senior
citizens.
Methodology
A qualitative research was applied in this study. Thirty-four (34) urban senior
respondents were interviewed using a semi-structured questionnaire. Using a checklist,
the public facilities for the elderly were explored in the municipal areas. The sample
was selected by age, occupation and economic status. The age group was categorized as
prior elderly (45-59 years old), the young elderly (60-74 years old) and the old elderly
(75 years old and over). The date were analyzed using content analysis
Demographic characteristics of the respondents
The senior respondents were mostly female (58.8%). The mean age was 66 years
old (SD=11.3), aged between 46-85 years old. Most of them were married (61.8%), had
primary school education (64.7%), unemployed (38.2%), farmers (20.6%) and small
business entrepreneurs (17.6%). The mean number of children among the old elderly,
the young elderly and the prior elderly were 5.6, 3.3 and 1.8, respectively, while the
mean number of family members were 4.6, 3.7 and 3.6, respectively.
The results showed that the number of children and family members among the old
elderly, the young elderly and the prior elderly are in the declining trend. As much as
possible, the elderly should stay with the family for them to be given the most needed
care and attention. However, there is a certain number of elderly who does not have
their family to turn to. As such, most of them are accommodated in the government
institutions such as the National Nursing Home or Community-Based Home Care for
Old People. For the elderly who are still capable of taking care of themselves, they
could stay with their family or stay in the facilities provided by the community. In either
case, the family members of the community healthcare workers should be given
appropriate training on “caregiving” (Thailand Development Research Institute
Foundation, 2006).
Problems and needs of the elderly
• About 34.8% of the elderly respondents indicated that their income was
insufficient. They have expressed the need for employment in order to gain income
and savings. This is consistent with the findings about the factors that affect the
elderly’s participation in the work force; education, no source of income from
pension and children and debt, activities of daily living (ADL) and chronic illness
(Soonthorndhada, 2010). Thus, the various parties concerned should provide
capability-building opportunities to engage the elderly people to productive and
economic activities.

• In terms of health, the respondents reported that they had chronic diseases (73.5%),
namely: hypertension (29.4%), high cholesterol (17.6%), heart disease (14.7%),
diabetes mellitus (11.8%) and peptic ulcer (29.4%). They had unsuitable behaviors
about eating high cholesterol (44.1%), salted food (32.4%), sweet food (29.4%) and
unsuitable behaviors about exercise among the old elderly, the young elderly and
the prior elderly were 63.6%, 25% and 9.1%, respectively. The senior respondents
needed the caregivers and support of health care practitioners.
• The results showed that almost three-fourths of the respondents had chronic disease.
Most of them were found to be able to perform the daily chores on their own but
they would like the children to support their medical and health concerns. This is
consistent with the findings of Theewonda and Sanjai (2001) that the elderly needs
caregivers all the time to assist them in the meals preparation and medical check-
ups. Furthermore, the senior respondents had unsuitable behaviors about eating and
exercise and they need support of the caregivers and health care practitioners. The
elderly requires health care practitioners who are capable of motivating them to
improve health and manage chronic conditions. Daily decisions (e.g. eating,
physical activity, taking medications, monitoring symptoms, etc.), which to varying
degrees are influenced by broader social and environmental determinants, can effect
to onset, delay or total prevention of associated complications (World Health
Organization, 2005).
• Most of the elderly that is categorized as “prior elderly” group felt happy, peaceful,
although they are also anxious with their grandchildren, stressed with debt and felt
lonely. The “young elderly group” were found to be happy, satisfied, disinterested,
felt poor, inconvenient, and wanted to die. The “old elderly group” indicated that
they felt bored with their body, bored with life and wanted to die, aimless, alienated
and old. The senior respondents expressed the need for a family, strong elderly
association, community activities, continuous teaching of the Buddhist principles.
Depression is a prolonged and persistent state of sadness – a pathological/morbid

condition. Suicide is a major risk during the course of depression (Khandelwal, et
al., 2001) This is consistent with the PROSPECT study in 2004 which found out
that the suicide rate for men in the United States is highest among those ≥85 years
and elderly person with several medical illnesses have an increased risk of suicide
(Warner, 2010). The study of suicide attempts and suicidal thoughts in Thai elderly
patients at Siriraj hospital, revealed that the most important factors which the
patients believed are the cause of their suicidal attempts are family problems and
suffering from physical illnesses (Kooptiwoot, 1998). The major contributing
factors in depression were financial, poor family relationships and physical illness
(Thongtang, et al., 2002). The impact of mean household size and family structure
on elderly suicide rate may interact with and be modified and mediated through
cultural factors (Shah, 2009). In traditional societies, the elderly are respected, and
live in closely knit families. This offers protection against loneliness and despair,
which otherwise may lead to suicide (Shah, 2010). Moreover, government, non-
government or any social institution have to set the older population issue as first
priority (Darawuttimaprakorn and Punpuing, 2010). The prevention and

management of depression and suicide factors may bring about quality of life for
the elderly (Thongtang, 2002).
• Most senior respondents stayed at home where bedrooms are located on the second
floor (63.6%). They had unsuitable toilet for the elderly and no grab bars in toilet.]
Meanwhile, public facilities were perceived to have been established with poor
planning. These are evidenced by the lack of grab bars in the toilet, lack of hard
rails on both sides of the stairs, unsuitable pavements for the pedestrians, and lack
of traffic signals. The elderly needs safe road, toilet appropriate for them housing
facilities and recreational facilities.
The home of senior respondents and the public facilities were unsuitable for the
elderly because the elderly and their family, the people in community, government,
non- government or any social institution did not anticipate to prepare the safety
environment for the elderly. Thus, “an age-friendly community project” should be
promoted in each partner city or community.
WHO defines an “age friendly” community as one in which service providers,

public officials, community leaders, faith leaders, business people and citizen:
recognize the great diversity among older persons; promote their inclusion and
contribution in all areas of community life; respect their decisions and lifestyle
choices, and anticipate and respond flexibly to aging-related needs and preferences.
In an age-friendly community, policies, programs, services and infrastructure
related to the physical and social environment are designed to enable older people
to live in security, enjoy good health and continue to participate in society in a
meaningful way. It takes into account the biological, psychological, behavioural,
economic, social and environmental factors that operate over the course of a
person’s life to determine health and well-being in later years. (District of Saanich,
British Columbia, Canada World Health Organization’s, n.d.) The age-friendly city
topic areas were outdoor spaces and buildings , transportation, housing , respect and
social inclusion, social participation, civic participation and employment,
communication and information, community support and health services (World
Health Organization, 2007).
• The senior respondents perceived basic social services at the moderate level. The
respondents received the basic social welfare at the moderate level (67.6%). The
least social service that is being received by the elderly is social security. With
regards to Elderly Act BE 2546, most of the senior respondents perceived that they
could not exercise their rights (47.1%). About 91% of the respondents mentioned
that no information and services are being extended to them. Many of them (70.6%)
also said that they have little participation in political concerns.
”The Access to the right according to Elderly Act B.E.2546” recommends that the
National Commission of the elderly should consider adjusting the rights of the
elderly in order to respond to their needs; promote the public relations at the
operational level; and, train and offer knowledge to every level of officers in order

to accurately understand the rights. In addition, it should adjust the method in order
for the elderly group, understand the requirement, guidelines and conditions.
Concerning the arrangement of group activities, there is a need to promote and train
the legal knowledge and rights of the elderly (Yodphet and Meankert, 2008).
Recommendation
Based on the research findings there is a need to address the issues and concerns
confronting the elderly to prevent suicide. These include 1) enhancing individual
income through handicrafts and wickerwork, 2) increasing elderly strong socio-
economic association in the community, 3) increasing social support from health care
practitioners and community health volunteer, (4) to increase knowledge in human
right, politic, health, and education, and 5) improving public transportation;
infrastructures and social facilities.
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Ma. Eva T. Aldon, Dianne H. Tormon and A. C. Fermin
Sociocultural Factors Influencing

Fishers’ Participation in Coastal Resource Management
in Aniniy, Antique, West Central, Philippines

Aquaculture Department, Southeast Fisheries Development Center
Tigbauan, Iloilo, Philippines
etaldon@seafdec.org.ph
Abstract
Fishing is the only source of livelihood in the coastal communities. This is the reason why
poverty persists in these areas. The lack of other alternative livelihood activities results to
overfishing and eventual degradation of fishery resources, thus, forming a vicious cycle of
poverty and resource degradation. Recognizing the importance of promoting healthy and
sustainable fisheries, SEAFDEC/AQD collaborated with the local government of Anini-y to
develop a sustainable utilization of natural marine resources within the marine protected area at
Nogas Island, Anini-y, Antique.
This study determined the fishers’ sociocultural characteristics and how these variables influence
their participation in the community’s coastal resources management activities. Primary data
were collected from household survey using semi-structured questionnaire, focus group
discussion and in-depth interview with key informants. Means and frequencies were used to
describe the fishers’ sociocultural and demographic characteristics while logistic regressions
run by SPSS program was used to determine significance of relationships between sociocultural
variables and extent of participation in coastal resources management. Results showed that age,
gender, household size, distance from the shoreline, perceptions about coastal resources and
fishers’ willingness to leave fishing did not significantly influence fishers’ participation in coastal
resources management while fishers’ economic well being, attitude towards coastal resources
and awareness level to fishery regulations showed significant influence.
Keywords: socio-cultural factors, coastal resources management, participation
Introduction
Despite the declining production (FAO 1999, BFAR 2002), fisheries continue to
play an important role in the Philippine economy. However, intense commercial fishing
and use of destructive fishing gears are degrading and destroying fishery habitats
resulting not only in the depletion of fishery resources, but altering the ecosystems.
(Pitcher and Pauly, 1998). The subsequent negative effect on non-fishing economy is
exacerbating poverty in the coastal communities (Hamilton 2007). In order to increase
fish catch, the fishers resort to destructive fishing that aggravates the depletion of
fisheries and their poverty (Agbayani & Siar 1994; Lacanilao, 1998; La Vina, 1999).
The collapse of the Northern Atlantic cod fishery (Hamilton 1998, Hamilton and

Sociocultural Factors Influencing Fishers’ Participation in Coastal Resource Management in Aniniy, Antique, West
Central Philippines
Otterstad 1998) is a painful lesson to be learned. Why fishers continue to harm the
source of their livelihood is an important social issue that needs to be addressed.
One reason why fisheries management is unable to reverse the declining trend of
fish catch (Agardy 2000; Bohnsack et al 2004, Degnbol and B.McCay 2006; Dewees
1997; Hamilton and Otterstad 1998; Pitcher and Pauly 1998; Pomeroy 1995; Pomeroy
et al. 2005; Hamilton 2007) is due partly to lack of involvement in the management
processes of those who exploit them. Considering stakeholders’ varied perspectives and
values can lead to a fruitful collaboration that may ensure support and community’s
acceptance of projects that will address environmental concerns.
Recognizing the importance of arresting the depletion of coastal resources,

SEAFDEC/AQD collaborated with the local government of Aniniy, Antique,
Philippines to develop a sustainable utilization of natural marine resources through sea
ranching of abalone in the marine protected area. Establishing marine protected areas
(MPA) is a feasible and effective means to address the declining fisheries (Roberts and
Polunin 1993; Roberts et al 2003; Roberts et al 2004; Bohnsack 1990, 1993, 1994; Gell
and Roberts 2003; Halpern and Warner 2003; Syms and Carr undated; Russ et al 2004;
Webb et al 2004; Halern & Warner 2003).
The study was conducted to determine the fishers’ social characteristics and
identify the factors that influence their participation and cooperation coastal resources
management as indicator for the success of developing a sustainable utilization of
natural marine resources through searanching of abalone with the marine protected area.
Objectives
This study investigated the sociocultural factors that influence fishers’ participation
and cooperation in developing a sustainable utilization of natural marine resources
through searanching of abalone within the marine protected area. Specifically, this study
aimed to:
• describe the social characteristics of fishers in 17 coastal barangays of Aniniy,

Antique and how these variables influence their participation in coastal resources
management activities;
• determine the extent of participation of fishers in coastal resources management

activities as an indicator of their cooperation with the abalone searanching project;
and,
• determine cultural factors i.e. a) fishers’ perception about coastal resources b)

fishers’ awareness level of fishing regulations and their influence to their
participation in coastal resources management.

Methodology
The study was conducted in the municipality of Anini-y, Antique, located in the
western tip of Panay Island, Central Philippines. The municipality is about 42 km from
San Jose, the capital town of Antique, with a total land area of 5,520 hectares, mostly
rugged, unproductive mountain ranges and long stretch of coral-lined shorelines. It has
23 barangays, of which, 17 are classified as coastal communities.
The data were gathered through household survey, in-depth interviews of key
informants, and focus group discussions. A standardized survey questionnaire was used
to describe the (1) socioeconomic and demographic data, (2) fishery resources and
activities; and (3) perception about coastal resources. Using Likert scale the fisher’s
attitude towards coastal resources management, awareness level of fishing regulations
and extent of participation in coastal resources management activities were measured.
Secondary data were likewise obtained from various sources to supplement the primary
data gathering.
The 157 respondents were randomly drawn from the local list of the Department of
Agriculture. Qualitative information was taken from the Municipality of Aniniy
documents and minutes of meetings, key informants interview and focus group
discussions. Frequency counts and means were used to describe the socio-demographic
characteristics of the respondents. Logistic regression run by SPSS program was used to
determine significance of relationships of different sociocultural variables and the extent
of participation in coastal resources management.
Fishers’ social characteristics
Fishing is the major source of income and livelihood in the coastal communities of
Aniny, Antique. Fishers’ subsistence depends highly on the exploitation of marine
resources. Just like farming, fishing activities are highly dependent on the weather. The
peak months for fishing are from January to May and the lean months start from June to
September. Fishers, however, claimed that the two distinct seasons–the dry (tingadlaw)
and wet (tag-uran) are not as pronounced as they were ten or more years ago when they
could easily predict good or bad season for fishing.
Majority of the fisher-respondents (120) were married with mean age of 41.
Literacy level is generally low ranging between 2 and 14 years and averaging at 8 years
which is equivalent to first year high school. The average household size is eight (8).
Except for a few (6.4%), nearly, all fishers interviewed (93.6%, A5) depend solely on
fishing as their source of income.
The variations of the daily catch makes it difficult to estimate the fisher’s income.
Small-scale fishing is no match to those who indulge in bigger and more efficient but
destructive fishing methods. Fishers with motorized boats using more efficient gears
generally have better catch than those with smaller or non-motorized boats with less

Central Philippines
efficient gears. Generally, all fishers complained about the declining fish catch. As
regards the roles that each household member play, there is a systematic division of
labor between males and females in a fishing family. Males are generally in-charge of
fishing while women collect and sell their catch. Women also contribute to the family
income by gleaning shells during low tide.
Norms, beliefs and other cultural characteristics
Fishing is one of the most hazardous occupations because fishers are often exposed
to dangers and other health risks at sea. It is also economically risky due to uncertainty
and variability of catch. Aniniy fishers do not have lifesaving gears, except for some
who carried along with them transistor radios to keep updated about the weather
conditions. The fishers relied heavily on the supernatural beliefs and practices to cope
with risks. The fishers bless their boats and fishing gears before every maiden fishing
trip. This practice gives them an assurance that God would take them away from
dangers while at sea. The fishers also practice the padugo ritual if new boats were
acquired to ensure that good harvests or catch of fishes would await the fisher. The
fishers use lemon grass, locally known as tanglad to ensure good catch and serve as a
protection against envy from other fishers.
Household friction is extremely avoided before a fisher goes out to fish. The fishers
also believed that while at sea, there should be no mention of any four-legged animal as
this would mean bad luck. Merrymaking while at sea is a taboo because of the belief
that encantos (enchanted beings) exist at sea, and these might be disturbed by the noise.
Fishers also use some indicators of weather conditions and good catch of fish. The
formation of sand into small piles (tumpok) and appearance of rainbow (balangaw)
indicates bad weather. The fishers also believed that when there are stars at night, a
good weather would prevail on the following day, and expectedly, this would mean
good catch of fish. The presence of brown butterflies also indicate good harvests.
The women are now active fishers and primary producers. Thus, norms on gender
roles might change in the near future.
Attitude of fishers towards coastal resources management
The municipality of Aniniy has relatively more diverse coastal resources. However,
more than half of the respondents (58%), believed that their resources are now in bad
shape (Table 1). Only 23% claimed otherwise, while 17% thought that they neither
decline nor improve. Fishers attributed the decline of coastal resources to overfishing
and illegal fishing as a result of the poor implementation of fishery regulations. TURF
(territorial use rights on fisheries) is often the source of conflict between commercial
and small-scale fishers. Some small-scale fishers claimed that commercial fishers are
encroaching into the 15 km area allotted to small scale fishers as exemplified in the new
fisheries code or Republic Act 8550. Their perceptions about the condition of coastal
resources, however, did not show any significant relationships with their participation to
coastal resources management.

Table 1. Fisher’s perception of condition of their coastal resources
Perceived Condition of Fisheries Frequency Percent

(n=157)
Good 37 23.6
Bad 92 58.6
Neither good nor bad 28 17.8
Total 157 100.0
Fishing requires fishers to exploit natural resources by all means at a certain time
and place. Fishers’ knowledge about the coastal resources is very important in their
daily fishing activities. The mean score of fishers’ attitude to coastal resources showed
positive result and significant influence to participate to the coastal resource
management activities. However, only 25% of the respondents practiced good waste
management practices. The rest of the respondents either just burned their garbage
along the coastal areas or disposed their wastes in rivers and shores. About one-fourth
of the total respondents has no toilets and is assumed to be using the coastal areas to
relieve them.
There is no much variation between those fishers who are willing to leave fishing
given other livelihood opportunities and those who will not leave fishing despite offer
for other jobs (31% and 26% respectively, Table 2). But 42% are unsure whether they
would hang on to fishing or leave fishing given the opportunity to find another job. The
reasons given were varied and some conflicting. Whether they are willing or not to
leave fishing for other livelihood opportunities did not significantly influence their
participation in coastal resources management.
Table 2. Fisher’s willingness to leave fishing for other opportunities
Fishers’ willingness to leave Frequency Percentage

fishing and opt for other
livelihood opportunities
No 41 26.1
Yes 49 31.2
Does not care 67 42.7
TOTAL 157 100
Note: Tables 1 & 2 were lifted from MET Aldon, AC Fermin and RF Agbayani. Sociocultural context
of fishers’ participation in coastal resources management in Aniniy, Antique, west central
Philippines. Submitted to Fisheries Research for possible publication April 21, 2010 and still
under review.

Central Philippines
Fishers’ level of awareness on fishery regulations
Many Aniniy fishers complained that a lot of fishers indulge in illegal fishing. This
can be explained by their low awareness level about some fishery laws and regulations.
Table 3 shows that 62% did not know that they need to seek permit from the local
government unit (LGU) to go on commercial fishing within the municipal waters.
Fishers complained that a lot of commercial fishers are encroaching into the municipal
waters. Most commercial fishers were apprehended mainly due to lack of permit.
Table 3. Community awareness about the fishing regulations
Fishing Regulations Yes % Not No %

n=157 Sure
The LGU shall have the power to limit
entry into declared overfished area to 139 88.53 0 15 9.55
allow fishery resources to regenerate
Any person or group in the
municipality may go into commercial 96 61.14 0 58 36.94
fishing without necessarily seeking
permission from LGU for as long as he
covers only waters within the
municipality
Fishers caught fishing in other
municipalities shall be fined and catch 138 87.89 0 16 10.19
confiscated
* Others opted not to answer
Participation of fishers in coastal resources management
Fishers were asked several coastal resources management activities to determine the
extent of their participation in protecting the resources to sustain their livelihood. The
result of the weighted means showed that the fishers have low to average participation
in coastal resources management activities. The over-all score also showed average
participation.
Table 4 shows the relationships of different sociocultural variables to the extent of

fishers’ participation in coastal resources management activities. Sociocultural variables
like age, education, household size, distance from shoreline perception of coastal
resources and fishers’ willingness to leave fishing given other opportunities did not
show any significant relationships with extent of participation. Fishers’ participation in
coastal clean-up is significantly influenced by fishers’ belief that there is still a need to
regulate fisheries even if abundance of natural stocks is back. Fishers who actively
participates in meetings regarding coastal resources management are not keen on the
importance of mangroves. They, however, agreed that: 1) they want the future
generations to enjoy coastal resources, 2) addressing degradation of coastal resources is
everybody’s concern and not just the sole responsibility of the government, 3) fishing
regulations are still needed even if abundance of natural stocks is back, and 4) that LGU

has the power to manage coastal resources especially in depleted areas. Participation by
encouraging other fishers to follow fishery rules is influenced by fishers’ economic well
being in terms of type roof, wall and floor.
Table 4. Regression coefficients of significant variables

Ext Part 1 Ext Part 2 Ext Part 3 Ext Part 4 Ext Part 5 Ext Part 6
Variables Coastal Participate in Encourage other Warn effect of Help resolve Contribute
cleanup meetings fishers to follow destructive conflict re money for
rules fishing CRM CRM
Constant 20.682 (.926) 6.547 (.487) -2.222 (.961) -16.128 (.942) -6.573 (.980) -2.817 (.000)
Age - - - - - -
Education - - - - - -
Household size - - - - - -
Distance from shoreline - - - - - -
Perceived condition of CR - - -
Willingness to leave - - - - - -
fishing if given other
opportunities
Economic well being - - 79.873 (.972) - - -
1) Type of roof
2) Type of outside wall - - -39.793 (.972) - - -
3) Type of floor - - -53.474 (.968) - - -
4) Property Land - - - - - .012 (.723)
Attitude towards coastal - -10.043 (.006) -362.919 (.961) -2.946 (.001) - -6.096 (.000)
resources
1) Importance of
mangroves
2) Want children to enjoy - 8.299 (.004) 484.048 (.962) 5.708 (.001) 4.772 (.002) 4.983 (.000)
benefits of resources
3) Needs immediate action - - - 1.959 (.000) 1.656 (.003) -
to address depletion of CR
4) Addressing depletion is - -1.770 (.016) 282.354 (.961) - - -
sole responsibility of govt.
5) Destructive fishing - - 349.753 (.961) - -3.040 (.000) 1.107 (.006)
degrades CR
6) Regulations not needed -2.981 (.000) -1.578 (.026) - - -.657 (.025) -
if fish abundance is back
Community awareness to - 4.962 - 6.347 - -
fishing regulations (.002) (.000)
1) LGU has power to
limit fishing in depleted
areas
2) Sanctions against those - - 82.438 (.983) - 2.323 -
who fish within boundary (.001)
Note: Values inside the parentheses represent p-values
Fishers who encourage other fishers to follow rules is influenced by their vision for
their children to enjoy the coastal resources in the future, and the belief that addressing
environmental degradation is everybody’s concern and not the sole responsibility of the
government. The same group of fishers had low awareness in the importance of
mangroves but is aware that fishers that one caught fishing outside their municipality is
punishable. Although fishers are willing to participate in warning other fishers about the
effects of destructive fishing, they have low regard on the importance of mangroves.
There is no correlation between fishers helping resolve conflict regarding coastal
resources management with importance of mangroves but is positively correlated with
wanting future generation to enjoy coastal resources and belief that immediate action is
needed to address depletion of coastal resources. It is also positively correlated with
awareness that LGU has the power to limit fishing in depleted areas. Fishers with higher
economic well being in terms of land properties are those who are likely contributing
money for CRM. Contributing money for CRM is also positively correlated with

Central Philippines
fisher’s wanting future generation to benefit from coastal resources and believe that
destructive fishing depletes resources but is negatively correlated with attitude about
importance of mangroves.
Conclusion
The local government and fishers of the municipality of Anini-y in Antique are
aware about the need to address the deterioration of their natural resources. However,
they do not consider it a priority because there is a political opposition to some
regulations. Philippine political system is so strong and patronage-based that fisher’s
affiliation is usually a consideration in the implementation of fishery regulations.
Fishers’ votes put so much pressure on the elected officials that their decisions
sometimes run counter to environmental protection. Moreover, while the local
government is trying to regulate fishing activities in terms of boat capacity, fishing
gears and distance from shore, fishers continue to improve their fishing skills and gears.
Most Aniniy fishers are classified as small-scale with low levels of production that local
executives tolerate their violations to fishery regulations for humanitarian reasons.
Fishers are forced to violate because their simple but sustainable fishing technologies
are continuously threatened by large scale fishers indulging in efficient but destructive
fishing. Fishing is a major livelihood and interwoven within the fabric of any fishing
community, thus fish catch will also affect other fishing related occupations.
A multidisciplinary and integrated approach to coastal resource management needs

to be considered. In the Philippines, there is a need to involve different government
agencies and integrate environmental concerns in their development programs. Lastly,
there is a need to manage human activities in the coastal areas because they contribute
to the vulnerability of the coastal ecosystem. Thus, LGU-Anini-y needs to seriously
involve the community especially fishers and build their capacity for resource
management. Any development project should consider the prevailing social norms that
form part of the community’s sociocultural relationships in order to minimize if not
avoid conflicts and subsequent failure. Participation is not the end goal of stock
enhancement program but a means to achieve a larger goal–an effective and efficient
coastal resources management. Unless government agencies and fishers in the
community get their acts together in managing coastal resources, fishers and fisheries-
dependent communities are heading towards an uncertain future (Acheson et al 1998;
Murawski 2000). Fishers’ average knowledge and participation in coastal resources
management activities, indicates that they may become potential partner in managing
the coastal resources thereby upholding Pomeroy’s (1995) co-management principles.
Acknowledgement
The authors acknowledge the support of LGU-Anini-y and fishers for their
assistance and for the vital information that they provided the authors during the
conduct of the survey. Due recognition is also given to SEAFDEC/AQD funded this
study.

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Poverty and Phenomenology of Rights in Southeast Asia: Justice and Rural Development in the Philippines
Poverty and Phenomenology of Rights in Southeast Asia:

Justice and Rural Development in the Philippines
Atsushi Miura
Faculty of Liberal Arts, Saitama University, Japan
ccc@mail.saitama-u.ac.jp
Abstract
The Philippine economy has been in crisis since 1960, and the poverty rate has always been high
due to continuing economic inequality. This paper highlights the results of a field research on
cooperative development conducted in one of the provinces in the Philippines. This study
examined inequality by focusing on the significance of justice in rural society. Results indicated
that poor farmers’ idea of justice corresponds to moral economy, whereas that of cooperatives
and modern business norm corresponds to political economy. The existence of two kinds of
justice is reminiscent of Kojève’s Phenomenology of Right, inspired by Hegelian dialectics of
Masters and Slaves.
According to Kojève, the anthropogenous struggle for recognition produces Masters and Slaves.
Masters’ justice is based on equality, while Slaves’ justice is based on equivalence. However, in
the end of history, Slaves struggle against Masters again, and they are synthesized into the single
class of Citizens, integrating the two kinds of justice into one based on equity. However,
Philippine history indicates a different evolutionary process: wealthy patrons’ justice is based on
equivalence, while poor farmers’ is based on equity. In this regard, poor farmers already realize a
civil society; however, inequality can hardly be reduced, and the two existing classes cannot be
synthesized. We conclude that to reduce poverty by developing a civil society of poor farmers, it is
important to preserve the justice of equity by encouraging the moral economy of farmers.
Keywords: Philippines, poverty, moral economy, justice, Kojève, Masters/Slaves
Introduction
Two financial crises hit the Southeast Asia within the last eleven years. During the
Asian financial crisis in 1997, the Philippine economy did not suffer serious damage.
According to some analysts, the scale of the Philippine economy was too small to be
involved in the world market, whereas others pointed to the positive result of the
liberalizing policy implemented by the International Monetary Fund (IMF). The
Lehman shock of 2008 devastated the Philippines, and its Gross Domestic Product
(GDP) growth rate fell to 4.6%, compared to 7.5% in the previous year.
However, as Scipes (1999, p.13) pointed out, economic crisis has been a usual
business in the Philippines for almost half a century. Since the 1960s, the Philippine
economy has stagnated and has been hit repeatedly by crisis. Though various
development programs have been attempted, most have failed to reduce poverty in rural
areas, while the urban middle class has shown certain growth.

Atsushi Miura
In this paper, we attempt to identify the mechanism that prevents poverty reduction
and to present an alternative perspective of rural development. We focus on the
significance of justice in the rural development and refer to Kojève’s Phenomenology of
Right in an effort to clarify the problem. The data that were analyzed were collected
from our research field in Bohol in the central Philippines, through the ethnographic
research as well as a statistical survey on cooperative development from 1998 to 2005.
Economic Crisis and Rural Livelihood

Poverty in the rural Philippines
The Philippines realized significant economic growth in the 1950s and was
expected to become a developed country. However, 50 years later, the Philippine
economy was still at a low level, while that of some neighboring countries have
progressed. Poverty in rural areas has always been crucial, and the GDP increase has not
yet resolved the problem. Indeed, in 2007, the authorities publicly admitted an increased
poverty rate (percentage of people living under the national poverty line), despite the
growth of the GDP.
Why did the Philippines, a top runner in the 1950s, fail to realize its premised
future? Many researchers (cf. ADB 2007) point out several key factors. Among these
include poor investment in the infrastructure, a low level of savings, and inefficiency in
the taxation system. However, though many specialists have discussed these issues for a
long time, the problems have not yet been resolved. As is often indicated, one
fundamental factor that precludes the resolution of these problems is the persistence of
socio-economic disparity; the GINI coefficient is consistently over 40%. In an effort to
investigate how inequality and poverty persist, we examined in detail the situation in
Bohol, focusing on justice.
Inequality and development policy in Bohol
Bohol is a province in Central Visayas (Region VII), composed of the Island of

Bohol and its neighboring islands. The province is famous for its rice production, and
most of its people are engaged in agriculture and agriculture-related activities. Farmers
cultivate rice, eggplant, okra, watermelon, squash, or coconut, and sell them at public
markets or to local traders. Most farmers also engaged in complementary activities (e.g.,
tricycle transport, sari-sari stores, hog fattening, or craft manufacturing) as additional
sources of family income. Some farmers become emigrant workers in big cities (e.g.,
Cebu or Manila) or in foreign countries. Poverty and economic inequality are
significant, with a GINI coefficient of 51% while the national level was 46%, and 48%
of the households below the national poverty line in 2003 (Provincial Development
Council of Bohol 2003).
Inequality in the province has a historical origin. Under the American rule, the
colonial government introduced the modern landholding of the Torrens title system and
economically supported local leaders. It also implemented cooperative development
policy to support farmers. However, in Bohol, the private property system profited only
the wealthy people, and poor people were forced to move into mountainous areas and
cultivate the forest (Urich 2003, pp.162-167). After gaining independence, the

government inherited the land policy, and exclusion of poor farmers continued. Some
excluded farmers even joined with the New People’s Army (NPA). The rise of economic
crises worsened the issues on inequality and generated environmental and political
crises in local societies.
Cooperative development has failed to reduce inequality. During the 20th century,
before and after independence, most cooperatives neither functioned nor improved the
rural situation. In Bohol, from 1989 to 1994, more than 80 cooperatives were founded
and registered with the Cooperative Development Authority (CDA) every year (CDA
1998). Credit activity and consumer service were their principle activities. However,
CDA information at the Tagbilaran field office indicates that, of the 625 registered
cooperatives in 2000 in Bohol, only 219 (35.0%) were in operation, and only 166
(26.6%) were in true business.
This deplorable situation of cooperatives comes from the dilemma inherent to them.
By definition, cooperatives are built by farmers for the profit of farmers. In reality,
cooperatives are often under the control of the government or local political leaders. The
consequence is conflict between leaders’ interests and farmers’ interests in cooperatives.
Here, the conflicts of interest involved differences not only in economic status but also
in their livelihood strategies, and therefore in norms and justice that govern their daily
lives.
Justice and Rural Livelihood

Conflicts of interest in rural societies
The cooperative that we studied focused on credit activity in a rural area and was
almost bankrupt in 2003 because of the high past-due rate (and stopped working shortly
thereafter). When we conducted interviews in 2003, informants gave us contradictory
explanations of the cooperative’s activities and its failure.
Cooperative staff said that cooperative members, most of them farmers, lacked
discipline and did not try to repay the loan. They said that borrowers pretended to have
no money for repayment for one reason or another; and even when they had some
money, they repaid private moneylenders (most cooperative members also borrowed
from private moneylenders) or did not repay at all. Indeed, some financial documents
showed that many members had not repaid for more than ten years. Therefore, the staff
often refused new loans to farmers who had not repaid previous loans or did not have
enough collateral.
The farmers perceived the situation differently. Because the cooperative was based
on members’ shared capital, they believed it was their right to borrow money from the
cooperative. Furthermore, due to frequent unexpected incidents such as natural disasters
(e.g., no harvest caused by El Niño) or an unexpected change in the market price of
their products or supplies, they sometimes could not repay the loan before the deadline.
With such incidents being beyond their control, farmers contended that they were not
responsible for their delinquency. In these cases, they assert that contracts are not valid
if it is impossible for farmers to fulfill them, and that they have the right not to repay
their loan because they have to survive even in such a difficult situation. Therefore, the

Atsushi Miura
cooperative was unjust in refusing new loans from farmers due to delinquency or lack of
sufficient collateral. Farmers even said that cooperative staff stole their money because
the staff’s salaries and officers’ honoraria came from members’ shared profits.
Staff and farmers accused one another of injustice for different reasons. For the
cooperative staff, justice consists of following the modern business norm in order to
realize efficient management. This norm requires farmers to observe the contract
literally, regardless of particular situations of individual farmers, because literal
observance of the contract is a fundamental condition for credibility of the market
system. For farmers, justice consists of ensuring their life. For them, it is natural that
wealthy leaders support farmers in times of difficulty in exchange of farmers’ services.
Consequently, the literal application of contractual rules sometimes appears unjust and
humiliating because it neglects particular conditions of each farmer’s survival.
Justice and livelihood strategies
Each of the two kinds of justice corresponds, as Kerkvliet (1991, pp.249-250)

demonstrated, to its own economic system. The justice of the modern business norm
represents the political economy in search of profits in the market, whereas, justice for
farmers represents the moral economy in search of subsistence in the society.
A farmer’s household is characterized by unstable conditions: instability of harvest

and agricultural market, as well as unexpected expenses, such as hospitalization,
medicine, children’s education, and the annual fiesta. To face the instability, farmers
have a variety of income sources to reduce risks. However, sometimes the instability
exceeds their ability to afford family expenses. In these cases, they ask for support not
only from their close kinsmen but also from local leaders. Therefore, as Scott (1986)
stated, the patron-client relationship is a key element of farmers’ moral economy, in
which poor people as clients informally expect rich people’s political and economic
support for their survival in times of difficulty, in exchange of their labor or services.
Similarly, for farmers, cooperative leaders appear to be patrons for members, and
member-farmers appear to be clients. Indeed, the cooperative, with its 400% financial
leverage, brings a certain amount of money from institutions outside the local
community (e.g., governmental institutions, international organizations, or foreign
NGOs) to support farmers, cooperative leaders, thus, become brokers by finding such
donors for farmers.
However, as legally sanctioned institutions, cooperatives should follow public

regulations based on the norms of political economy and submit an audit report to the
CDA every trimester. Donors also give loans to them following the market norms.
Cooperative leaders eager to be successful in their business or politics, thus insist on the
norms of the political economy, while farmers live in a moral economy for their
survival.

Justice in historical perspective
The patron-client relationship and its justice have a historical origin. In the
Philippine islands, colonial documents reported three classes in pre-colonial local
society: chiefs (datu), freemen, and slaves. The hierarchy was based on debt-bondage. A
chief was not bonded to anyone, while slaves were indebted and bonded to their masters
(chiefs and freemen). Here, creditors were protectors, and debtors were laborers for
creditors.
The community (barangay) was under the control of the chief, and its members
(freemen and slaves) paid tribute to the chief. Because of the low population density, a
chief’s power was not absolute, and depended not on his land tenure but also on
followers. Consequently, it was important for a chief to obtain as many followers as
possible through political and economic support to them in order to have political
power. In this situation, no social hierarchy was fixed: “a debt-slave could rise through
gradually lightening relations of bondage to become a freeman or even a datu, and a
datu could slip from power and descend in the other direction. (Cannell 1999, p.10)”
Ileto (1979, p.230) noted, “things are in fact turned upside-down – the debtor is the man
of power.” In this system, justice consists of securing survival of each follower, which,
in turn, consolidated the authority of chiefs.
This hierarchical system was largely observed in most of the Southeast Asian
societies (Reid 1988, pp.131-136), where “the vertical relationship meant cooperation
while the horizontal one meant opposition (Reid 1983, p.7).” Though indigenous legal
texts, such as the Laws of Malacca established in the 15th century, exactly define rights
and duties of chiefs, freemen, and slaves, these texts also admitted that local chiefs
played the role of judge and privileged their own oral traditions and customs. As such,
the detailed duties and rights were specified not by these texts, but through negotiation
between concerned parties, by respecting local tradition. Realizing justice through
negotiation is just what the farmers in Bohol today ask of cooperatives, where each
party claimed to take into consideration its own particular conditions.
However, since the 19th century, chiefs have transformed into capitalists, owning
the means of production and incorporating the capitalist norm. Consequently, the social
hierarchy became fixed. Through the introduction of the private property system, chiefs
have become big landlords, supported by the government. Therefore, farmers face
another idea of justice, justice for modern business suitable for the market economy.
Phenomenology of Right in Southeast Asia

Kojève’s phenomenology of right
The double conception of justice reminds us of Kojève’s Outline of the

Phenomenology of Right. In his interpretation of Hegelian dialectics of Masters and
Slaves, he proposed that Masters’ justice was based on equality, and Slaves’ justice was
based on equivalence. In Southeast Asia, we also find Master-Slave dialectics.

Atsushi Miura
Kojève defines the legal system as the possible intervention of an impartial and
disinterested third person (Kojève 1991, p.25). For him, all laws are based on notions of
justice, and the evolution of justice follows the dialectic evolution of human society.
Following Hegelian theory, Kojève assumes that all mankind has a desire for being
recognized by others. In their struggle for obtaining recognition from others, those who
are not afraid of death in order to be recognized win the struggle and become Masters,
while those who fear death lose and become Slaves and serve Masters with their labor.
As the fear of death characterizes animality, Masters overcome animality and achieve
humanity. Humanity is, thus, derived from the negation of nature (Kojève 1991, p.243).
However, Slaves also humanize themselves by overcoming animal desires through their
labor (here, Slaves include slaves, laborers, and bourgeois, all making a living through
their own labor).
Because this anthropogenous struggle is based on equal conditions for everyone, all
Masters are equal in that they win the struggle. Their justice is, thus, based on the
principle of equality and develops into the laws of aristocracy. In contrast, all Slaves’
lives are dependent on their Masters. They obtain security from their Masters in
exchange of the equivalent labor. Therefore, Slaves’ justice is based on the principle of
equivalence and develops into laws of the economic society (Kojève 1991, p.265). All
Masters have their own property, and they are equal in that each one has the same
property rights. As a result, aristocratic property is always a collective property, and
does not generate exchanges among Masters (Kojève 1991, p.285). Slaves obtain
property in exchange of their own labor, variable and unequal from one Slave to another
depending upon their labor conditions. Inequality of products creates inequality among
Slaves, and justice by equivalence admits inequality. As a result, Slaves’ property is
personal property, and differences among personal properties generate exchanges
among them (Kojève 1991, pp.300-301).
However, as Masters’ lives depend on Slaves’ labor, Slaves again challenge Masters
in search of recognition. Mutual recognition thus results, and, as a synthesis, Masters
and Slaves together become Citizens (Kojève 1991, pp.241-242). Two kinds of justice
are synthesized into the justice based on equity and realize a civil society by eliminating
both the inequality in equivalence and the imbalance in equality (Kojève 1991, p.313).
Here, the State becomes the impartial and disinterested third person, and political
struggle no longer occurs. Consequently, at the end of history, a universal and
homogenous State is realized.
Phenomenology of right in Southeast Asia
At first glance, Kojève’s dialectics and Southeast Asian dialectics are quite similar.
In both models, society is composed of two classes, and each has its own justice.
However, there is a crucial difference. In Southeast Asia, the poor farmers not only
recognize local leaders, but are also recognized by the leaders. In fact, according to
Cannell’s comment (1999, p.240) on the Bicolano people, poor people find their own
existence worthy of recognition and thus equal value to well-off people. Therefore, poor
farmers appear to be Citizens in Kojève’s terms. In contrast, local leaders, including
cooperative leaders, appear to be Slaves, in that farmers refuse to recognize their value
of equivalence realized as the modern business norms.

As Citizens, poor farmers defend the values of equality and equivalence. As justice
by equality, they claim the right to live life with equal dignity, despite economic
difficulties. This is the value they affirm when they are asked to repay to cooperatives; if
the creditor neglects farmers’ dignity, farmers feel humiliated. As justice by
equivalence, they claim the right to ask leaders for economic support in exchange for
their services. Since livelihood conditions are not equal from one farmer to another, the
claim to equality requires both farmers and leaders to consider the particularity of each
farmer, and thus generate negotiations among them to realize equality through
equivalent exchange, as Kojève’s Citizens do (Kojève 1991, p.315). As we found,
traditional justice in Southeast Asia is based on negotiation, and justice of equity
requires negotiation. Accordingly, poor farmers in Southeast Asia have already realized
a civil society.
The property system among farmers also indicates that they follow Citizens’ justice.
According to the local notion of property rights in Bohol, people can hold their property
rights as long as they cultivate or use their land marked by landesque capital (e.g., an
irrigation system and fruit-bearing trees). However, when a farmer leaves the field
without such capital, after two years, the field becomes no man’s land, which anyone
can cultivate. The system indicates that one can appropriate only the fruit of one’s labor.
A similar idea exists elsewhere in the Philippines as well as in Southeast Asia. Kojève
noted that the Citizens’ property right is free from debt, can be exchanged, is derived
from labor accompanied with duty corresponding to the equivalent labor, and is
personal as well as collective (Kojève 1991, p.322). On the same basis, farmers in
Bohol exchange goods among family members and neighbors just to fulfill each one’s
daily needs (Miura 2008). This exchange network serves as a safety net for their social
life and guarantees the moral economy1.
In contrast, wealthy local leaders as Slaves, follow justice by equivalence, and

accept economic and social inequality. They ask farmers to follow the modern business
ethics, regardless of each farmer’s particular situation. In most cases, leaders have
political and economic ties with the broader society, from which they obtain monetary
resources to distribute to their followers.
Humanity and Dialectic Evolution of Right
For Kojève, the evolution of human society and justice are launched by the negation
of animal desire for lives. In Southeast Asia, too, humanity is based on the negation of
animal desire, but in a different way.
According to the idea of humanity of the Indic Kingdom largely diffused in

Southeast Asia (Errington 1990, pp.41-47), one accumulates “power” through ascetic
practices. As was discussed by Anderson (1972, pp.7-10), the idea of power in
Southeast Asia, different from that in Western tradition, is a kind of substantive spiritual
1
According to Kojève, the “first” struggle begins for the recognition of property. However, in
Southeast Asia, land has always been abundant, and the struggle for land rights has had little social
significance. Here, ecological conditions also appear to be important in the dialectic evolution of
societies, though we cannot discuss it in this study (cf. Platteau & Hayami 1998)

Atsushi Miura
energy that one can possess or loose. When a man accumulates it, people will follow
him as if it is the natural law. This power lets them transcend death. As ascetic practices
consist of labor for others, donations, abstention of sexual activities, and renouncement
of wealth, asceticism is the Southeast Asian way of negation of animality. Everyone has
such power in various degrees; to maintain its political position, a leader should always
make ascetic effort (it is paradoxical that ascetic practices make one wealthy). The idea
is also found among farmers in the Philippines and Bohol (Ileto 1986, p.25;
Borchgrevinck 2002, p.42).
In Southeast Asia, the anthropogenous struggle for recognition is realized as the

struggle for asceticism. Ascetic practice does not threaten others’ lives, but one’s own
life to transcend death. Consequently, the effort to overcome the fear of death is
accompanied by labor. As overcoming the fear of death and labor are two origins of
justice in Kojève’s theory, Southeast Asian people, rich as well as poor, have sought the
two kinds of justice from the very beginning, and thus they are Citizens.
Introduction of the Western social system based on a private property regime

gradually changed the situation since the 18th century. One can accumulate wealth and
become bourgeoisie. Owning its own means of production, bourgeoisie need followers’
support less than traditional chiefs did. Kojève indicates that the bourgeoisie are Slaves
without Masters, obliged to labor only by God or capital itself. In Southeast Asia, chiefs
became bourgeoisie and don’t need ascetic practice any more, because the capital
(means of production as private property) guarantees their survival and because the
market mechanism forces them to reject both asceticism and justice by equality. They
just adopt justice by equivalence as the base of modern business. In seeking profit
through the private property system, Filipino bourgeoisie often destroy the environment
and thus undermine poor farmers’ livelihoods.
Poverty Reduction in Dialectic Perspective

Southeast Asian dialectics and poverty reduction
Unlike Kojève’s dialectics, Southeast Asian history presents another path towards
the end of history. Here, people have always been Citizens. However, some Slaves
(bourgeoisie) gain political superiority by rejecting the Masters’ justice. This leads
another contradiction. Poor Citizens find they do not receive support from political
leaders equivalent to their contribution. Besides, wealthy Slaves need to refuse farmers’
justice by equality in order to accumulate wealth and to be recognized by capital in the
market. However, they need to accept the justice of equality and practice asceticism for
the sake of obtaining political leadership that depends on support from farmers in the
modern democratic system. This is the dilemma that cooperative staff faces as we
observed. The political crisis that the Philippine society has been experiencing since the
EDSA revolution in 1986 is also a result of this contradiction2.
2
Kojève did not fully describe the process of transformation of capitalist synthesis of justice into the
very synthesis of equity. He simply noted that capitalists were Slaves whose Masters were capital, and
that capitalist property rights would become socialist property rights through the synthesis

The phenomenology of right predicts that the contradiction can only be resolved
when the bourgeoisie again accept justice by equity and become Citizens. However, as
we observed, the government obliges cooperative leaders to follow the business norm
that amplifies the contradiction and leads them to stop cooperative business. On the
national level, the contradiction appears less destructive, because powerful bourgeoisie
have an interest in developing economic inequality in order to accumulate capital, and
largely support the government for their sake.
Poor citizens are, thus, in a difficult situation for two reasons. First, the productivity
of poor people remains too low to challenge wealthy Slaves. As we noted above, the
private property system contributes to marginalizing poor farmers, whose economy is
based on small farms and/or small businesses insufficient to survive in the market
economy. Second, because poor Citizens constitute a partial society in the global State,
their right to equity can be realized only partially; thus, they cannot fully realize civil
society. Kojève repeatedly affirmed that a legal system needs an impartial and
disinterested third person who actively intervenes in conflictual situations in order to
realize justice. In ancient Southeast Asia, local chiefs (datu or raja) played this role; they
were at the same time gods, governors, and judges, using vast legal knowledge and
wisdom to resolve conflicts in their communities. Modern local chiefs incorporate
modern business norms; as such, they cannot be impartial and disinterested third parties
that realize the justice of poor Citizens.
Accordingly, current local leaders neglect farmers’ justice for their own legal and
economic profit. The modern legal system supports justice for a political economy and
not for a moral economy. It justifies economic inequality. Poor people are deprived of
the means to challenge wealthy people.
Implications for rural development
Southeast Asian Phenomenology of Right suggests a pessimistic perspective for

these societies. Indeed, we observed in Bohol that cooperative credit based on the
modern business norm, undermines farmers’ daily lives and their human dignity, and
tends to preserve economic disparity. However, the mechanism of preserving inequality
suggests a possible means of reducing poverty and fully realizing a civil society. First, it
is necessary to enforce productivity through the social property system of Citizens.
Second, an impartial and disinterested third person is needed to encourage the
socialization of production.
Original Southeast Asian Citizens do not know the private property system for
production, but only the system of possession. Kojève points out that the civil society,
without rejecting the private property system, encourages a social property system
where the fruit of social labor is socially shared. Because poor Filipino farmers already
achieved a civil society, poverty should be reduced through establishing a Citizens’
social property system, in which mutual aid, enforced by free circulation of goods,
would reduce economic instability and strengthen trust in the community. Cooperatives
of production can play a role in this process by developing mutual help to reduce risks.
However, in the Philippines where social groups are fluid by nature, it is better to
encourage mutual aid within the family. Therefore, it is necessary to support family
businesses and family farms. Kojève expected the State to become the impartial and

Atsushi Miura
disinterested third person. However, in the current context in the Philippines, the State
only seeks justice by equivalence together with well-off leaders. Therefore, it is
necessary to find such persons among people other than the States and leaders. Civil
society organizations can play this role.
To reduce poverty, it is necessary to help poor Citizens challenge wealthy Slaves.

For this purpose, simple investments in economic activity cannot help farmers. It is
necessary to encourage the existing moral economy based on justice by equity.
Concluding Remarks
The crisis facing Filipino rural people is rooted in the social dialectics. It comes not
only from trends of world economy, but also from its own social disparity of legal
attitude, livelihood strategies, and wealth. The system harms farmers’ moral economy
by imposing modern business norms and threatening the environment. Reference to
Kojève’s Phenomenology of Right presents a new perspective to the problem and
reveals a possible way for poverty reduction. If Kojève conceived the end of history as
realization of the civil society, Southeast Asia thus represents another possibility for the
end of history and thus rural development.
Much work remains to clarify fully the possibility of the Southeast Asian version of
phenomenology of right. In any case, it is important to seek a means of rural
development without harming the civil society already realized among poor farmers.
References
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Anderson, B. 1972. “Idea of Power in Javanese Culture.” In C. Holt et al. Culture and Politics in
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pp.41-69.
Cannell, F. 1999. Power and Intimacy in the Christian Philippines. Cambridge: Cambridge
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CDA (Cooperative Development Authority) Cebu Extension Office. 1998. 1997 Annual Report.
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Errington, S. 1989. Meaning and Power in a Southeast Asian Realm. Princeton: Princeton
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Ileto, R. 1979. Pasyon and Revolution. Quezon: Ateneo de Manila University Press.
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Miura, A. 2008. “Economie sociale et développement rural.” In H. Amemiya et al. (dirs.)

L’agriculture participative: pourquoi, comment, jusqu’où ? (Textes réunis pour le 2e
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de Rennes 2 Haute-Bretagne. pp.22-31.
Platteau, J.-P. & Hayami, Y. 1998. “Resource Endowments and Agricultural Development.” In Y.
Hayami & M. Aoki (eds.). The Institutional Foundation of East Asia Economic
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Provincial Development Council of Bohol. 2003. Bohol Program Framework on Poverty

Reduction. Tagbilaran.
Reid, A. 1983. “Introduction: Slavery and Bondage in Southeast Asian History.” In A. Reid (ed.)
Slavery, Bondage and Dependency in Southeast Asia. St. Lucia: University of Queensland
Press. pp.1-43.
Reid, A. 1988. Southeast Asia in the Age of Commerce 1450-1680, vol. 1. New Haven: Yale
University Press.
Scipes, K. 1999. “Global Economic Crisis, Neoliberal Solutions, and the Philippines.” Monthly
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Quarterly of Culture and Society. Vol.31. pp.156-181.

Rungtiva Manovachirasun, Montri Kunphoonmmarl, Taweesak Siripornpibul and Chommanard Wannapornsiri
Social Assistance Policy for Family Members of Suicide:

Experiences from a Community in Phichit Province, Thailand
Rungtiva Manovachirasun
Public Health of Phichit Province, Phichit, THAILAND
pun12504@gmail.com
Montri Kunphoonmmarl
Social Faculty, Naresuan University, Phitsanulok, Thailand
Montri@nu.ac.th
Taweesak Siripornpibul
Faculty of Sciences Naresuan University
Taweesaks@nu.ac.th
Chommanard Wannapornsiri
drchom9@hotmail.com
Abstract
Suicide is one of the most serious public health problems worldwide. It is responsible for one-
tenth of the deaths reported by the World Health Organization (WHO). There are three male
suicides for every female suicide. But, in Thailand, twice as many females and males attempt to
commit suicide. The suicide rate in Phichit Province, Thailand has continued to increase during
the period of 2000-2007. The groups or sectors with the highest suicide rates are employees,
farmers and housewives. Family malfunction is one of the greatest factors contributing to
suicide. In addition, depression, chronic disease, socio-economic circumstances and alcohol
abuse are among the factors associated with suicide in Phichit. Suicide attempts are more
common among women who have low level of education; who have failed in their respective
careers; and those who are divorced, widowed or recently separated from their husbands.
Globally, the annual economic cost of suicide behavior is estimated to be within billions of
dollars. The urgent concern is how to design effective interventions and policy assistance that
would be able to support the family members of the suicide victims. Unfortunately, little is known
about the effects of suicides on the family members of the victim. This paper argues that a well-
prepared social protection policy and plan at the micro-level is the most effective strategy to help
the family members. This paper also suggests the need to create community or village activities
that would promote and strengthen community support in order to save the lives of the people.
Keywords: social assistance Policy, suicide, Phichit Province

Social Assistance Policy for Family Members of Suicide: Experiences from a Community in Phichit Province,
Thailand
Introduction
Suicide has been a serious public health problem for more than 50 years world
wide. It totals one tenth of deaths reported by the World Health Organization (WHO).
There are three male suicides for every female suicide, and the highest suicide ratios are
in European countries. The highest suicide ratio in Asia and Southeast Asia are in
Kazakhstan, Sri Lanka, India and Singapore with rates of 37.40, 37.00, 21.30 and 15.70
per 100,000 people, respectively. Similar trends are found in the world’s powerful
economies, namely the United States of America, Canada, the People's Republic of
China, Japan, and Korea with suicide rates of 17.60,15.00 ,18.50,26.50,19.50 and 27.10
per 100,000 people, respectively.1 Estimates suggest that fatalities could rise to 1.5
million by 2020.2 WHO seeks to address the suicide problem and aims to decrease
suicide rates and take care of families who suffer the effects from suicides or attempted
suicides.
The International Association for Suicide Prevention (IASP) suggests that key
strategies should be: local area networks; building participation; and pushing the issue
of suicide to be an important policy issue of national governments. They also suggest to
undertake studies to help heal people who get into trouble, including taking into account
mental health and substance that can affect the physical condition, including:
1.) Serotonin, when Serotonin re-uptake is inhibited
2.) Develop guidance skills that are appropriate or encourage watchful care by a person
in the family of those who have risk factors to suicide, and work with others in the
public health sector, labor groups, teachers, and religious leaders who can
subsequently help people who are at risk of suicide
3.) Enhance monitoring of the high risk groups, such as those who are vulnerable to
alcohol abuse, depression or on psychosis drug, unemployed groups, and groups
that can access agriculture chemicals easily, such as farmers.
Every year, network members are advocating activities against suicides, and the
WHO conduct meetings to identify trends and to discuss challenges associated with
suicide reduction. For example, in year 2006, the meeting discussed the suicide situation
in Asian countries and found that suicides have tended to increase, in countries such as
in the People's Republic of China, Malaysia, and Sri Lanka. It observed that the suicide
is committed mostly using insecticide and other chemicals. Therefore, the meeting
proposed that strategic direction to combat the problem and emphasized to take care of
every age group, and selected the slogan “Community-based care and close follow-up.”
1
World population (2004), population division and united nation, 2004: p113
2
WHO (2002) Report Injury: A Leading Cause of Global Burden of Disease “Self-Directed
Violence ”from The “World Report on Violence and Health” WHO, Geneva, 2002.

Protective factors against suicide include promoting high self-esteem and a sense of
social “connectedness,” especially with family and friends, having social support, being
in a stable relationship, and religious or spiritual commitment. Early identification and
appropriate treatment of mental disorders is an important preventive strategy. There is
also evidence that educating primary health care personnel in the identification and
treatment of people with mood disorders may result in a reduction of suicides among
those at-risk, as it has been documented in countries such as Finland and in the United
Kingdom. Interventions based on the principle of connectedness and easy access to
assistance, such as Samaritan-type help lines, and telephone check-up programmed on
the elderly, have provided encouraging results. In addition, psychosocial interventions,
suicide prevention centers and school-based prevention, are all promising strategies.3
National Suicide Prevention Strategies in Thailand
In Thailand, the Department of Mental Health of the Ministry of Public Health has
developed strategies to decrease suicide rates, including the following:
 Adoption of suicide prevention day on 10 September every year, since 2004

 Preparing an operational-side mental health strategy that incorporates capability-
building of the public health network both within and outside the public health
system; and encouraging favorable conditions for the population with complete
knowledge about the issues associated with suicide and standard quality
 Development of a suicide prevention standard, and further strengthen and
developing personnel to build spiritual strength that would protect against suicide
problems in areas that have the highest suicide (using the Resilience Model)
 Provision of support for programs attempting to address the prevention of repeat
suicide attempts, and study the factors for protecting against suicide for each
generational age group
 Development of a database on depression and suicides in Thailand4
Epidemiology of Suicide in Thailand
Thailand has taken considerable steps in national development since the country's
first Social and Economic Development Plan in 1961. However, the country depended
on the imported production items and industrial technologies, which caused it to run up
a high foreign- trade deficit. In agriculture, moreover, the increase in the use of modern
technology did not, in general, compensate for the high cost of production. The ways of
life started to change and there were social impacts, such as increased family labor
migration from rural to urban areas. Members of the family have less time together, but
also tried to find more revenues to take care of the family. Household debt problems
also increased and some families earned less income that made the head of the family
suffer stress and quarrel with the family. Inflation pressures could also affect the
3
David Porter (2002) Suicide huge but preventable public health problem, says WHO.
www.WHO.iasp.info
4
Mental Health Department of Thailand, 2006

Thailand
family’s well being. All of these factors could, in turn, cause depression and result in
more suicides.
A study by the Department of Mental Health showed that the suicide rate in
Thailand increased after the economic crisis in 1992. A survey between 1997 and 2007
found out that the suicide rate decreased until the year 2006, and increased slightly in
2007 to 2008. In 2007-2008, the suicide rate was 5.95 per 10,000.5 The Department of
Mental Health estimates the complete suicide rate to be between 16 and 20 cases per
day. In other words, roughly every hour there would be one suicide patient. The highest
suicide rates are recorded in the North of Thailand, followed by the Northeast, the
South and Bangkok having 11.96, 7.28, 5.71, 5.09 and 0.82 per 10,000, respectively
(Figures 1 and 2). Factors found to be important in those who have committed suicide
were: chronic disease (57.3%); depression (22.4%); and psychosis (10.9%). The suicide
attempt rate is also increasing every year. The male suicide rate is three times higher
than of females.6 (Figure3).
14 12.49 12.4 5.52

6 5 5
11.3 10.9 11.06 11.32 4.67
4.6 4.5 4.42
12 5
10 4
8 6.5
3
6
2
4
1
2
0
0
North-East
North
2001 2002 2003 2004 2005 2006 2007
2001 2002 2003 2004 2005 2006 2007
Figure 1. Suicide rate in North and North-East region, Thailand (2001-2007)
9.76
10
9 8 8.1 7.4 7.27
8
10.5
6
7 12
6 10
4.04 6.24
5 6
8 5.3 5.2
4 4.58 4.46
6
3
2 4
1 2
0
0
Central South
2001 20 02 2003 200 4 2005 2006 2 007

2001 2002 2003 2004 2005 2006 2007
Figure 2. Suicide rate in Central and South region, Thailand (2001-2007)
5
Department of Mental Health (2009) Report of Suicide htt//:www.suicidethai.com, Retrieved on May 1, 2009

Thai Suicide Rate 2001-2006 by sex
14
12
10
p e r /1 0 0 0 0 0
8
6
4
2
0
2001 2002 2003 2004 2005 2006
Total Male Female
Figure 3. Suicide rate in Thailand by gender (BC.2001-2006)
Suicide Cases in Phichit Province, Thailand
Phichit Province is located in the Northern-Lower part of Thailand. It has 12

districts and a total population of 557,667. Eighty percent of the population are farmers.
Surveying the general topography of the river plains are two major rivers, the Yom
River and Nan River.7 As such, the agricultural areas sometimes suffer from flooding.
Furthermore, during the dry season there is lack of water for agriculture, because of
lesser water in the Yom River. Areas east of Phichit province also suffer from drought
and have no source of groundwater. For those who have pursued non-farming careers,
they usually return home during the farming season (Figure 4).
Phitssanulok N
6.Samngame
2.Saklek
12.Vachirapharame 1.Muang
3.Wungsuybhon
11.Phobhatupchang
4.Taphanhin
5.Thupkho
Khumphangpet Phetchabon
10.Bhungnarang
9.Photalae 8.Bhangboonnak 7.Dongjarean

Source :Phichit public Health Nakonsawan
4,531.013 km2 13
Figure 4. Map of Phichit Province, Thailand
7
Phichit Provincial Health Office (2009 ) Health Report 2005-2007.

Thailand
Year 2006-2007 marked the global economic crisis, which started in the United
States.8 The researchers predict that this problem would create impacts around the
world.
Studies about the mental health problems in Phichit Province from 2004 to 2007
revealed that the rates of psychiatric diseases and psychotic illness, and depression were
39.98 and 7.41 per 100,000 respectively. Suicide rates had decreased, but increased
again in 2008-2009, such that the suicide rates were 6.9, 2.7, 4.8, 3.7, 4.22 and 6.14 per
100,000. The rates of attempted suicide in 2006-2007 were recorded as 53.4 and 51.11
per 100,000. These are higher than the indicators recommended by the Ministry of
Health, which should not exceed 40 per 100,000.
The World Health Organization recommends that if a region has a suicide rate of
more than 15 cases per 100,000, it should be considered high risk, and if it is between
7-15 cases per 100,000 then the problem of suicide should be monitored. If the suicide
rate is less than 7 per 100,000 this can be treated as a normal condition. The number of
suicides during the economic crisis was 550 million per year,9 and about 10 percent of
people who attempted to commit suicide died.10
Famous sociological experts, such as Durkheim (1930), Jack P.Gibbs, Walter T.

Martin (1964) J. D. Douglas (1967) and Jean Baechler (1979)11 argued that while
suicide has an individual orientation, is could be attributed to several factors. In other
words, we cannot extrapolate information from different social causes and social
meanings. The research presented in this paper studied the situation of suicide in Phichit
Province between 2007 and 2009. The author analyzed the situation and identified
policy recommendations for public health services.
Methodology
This study used the Retrospective Method. Secondary data about suicide cases and
attempted suicide between October 1, 2007 and 30 September, 2009 in Phichit Province
were collected from Phichit public health officials. There was a total sample size of
2,775 cases. Data were analyzed using percentages, chi-square test and odds ratio
(p<0.05).
8
Thanet Khungprasert,( 2009)Thai and Hamburger Crisis in Thai World Affairs Center
http://www.thaiworld.org/th/include/answer_search.php?question_id=8, 10 March, 2010.
9
Department of Mental Health, 2006, and Pattaphong kaseamsombhon, social prevention seminar: 25 July,
2007.
10
Aphichai mongkhol et al (2007) Suicide Thailand Report 2004 htt:// www.suicidethai.com, 10 March, 2007
11
Haralambos and Holborn(2008) Sociology Themes and Perspectives. sixth edition, pp873-80.

Results
There were 75 cases of suicide and 2700 attempted suicides in Phichit Province
during the period of 2007- 2009. Male completed suicide two times more than female.
The highest suicide rate was recorded in the 51-60 years age group, followed by the 41-
50 years age group, and then the 21-30 years age group (19%, 18%, 16%, respectively).
Suicides were found among the married group, employees, farmers and housewives.
The highest rates of suicide were recorded in Thap Kho district, Sak Lek district, Pho
Prathap Chang district and Muang Phichit district having 13.2, 12.4, 11.5 and 9.5 per
100,000, respectively Figures 5 to 8). Hanging, taking insecticides and
poison/chemicals, and gunshot are among the most ways of committing suicides (Figure
9).
14.00
12.00
10.00
8.00
6.00
4.00
2.00
0.00
T IN Y G
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AN
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P A B O O M B PH B A A
H A N S
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PH
2007 2008 2009
Figure 5. Suicide rate by district in Phichit Province, per 100,000 in 2007-2009.
suiside and Attempt suicide by sex
80
70
60
50
40
30
20
10
0
male female male female male female
2007 2008 2009
s uicide A ttemped
Figure 6. Suicide and attempted suicide rate in Phi chit Province by sex in 2007-2009.

Thailand
30.00% 20.00%
25.00%
20.00% 15.00%
>60 ,
15.00%
10.00%
10.00%
5.00% >60
31-40 51-60 , 5.00%
0.00%
<20 < 20 31-40 51-60
Suicide 0.00%
Attemp S uicide
Figure 7. Suicide and attempted suicide rates in Phichit Province by age group in 2007-
2009
S uicide A ttempted Suicide
Other, 20.00
Famers , 21.30 Lay-off
Studen Famers
L ay-off, 5.30 Bus ines s.
S tuden, 4.00
Employee,
Hous e w ives Employee
29.30
Bus ines s ., Hous e wives ,

6.70 5.30
Figure 8. Suicide and attempted suicide rates in Phichit Province by Occupation in

2007-2009
60 52.9
50
45
40 33.3
30 25 23.8
20
20 14.7
5.9
10 4.8
0
2007 2008 2009
Hanging Ins ecticide pois ion C hemiccal Drug over dos Gun
Figure 9. Suicide rates and method of suicide in Phichit Province, 2007-2009

Factor Analysis of Suicide by Odds Ratio
Age group and occupation
The odds ratio of age group <20 years/others with attempted suicide was 4.322
(OR=4.322, 95% CI.=1.355-13.781); aged group >61 years/other with attempted suicide
was 0.573 (OR= 0.573 , 95% CI. =0.338- 0.975). The odds ratio of housewives /other
with attempted suicide was 3.381 (OR= 3.381, 95% CI. =1.228-9.306) with p-value
=0.05.
Methods of suicide
The odds ratio of hanging/others of attempted suicide was 0.010 (OR=.010, 95%
CI.=0.005-.019) The odds ratio of gun/other and drug over dosage/other with attempted
suicide was 0.007(OR=0.007, 95% CI=0.002-18.027), 10.518 (OR=10.518, 95%
CI=1.457-75.909) with p-value 0.05.
Health and Behavior
The odds ratio of hypertension /other and risk of complete suicide were Diabetes at
3.242(OR =3.242, 95% CI = 1.176-8.925); Psychosis at 0.411 (OR=0.411, 95%
CI=2.13 - 0.793). The odds ratio of depression/other with attempted suicide was 11.036
(OR = 11.036, 95% CI.=5.051-24.115) and alcoholism was 0.498 (OR=0.498, 95%
CI=0.287-0.865) having p-value 0.05.
Economic by age group
The odds ratio of employee with lay-off by aged group <20 years/other and aged
group 31-40 years/others attempted suicide were 1.183 (OR=1.183, 95% CI.=1.164-
1.202) and 2.841 (OR= 2.841, CI=1.367-5.904) with p-value 0.05.
Treatment and service
The odds ratio of social service/other with attempted suicide was 10.518
(OR=10.518, 95% CI=1.457-75.909) and risk of complete suicide for no treatment and
counseling of psychotic drug, reference system, advising/counselling, brochure of
Knowledge in Psychosis were 34.883 (OR=34.883, 95% CI=4.841-251.341), 316.726
(OR =316.726, 95% CI=77.310-297.574), and 3.464 (OR= 3.464, 95% CI=1.957-
6.130), respectively.

Thailand
Factor Analysis of Attempted Suicide
Sex, age group, occupation and method of attempted suicide
In Phichit Province, it was noted that females attempted suicide two times than of
males between 2007 and 2009, and all age groups attempted suicide more than 95%
from 2007 to 2009. The groups with the highest attempted suicide rates were:
employees, farmers, business, house wives, and lay-offs (29.3, 21.3, 6.7, 5.3 and 5.3,
respectively). The most common methods of attempted suicide were hanging,
insecticide, poison, chemical, drug overdose, and fire arms (Figure 8).
Factor Analysis of Attempted Suicide by Odds Ratio in Age Group < 20 years
The odds ratio of social relationship in family such as frustration, lack of family
interaction, lack of caretaker/others with risk were 2.618 (OR =2.618, 95% CI=2.095-
3.271) 2.487(OR=2.487, 95% CI=1.455-4.249) and 1.182 (OR= 1.182 , 95% CI=1.163-
1.201), respectively with p-value 0.05.
The odds ratio of economic such as poverty, unemployed/other with risk were 0.229
(OR =0.229, 95% CI = 0.144- 0.364) and 1.182 (OR= 1.182, 95% CI=1.163-1.201),
respectively with p-value 0.05.
The odds ratio of health and psychosis such as chronic disease, HIV/AIDS,
cancer/other with risk 1.190 (OR =1.190, 95% CI = 1.170-1.210), 0 .233 (OR= 0.233,
95% CI= 0.056-0.961), and 1.182 (OR = 1.182, 95% CI=1.163-1.202), respectively
while psychosis/other with risk was 0.074 (OR=0.740, 95% CI=0.018-0.301) having p-
value 0.05.
The odds ratio of social problem such as illegal activities, broken hearted, learning
problem/other with risk were 4.672 (OR=4.672, 95% CI=1.419-15.382), 3.012(
OR=3.012, 95% CI=2.318-3.912), and 66.53(OR=66.53, 95% CI=23.745-186-4.62),
respectively.
The odds ratio of social service such as service, less counseling, advising with
brochure of knowledge in psychosis/other with risk were 1.595(OR=1.595, 95%
CI=0.64-3.077), 2.028 (OR= 2.028, 95% CI= 1.316-3.125). and 1.895 (OR=1.895, 95%
CI=1.447-2.482), respectively.

Conclusion
Internationally, the annual economic cost of suicide behavior is estimated to be in

the order of billions of dollars or 147,988 DALYs 12 (Disability Adjusted Life Years).
The question still remains on how to develop an “Assistance Policy for Family
Members of Suicide in Community.” Little is known about the effects of suicide
behavior or whether suicide needs special services or intervention in the lower-North
part of Thailand. The author strongly believes that the community can support
themselves. If social support, social networks, and social protection are strong, a
strategic approach to social assistance policy for employee suicide in Thailand could be
identified.
According to the Thai Government, it has been estimated that the number of people
in the working age range (15–59 years old) would drop from 67.10% in 2006 to 66.00%
in 2015. As a result, Thailand will have less quality labor and see social structure
change. A study by Manosh, Louthakun and Suwhannee Phuttisri13 during 2539 -2546
B.E. examining the suicide situation and attempted suicide of adolescents, indicated that
among the young people at the beginning of being an adult (20-24 years old ) there was
a recorded suicide rate of 6.92 per 100,0000, and the male ratio was 3.29 time higher
than females. The highest suicide rate is in the Northern part of Thailand. Methods of
suicides were hanging, eating glue, soap, and bathroom chemicals. Records also shown
that April is the month with highest suicide rates recorded. Complete suicide were also
apparent in the male age group of 20-35 years old with agriculture and general services
as the occupation.
There have been few studies, however, about suicide prevention and the associated
risk factors for young people and working groups in Thailand. The youth who has a
dangerous confluence of trait-dependent vulnerability factors (e.g. impulsivity, poor
interpersonal coping skills, aggressiveness)14 is at risk.
Factors that encourage or cause suicide in Thailand are poor family relationship in a
family, scolding or always making reminders to family members, inability to perform
daily or play the roles for livelihood or those with Post traumatic Stress Disorder
(PTSD).
The suicide cases in Thai society are still being regarded as shameful acts and the
community often labels the suicide victim. The family of the suicide victim should be
given assistance and protection by the society through 1) emotional support like
acceptance, respect and offer help; 2) information support like providing advice, correct
information, guidance and warning; 3) appraisal/affirmation support such as giving
12
Menthol Health Department ,2006,The sum of years of potential life lose due to premature
mortality and the years of productive life lost due to disability
13
Manosh , louthakun and suwhannee phuttisri, Psychiatr Assoc Thailand Vol.51No1, 2006,
pp12-2817
14
Benjaphon, Suicide among Children and Adolescents in Thailand, Psychiatr Assoc
Thailand Vol. 51 No1 Jan-Mar 2006, pp12-17

Thailand
one's opinion to reinforce confidence; and 4) instrument support such as provision of

tools, labor, financial resources, time to interact with the family to cope with the crisis.
The protection alms in Thailand has protected social sector of the government by
providing social security, labor protection, public welfare, (public assistance), and other
social services like vocational training, public health, housing, and employment in
government office .
Acknowledgments
I would like to thank Dr. Pharitat Sillaphakit of Suanprong Hospital, Asst. Prof.
Darawan Tapinta of ChangMai University, Asst. Prof. Patcharin Silasontorn, Asst. Prof.
Nongnuch Oba both from Naresuan University and Dr.Phajak Wattanakul from the
Phichit Public Health Office for their helpful comments on an earlier draft of this paper.
References
Aphichai Mongkhol et al (2007) Suicide Thailand Report 2004 www.suicidethai.com, 10
March, 2007.
Benjaphon(2006) Suicide among Children and Adolescents in Thailand, Psychiatr Assoc

Thailand Vol.51 No 1 Jan-Mar 2006, pp12-17.
David Emile Durkheim, Pathcarin Sirasonthon (2003) Theory and concept social development
social faculty, pp 35-37.
Haralambos and Holborn (2004) Sociology Themes and Perspectives. sixth edition, chapter
14Methodology pp. 873-880.
Manosh, Louthakun and Suwhannee Phuttisri (2006) Psychiatr Assoc Thailand Vol. 51 No 1,
2006, pp12-2817.
Mental Health Department of Thailand (2007) Suicide Report www.dmh.go.th/trend.ap/ 14

March, 2007 Mental Health Department of Thailand (2006) DALYs
www.dmh.go.th/trend.ap/14 March, 2007.
Mental Health Department of Thailand (2006) Suicide Report 2004-2006 www.suicidethai.com,

14 March, 2008.
Murgess, 1962, refer to Boonserm Huttaphad, Family Psychology, Sukothaitunmatirat

University, p 79-80.
Pattaphong Kaseamsombhon (2007) Social Prevention Seminar: 25 July.
Phichit Public Health Office (2001-2008) Health Promotion and Environment Report 2001-
2008.
Phichit ProvinceThanet Khungprasert (2009) Thai and Hamburger Crisis in Thai World
Affairs Center http://www.thaiworld.org/th/include/answer_search.php?question_id=814, 5
January, 2010.

Scott Appelrouth and Laura Desfor Edles (2008) Classical and Contemporary Sociological
Theory, printed in United States of America, 1965 copyright 2008, Pine Forge Press and
Imprint of Sange Publications, Inc. pp. 111-17.
WHO (2004) World population, population division and united nation, 2004:113.
WHO (2002) Report Injury: A Leading Cause of Global Burden of Disease “Self-Directed
Violence” from The “World Report on Violence and Health” www. WHO.iasp.info, 14
March, 2003.

Primary Education and Economic Development in Nepalese Rural Village: The Case of Talku Dudechaur Village,
Nepal
Primary Education and Economic Development

In Nepalese Rural Village: Focusing on
Talku Dudechaur Village, Nepal
Saraswoti Bharati (1st Affiliation)

Tribhuvan University, Faculty of Education,
M. Phil Courses, Dillibazar, KTM
saru.bharati@gmail.com
Abstract
This paper argues that while there is a relationship between access to primary schooling and
economic development, this may not be the case in Nepal where school age children left schools
for various reasons. This paper identifies the two-way relationship between human resource
development produced by lack of access to formal schooling and less use of available resources
for economic growth, measured in per capita terms, and physical capital investments. As overall
economic development has suffered, service delivery is undermined, movement has been curtailed
limiting economic opportunities, and there are likely long-term negative effects on agricultural
livelihood and rural development.
Keywords: rural policy, education, economic development
Introduction
In an agrarian society like Nepal where nearly 80% (CBS, 2001) of its
economically active population is absorbed in agriculture, the role of primary education
for economic development is significant. However, the country still faces the problem in
access to primary school education. A sizeable portion of its child population (1.4
million) is not attending school. Among those who were in school, only less than 10%
of them reach up to class ten (Dixit, 2002), and only about 50% reach class 5 (His
Majesty Government/UNCTN, 2003). The Flash Report (2005) indicated that though
89.1% of its school age children were enrolled in grade one, about 20% of them
dropped out. How to bring children from home to school and keep them for longer
period are the major challenges of sustaining education (Dixit, 2002; Parajuli, 2002;
Flash Report, 2005). These are critical issues of education in the country, which have
far reaching implications for agricultural productivity and poverty alleviation. This is
because it is very difficult to extend modern agricultural technologies to illiterate
population. However, there is a dearth of literature and studies pertaining to the
relationship of education and creation of sustainable livelihood.
The activation of rural farm village is necessary for economic subsistence. Primary
education is one way to activate the Nepalese farm village internally and linked it to the
national development of the country. This paper highlights the results of a study which
analyzed the state of the primary education in Talku Dudechaur Village in Nepal.

Saraswoti Bharati
Specifically, such study assessed the situation of the school-aged children (5-14 years
old) and examined the present state of human resources in the said the village.
Methodology
The data were gathered using primary and secondary data gathering techniques. The
questionnaire was pre-tested in ‘Kami Goun’ (Village of black smith) of Lalitpur
district, next to the capital city of Kathmandu in July- August 2007. Thus, the
preliminary study offered an opportunity to have the first hand observation of the school
practices in an oppressed area. Later, the study was conducted in Talku Dudechaur
village of Kathmandu district. Using purposive sampling, 206 households with children
whose age ranged from 5-14 years old were selected out of the total 547 households in
the VDC. The data were collected through a series of formal and informal discussions
with parents and children during the field survey in September–October, 2008. This
information was then linked to enrollment and drop out. A semi–structured
questionnaire was used to collect the information from the children, while informal
interviews were done whenever necessary. To validate the information, triangulation
method was used via interview schedule, direct observation and focus group discussion.
Findings
A picture of the problem
The following cases illustrate some of the issues and concerns as regards the
children’s inability to access primary education.
Case 1 - I have no regrets leaving the school: Niroj (14, boy, ward no–3, family size-3)
left school at grade 5, when his demand was not fulfilled by his mother. His father is
living in Kathmandu, with newly married stepmother; and he rarely visits nor care for
them. His mother gave up sending Niroj to school because of being unable to fulfill his
school needs. Now, Niroj is working as a Khalasi (laborer) in one of the villagers. Niroj
did not regret leaving the school because now he could earn money for himself and for
his mother”. This case shows that the family is neither poor nor lack awareness about
education. The need and love for money over education is apparent in this case, and
this forces children like Niroj to give up education.
Case 2 – Maoist threats prompted us to leave our place. All family members of Putali
(14, girl; ward no–5, family size-7) have at least primary education and two of her
brothers are working in foreign county (India, Japan). They neither have economic
problem nor unaware about the benefits of education. The family found quite aware
about the socioeconomic perspective. She left school at grade 5, when parents decided
to send her to monastery for security reasons. At that time, there was a great pressure of
the Maoist among the young children. Thus, they are forced to leave the village and the
country.
The two cases above indicate that many youngster like Putali left not only school but
leave the village and sometimes the country for security reasons. The 13 years of civil

Nepal
war has badly affected the schooling of children and the peace and security condition of
the villagers in remote areas. Neither there is the presence of government nor the civil
societies to listen to the voices of children. Nevertheless, gumba (monastery) became
the security blanket of the villagers which provided them with an alternative place
where food, home and education were given. It secured the future different from those
of formal schooling. But there are so many children like Putali who do not have such
alternatives is the issues of children need to be raised.
Case 3 - I need to be a baby sitter for my siblings: Manamaya (11, girl; ward no–7,
family size-6) left school 3 years before completing grade 1. Now her morning starts
with helping her mother in the kitchen, preparing things for two younger sisters, and
looking after one brother. Once she gets free, cows and goats (one buffalo, 1 cow, and 2
goats) are waiting for her. She took them every after noon near the hill. Her father is
working in Katmandu. Neither traditional school nor modern school has space for her.
Economically, they are not very poor to handle the school expenses, however she left
school to take the responsibilities at home.
Issues: Since her mother is alone to do all the household works, Manamaya took the
responsibility of doing the household chores instead of being in school. Her mother has
regrets keeping her at home to take care of other children. By the time her siblings grow
up, there would be no more opportunities for her to join the school because of her age
and social boundaries.
Case 4 – My parents do not understand what I want: Milan (14, boy; ward no–8, family
size-6) has started his work as a domestic worker near the village. He left his school
while he was in grade 5. According to him, his parents could not provide his school
needs. Instead, he is always asked to go for ‘Gothalo’ (rearing domestic animals).
However, family members informed that a domestic animal (2 cows, 5 goats, and 4
chickens) are reared by all family members. Despite this, he was forced to engaged in
domestic labor because of his parents.
Case 5- Pre-occupied with the marketing of farm products. Indira Waiba, grade 2 (12,
girl; ward no–9, family size-5) was on her way back from vegetable market, at 2 o’clock
in the afternoon. She left for the urban market with her father at one o’clock in the
morning to sell Barela (balsam apple). They had a good sell in city market than in the
local market. However, they had to walk for three hours to reach the market. As such,
she would be absent for a day for the marketing of vegetables.
Issues: Children like Indira, has been used for household support and agricultural
support. During the rainy season, they would leave school and accompany their parents
in the market. While it is good to expose the children to agriculture, the irregular
attendance to school could create a problem in the future
Case 6 – My life was lost due to my grand mother. Meena 16, (girl; ward no – 6, family
size - 6) has never been to school, when she was still a child she looked after her grand
mother who was in bed for five years. After the grand mother’s death, Meena was sent
to Kathmnadu with Maiju (her sister in law). She stayed at Dhalku with two other

Saraswoti Bharati
children of Maiju. Maiju used to work in other houses, so Meena started to shift her
duty when she was 10. She spent five years with them but in return she got nothing. She
has lost so many opportunities in life.. Now she wants to study, but there are no such
places. Meena is worried about her future being uneducated.
Case 7 - Why children need to bear the economic responsibilities?! – Purnima Tamang,
13 (girl; ward no – 4, family size - 8) left her school at grade 2 and was sent to
Kathmandu as a household servant. She was a good student but her family did not
recognize her talent due to excessive livelihood struggle in the village. While there are
other five siblingse, she took the responsibility being the eldest in the family
Table 1 shows that around 21% of the children dropped out from school for various
reasons. At the same time 9% of school aged children have never been to school. There
is no certainty that the children who are now in school would continue to higher
education. These issues pose threats to the social capital of the village.
Table 1. Level of education of Children under 14 years
Category Total (number) Percentage (number)

Sampled household 206 40 %
Under 5 60 12
Never been to school 45 9
School drop out 102 21
School going 283 58
Net Enrollment rate 120 42.5
Gross Enrollment rate 163 57.5
Total 490 100
Source: Field survey, 2008 September and October
Causes of vulnerability of children
Children in Nepalese village are vulnerable due to many factors. Less land
ownership, insufficiency of food produced, less education and limited access to
secondary job (Tables 2, 3, 4 & 5) have contributed to child labor in Nepal. As indicated
in Table 2, 80% of the village households is engaged in agriculture. About 40% had a
monthly income within the range of 3000 to 6000 while around 42% has an income
lower than 3000 (Table 3). While agriculture is their main source of income, half of the
rural households has an average farn size of less than five hectares (Table 4). The
people in rural villages do not perceive education as a means to improve the household
economic status (Table 5). The economic problem was not brought about solely by the
economic status of the rural people, but their perceptions and attitudes also play a key
role in shaping their economic status.

Nepal
Table 2. Economic status of the respondent-households in Talku Dudechaur Village, Nepal

Primary occupation % Secondary occupation %
Agriculture 81 Agriculture 20
Non - agriculture Non – agriculture
Business 2 Business 6
Labor 5 Labor 44.5
Government worker 3.3 Government worker 6
Firewood - Firewood 4
Technical worker 7 Technical worker 15.5
Pension and support 1.5 Pension and support 4
Total 100 100
Source: Field survey, 2008 September – October
Table 3. Secondary sources of income of the respondent-households in Talku

Dudechaur Village, Nepal
Income in thousand ( Rs.)/month
Ward no Above 9 6~9 3~6 Below 3 Total HH
1 1 3 12 1 18
2 0 3 11 7 23
3 0 4 12 6 25
4 0 1 2 20 27
5 1 4 8 9 27
6 2 5 18 3 34
7 0 2 6 14 29
8 0 4 7 14 33
9 1 7 9 9 35
Total HH 5 33 85 83 206
Percentage 2.5 16 41.5 40 100
Table 4. Land holding and level of sufficiency of the respondent-households in

Talku Dudechar Village, Nepal
Farm size ( ropani) %
<5 51.5
5~10 32
>10 16.5
Total 100
Sufficiency level %
< 3 months 42
< 6months 37
< 9 months 15
< I year 5
Whole year sufficiency 1
Total 100

Saraswoti Bharati
Table 5. Education and Secondary occupation of respondent-households in Talchur Dudechur
Education level (no.) Occupation ( secondary)

Daily Government Firewood Technical Pension/
Agriculture Business waged labor worker collection/sell worker support
Illiterate (95) 18 6 47 3 9 11 1
Literate ( 56) 14 5 18 2 - 10 7
Primary( 33) 9 1 11 4 - 8
Lower secondary (11) 2 1 6 1 - 1 -
Secondary (4) 1 - 1 1 - 1 -
Above secondary (1) - - - 1 - - -
Total (200) 44 13 83 12 9 31 8
Because of such situation, children are compelled to work at an early age to help
their parents in the farm and in household chores. The feedback loop (Figure 3) below
presents the situation of children and their vulnerability to poverty in the future. It is a
vicious cycle in which poverty combined with illiteracy leads to child labor and child
labor again leads to illiteracy which makes them poor for the rest of their lives. Besides
this, the traditional culture of late school enrollment and early marriage compelled
children to take adult responsibilities and lack of adults willingness and determination
are the reason of vulnerability.
Family without adequate

resources, education and skill
Depends daily wages

for survival
Increase the school drop

out kids
Can’t afford school, health and

Family members are
other basic needs
compelled to earn
Figure 3: A typical Feedback Loop for a Poverty – stricken Family

Source: Devkota, 2007, (pg., 289)

Nepal
Impacts of out–of-schooling
Evidences from the field showed that the perceptions of dropped out children were
taken in two ways. First, those children who had dropped out were taken as a burden of
the community, thus, most of them are often hated and the community had negative
impressions on them, including their parents. They were viewed as idle people who just
stay at home most of the time. Meanwhile, children who left the village for economic
purposes were viewed positively by the community members. The social discrimination
made by villagers to the children had big social impact for the latter in the long run,
which is one major factor which enforces children to leave the village.
On the other hand, the unwillingness of the parents to provide economic support to
their children also contributed to the vulnerability of the children. Because of illiteracy,
the children have oftentimes lesser opportunity for economic sustainability. Children,
including the adult family members, need to work in order to survive. Thus, they should
have access to education to contribute to the improvement of their lives, community and
the society. This helps indirectly in alleviating poverty in the long run. Thus, all of those
should be available and be taught in schools not as separate from the curriculum but as a
part of in – school education. Institutional problems can be partly addressed through
parental and community involvement in school education, which is anchored on basic
education in the social fabrics of the community. Their direct participation would foster
demands and ensure that schooling provides social benefits and economic returns and
reflects local priorities and values.
Addressing the Issues through National Education Policies
Policy on Compulsory Primary Education
Nepal remains one of the few countries whose primary education is yet to be
institutionalized as a compulsary education, though this facility is given free for all. The
parents need to shoulder only the other direct and indirect costs. The National Plan of
Action (2001–2015), aims “to ensure that all children; particularly girls, children in
difficult circumstances and those belonging to the ethnic minorities have access to
complete compulsory primary education of good quality and free by 2015” (MOES,
2003:4). There is a similarity between the policy guidelines of 9th plan and those
recommended by the NNEPC in 1956. It seems that the NNEPC guidelines are as
relevant today as in the past. The trend in the policy reform has not made any particular
effort since then, though many political changes have already happened in the country.
The report of the national level commission presented the policy guidelines that reflects
the lack of political will of the system. Almost all policies are reflected in the priorities
of MOES. However, the most needed literacy increment (now only 54% with 70%
expectation by the end of 10th plan) has been the second priority. Literacy and primary
education have been the top focus of the government based on its international
commitment and the Millenium Development Goals. However, the issues and problems
of education remain unchanged for almost one – half century. There is a saying “Jun
Jogi aae pani kaan nai chireko” which means that regardless of the system and the
political leaders, this problem will not be addressed unless they have the will and

Saraswoti Bharati
determination to solve the problem.
Policy on access
 Pre-primary and primary education: The goal of the Education for All (EFA) is to
provide a one-year pre-primary education in all community schools, and make
primary education a required education by 2015. Legal provision for free primary
education was implemented. However, there are no rules and regulations made for
compulsory education. There was CPE experiment in 60s and 90s, which failed due
to lack of concrete policies (formative report 23, pg 25). Pre-primary education
policy is apparently not clear, from its conceptualization to actual implementation.
One year pre-primary education has not been mandatory in all schools. Though
some interested communities have started to impose the policy, this was
implemented in a disorganized manner. Since, the early childhood development
(ECD) is not allowed to run within the schools, parents are required to
accommodate their schedule according to two different managements---aged
children and those at the ECD level. This has been an issue because the
socioeconomic status of the families require an older child to take care of their
younger siblings. In such a situation, the question rises whether the community-
based or school-based or context-based design is appropriate to be answered.
 Education for All: Education for all is an international proclamation signed by

Nepal to achieve the goals that are stipulated in the national plan of action. Though
the policy is relevant in terms of social equity, the strategies for providing access to
the least, last, lowest and lost group of people were generalized. Specific treatments
are required to these groups. Only nominal scholarship might not be sufficient.
Moreover, attempts towards compulsory primary education have not been made.
Since the experiment done by the Department of Education was not successful, the
government needs to focus on the root causes of its failure. The EFA strategy on
gender parity in both primary and secondary level by 2005 was not satisfactory. In
primary education the NER of girls is 13 percent lower than that of boys. The
scenario of gender parity in lower secondary and secondary is very much higher.
The recommendations suggested addressing gender and social issues by thematic
report have not been implemented yet.
The data of Ministry of Education (2007), shows that about 89.5% were enrolled in
formal schooling, which proved that still 11.5 % were still out of school, but it seems
controversial in contrast with other reports (BPEP 2004, CERID 2003) and other
authorized documents reported that 11.5 percent were out of school. In addition
promotion, repletion and dropout rates of Grade 1 were very high compared to other
levels (Table 6).

Nepal
Table 6. Efficiency rate in Primary schools, 2007

Grade 1 Grade 2 Grade3 Grade 4 Grade 5
Promotion rate 50.8 74.9 77.7 76.9 73.0
Repetition rate 34.0 19.4 15.3 15.7 13.5
Dropout rate 15.3 5.8 7.0 7.5 13.5
Source: MOES, 2008
There have been a number of significant efforts to increase girls’ enrolment.

Despite efforts to bring disabled children into the primary school system through special
education, the government has not attracted so much children on this program. The drop
outs and repetition are still rather complex. Motivation of the teachers and students,
opportunity cost, question on the relevance and quality of education, social and
economic distraction due to forced labour and lack of proper organization and
management have to be addressed. The problem of drop outs is more complicated for
girls, early age marriage, social practice of treating girls as a subservient, load of
household chores are required to eliminate from the society particularly in rural area
(UNDP, 2005).
 Conflict management: The impact of the BPEP I and II or the EFA activities to the
education is difficult to measure since districts and schools are heavily affected by
the conflict from last 15 years. There has been a widespread national bandhs (strike)
which encouraged people to migrate. Schools have been explicitly targeted with
attacks on educational facilities, school strikes, disruptions to daily schooling
practices, and the abduction of teachers and students by the insurgents. Apart from
this, MOES has neither adequately provided the guidance on how to respond to the
challenges posed by the insurgency nor requests for any support from the line
agencies.
 Gender-related policies: The policy regarding preparing gender index and

implementing gender auditing system through Women Education Section under
MOES required the recruitment of one female teacher per primary school (Table 7).
Gender audit of BPEP II was undertaken but its recommendation has not been fully
implemented. Only disaggregated data is available in EMIS. Since the policy is
guided by WID approach, 'Gender’ has been widely used as terminology, and is not
being put into practice. It is still viewed as being synonymous to women. Policy of
female teacher recruitment has not yet been implemented in all districts.
Ironically, MOES proposes two female teachers in NDF paper 2004.

Saraswoti Bharati
Table 7. Present Status of teacher’s availability in primary level.

Year Teacher in Primary level
Total Female Number of full Average annual teacher’s
trained teachers growth rate 1990-2003
1990 71,213 9,180 NA 3.6
1995 82,645 15,885 NA
2000 97,879 24,770 11,683
2001 NA NA 14,191
2002 110173 31549 17,878
2003 1,12,360 32,739 19535
Source: MOES, EMIS 2004
 Policy on Resource Mobilization: Education is still the first priority of the

government. The international donor communities are committed to improve
education in the country. The government investment is quite satisfactory and has
been growing, compared to other sectors (Table 8). At present around 17 percent of
the total annual budget is allocated to this sector and 55-60 percent of this is
allocated for the primary education.
Table 8. Allocation of expenditures in the education sector in Nepal.
Nepalese Rs. (in Ten Millions)
Normal( Government) Alternative (Donor support)

Items
Amount % Amount %
Basic and Primary Education 1525.80 81.16 1210.71 84.34
Secondary Education 190.91 10.15 85.25 5.94
Vocational Education 48.33 2.57 41.43 2.89
Non-formal Education 26.69 1.42 22.09 1.54
Teachers' Training and Quality 84.00

Improvement 4.47 72 5.02
Others 0.32 0.02 0.14 0.01
Higher Education 3.96 0.21 3.96 0.28
Total 1880.01 100.00 1435.58 100.00
Source: The Tenth Plan, NPC
It is evident in Table 7 that BPEP receives 81.16 percent of total development

expenditure in a normal scenario and under the alternative scenario, it receives 84.34
percent of total development expenditure. The resource allocation reflects that basic and
primary education are the government's top priorities However, the total development
expenditure allocated to education sector is inadequate compared with the resource
requirement of the sector. More than 80 percent of the above budget goes to salaries
(MOES, 2003). The physical facilities of the public primary schools especially in the
rural areas are very poor and below standard and most of these schools are
overcrowded. The public demands for the establishment of new primary schools are
large, whereas, the resources and the capacity to open up new schools are limited.
Additional resources are necessary to achieve the targets of the education sector. A

Nepal
larger share of government allocation to education sector combined with more

community participation can generate additional resources to improve the physical
facilities of public schools. This would then improve the quality of education in these
schools. It is a “bitter” reality that the government is implementing programs that are of
interest to the international communities, rather than solving the current problems on
illiteracy and poverty. It needs to focus on the real need of the country rather than
implementing the deskwork-based project. It seems the government is doing ‘Working
for Work’.
Conclusion
Despite the above mentioned efforts, many children in Nepal are still out-of-school
for various reasons and their voices have never reached their own parents nor heard by
any other stakeholders. A fundamental problem is the lack of clarity about the role of
government, community and parents about the children’s future. The policy of “one
–hat- fits all” found not suitable to the context. In effect, top down policy and parental
will and commitment are still among the significant barriers to achieve Universal
Primary education. So, we are searching for our world and outside the school rather that
in-depth analysis about the root cause of the problem. We are searching for grammatical
interpretation as Hermeneutics’ stated but we lack contextual interpretation. Rural
development will still be undermined unless efforts are focused on education for rural
people, particularly the children who are considered as the future assets for nation
building and economic development. Until and unless both capitals (physical and social)
were addressed improvement of the livelihood and economic development of Nepal will
not be possible.
References
Akintoye, Ishola Rufus and Adidu, Felix a. (2008). Optimising National Growth Through Human
Resources Investments. European Journal of Scientific Research. ISSN 1450-216X Vol.22
No.3 (2008), pp.433-443 © European Journals Publishing, Inc. 2008
Alderman, H. & King, E.M. (1998). Gender differences in parental investment in education.
Structural Change and Economic Dynamics, Elsevier, 9(4), 453-468.
Bajracharya, H. R. (2003). Education for Poverty Reduction: the Challenges of School Reforms.
Education and Development, Research Center for Educational Innovation and Development.
Bharati, S. (2009a). Education and Development in Nepal A case study on Talku village. Paper
presentation at International Conference, Tomorrow People, Thailand 2009, March 5 ~ 7,
249 - 263.
______ (2009b). Effect of Educational Values and Cultural Tradition in Access to School. The
International Journal of Learning, Volume16, Issue 9, 611 - 620.
________ (2007). A Comparative Educational Policy on Primary Education: Japan in Meiji Era
and Nepal after 1990s. Unpublished Master thesis, submitted to Faculty of Law and Letters,
Ehime University.

Saraswoti Bharati
Bista, Min Bahadur (2004). A review of Research Literature on Girls’ Education in Nepal.
UNESCO, Bangkok
CERID (2004). Free and Compulsory Primary Education in the Context of Education for all.
Formative Research Project.
Central Bureau of Statistics (CBS), (2004). Nepal Living Standards Survey. National Planning
Commission, Kathmandu, Nepal
Chamber, Robert (1994). Whose reality counts? A joint study conducted by FAO and
UNESCO.Education for rural development towards new policy responses
Devkota S.R. Socio-economic Development in Nepal: Past Mistakes and Future Possibilities
EFA Global monitoring Report (2006). Literacy for life, UNESCO Education for Rural
Development. FAO and UNESCO.
HMG UNESCO (2003). Meeting the Goals of Education for All (Compilation of Thematic
Reports)
HMG, National Planning Commission (2003). The Tenth Plan 2002 – 2007.
Hirosato, Yasushi (2001). New Challenges for Educational Development and Cooperation in
Asia in the 21st Century: Building indigenous Capacity for Educational Reforms. Journal,
ICE Hiroshima University,
Parajuli, M. (2002). The state, the School and the Society. Dilemmas and Crisis in Education in
Nepal. Unpublished Doctoral thesis submitted to Department of Education Anthropology,
The Danish University of Education, Denmark.
Prennushi, G. (1998). Nepal: Poverty at the Turn of Twenty –First Century. Report, IDP 174.
World Bank, Washington DC, USA, 1999.Princeton University Press: Princeton.
Solow, Robert (1956). A Contribution to the Theory of Economic Growth. Quarterly, Journal of
Economics, P. 65-94
White, Merry (1987). The Japanese Educational Challenges: A commitment to Children. (New
York: The Free Press.

Social Relationships Formed Through Maize Cultivation in a Mien Hillside Village, Northern Thailand
Social Relationships Formed Through Maize Cultivation in

Mien Hillside Village, Northern Thailand
Takashi Masuno
National Museum of Ethnology, Japan
masuno_takashi@goo.jp
Abstract
Farmers in the hillside area of northern Thailand are not only engaged in upland rice cultivation for
subsistence, but also in the production of cash crops such as maize, ginger, and cabbage, etc. The Mien (Yao),
one of the hill tribes of northern Thailand, cultivated maize for cash income since the 1980s. After mid-1990s,
maize production has become widespread that it became the main agricultural crop of many hillside
communities. This paper aims to elucidate the social relationships associated with hybrid maize production in
Mien Hillside Village,
The research results showed that maize harvesting was not only done by household members but also
through labor exchange among the households in the village. In addition, some households used wage labor
for their maize harvesting. Some of the villagers also harvest maize and work as wage-based laborers in
other villages. This case study suggests that maize production as a cash crop has been maintained through
various social relationships within and outside communities.
Keywords: cash crop, hill tribe, labor exchange, wage labor, Yao
Introduction
Farmers in the hillside area of northern Thailand not only practice upland rice
cultivation for subsistence but also engaged in cash crop production. It is known that the
planted cash crops in this area had changed dramatically after the 1970s (Michaud
1997). For example, many hill tribes, such as the Mien (Yao) and Hmong, who live in
hillside areas, had cultivated opium as a cash crop until the 1970s. However, after the
ban of opium cultivation by the Thai government, farmers in upland areas began to
cultivate new cash crops. The Thai farmers grow maize for the commercial animal feed
market (Ekasingh et al. 2004, p. 10). Thus, maize became a popular cash crop for some
hill tribes.
These changes regarding cash crops contributed to changes not only in agricultural
techniques but also in their socioeconomic activities (Jian 2001). For example, in one
Mien hillside village, which was the focus of this study, the farming method changed
from shifting cultivation to permanent farming in the 1990s (Masuno and Ikeya 2008).
In addition, after the late 1990s, planting of high yielding maize varieties became
widespread (Masuno and Ikeya 2008). It actually became a mainstay crop-greater than
upland rice-thus becoming the main cash crop of the village. The study of Yoshino
(1996) found out that in upland rice cultivation in the late 1980s to early 1990s, the use
of exchange labor was paramount. However, when the agricultural situation had

Takashi Masuno
changed dramatically after the 1990s, how were the agricultural operations conducted in
regard to newly introduced cash crops, such as maize? Thus, the objective of this study
was to elucidate the social relationships of villagers by analyzing their methods of
hybrid maize production, with special focus on social relationships during maize
harvesting.
Research Area and Methods
The field research was conducted at the PD village in Phayao Province in Northern
Thailand (Figure 1). The area has a monsoon climate, with a distinct rainy season from
June to October and dry seasons from November to May. This village is located on a
hillside, about 950 meters above sea level. This village has been in existence for at least
100 years. The villagers consist of an ethnic minority called the Mien (Yao) people,
which originated from South China. The village consists of 20 households, which are
labeled from household A to household T, and totaled about 128 people in 2005.
Figure 1. Study area
The main subsistence and economic activity in the study village is agriculture.
Protected forest areas operated by the Royal Forest Department have restricted
villager’s field use since 1991 (Masuno 2009). Villagers grow upland rice for
subsistence and hybrid maize for cash income. Each household cultivates their own
fields and keeps several types of livestock, such as chickens, pigs, dogs, and cattle.
Most households raise chickens and pigs, which are frequently sacrificed (Masuno and
Ikeya 2010; Masuno and Nakai 2009) for Mien rituals. The Mien rituals that require
cattle sacrifice are extremely limited. Cattle are raised in order to make a profit
(Masuno 2010).

Two Mien villages and one lowland Thai village are found within 5 km from the
PD village. The TP village is located 4 km east of the PD village, and here, villagers
consist of Mien people. Meanwhile, the PY village is located 5 km north of the PD
village, and villagers here consist of Mien people. The PT village is located next to the
PY village, and the villagers here consist of lowland Thai people. Some villagers of the
PD village have relatives in the PT village and the PY village; thus, villagers of those
three villages have close relationships each other.
Direct observation and interview research were conducted at the Mien hillside
village, where each worker was interviewed regarding their use of labor power, such as
labor exchange, wage labor, and others. Intensive field work at the village was
conducted from February to March 2004 and from March 2005 to April 2006.
Social Structures and Relationships in Mien Society
An ideal social structure in transition
According to Yoshino (2005, pp. 91-92), the Mien community is basically a

patriarchal one. This organization is similar to that of the Han people of China. Mien
people also have their name written in Chinese characters. They usually inherit their
family name from the paternal line, and basically, family members living in the same
house form the biggest independent social group. This is known as pyau in the Mien
language. The unit of toi in the Mien language describes a nuclear family. In the past, it
was believed by many Mien people that an extended family centering around the
paternity line is an ideal family structure, where for example, parents, their son, and the
son’s wife, living together in a single house, form one pyau consisting of two toi.
However, Yoshino (2003) reported that the social structure of the Mien shifted from the
extended family to the nuclear family. This means one pyau indicates one toi. The PD
village consisted of 20 households, and most households formed nuclear families in
2005. Thus, in this paper, the members of one house were treated as one nuclear family.
Social relationships in agricultural activities
It was pointed out that Mien people work together by utilizing labor exchange
among households in various agricultural activities (Yoshino 1996, p. 145). Labor
exchange is called pwi kong in the Mien language, and in this labor exchange, a
household that uses labor from another household must offer labor to another household.
Yoshino (1996) also pointed out that the number of such labor and the working days are
more important, than the types of jobs performed. This labor exchange rule can be used
for any type of job in the community. However, most villagers are farmers; thus, labor
exchange is usually performed along the area of agriculture. Labor exchange is
frequently used for seeding and harvesting upland rice (Yoshino 1996, p. 145).

Takashi Masuno
Agriculture in the study village
Villagers grow upland rice for subsistence and hybrid maize for cash income. Since
the mid-1990s, the villagers have switched from shifting cultivation to permanent
farming (Masuno and Ikeya 2008). Villagers repeatedly use the same fields for
cultivation, and in 2005, all households used herbicide and chemical fertilizer for upland
rice and hybrid maize cultivation. The average cultivated area was 7.5 ha per household
in 2005 (Figure 2), and upland rice and hybrid maize accounted for 9% and 88% of the
total area, respectively. Maize fields account for a large share of the agricultural fields
of the PD village, and the household of the PD village usually cultivate one area for
upland rice field per year. However, most households cultivate more than two areas
for maize fields every year.
Upland rice Maize (hybrid) Other crops

18
16
14
12
Area (ha)
10
8
Average 7.5 ha/household
6
4
2
0
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
Ranking
Figure 2. Areas cultivated by each household in the PD village (2005)

Source: Masuno and Ikeya (2008)
Both upland rice and maize are grown once a year during the rainy season (Figure
3). Villagers prefer to cut undergrowth and burn dried vegetation to prepare new fields
from March to May, before the onset of the rainy season. Longer time is required for the
field preparation, seeding and harvesting of maize than that of upland rice, as they
cultivate multiple areas for maize fields and larger areas than those for upland rice fields.
Actually, planting maize is performed for nearly three months from June to August, and
harvesting for nearly five months from November to March. Maize is harvested by hand
(Figure 4) and is usually stored in granaries built on-site at the maize fields (Figure 5).

Crops Jan. Feb. Mar. Apr. May. June July Aug. Sept. Oct. Nov. Dec.
Field preparation Seeding Harvesting
Upland Rice
Field preparation
Maize
Harvesting Seeding Harvesting
Seasons Dry season Rainy season Dry season
Figure 3. Agricultural calendar of the PD village
Figure 4. Maize harvesting at the PD village
Figure 5. Harvested maize being stored in a granary hut at the maize field

Takashi Masuno
Nowadays, villagers use high-yielding hybrid maize bought from local markets.
This hybrid maize is the main cash crop and is sold to earn money. This variety has
been widespread in the PD village in the 1990s, and before hybrid maize became
widespread, villagers grew a “native” maize variety not for sale, but as feeds for their
pigs. However, the variety of maize used and the purpose of cultivation before the
1980s and after the 1990s were totally different.
Social relationships regarding maize harvesting
After harvesting upland rice in November, many villagers would harvest maize.
The social relationships formed during maize harvesting are analyzed, mainly using data
from all the agricultural activities performed in the PD village on February 2, 2006.
Table 1 shows all the agricultural participants in the PD village on this date.
Owners of fields and agricultural work
Nine (household C, E, F, J, M, N, O, Q, and S) out of 20 households perform

agricultural activities in their own fields. These nine households worked on one field per
household. The number of participants performing this agricultural work consisted of 38
people. The numbers of workers at one field totaled from one to eight, with 4.2 people
working at each field on average. In eight out of nine fields, maize harvesting was
conducted, with 37 out of 38 people. One person from household C cleared the
undergrowth of his rubber field.
Agricultural laborers from each household
Eighteen out of 20 households, excluding household K and household T, performed

agricultural works. The owner of each field worked on their respective field, and
household members from household E and household C harvested their own maize.
During harvesting, however, in six out of eight cases, people that were not household
members also participated.
Three people from household L worked in two places on the same day-in the maize
field of household F and household N. Furthermore, household L did not take part in
agricultural work in their field. In household C, the husband cleared the undergrowth of
his rubber field, and his wife took part in maize harvesting at household C.
Household K and household T did not take part in agricultural work that day.
Household K made whisky at home, while household T was absent from the village that
day.
Job categories of agricultural laborers
The job categories of agricultural labors are divided into four: those that work at
their own field, labor exchange, wage labor, and volunteers. Working at their own field
refers to, a member who works on their own field. Labor exchange refers to “pwi kong”,
as explained above. Wage labor refers to those who work for a daily wage, and usually,

the owner of the field compensates the laborers for their work. In February 2006, the
labor rate was 100 baht per day for one person. Volunteer refers to, of course, labor
provided without any compensation from the field owner (either through wages or labor
exchange). The most frequent workers were those who work at their own respective
fields, (Figure 6). Those that took part in labor exchange consisted of 14 out of 38
people on February 2, 2006. Four out of 38 people worked on a wage labor category.
Household F and household M used both labor exchange and wage labor.
5%
Working at one's own field
11% (18 people)
47%
Labor exchange
(14 people)
Wage laborers
(4 people)
37% Volunteers
(2 people)
Figure 6. Percentage of job categories regarding maize harvesting (February 2, 2006)
Kinship among laborers
The relationship between parents and their daughter(s) (two cases), parents and
their son (one case), and an older sister and her younger sister (one case) were observed.
In all cases, young people worked in the maize fields of older people, such as that of the
parents or an elder sister. In the case of the field of household J, the parents and their
two daughters worked together. Those two daughters were already married and lived at
their respective houses in the PD village. In the case of the field of household Q, the
younger sister lives in another Mien village, and she visited her elder sister to enjoy her
company. Other than those prominent kinships, it is difficult to see strong relationships
between the villagers who work together in the same field.
Social relationships with those outside the village
Two people from outside of the village were observed as participants in the maize
production. One male worked at the maize field of household N. He was a Tai Yai–a
different ethnic group-and a friend of the master of household N, and came from Chiang
Rai province to visit household N. He mentioned that he took part in maize harvesting
for household N on a volunteer basis that day. He also mentioned that taking part in
maize harvesting is a worthwhile activity. The other, a female, worked at the maize field
of household Q. She is Mien and has an elder sister in household Q, mentioned above.
She assisted her elder sister’s maize harvesting without expecting any compensation.

Takashi Masuno
On February 2, 2006, agricultural work in the PD village was reformed mainly by

the members of the PD village, and any PD villagers that went to other villages to work
were not observed that day. However, a few cases where PD villagers did go to work at
other villages were observed on separate occasions.
Case 1: One member of household J took part in maize harvesting at the PY village
on February 3, 2006. He worked as a labor exchange. When household J harvested
their upland rice, his PY village relatives came to help the harvesting of upland rice at
the PD village. Thus, members of household J must work the same amount.
Case 1 shows how labor exchange was conducted, not only within the same village
but also among villages. In addition, PY villagers worked during the harvesting of
upland rice in the PD village, but PD villagers from household J worked during the
harvesting maize at the PY Village. In this case, the participants were relatives, and all
of them were Mien people.
Case 2: Maize harvesting was done at the TP village on February 28, 2004. The
participants consisted of 26 people in total (5 from TP village, 3 from PD and 18
villagers from the TP village consisted) came from another Mien village, which was 18
km away from the TP village). All participants were Mien people. Twenty-two out of 26
people worked as wage labor. The other four people were from the household that owns
the maize field. The participants from the PD village and the owner of the maize field
were relatives, and each adult participant received 100 baht per day, while children
workers-those who were under 14 years old-received 50 baht per day.
Case 2 shows that wage labor is being practiced not only within the same village
but also among villages. In this case, the participants were also Mien people, and many
workers from outside their own village helped the owner of the maize field. The
children workers mentioned that they could earn money to pay for school expenses.
Social relationships formed through agriculture
The villagers of the PD village still grew both upland rice and hybrid maize, as of
2009. After the late 1990s, high-yield hybrid maize became widespread and has become
the main crop of the PD village. Studies conducted on February 2, 2006 indicated that
almost all the villagers dedicated themselves to maize harvesting in the same period,
which is maintained for nearly five months from November to March. This agricultural
calendar seemed to be solidified after hybrid maize became widespread.
It was pointed out that Mien people work together using labor exchange among
households and that Mien people use labor exchange in various agricultural activities
(Yoshino 1996, p. 145). The maize harvesting was not only done by household
members but also by exchanging labor among the households in the village. Research
clarified the fact that Mien people also use labor exchange for hybrid maize cultivation.
The cases of household F and household M (Table 1) show that they use a combination
of labor exchange and wage labor during maize cultivation.

Hakari (1978, p. 178), who conducted research at Mien hillside villages in northern
Thailand during the late 1960s to early 1970s, emphasized that the characteristics of the
behavior patterns of the Mien people are related to individualism. Yoshino (1998) also
pointed out that when Mien move to a new place, individual decisions are important.
However, in my observation in 2006, agricultural work, especially maize
harvesting-was not performed in an individualistic fashion, and it is not popular if it is
conducted by a single household only.
Some of the villagers also worked as wage laborer to help other villages harvest
maize (Case 2). In addition, Case 2 shows that there are people who use wage labor
intensively for maize cultivation. There is a high possibility that cash income from
selling hybrid maize enabled these people to employ wage labor. Yoshino (1996)
pointed out that the type of work performed is not important in labor exchange: the
number of people that worked and that the numbers of days these people worked were
most important regarding labor exchange. In Case 1, labor exchange took place in both
the harvesting of upland rice and maize; thus, observations confirmed Yoshino’s
description by concrete example.
The existence of volunteer worker still remains in the agricultural production

activities. The volunteer workers are provided without any compensation but there is
possibility that they have different ways of receiving compensation in the complex
social relationships among the community.
Conclusion
This paper aims to elucidate the social relationships of associated with hybrid maize
production in Mien villagers. The results show that maize harvesting is not only done by
household members but also through labor exchange among the households in the
village. In addition, some households use wage labor for their maize harvesting. Some
of the villagers also harvest maize and work as wage-based laborers in other villages.
This case study clarifies the fact that maize production as a means to produce a cash
crop has been maintained through the various social relationships among the relevant
communities; not only inside the village but in neighboring villages as well.
Acknowledgements
This research was carried out as part of a project by the Research Institute for
Human and Nature titled, “A Trans-disciplinary Study on Regional Eco-history in
Tropical Monsoon Asia: 1945–2005”. This work was partly supported by the Sasakawa
Scientific Research Grant from the Japan Science Society.

Takashi Masuno
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A Comparative Analysis of Volunteer Tourism in Two

Conservation Areas in Thailand and Vietnam1
Patcharin Sirasoonthorn2 and Nathalie Coren3
Abstract
Due to a variety of cultural backgrounds such as nationality, sex, ages and religious belief,
motivation and expectations of volunteer tourism differ. This article highlights the significance of
both external and internal factors which influence volunteer tourists in two conservation areas,
Koh Tao in Mae Haad, Thailand and Xuan Thuy national Park in Vietnam. Data were collected
for 12 weeks in each target area. A model of comparative study was applied to compare and
contrast the behavior, motivation and expectation of volunteer tourists.
Key words: volunteer tourism, motivation, expectation, conservation
Introduction
Tourism is a global activity. It is one of the most popular interests of sociologists

(Cohen and Taylor 1976, Goffman 1974). In social aspects, holidays not only free
individuals from their everyday life, but also provide mental and physical development.
Holidays can offer cultivation of human identity, self consciousness, and enhancement
of well-being. Yet historically, tourism has served only tourists’ pleasure. After decades
of mainstreaming tourism, a variety of organizations have started to realize that this
form of tourism caters more to an individual’s benefit rather than to the society. This
has led to a new form of tourism called alternative tourism.
Volunteer tourism is known as alternative tourism. It is getting popular in

developing countries such as Thailand and Vietnam. The term refers to those tourists
who, for various reasons, volunteer in an organized way to undertake holidays that
might involve aiding or alleviating the material poverty of some group in society.
International organizations well-known for volunteer tourism include Youth Challenge
International, the World Wide Fund for Nature (WWF) and Earth Watch. These
organizations operate their projects in various locations, with varying size and
1
This article is a part of Master thesis called “The Motivation, Expectation and Experiences of
Volunteer Tourists: A Comparative Analysis of Two Conservation Projects in Vietnam and
Thailand.
2
Assoc. Prof. Ph.D. Faculty of Social Sciences Naresuan University Thailand.
3
Master Student, MSC Biodiversity Conservation & Ecotourism, University of Naresuan
Thailand and University of Newcastle England.

A Comparative Analysis of Volunteer Tourism in Two Conservation Areasin Thailand and Vietnam
participant characteristics. The most common element of their operations, however, is

holiday programs that incorporate participation in social development issues such as
education, health delivery, or natural resources. This volunteer tourism aims to provide
mutual benefits to both volunteer tourists (VTs) and local people. This benefit will
contribute not only to the VTs’ personal development, but also have a direct positive
development impact to the society.
Volunteer tourism can take place in various locations, such as rainforests, biological
reserves, refugee camps, remote schools, and conservation areas. Popular locations
include Africa, Central and South America, and Asia. Activities are varied and include
research (wildlife, land, plants and water), conservation projects, medical assistance,
rainforest reserve, and socio-cultural development and restoration.
VTs take part in various forms of local activities. While they strengthen community
power, these VTs also empower themselves. They feel confident and develop a greater
awareness of themselves (Hill 2001).
In terms of the sociology of tourism, volunteer tourism has developed into three
major themes of development. First, it is a means to escape from boring or routinary
activities of individuals or groups of people. Second, it provides enjoyable and
memorable time for VTs. Lastly, it is a means of self-development (MacCannell 1992).
Darby (1994) and Wearing (1998) suggested that participation in volunteer tourism by
late adolescences helps these individuals feel independent, develop a strong sense of
self, and gives a chance for the VTs to review themselves in a different location. Kelley
(1996) emphasizes a key point. He proclaims that the freedom experienced in volunteer
tourism is a possible way of investing in the highest fully developing individual identity
with self. I fully agree with this idea. Moreover, I would like to pinpoint that volunteer
tourism can be the cheapest way of social investment for individual empowerment. It
also helps increase social skills and problem solving.
Literature Review
Motivation and expectation are key topics for post-tourism studies worldwide. All
argue that the concept of “volunteering” is founded on the notion of altruism and self-
development, often involving working for a cause that the volunteers believe in so as to
feel that they have accomplished something worthwhile (Sheard, (1992) & Wearing,
(2001) in McIntosh and Zahra (2007)). However, Coghlan (2008) states that the social
desirability effects connected with the environment and social ethos with regards to VT
have taken little consideration. Only a few studies have been conducted to analyze
volunteer tourism’s (VT’s) motivations. For example, Sharpley (1994) in Galley &
Cliffton (2004) claim that the VT’s motivations to travel are influenced by the society’s
context in which they live. Parrinello (1993) argues that the motivation is the trigger
that sets off the events associated with travel.

Wearing (2001) and O’Neil (2003) described three aspects of the volunteer tourism
experiences, namely: (1) is an expression of individual choice, involving intrinsic
motivation; (2) an experience that can potentially benefit both the participant’s life and
that of the community; and (3) giving the experience through social interaction which
may involve the renegotiation of the VT’s identity.
In fact, the VT’s motivations depend on personal factors that VTs build up all their
life with support from the roots of their cultural heritage. Pearce et al, (1998) argue that
“motivation is a global integrating network of biological and cultural forces which give
values and direction to travel choices, behaviour and experience.” The VT’s experience
is likely to be affected by a wide range of experiences and events, including their
cultural background, socio-economic status, and life cycle, which makes each VT
unique. As a result, VT’s needs, motivations, perceptions, satisfaction, and expectation
differ from the other VTs. Many studies have also been written about VT’s motivation
(Campbell & Smith, 2006; Wearing, 2001; Broad, 2003; Meng & Uysal, 2008; Galley
& Clifton, 2004; McKintosh & Zahra, 2007; Coghlan, 2007; Harlow & Pomfret, 2007).
All studies agree that VT’s motivation and expectations are psychological factors that
need to be carefully studied and to be better understood in order to avoid harmful
impacts to the environment and cross-cultural aspects. The VT’s first motivation is
often to look for a cultural difference through conservation projects (CP) – i.e., to
discover and experience new interactions. In these cases, a lack of interaction may not
live up to VT’s expectation.
According to Fisher & Price (1991, in Reisingers & Turner, 2003) good contact and
interaction will reduce ethnic prejudices, stereotypes and racial tension, while Robinson
& Peterson (1976, in Reisinger & Turner, 2003:39) argue that an improvement of a
social interaction between individuals contributes to cultural enrichment. However, it is
also essential to understand each VT, their cultural background and how this relates to
their motivations for face-to-face encounters. Conversely, a failure to realize VT’s
motivations by their CPs contributes to a negative attitude, which could strengthen
stereotypes and prejudices, and increase tensions in communities between residents and
VTs, generating VTs ethnocentrism, which limits their ability to understand the symbols
and meanings used by other cultures. Indeed, it could lead to cultural arrogance,
avoidance, withdrawal, faulty attributions, and faulty categorization in extreme cases
(Dodd 1995 in Beisinger & Turner 2003:326). So fulfilling the motivations and
expectations of VTs are the keys to the success of a CP, serving to protect community
cultural differences and local environments, as well being the key to a great experience
for VTs resulting in a repeat of voluntarism.
Starting the Project
To prove the above idea, I and my research team started a project called “The
Motivation, Expectation and Experience of Volunteer Tourists: A Comparative Analysis
of Two Conservation Projects in Vietnam and Thailand.” Basically, the dominant
question arose when considering the root of VTs. The project aims to clarify the basic
knowledge about volunteer tourists. To do this, the researchers investigated differences
in cultural background of volunteer tourists and its impact on their motivation and

expectation. Our research also highlighted the limitation of previous work related to
insufficient empirical data about volunteer tourists as a consumer. This empirical study
intends to investigate the basic characteristics of volunteer tourists, including age, sex,
nationality, motivation, and expectation. The field research took place in two
conservation areas (Figure 1). These are in Kho Tao Island located in Mae Haad,
Thailand and Xuan Thuy National Park, Vietnam. Qualitative methods were applied,
including in-depth interview and participatory observation. The duration of data
collection was one year (2008-2009). Content analysis was also adopted.
Figure 1. Two Research Sites, namely, Kho Tao Island and Xuan Thuy National Park
in Vietnam were used in this comparative study.
Case Study Overview
Koh Tao is the last chain of islands after the more well-known Koh Samui and Koh
Ngan. The conservation project concerns an environmental program run by the Secret
Garden Conservation Centre in cooperation with the local government, primary and
nursery school. The project aims to help preserve the island for future generations. Each
project takes a minimum of two weeks and a maximum of twelve weeks. The volunteer
tourists differ in nationality, sex, age, and occupation. These tourists pay for their
hospitality, food and personal expenses. Activities include beach cleaning and teaching
English at local schools.
Xuan Thuy National Park is located in Vietnam, 150km from Hanoi. The national
park is close to the beach and well-known for a spectrum of wildlife, especially birds.
The project is run by a non-government organization located close to the park. Each
project requests a minimum of 2 weeks and a maximum of 12 weeks of each participant.
Activities include cleaning river banks, guiding tourists, cleaning the beach, and
planting trees.

Findings
This study revealed that females were more numerous than males. The Vietnamese
local conservation project received much older VTs than Thailand which has privileged
much younger VTs. In Thailand, almost all VTs were from Great Britain. This is not
surprising since the volunteer tourism organization (VTO) is located in England. This
facilitated the interaction between VTs due to the same approximate cultural
background.
By contrast, the nationality of VTs in Vietnam was different. This changed the
individual’s characteristics such as their behaviour, attitude, ways of spending leisure
time, and morality. This supported the work of Pizam and Telisman‐Kosuta (1989 in
Reisinger and Turner; 2001:164) who found out that people who grow up in different
environments perceive differently because they interpret causes differently.
In general, the VTs in Vietnam and Thailand were well-educated, though with no
specific skills in science, which is atypical. Cliffton & Benson (2006) found that 75
percent of VTs were reading for a degree in the natural science, with the remainder
enrolled in environmental courses. Wearing (2001) found that VTs desired to gain more
experience in the scientific field through their conservation projects (CP) in Australia.
Galley & Cliffton (2004) found that VTs were mostly eco-centric due to their natural
scientific skills.
Moreover, this study revealed that most VTs of both CPs were singles, except for
some tourists in Thailand. The VTs valued helping others, showing respect, love and
honesty as a significant value of their life. They seemed adventurous due to their
sporting activities and travelling experiences. In Thailand, VT’s period of stay is longer
(between 2 weeks and 4 weeks) than in Vietnam (between 4 weeks and 6 months). This
has played an important role in motivational difference. This also supported the work of
Ellis (2003) who found out that short-term trips are mostly undertaken as a holiday. The
work of Broad (2003) also found that long period of stay volunteering provides VTs
with a greater opportunity to experience the Thai culture and interact with local
residents.
Therefore, the different motivations are related to a variety of CPs (local or

international); to different cultural backgrounds; and to the location chosen by VTs. The
challenging motive has been highly cited particularly by VTs in Thailand, for example
“new adventures through new opportunities.” The culture motivation was privileged by
VTs in Vietnam, to experience what this country offers through interaction with local
community and tasks which allowed them to gain awareness, skill and stronger
determination.
The environment motives have been emphasized by VTs in Thailand but did not
have a large place in Vietnam. However, Haelow & Pomfret (2007) revealed that
respondents frequently expressed surprise and satisfaction at discovering new abilities
in Zambia when discovering new areas of interest, such as outdoor tasks. Many studies
have also found that the most important main motives of VT’s are related to the outdoor

activities and natural environment. Halpenny & Cassie (2003) found that VTs
spotlighted a very strong attitude to the health of the environment, nature and
conservation, and their role in improving it (e.g., Broad, 2003; Wearing, 2001; Bruyere
& Rappe, 2007; Galley & Cliffton, 2004; Coghlan, 2007; Campbell & Smith; 2006;
Noella et al, 2007; Cliffton & Benson, 2006).
VT’s career motives in Thailand have privileged their holiday toward educational
facts through environmental experiences. By contrast, VT’s career motives in Vietnam
were more about gaining experience through conservation in order to change their
studies or career; both motives are related to the environmental one.
Relaxation does not have a large place in VTs motive in Vietnam females. They
have designated scenery as relaxation, whereas VTs in Thailand preferred “to have a
good fun experience”.
The learning motives have been cited by VTs in Vietnam, as mostly to learn about
the fauna and the environment, though the predominance of the environment motives
was fundamentally related to human values to help the other.
VTs in Vietnam also cited culture motives; they had a good interaction with local
Vietnamese communities. Broad (2003) also found that the successes of VT’s
participation project in Thailand was caused by a great cultural exchange between Thai
communities and VTs. Environmental motives played a more important role for VTs in
Vietnam than VTs in Thailand. This aims to protect the environment and its
disappearing natural resources for the next generation.
VTs in Vietnam and Thailand opted also for challenging themselves toward
participating in work, giving the best of themselves and gaining some experiences to
help local communities.
The relaxation motive holds an important place in VTs’ minds, especially VTs in
Thailand. They were vacation - minded because they associated CP with holiday; while
in Vietnam they were more volunteer - minded, they associated outdoor activities with
fun (Brown and Morrison, 2003). VT privileged holiday and fun rather than hard work
through their CP (Brown & Letho, 2005).
Learning and career motives have not been privileged by VTs in either Vietnam or
Thailand; they all have jobs except one VT in Vietnam. However, in Thailand VTs
wanted to learn something new from their usual daily life, while those in Vietnam
thought that the CP experience could bring them some career opportunities in their next
stage of life.
Cultural and social interaction seemed to provide the most satisfaction that VTs
encountered both in Thailand and Vietnam. VTs in Vietnam were more concerned about
interaction with local communities and other VTs. Those in Thailand have met different
VTs and become friends through their holiday.

Conservation training tasks have been cited as important particularly for VTs in
Vietnam due to their English lesson experience in Hanoi as well as the satisfaction of
the result. By contrast, some VTs in Thailand were more concerned to support the
initiative of the Secret Garden for the school in order to give children the opportunity to
learn English.
Career expectations for VTs in Thailand were more apparent. However, VTs from
both Vietnam and Thailand have taken the opportunity to learn and assist in scientific
field research despite their non-qualification in science skills.
Personal achievement is not mentioned by VTs in either CP, except VTs from
Thailand who said that they were satisfied because their attitude had changed towards
environment values. However, few VTs in both CPs thought that the volunteer tourism
organization (VTO) fulfilled their expectations with adequate information given by their
VTO, or that VTO staff definitely knew their jobs.
Dissatisfaction and Lack of Expectation
The VT’s conservation tasks have been rated as dissatisfying overall, particularly
by VTs in Vietnam. They did not gain any experience linked to environmental issues. In
Thailand, VTs thought that they lost out because of the lack of English lessons due to
“school closure”, and that this did not provide sufficient opportunity for their future
careers. Raymond & Hall, (2008) suggest that these VTOs need to carefully consider
the type of work in which their VTs should be involved when they develop their
programmes.
Some VTs in Thailand were reluctant to show any initiative or involve themselves
in work because the tasks were not appropriate to their expectations, hence, they lost
interest. Cultural and social expectations were felt by a great number of VTs in both
areas. Their impressions, however, were that the local community did not receive
economic benefit from VT’s participation. In Thailand, they did not have direct contact
with local communities. All of them have expressed great dissatisfaction concerning
their personal achievement, particularly VTs in Vietnam who definitely will not repeat a
CP with the chosen organization. The cultural difference has played an important role in
VT’s dissatisfaction and they blamed the local organization for not overcoming the
cultural barriers.
By contrast, Thai VTs were dissatisfied with the host organization. They claimed
that a lack of information, or poor quality information, misled their choice to participate
in activities. Both groups of VTs cited that some of the people from the VTO who sold
their VT holiday privileged the business and its turnover rather than honesty and
environmentalism. As a result, they will not repeat community development through
VTOs. Smith and Houston (1982, in Reisinger and Turner, 2003:190) claims that when
expectation from services are not fulfilled, dissatisfaction with service results.
Dissatisfaction with one component may lead to dissatisfaction with the total product.
The money they spent to participate in CP has not been justified for almost all VTs
(Moutinho, 1987 in Reisinger and Turner, 2003:178).

Conclusion
This study has explored VT’s motivation and expectation related to their personal
cultural background from CPs in Vietnam and Thailand. In Vietnam, the CP has
received local and international VTs from different nationalities. These VTs stayed for a
longer period, were those who are more mature and well-educated, single, hard-working
and volunteer-minded. Their motivations are focused on cultural aspects, challenge and
environmental goals. They looked forward to encountering different cultures and
challenging themselves through environmental tasks in order to acquire experiences
through holiday.
By contrast, CP in Thailand has received international VTs, younger, mostly

English students, whose primary motivations focused on challenging themselves
through new adventures far from home in order to gain some experiences through
environmental tasks, but also to have a good time, be vacation-minded, make friends
and experience conservation tasks in order to improve their CPs through new skills.
After completing a period of participant observation and collecting different

surveys at intervals from VTs in Vietnam and Thailand, the researcher found that the
expectations of VTs have often not been completely fulfilled because of external and
internal experiences during their periods of stay in their CP in Vietnam or Thailand.
In Vietnam, VTs have encountered a variety of problems caused by cultural

differences between them and the Vietnamese local organization. The latter has been
blamed by VTs because they have not fulfilled their satisfaction and expectation related
to their motivation and cultural background. Several VTs were critical of how the
organization was run.
In Thailand, VT’s have encountered a variety of problems related to the long

distances between Thailand and international organizations based in England that have
misunderstood the VT’s motivation and need to participate in CP community
development at Koh Toa. Consequently, VT’s satisfaction and expectation have not
been fulfilled.
Recommendations to the Local Organization in Vietnam
1. Further surveys should be conducted to better understand the motives of VTs’

participation.
2. A qualification or training course is indispensable geared to the staff post at VCDF in

Hanoi, especially English lessons which definitely would improve problems of
communication between staff and international VTs.
3. Complete financial transparency about the funding arrangements of the VT’s

participation – i.e., about where the money goes - is imperative.

Recommendations to the Local Organization in Thailand
1. To employ well-qualified staff to mediate VTs at Koh Tao. Thai staff should have a
good knowledge of their own culture and be appropriately prepared with useful
information.
2. It is important to initiate customers into real Thai culture and sell only homestay as
accommodation, instead of accommodation in backpacker lodges.
3. VTOs should keep a recording diary to give the VT’s up-to-date information on
how their money goes into CP.
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The Social Insecurity in Mae La Temporary Shelter: Thasongyang District, Tak Province, Thailand
The Social Insecurity in Mae La Temporary Shelter:

Thasongyang District, Tak Province, Thailand
Bandan Buadaeng
Naresuan University
Buadaeng_2514@hotmail.com
Taweesak Siripornpiboon, Ph.D.

Naresuan University
taweesaks.nu.ac.th
Patcharin Sirasoonthorn, Ph.D.

Naresuan University
Abstract
The Thai government has accepted many displaced ethnic groups from Myanmar in the Mae-La
Temporary Shelter in Tak province, Thailand. This has resulted in serious social impacts on the
surrounding local community. Compounding these problems, numerous illegal migrants have
also moved into the camp. However, there has been comparatively little research to understand
the nature of these problems. This paper is a product of a research that was carried out using
documentary analysis and quantitative field research. Interview with local households about the
community problems, and review of secondary data (e.g. statistics on crime) were used as the
data gathering techniques.
The study indicated that there are four key social security issues, namely: human trafficking,
forest destruction, illegal immigration, and drug addiction. These problems are rooted in the poor
management of the organizations involved in supporting the displaced persons in the temporary
shelter, and the poor control on the local people in the nearby areas.
Keywords: temporary shelter, refugee, social security, conflict resolution
Introduction
The revolution in Myanmar in 1962 by General Ne Win, which converted the

socialist administration to Myanmar’s military administration, destroyed the contract for
minorities’ autonomy and has, since, caused serious dispute and fighting between the
Burmese military government and the ethnic groups. While the ethnic groups wanted to
fight for their autonomy, the Burmese government wanted to keep them in order.
Though the war zone is largely limited within Burma, the consequences crossed over
the border in Thailand. A flux of war refugees is dispersed along the border adjacent to
Thai provinces including Mae Hong Son, Tak, Kanchana Buree, and Ratchaburee
provinces.

Bandan Buadaeng, Taweesak Siripornpiboon and Patcharin Sirasoonthorn
Unlike the other ethnic minority groups, the Karen ethnic group has strong military
forces and ideology, and has refused to negotiate with the Burmese military
government. Since Karen state is located opposite to Tak province, the refugees have
been pouring into Tak’s five bordering districts. The Thai government established
temporary shelters with support from the United Nations. However, these temporary
shelters have been occasionally targeted by the Burmese military, since they are located
close to the border. Therefore, the Thai National Security Council decided to move the
temporary shelters to at least 10 kilometers from the Thai-Burma border and reduced
the number of shelters in Tak province to three locations, namely: Mae La temporary
shelter in Tha Song Yang district; Oom Pium shelter in Pob Pra district; and Nupoh
shelter in Oom Phang district (Khuncheewan Buadaeng, 2008).
The Mae La temporary shelter is the biggest of the three camps and was established
in 1996 in Mae Ok Hu village 9, Tambon Mae La, Tha Song Yang district. It covers 184
hectares and houses approximately 31,000 refugees (Border Patrol Police Camp, Tak
province reports, 2010). It is composed of six sub-temporary shelters, namely: Mae La
village; Ka Moa Re Ko village; Kler Ko village; Sogro village; Mae Salid village and;
Mae Ta-wo village (Mae La temporary shelter reports, 2008).
The multi-dimensional problems that have occurred in the villages surrounding the
temporary shelters have been documented by governmental offices, but are rather
uncorrelated with each other and may not fully reflect the reality on the ground. This
inaccurate mirror of the real situation threatens appropriate policy solution. Therefore,
this paper presents the results of a research that seeks to determine the actual nature of
the problems in the area, so as to create improved models of evaluating the social
impacts of the establishment of Mae La temporary shelter. This can, thus, serve as input
in the development of plans to solve the social problems that originate from the
establishment of the Mae La temporary shelter.
Objectives
The study aimed to: a) study the situation and social impacts of the refugees in the
Mae La temporary shelter; and, b) identify actual problems taking place around the Mae
La temporary shelter.
Research Methods
This research combined document research and qualitative research. Data for the
document research were derived from statistical reports from police stations and
hospitals, official documents from the Mae La district local administration, and reports
from the ROPMED Dengue Diagnostic Center of Mahidol University. The qualitative
research focused on the 1) survey of people living near the camp including their
problems and perceptions on the Mae La temporary shelter, and 2) survey of people’s
security problems of those residing around Mae La temporary shelter. Percentage
analysis was used to analyze the data.

Results
Analysis of secondary data statistics from police stations and Mae Ra Mard
indicated that the incidence of illegal immigrants and fire arms possession over the last
five years were most prolific in Mae Ra Mard district, Oom Phang and Tha Song Yang
districts. Drug cases were found only in Mae Ra Mard and Tha Song Yang districts,
while natural resource cases are found equally in the three districts (Table 1).
Illegal immigration-related cases and crimes were also recorded in Mae Ra Mard
district (Table 2). Tha Song Yang recorded mostly the use of marijuana, cannabis and
volatile drugs (Table 3). Mae Ra Mard recorded the highest incidence of both general
firearms and war-use firearms cases (Table 4). Mae Ra Mard also recorded the highest
incidence of deforestation cases, and the lowest incidence of conserved forest cases
(Table 5).
Table 1. Incidence and type of crime according to police station records (2005-2009).
District Year Immigrants Drugs Pistols Resources
[cases(persons)] [cases(persons)] [cases(persons)] [cases(persons)]
Tha Song Yang 2005 154 (157) 9 (12) 5 (5) 103 (58)
2006 45 (45) 5 (5) 3 (1) 66 (21)
2007 28 (28) 21 (18) 4 (4) 73 (36)
2008 30 (30) 41 (39) 1 (1) 46 (45)
2009 13 (13) 56 (40) 6 (7) 99 (25)
Total 370 (373) 132 (114) 19 (17) 387 (185)
Mae Ra Mard 2005 380 (380) 40 (40) 16 (16) 90 (30)
2006 467 (507) 16 (21) 6 (6) 73 (27)
2007 75 (79) 16 (15) 10 (10) 31 (11)
2008 112 (134) 16 (12) 7 (7) 48 (25)
2009 234 (244) 48 (53) 20 (19) 68 (38)
Total 1,268 (1,344) 136 (141) 59 (58) 310 (131)
Oom Phang 2005 344 (344) 10 (14) 5 (2) 146 (36)
2006 265 (265) 3 (4) 1 (1) 46 (60)
2007 213 (213) 9 (12) 6 (7) 20 (27)
2008 54 (54) 21 (22) 2 (2) 43 (64)
2009 93 (93) 16 (16) 4 (1) 66 (47)
Total 969(969) 59(68) 18 (13) 321 (234)
Source: Thasongyang,Maeramard and Oomphang Police Stations, 2010

Table 2. Illegal immigration cases according to police station records (2005-2009)
District Year Illegal immigration Hidings Refuse case (person)

[cases(persons)] [cases(persons)]
Tha Song Yang 2005 129 (129) 25 (28) 433
2006 28 (28) 17 (17) 507
2007 16 (16) 12 (12) 431
2008 22 (22) 8 (8) 488
2009 2 (2) 11 (11) 314
Total 197 (197) 73 (76) 2,173
Mae Ra Mard 2005 300 (300) 80 (96) 740
2006 380 (380) 87 (127) 553
2007 52 (52) 23 (27) 295
2008 67 (67) 45 (67) 431
2009 318 (318) 62 (72) 740
Total 1,117 (1,117) 297 (389) 2,759
Oom Phang 2005 340 (340) 4 (4) 75
2006 262 (262) 3 (3) 62
2007 210 (210) 3 (3) 110
2008 53 (53) 1 (1) 121
2009 92 (92) 1 (1) 68
Total 957 (957) 12 (12) 436
Table 3. Drugs cases according to police station records (2005-2009)

District Year Marijuana Amphetamine Cannabis Volatile
Tha Song Yang 2005 0 (0) 1 (2) 8 (10) 0 (0)
2006 3 (3) 1 (1) 0 (0) 1 (1)
2007 14 (10) 3 (4) 4 (4) 0 (0)
2008 28 (26) 1 (1) 5 (5) 7 (7)
2009 46 (31) 2 (2) 8 (7) 0 (0)
Total 91 (70) 8 (10) 25 (26) 8 (8)
Mae Ra Mard 2005 12 (12) 28 (28) 0 (0) 0 (0)
2006 3 (3) 12 (17) 1 (1) 0 (0)
2007 4 (3) 12 (12) 0 (0) 0 (0)
2008 5 (2) 10 (10) 1 (0) 0 (0)
2009 23 (17) 20 (28) 0 (0) 5 (8)
Total 47 (37) 82 (95) 2 (1) 5 (8)
Oom Phang 2005 3 (5) 3 (5) 4 (4) 0 (0)
2006 0 (0) 3 (3) 0 (0) 0 (0)
2007 3 (4) 4 (6) 2 (2) 0 (0)
2008 0 (0) 11 (11) 8 (9) 0 (0)
2009 8 (7) 4 (5) 4 (4) 0 (0)
Total 14 (16) 25 (30) 18 (19) 0 (0)

Table 4. Weapons cases according to police station records (2005-2009)

District Year General fires War use fire arm Explosives
arms [cases(persons)] [cases(persons)]
[cases(persons)]
Tha Song Yang 2005 0 (0) 1 (2) 8 (10)
2006 3 (3) 1 (1) 0 (0)
2007 14 (10) 3 (4) 4 (4)
2008 28 (26) 1 (1) 5 (5)
2009 46 (31) 2 (2) 8 (7)
Total 91 (70) 8 (10) 25 (26)
Mae Ra Mard 2005 14 (14) 1 (1) 1 (1)
2006 4 (4) 2 (2) 0 (0)
2007 8 (8) 1 (1) 1 (1)
2008 6 (6) 1 (1) 0 (0)
2009 14 (14) 4 (4) 2 (1)
Total 46 (46) 9 (9) 4 (3)
Oom Phang 2005 2 (2) 3 (0) 0 (0)
2006 1 (1) 0 (0) 0 (0)
2007 6 (7) 0 (0) 0 (0)
2008 2 (2) 0 (0) 0 (0)
2009 1 (1) 3 (0) 0 (0)
Total 12 (13) 6 (0) 0 (0)
Table 5. Natural resources cases according to police station records (2005-2009)

District Year Forest Conserved forest National parks Minerals
Tha Song Yang 2005 0 (0) 103 (58) 0 (0) 0 (0)
2006 0 (0) 66 (21) 0 (0) 2 (1)
2007 0 (0) 73 (36) 0 (0) 0 (0)
2008 0 (0) 44 (45) 2 (0) 1 (2)
2009 57 (16) 42 (9) 0 (0) 0 (0)
Total 57 (16) 328 (169) 2 (0) 3 (3)
Mae Ra Mard 2005 40 (20) 50 (10) 0 (0) 0 (0)
2006 25 (7) 48 (20) 0 (0) 0 (0)
2007 23 (7) 8 (4) 0 (0) 0 (0)
2008 38 (12) 10 (13) 0 (0) 0 (0)
2009 45 (19) 23 (19) 0 (0) 0 (0)
Total 171 (65) 139 (66) 0 (0) 0 (0)
Oom Phang 2005 20 (13) 125 (22) 0 (0) 0 (0)
2006 20 (26) 23 (25) 0 (0) 0 (0)
2007 10 (14) 9 (12) 0 (0) 0 (0)
2008 20 (25) 20 (36) 0 (0) 0 (0)
2009 15 (16) 46 (31) 0 (0) 0 (0)
Total 85 (94) 223 (126) 0 (0) 0 (0)
The patient records from Mae Ra Mard hospital between 2007 and 2009 revealed
that the top ten illnesses are: acute upper respiratory infection, acute pharyngitis, acute
bronchitis, and acute nasopharyngitis, all of which are transmitted through coughing. In
addition, dyspepsia, diarrhea and gastroenteritis were recorded as common illnesses
whose presumed origins of infections are contaminated food and drinking water (Table
6).

Table 6. Top 10 Illnesses in Mae Ra Mard Hospital.

Illness 2007 2008 2009
3,096 2,925 4,973
Acute upper respiratory infection
Essential (primary) hypertension 5,381 4,818 4,781
Dyspepsia 3,213 3,273 3,606
Acute pharyngitis, unspecified 3,003 1,609 2,835
Diarrhoea and gastroenteritis of presumed infectious origin 2,027 2,886 2,559
Non-insulin-depend diabetes mellitus without complication 2,837 2,443 2,523
Acute bronchitis, unspecified NA 1,609 1,845
Caries of dentine NA 1,479 1,818
Acute tonsillitis, unspecified NA NA 1,690
Acute nasopharyngitis [common cold] 2,137 1,723 1,573
Dizziness and giddiness 1,217 1,361 NA
Chronic obstructive pulmonary disease 1,497 NA NA
Myalgia NA NA
1,423
Ref.: Maeramard Hospital, 2010

Note: NA: No reports in top 10
Meanwhile, official documents from Mae La local administration office, written in

2008, revealed that refugees from Mae La temporary shelter have been blamed for the
theft of harvested agricultural products, in part as “…refugees did not receive enough
food so [they] wandered out to steal vegetables and animals from nearby villagers,
hence causing disputes between refugees and villagers…” (Head of Mae La Local
Administration Office, 2008). As regards the utilization of forest resources, it was stated
in the document that “…since people in the shelter could not go out of the area, when
food and other utilities are used up, refugees had to sneak out to collect forest resources
[and] cut down trees..” (Head of Mae La Local Administration Office, 2008).
Moreover, the mountainous landscape surrounded by forest has caused the spread
of diseases, especially Malaria. According to the ROPMED Dengue Diagnostic Center,
the Thai-Myanmar borderline area has a line of Malaria virus which is one of the
strongest and most resistant in the world (Mae La temporary shelter reports, 2008).
Malaria and other diseases, including cholera and dengue fever, have also spread to
the surrounding tambon and district areas. The agency responsible for medical treatment
in the shelter, AMI (Aide Medical Internationale), is limited by its mandate to perform
medical treatments and personal health promotion only, and not community disease
prevention (Tak Provincial Health Office, 2006).
It is obvious that the official statistics were based on the government’s report and
does not reflect the actual situation. For example, the number of refused cases
underreports the real number of illegal immigration cases and war refugees who do not
reside in the temporary shelter, but who have fled to surrounding villages to avoid
contacting Thai officers for fear of being deported to Myanmar. Furthermore, the
reported phenomena above are largely caused by social inequity due to illegal
immigration. For example, while the top ten recorded diseases in Mae Ra Mard hospital
do not include malaria or dengue fever because most of the patients are local Thai

citizens, the refugees in the camp are actually plagued by these diseases. This evidence
leads to suspicions about the real conditions of residents in the temporary shelter.
With these developments, two projects were carried out by the researcher: 1) a
survey of the people’s problems and satisfactions regarding the Mae La temporary
shelter, and 2) a survey of people’s security problems on the residents around Mae La
temporary shelter.
Survey of people’s problems and satisfaction
The survey of people’s problems and satisfactions was undertaken on 13-14

November, 2009. The people interviewed were sampled from surrounding villagers.
They had an average age of 35 years old with17.3% residing in the area at least 5-10
years and 73.5% had been residing there for 10 years or more.
Out of the 498 interviewees, a 50/50 proportion of male and female was observed.
Most of them knew about the temporary shelter very well (99.8%) and had contact with
people from the temporary shelter (77.7%). Literacy rates for Thai language in terms of
listening, speaking, reading, and writing were 95.8%, 96.0%, 90.2% and 89.0%,
respectively. Attitudes toward the temporary shelters were neutral as explained by the
59.6% response for the ‘nothing’ category while 38.2% did ‘not agree’ (with having
temporary shelter) and only 2.2% of the respondents ‘agreed’ to the presence of the
temporary shelter. Attitudes toward the refugees were neutral as explained by the
57.2%‘nothing’ response while 33.5% of the respondents said the refugees were
‘causing problems’ while 8.4% ‘pitiful/want to help’ the refugees.
When asked about their opinion regarding benefits from and costs of temporary
shelter, 72.5% of the respondents responded “no benefits’ while 17.1% said ‘more
cheap labors’ and 10.4% saw ‘increases in their sales’ (10.4%).
When asked about problems in the communities, issues raised include ‘no land
tenure’ (48.4%), presence of diseases (23.7%), decline in agricultural production
(12.7%), poverty (8.8%), and theft of agricultural products (2.2%). Other issues raised
include ‘less security’ (32.9%), ‘declining health quality’ (33.9%), ‘pollution of the
environment’ (90%), ‘declining natural resources’ (96.8%), and ‘more difficult
livelihood’ (30.7%). A small number of people noted that there had been improvements
in their product sales (11.6%). When asked about what the causes of these changes,
62.7% said ‘because of the temporary shelter,’ and 37.3% said because of ‘other
causes.’
Of the total sample, 63.5% requested help from Thailand’s Ministry of Interior,
17.5% requested help from the private sector, and 3.8% requested help from the
Ministry of Social Development and Human Society while 9.0% did not expect any help
from any organization.

Regarding the Thai government’s policy of not putting pressures on the refugees to
go back to Myanmar, 51.2% had ‘no comment’ while 42.8% were against the policy
and 6.0% agreed with the policy. The best solutions, according to the survey, are to
‘send the refugees to a third country’ (41.2%), ‘pressure the refugees back’ (40.6%),
and ‘move the temporary shelter’ (17.5%).
Survey of security concerns of residents residing around Mae La temporary

Shelter
A survey on the security concerns of 493 residents (49.5% male and 50.5% female),
residing around the Mae La temporary shelter was undertaken from 26 to 27 January,
2010. The average age of the interviewees was 34 years old, of which 20.3% have been
living in the area between 5 and 10 years, and 66.7% had been living there for more
than 10 years. Almost all (99.6%) interviewees knew about the temporary shelter very
well. Majority (80.3%) of interviewees had direct contact with people living in the
temporary shelter. Literacy rates for Thai language in terms of listening, speaking,
reading, and writing are 94.9%, 96.1%, 93.9% and 93.1%, respectively.
Asked about their opinions on the priority security issues, the top five answers
were: ‘human trafficking’ (44.2%), ‘drugs’ (17.8%), ‘illegal immigration’ (13.8%),
‘forest destruction’ (12.4%), and ‘terrorism’ (4.1%). Of these problems, 74.0% think
that these problems have an impact on themselves and only 7.3% think otherwise.
Interviewees’ opinion on the causes of these problems are ‘refugees’ (33.5%),
‘involving government officers’ (25.4%), ‘people in the community’ (15.8%), ‘local
authority’ (13%), and ‘low penalty’ (12.4%).
The top most problems of the residents in the temporary shelter are “human
trafficking” (48.0%), forest destruction’ (14.4%), ‘illegal immigration’ (14.2%), ‘drugs’
(12%), and ‘terrorism’ (4.7%). These problems were perceived to be caused by
‘conspiracy between people inside and outside of the temporary shelter’ (51.3%),
followed by ‘the refugee’ (27.6%) and ‘people outside temporary shelter’ (21.1%).
The respondents viewed that these problems could be solved by Border Patrol
Police (31.4%), the military (29.8%), and the local police (15.0%). According to them,
the issues that required the most urgent attention are: human trafficking (35.7%), drugs
(24.5%) and forest destruction (15.0%). Recommended actions to solve or prevent the
problems were ‘more legal penalties’ (26.2%), followed by ‘ultimate penalties for
officers’ (25.6%), ‘move the temporary shelter’ (20.1%), ‘enforce laws’ (15.0%), and
'increase the number of security officers’ (13.0%).

Conclusion
The establishment of the Mae La temporary shelter has created significant changes
in the local area, including physical, biological and ecological resources, human use
values or quality of human utilization, and quality of life values. These dimensions have
affected the people around the temporary shelter both in a positive and negative way.
Among the negative effects include health risks, violence, increased environmental
destruction, and the despoiling of local resources. The positive impacts were related
mainly to economic benefits, such as the availability of cheap labor, and non-skilled
labor.
Many of the reports from the public and private organizations contain conflicting
information, especially regarding health and violence. The author carefully researched
and observed in Mae La temporary shelter and found problems that are not being
accurately recorded in reports by the responsible organizations. The most obvious is the
immigration statistics that report a high level of refused cases, illegal immigration and
illegal transportation of alien residents—so called ‘human trafficking’ by local
definition. These all have low statistical records even though they are the main problems
in the community that need priority for solution.
References
Border patrol police camp in Tak province. The reports, 2010.
Khuncheewan Buadaeng, 2008. The Relationship on Meoi River between Karenny and Thai
Local people.First Printing. Chiangmai: Vanida Printing Company Limited.
Mae La temporary shelter. 2008, Report.
Mae Ra Mard Hospital. 2010. Report.
Tak Provincial Health Office. 2006. Report
Tha Song Yang Local Police Station. 2010 Report
Mae Ra Mard Local Police Station. 2010. Report
Oom Phang Local Police Station. 2010. Report
Mae La Local Administration Office. 2008. Report

Mamoru Honda
Implications of Social Change to Cil in Vietnam
Mamoru Honda
Asian Cultures research Institutes
TOYO University
Japan
hon_mamo41@hotmail.com
Abstract
Cil is one of the small local groups of the Coho, which belongs to Mon-Khmer language group in
Vietnam. The Cil’s society is matrilineal and the village is comprised of small units with only 2-3
houses. Their major source of income is maize cultivation using slash-and-burn farming and
shifting cultivation. Because of historical changes like the Western colonial era-French
Indochina, the Vietnam war, socialist policy, and renovation, their economy base now is crop
production, particularly persimmon, coffee, lowland/wet rice, and working as employees. Most of
the villages have been divided and absorbed by some administrative hamlets.
This paper assesses the Cil’s social structure, based on cross cousin marriage alliances and
gift-giving during ceremonies. In addition, this paper looks into the changes in range of marriage
partner with historical changes and the proposal for the expansion of the marriage alliance
model used by Cil in order to obtain land use rights.
Keywords: slash-and-burn technique, fixed cultivation and permanent settlement program, land
use rights.
Introduction
The Cil is one of the small local groups1
of the Coho2, which belongs to Mon-Khmer
language group in Vietnam. They inhabit
north of Lam Dong Province, part of a
mountainous area called the ‘Tay Nguyen
(Central Highlands)’ in Vietnam [Figure 1].
The Cil is a nomadic group that lives
temporarily in various areas depending on the
availability of arable land. With historical and
social changes, such as the western
colonization of French Indochina, the advent
of the Vietnam war, socialist reform policies
and renovation, the Cil economy is now based
on cash crops such as persimmon, coffee, wet
rice, and employment. Most of the villages
were divided, and have been absorbed into
Figure 2. Lam Dong Province
administrative hamlets. Location (map from Wikipedia)

Implications of the Social Change in Cil in Vietnam
In Mainland of South East Asia, Sir Edmund Ronald Leach researched on North
Burmese (Kachin) society and their social change. Using recent research on North
Burmese (Kachin) society, Leach (1964) considers cross-cousin marriage alliances to be
a factor of social change. Since there were common historical events that had occurred
in Vietnam and North Burma, this paper aims to assess the social structure and social
change of the Cil with reference to the Leach’s theory, based on data on the Cil gathered
by the author during the period of field research from 2004 to 2008. Finally, this paper
looks into the proposal for the expansion of the marriage alliance model used by the Cil
in order to obtain land use rights as one changing process model that may be applied to
society in South East Asia.
Division of the period of social changes
The Cil’s economy is based on maize cultivation by slash-and-burn technique and

shifting cultivation. They were not involved with neighboring ethnic groups, whose
economy was largely based on the cultivation of wet rice prior to the Geneva
Conference in 19544. A part of them that came in contact with French, were engaged in
coffee plantation and construction work during the off-season of agricultural crops.
Meanwhile, the advocacy programs that are carried out by the Christian Mission,
which increased from 1930’s onward, began to subvert Cil customs in favour of
Christian conversion. The forced emigration 5 that took place after the Geneva
Conference led to a state of chaos in several of the Cil villages. After 1966, when the
Christian Missionary alliance was adopted as one of the Government propaganda
policies, dissemination and social welfare activities, most of the Cil were converted as
Christians. The production of traditional alcohol and smoking were banned. After the
revolution in 1975, land occupation was prohibited and several villages were
transformed into administrative hamlets.
Religious structure was subsequently organized by the village units. A fixed

cultivation and permanent settlement program was promoted, and their conversion from
maize cultivation to the cultivation of paddy rice and cash crops was accelerated.
Additionally, Shamans who had until this point healed those with diseases began to
disappear, largely due to government policy which attempted to eradicate superstition,
the aforementioned dissemination of Christianity and the building of a number of public
health centres, all of which had begun before the revolution; and after the doi moi6,
infrastructure, which included elementary school, public health centres, and an
electricity and drinking water supply, was developed promptly.
Maize cultivation using slash-and-burn technique and shifting cultivation was

prohibited completely in 1992, and traditional agricultural rites disappeared. The official
purchase and inheritance of individual land use rights were lawfully permitted. These
changes enriched the lives of ethnic groups, which allowed them to purchase luxury
goods such as TV, video recorders, and motorcycles. The Cil also began to make
contacts with the external world and its culture, both indirectly and directly. Thus,
beginning the formation of a modern Cil society.

Mamoru Honda
Cil’s social structure and stability
The Cil’s society is composed of small village units typically with two or three long
houses. The village is called bbon in the Cil language. Long house has separate cubicles
that serve as quarters for the individual nuclear families. Members live in one long
house belong to one matrilineal lineage which is called mpoul7 in their language. The
Cil society is matrilineal and matrilocal with mpoul. Bbon consists of several mpoul,
occupying individual land. According to their custom, exploiter of the land,
automatically became the manager of that land. Mpoul’s chief (kouny) exploits his
mpoul’s lands and distributes them to each family of his mpoul. Mpoul’s chief
distributes new family with one hectare mpoul’s land. Sometimes, the increase in
population of the mpoul gives rise to a shortage of arable land area. To borrow from the
arable land mpoul, there should be a marriage between the two mpouls. Therefore, the
purposes of cross-cousin marriage is not simply that of financial inheritance, but also to
obtain the primary right of arable land between mpouls. Normally, young people do not
have any right to choose their spouse, but mpoul’s chief (kouny) have the right.
According to Leach, who researched ethnic groups in North Burma, the society in
North Burma also follows the social class, and affinity relationship known as maya and
dama-maya referring to the wife’s family and dama refers to the husband’s family. In
the same area where both sides belong to different social classes, the social class of
maya being superior to dama is characteristic of the Kachin Gumusa system8. Leach
mentioned that the class was the unstable factor of this system (Leach 1993, pp,
63-100), and proposed a process model of changes of social structure resulting from
affinity relationship with social class (Leach 1933, p, 285).
Wedding practices
At a Cil wedding ceremonies, the family of the bride bears the entire cost of the
marriage. The day before the wedding, the attendants9 of the groom’s side mpoul
prepares money to help the bride’s family settle the costs incurred during the wedding.
The amount of money given and name of the person who gave the money are recorded.
The night before the wedding, the reception is held at the bride’s house to check that the
preparations of the bride’s family would not stagnate. During the reception, one
representative of the groom’s family hands the money and directory to the
representative of the bride’s family.
The wedding reception is held at the bride’s home. After the reception, the parents
of the bride would invite all attendants of the groom’s side mpoul, to give some gifts.
The bride’s family prepares necklaces10 which were either borrowed from the families
of the bride’s side’ mpoul or bought from the local market. The bride’s family presents a
necklace to each attendant of the groom’s side mpoul in return. These gifts represent a
symbol of unity between the bride’s mpoul and groom’s mpoul. There is a convention
that the gifts given by the bride’s family ought to be of higher value than monetary gifts
given by the groom’s mpoul.

It is said among the Cil people that this monetary imbalance is intended to reflect
the fact that the families of the groom’ side mpoul is responsible for taking care of the
new family that now belongs to the bride mpoul. There are different types of necklaces.
Each necklace has different values. These necklaces symbolize ties, and thus, the
groom’s family should receive more. While it is true that the groom’s mpoul has the
duty of protecting the new family, the bride’s mpoul has equal duty of supporting the
new family, and therefore, both sides have equal rights. In general, after marriage, the
bride’s mpoul gives the cropland to new family. But if the bride’s mpoul does not own
sufficient cropland, the groom’s side mpoul has an obligation to loan the cropland to the
bride’s mpoul to offer to the new family. The repayment of the loan owed by the bride’s
family is known as ‘jum’ in the Cil language. After borrowing necklace or similar gift,
the bride’s family is obligated to return it as soon as possible. The repayment, however,
does not need to equal the amount of the loan and is usually lower than the original
loan. Because the bride’s family from whom the new family borrowed often have more
daughters than sons, the said family, has more opportunity to prepare money to help
another family in case their daughter also gets married.
Seven days prior to the wedding, the bride and groom, and the family11 of the bride
visit the house of the groom's parents to offer gifts (Gong, Jar, china, necklace, etc).
That ceremony is called “the day seeing off the groom after the wedding”. At the house
of the groom's parents, those who have a blood relationship (up to the fourth degree)
with the groom would receive and accommodate the bride’s family. The nature of these
gifts is different from those given on the wedding day. They are given in appreciation to
those who have been instrumental in raising the groom in the years prior to his wedding.
Gong is given to the groom’s parents for the sacrifice of losing their son. Jar is
given to both matrilateral and patrilateral uncles and aunts. The gift-giving is considered
as a way to reinforce the alliance between the two families. Having observed wedding
ceremonies, I found that it is very clear, for the reasons described above, that the rituals
involved in giving gifts in the Cil wedding ceremonies exist in order to maintain
marriage alliances. I found three significant issues: (1) the gifts of the bride’s family
during the wedding day is 1.5 times more than the gifts given by the groom' side mpoul.
(2) the amount of repayment for the loan of the necklace by the bride family was less
than the value of the loan within the families of the bride’s side, and (3) the character of
the gifts of the wedding day and the gifts on “the day seeing off the groom after the
wedding” is different. These gifts are divided into two types depending on who receives
the gifts.
Death and cross cousin marriage
I found another function for the maintenance of marriage alliances in cross-cousin

marriages after the death of a husband. If a man died and he had an unmarried daughter,
there is a tendency to marry her to a nephew that had a blood relationship with the
deceased husband. In this case, his unmarried daughter is a matrilateral cross-cousin. In
this matrilateral cross-cousin marriage, where the groom’s family (nephew of deceased
husband’s side) owes a debt, the bride’s family (the daughter of deceased husband’s
side) normally makes a reduction in the value of the wedding gift and, thereby, clearing
the balance of the debt.

Mamoru Honda
Where the deceased husband has contributed to the formation of wealth for his
wife’s family, that wealth would be divided and will be offered to the groom’s family as
the wedding gift. If the wife’s family of the deceased husband cannot be proposed to
buy an appropriate partner from the deceased husband’s family, and both families agree
their marriage alliance should be discontinued, an exchange of gifts at the funeral is
typically the last chance for the deceased husband’s mpoul to receive the fortune saved
during his marriage. Unlike wedding, there is no formal rule dictating that a funeral gift
from the widow’s family be of more value than those given by the deceased husband’s
family. It is considered by the Cil that the deceased husband’s financial responsibility to
his wife ends at his death.
According to my research, the debt of the groom’s family towards his wife’s family
in above mentioned case, is incurred by the obligation to help the husband for his own
‘mpoul’ as part of his role as a member of his mpoul. Levi-Strauss (1967) points out that
this formality may causes issues with the family of his wife, and that this instability of
matrilineal society can weaken alliances formed as organic solidarity of matrilineal
cross cousin marriage. However, the Cil’s system of basing marriage alliance on the
exchange of gifts is done to support the social structure of the Cil and to balance the
inherent instability in the Cil’s matrilineal society.
Change in range of marriage partner
I examined the changes in the geographic areas in which Cil marriages have taken
places over the time.
After the Geneva Conference in 1954, by forced emigration, several villages moved
to the same strategic hamlet, and they became increasingly intimate. Range of marriage
partner expanded from within their village (bbon) to include several other villages in the
same strategic hamlet. After settling there, it was very difficult to go to a far farm, as
some mpouls could not manage some of their own land. So, to get a new land, they
contracted a new marriage alliance within the strategic hamlet. By government policy,
most of those were converted and learned the importance of love. Some young people
began to choose their own spouse not by traditional arranged marriage but based on
their willingness.
After the revolution in 1975, range of marriage partner expanded to an

administrative hamlet. A marriage alliance that formed the prerequisite for securing land
use rights for cultivating, had almost been lost due to the Revolution. This alliance was
reformed and maintained by its incorporation within administrative hamlets and
agricultural cooperatives.
After Doi Moi, land was divided and given to each household until the land
ownership in the traditional mpoul level is gone. A new system based on the acquisition
of land using alliances at the administrative hamlet level was introduced alongside the
traditional alliances. That is, range of marriage partner expanded again to include
members of older villages that existed beyond administrative hamlet, members of the
same strategic hamlet that lived beyond the administrative hamlet and other ethnic
groups within the economic development areas in which the Cil worked.

This system of acquiring land can be observed particularly in the number of

marriages performed between different ethnic groups in the economic development
areas in which they worked; for example, in the Churu ethnic group, or the Sre -a sub
group of Coho- in the Duc Trong district. Societal changes that became evident due to
the wider political and economic environment are discussed. Significant changes
occurred in other ethnic groups whose economy was based on growing wet rice. The
historic distinction between the Cil and groups whose economy was based on growing
wet rice began to break down. Even today, a member of the mpoul does not marry
within the same mpoul or with the limited mpouls in the Cil society. But maintaining the
rule of exogamy that dictated the exclusion of a potential partner who belonged to
mpoul, it was considerably more likely that the Cil began to choose individuals from
other ethnic groups for marriage within Cil society.
While the historic boundaries between ethnic groups in my research field are slowly
becoming blurred, the Cil keep the custom of exchanging gifts as one remaining
boundary. I consider this custom to be the root of the Cil’s ethnic identity. The
formalities of gift exchanges in this way demonstrate the importance of a society based
on marriage alliances, and the prevailing intention of continuous alliance among the Cil,
and for other ethnic societies.
Issues and Conclusion
The main purpose of this thesis is to clarify the social structure and social change of
the Cil vis-a-vis with Leach’s theory. In my point of view, Leach’s observations
regarding the North Burmese people (Kachin) and the customs of the Cil have several
important commonalities. Particularly relevant are societal changes enacted by foreign
governmental, economic influences and their histories as colonial territories.
Additionally, their conversion to Christianity, their education by means of a common
language, and their replacement with the structures of their administration are also
observed in the history of the Cil. This is by no means uncommon in South East Asian
societies. The Cil’s social structure went through an important process of change at the
same time as many South East Asian societies. In my thesis, I indicate the process of
change which is divided into several stages as follows.
Stage 1: Before the Geneva Conference in 1954
The Cil did not possess the structural factors showing unequal social classes, as
maya dama is shown to have in the Kachin Gumusa system as defined by Leach. Cil
society was based on a circulating connubium by cross-cousin marriages. Each lineage
in one village owned plots of land for cultivation, and the leader of the village who has
the coordinating role12, does not have feudal power. In this stage, the Cil society is a
closed body.
Stage 2: After the Geneva Conference in 1954
Several previously closed villages that existed in a given territory became

integrated bodies under changes enacted by foreign governmental, economic influences
and their histories13. As the result of those changes, land use rights became insecure,
and the amount of usable land available for growing crops became considerably more

Mamoru Honda
limited due to the fighting between revolutionary guerrillas and government troops.
Many villagers could no longer farm, instead, pick up firewood to sell in the market.
Also, the power of a lineage chief, who traditionally managed land-use rights, has
significantly weakened due to frequent displacement and forced changes in occupation.
The old villages succeeded in forming new alliances in order to acquire lands, while at
the same time, maintaining some of the traditional marriage alliances. In this way,
during the process of territorial expansion, new alliances were formed within the
integrated body by partially destroying traditional marriage alliances through
cross-cousin marriages.
Stage 3: After the Revolution in 1975
After the Revolution and the subsequent rupture of integrated bodies, alliances and
expanded territory14 was formed. The Socialist Revolution prevented the population
from having individual land use rights and the government appropriated much of the
land that had been cultivated by the Cil. The Cil was permitted to retain some of this
land for the purposes of cultivation, but only with the proviso that it could again be
removed from them at any point. In other words, the Cil lost the right to develop
new-land, and under this regime, it became difficult for a lineage chief on a female side
to grant land use rights from his own land as gifts for wedding and childbirth. During
this period, the importance of alliances in the management of land has weakened.
Religious bodies and agricultural cooperatives at the administrative hamlet level only
required alliances for land development.
Stage 4: After doi moi in 1986
After doi moi, when the land laws were revised, land was divided by each
household. This meant that traditional alliances were no longer necessary to secure land
use rights. However, immigration in large numbers from North Vietnam to the North
Lam Dong Province, at this point, meant that the available area for effective land use in
the Lam Dong Province was greatly reduced for the Cil. The revision of the land laws
among the Cil demonstrates their foresight in predicting the chronic lack of land in the
near future. Each household realized the need for alliances or new bonds for the
purposes of regaining land again for their sons and daughters.
The groups that were released from the strategic hamlets, were incorporated into
administrative hamlets. In other words, the group incorporated into the expanded
territory from integrated bodies and acquired new bonds with groups within the
expanded territory, beyond the administrative hamlets. At the same time, the groups
maintained old alliances with other groups within the integrated body which did not
move into the expanded territory. As we can see, the necessity of alliances, at one point
threatened by the denial of land ownership, returned in a different form after doi moi.
Similarly, the importance of marriage alliances returned to Cil society in order to make
the acquisition of land easier.
I propose a model representing the process of social change in South East Asian
societies which I call “model of expansion of marriage alliances”. In this model,
marriage alliances expand an existing network based largely on the purpose of acquiring
lands, as discussed above.

The following points are suggested for future research. This thesis focused on
changes in the social structure and processes in the Cil who lost land use rights after doi
moi. However, after the revision of land laws in 1993 in Vietnam, the entire nation,
including ethnic groups, were again able to buy and sell land. There is a possibility that
differences in wealth between large land owners and tenant farmers occur in the
societies of minority groups in Vietnam. If this is in fact true, there would be a more
significant issue in whether the Cil’s settled lineage is altered to a local descent group
(as Leach suggests in his study of North Burmese Societies), and this may follow
Leach’s “unstable process” framework[Leach 1964(1993):288].
Figure2: Model of marriage alliance expansion

Ａ
Stage1: 　Before the Geneva Conference in 1954
A Closed Body
Circulating connubium by cross-cousin marriage
Stage2: 　After the Geneva Conference

An Integrayed Body
Territorial expansion
From Circulating connubium to new bonds
Expansion in range of marriage partner
Stage3：　After the Revolution in 1975

An expanded territory
Restricted land use right
Weekening of ola alliance
Formin g new bonds
stage4: 　After Doi Moi in 1986

A New Expanded Territory
Segmentation of expaded territories
Resuscitation of circulating connubium in other territories
Expansion of marriage sphere in a new expanded territory
＊ Circulating connubium by cross-cousin marriage
＊ movement direction of man when he married ＊ territory

＊ In this case, on e group divides and occupies two territories

Mamoru Honda
Notes
1
Cil, Sre, Lat, Tring…
2
The number of the Coho in 2003 was 145.857persons. Population figures are not
available for the Cil ( Hoàng Nam 2003) .
4
The conference for ending the French Indochina War between France and the
Communist. This conference decided Vietnam in two zones, a northern zone is
governed by the Communist, and a southern zone is governed by the State of
Vietnam.
5
This called ‘the Agroville Program’ from 1959, ‘the strategic hamlet program’ from
1961. South Vietnam began attempted to separate peasants including ethnic groups
from Communist by forcing emigration to "fortified villages".
6
It means ‘renovation’ in Vietnamese. In 1986, Vietnamese government began to
reform economic policy for developing.
7
mpoul means lineage in this paper. But this word has several meaning. For example,
in other case, one means group, another means clan.
8
According to Leach, Kachin society system consists of three lower systems that
were called Gumsa, Gumrao, Shan. Gumsa system.
9
Those who have a blood relationship to four degrees of the bride and groom have to
attend the ceremony. Addition to those, people who were invited by the both sides
of the family attend the wedding ceremony. Most people, who were invited by the
both sides of the family, belong to the same mpoul (clan) of the bride or the groom.
10
There are many types of necklace, and each necklace is different value.
11
Those who have a blood relationship to four degrees of the bride have to attend.
12
For example, the leader of the village fix the problem when boundaries break
ground.
13
Here the integrated body refers to a strategic hamlet.
14
The expanded territory means an administrative hamlet.
References
Leach, E.R.1964(1993) Political Systems of Highland Burma: A Study of Kachin Social
Structure, The Athlone Press Atlantic Highlands, NJ.
Lévi-Strauss, Claude.1967. Les Structure Élémentaires de la Parenté, Mouton & Co and Maison
des Sciences de L’homme.
Hoàng Nam.2003.”Hình ảnh cộng đông 54 dân tộc Việt Nam”,Ủy ban dân tộc,Hà Nội.
http://cema.gov.vn/modules.php?name =Content&op=viewcat&mcid=124 (May 8, 2010).

“From Men of Maize to Men of Coffee”: Integrating the Mayan Indigenous Culture in the 21st Century
Multiculturalism in Guatemala
From Men of Maize to Men of Coffee:

Integrating the Mayan Indigenous Culture in the 21st Century of
Hideki Nakata
GCOE Program, Kyoto University, Japan
nakatahideki@hotmail.com
Abstract
This paper analyzes the case of the Mayan indigenous people in Guatemala. They occupy about 60 percent of
the total population, but they have always been in the minority position throughout the history since the
Spanish colonization. When the state has taken its way to construct a nation state of capitalism towards the end
of the 19th century, a huge number of indigenous people was identified as the target of forced labor
mobilization because their way of living was based on the subsistence agriculture of maize and beans and
therefore, they were not part of the modern agricultural sector. In the second half of the 20th century, when the
state was undergoing internal conflict that lasted for 36 years, the Mayan indigenous people, was considered
"ignorant" and influenced by the communists, hence, was identified as an enemy of the government.
About 13 years after the conflict, the state now is taking a completely new form of "integrating" the indigenous
people. The Mayan culture is no longer considered as an obstruction of state's development initiatives but as
the primary "product" in the tourist industry under "multiculturalism". This paper highlights the case of San
Pedro La Laguna, and addresses the following questions: What are the new roles that are being played by the
Mayan indigenous people of San Pedro? How do they strive to contribute to the state capitalism without
jeopardizing their indigenous culture and traditions?
Keywords: Mayan indigenous people, National capitalist integration, Globalization multiculturalism
Introduction
The Republic of Guatemala consists of the Mayan indigenous people who occupy
about 60 or 70 percent of the country’s total population. They live in the highlands at
the central territory of the country. The rest of the population is composed of mixed
blood called "mestizo", also called as "ladino" in Guatemala. The white Spanish
descendents are only about five percent of the total population. However, historically,
they have been in the community and are presently being considered as the dominant
social class in the country.
Guatemala started establishing a modern capitalist nation at the end of the 19th
century during the period of the "Liberal" reform under the leadership of the dictatorial
president Rufino Barrios. During that period, he tried to introduce cash crops for
exports, such as sugar cane, cotton, banana, and coffee by establishing huge plantations
in the southern plain territory. This reform, as the government planned, could get certain
success from the point of view of land and capital as elements that are indispensable for
constructing modern capitalism. However, the crucial problem had emerged in

Hideki Nakata
recruiting labor force.
The indigenous people in the highlands, which could have been the source of labor
force, were not mobilized sufficiently and instead, maintained their subsistence maize
production. As such, a forced labor system, also known as “mandamiento” in
Guatemala, was imposed by the government to achieve its goal of capitalism. Here we
must think about the following important points regarding the historical relationship of
"Liberal" governments' reform and the indigenous people. As a result of the "Liberal"
reform, the indigenous people in the highlands were victims of the forced labor
recruiting system. While many indigenous people have been forced to stop their
subsistence farming, and be engaged as permanent laborers (colono) in the huge
plantations, considerable percentage of the remaining indigenous population were still
able to escape from this obligation. In the case of coffee cultivation, the necessary
amount of labor force increases only during harvest season. This is the reason why the
government and plantation owners considered this situation favorable in which lots of
indigenous people have not been converted as the permanent laborer but, maintained
themselves as the seasonal laborers that descended only in the harvest season, because
these temporal indigenous labors did not rise economic level, the salary payment
remained at minimum.
But this is nothing but a situation that turned out as both sides had to think. There is
no logical coincidence between the mechanism of escape of indigenous people and the
demanded labor power of the plantation owner's side. Thus, complaint about lack of
labor power never disappeared and the indigenous people never satisfied the plantation
owner's expectations because they seemed to be "lazy", "ignorant", or pre-capitalist and
economically irrational.
North American anthropologist Sol Tax who studied the indigenous people in the
Panajachel village in 1930s, pointed out the close relationship between this recognition
of plantation owners about indigenous people and the history of forced labor recruiting
system, and said;
It is frequently said of the Indians in Guatemala, sometimes as a reason for not

improving their work conditions and wages, that if they earn enough money
for the week in 3 days, they will not work the rest of the week. […] the Indians
work for bare necessities alone and have no desire to improve their way of life,
or attain the security that wealth (especially in land) gives, or accumlate
something for their children. (Tax 1953, p.204).
From the Internal Conflict Era to the 21st century of Guatemala
Guatemala has experienced internal conflicts in the second half of the 20th century,
from 1960 to 1996, which is one of the longest and most negative periods in the history
of Latin America. The indigenous people suffered the most in human rights violation
during this period.

In Guatemala, among the population of 10 million inhabitants, the internal

conflict left 200,000 killed and missing victims, and 150,000 internal and more
than 500,000 external refugees. The 90 percent of those killed and missing
were non-combatants, and 83 percent of the victims were Mayan indigenous
people. 1
In 1976, a great earthquake occurred in the department of Chimaltenango in the

highlands. The guerrilla army, who used to be based on the east region, moved to the
highlands and gained the support of the indigenous population. A dictatorial military
rule governed in 1982. The main operation of the President Rios Mont was called
"removing the water from the fish", or complete destruction of the suspected areas or
the entire community of Mayan people.
The Indigenous people recognized themselves as blind and ignorant, with

much illiteracy, widespread poverty and unemployment, and to be lagging
behind in the modern agriculture. They plant their corn rudely as they have
always done, and this was a means to change into the enemy's ideology. What
should we do? Learning to fight like the guerrilla army were fighting.2
Rigoberta Menchú, who was born in a rural village in Quiché department with large
indigenous population, lost her family because of tortures and violence. Then she took
refuge to Mexico and started the campaign to tell the international world about the
unforgivable human rights' violations. Menchú has been well known internationally,
especially after the Venezuelan anthropologist Elisabez Burgos published the book of
the interview between Burgos and Menchú entitled "I, Rigoberta Menchu", in which
Menchu tells her story of the war life. In year 1992, after 500 years of Spanish
colonization, Menchu received the Nobel Peace Prize.
In her story, Menchú refers to one structural bipolarity running and repeating in the
background of contemporary Guatemalan history.
Maize is the centre of everything for us. It is our culture. The milpa is the
maize field, Maíze is the grain. The mazorca is the body of the maize, the cob.
The tuza is the leaf which envelopes the cob, especially when it's dry. The
xilote is the core. (Burgos 1983, p.54)
The same goes for the earth. Our parents tell us: 'Children, the earth is the
mother of man, because she gievs him food.' This is especially true for us
whose life is base on the crops we grow. Our people eat maize, beans and
plants. We can't eat ham, or cheese, or things made with equipment, with
machines. So we think of the earth as the mother of man… (Burgos 1983, p.56)

Hideki Nakata
That is why Menchu envisions the following structural bipolarity;
Indigenous people: with culture of subsistence agriculture of maize in the

highlands in small plots
: Their original and traditional way of thinking and lifestyle
↓↑
Ladino (non-indigenous people): with commercial industrial agriculture, such

as coffee, cotton,on the South Coast
: Their econo-rational thoughts and civilized modern life
The slaughter of indigenous people during the internal conflicts has much to do
with the history in which the indigenous people have been suffering from the forced
oppression by the government since the Spanish conquest, in particular, after the
Barrios' reform. It cannot be reduced to negative results that the explosion of hostile
feelings between the different ethnic groups has led to. Although "forced labor" and
"ethnocide" seem very different, they are based on this bipolarity, "Indigenous, men of
maize" and "Ladino, men of coffee."
The Guatemalan elite had been parasitizing on the large farms and plantations
of coffee, cotton, and sugar cane, where there were residues tied to the
colonial period. No doubt the dominant came harboring not only contempt but
fear of the indigenous people. For the landowners, who had been occupying
two third of all agricultural lands, and using temporary workers under poor
conditions (so far the day, they gets only a few dollars per day), the news that
said the Communist guerrillas broke into resident area of the indigenous
people and began to organize them must have seemed the arrival of a
nightmare.3
Thirteen years have passed after the signing of the peace agreement. The period of
the post-internal conflicts in Guatemala is characterized by the government's recognition
and identification of the "Maya". Before, the Mayan indigenous culture had been
nothing but object that the government had to "culturizar (enlighten)", "civilize",
“modernize" or "remove". But now, "multiculturalism", "multi-language" and "multi-
ethnicity" are being advocated and promoted by the different political parties in
Guatemala. Under the “multi” slogan, the government hopes that the indigenous people
would play a new role as the first producer of "Mayan culture" that would attract the
tourists.
If the indigenous people could accept and respond to what the government requires,
and bet their life in Guatemalan future's society, it is necessary to review and discuss
this present situation with the previous where indigenous people were struggling as
mentioned above.

“Primitive” painting of Mayan indigenous people
Figure 1 shows the Lake Atitlan region in the department of Sololá, which is
located in central western of the highland. There are twelve indigenous villages around
the lake, which make this region one of the most attractive tourist areas in Guatemala.
The beautiful lake, three outstanding volcanic mountains, and the indigenous culture are
among the tourist attractions in this region. The villages, San Pedro La Laguna,
Santiago Atitlan, San Juan La Laguna that are located in the southern part of this lake
represent one of the most famous Mayan tourist sites in Guatemala for "primitive"
indigenous paintings. This paper highlights the case of San Pedro village. It is said that
the art of painting started in San Pedro as early as 1920s, and currently there are about
20 painters in the village including the self-proclaimed. Though the painters consider
themselves as "primitivista", this is different from the "primitivism" concept of
European modern art history. In general, the indigenous painters do not have any
professional training in art, and they paint their works naturally without being based on
any European modern art techniques such as "Cubisme", "Dadaisme", "Japonism", etc.,
that's why the painting is known as "primitivist". The painters want to be artist, so they
consider their paintings as expression of their own thoughts and feelings. On the other
hand, however, for tourists as the buyer side, they are not concerned whether the
paintings are art or simple handicraft. They only want to buy paintings as a memory of
sightseeing in the village. It is much more important that the paintings express the daily
traditional Mayan life called “costumbre or custom” (e.g. maize harvesting festival,
women weaving traditional textile, council of elders in night, etc). The tourists prefer
these paintings over those that portray the negative image of the country, such as
massacre of indigenous people, forced labor in southern plantations. Tourists prefer
pleasant or exotic life of rural Mayan village. (García 1999, p. 48)
Figure 1. Map of the Lake Atitlán region (Nakata, 2010)

Hideki Nakata
Recently, paintings entitled "Violators of Women," and "Massacre in Santiago

Atitlán" are found in the galleries. But here, we have another very interesting point to
discuss. In addition, there are also paintings that portray the coffee farm where
indigenous families are working, even though these paintings ought not to be typical as
the Mayan traditional scenes, but to be as negative motifs that express the indigenous
people obligated to work in the southern coffee plantations. These are produced not only
by eminent painters but also by commercial greenhorn painters who paint them for
tourists who are far from attention of the history of the sufferings of the indigenous
people.
But according to the Japanese Anthropologist Furuya, the coffee paintings that were
done by the most eminent painter Pedro-Rafael, are produced based on his deep
philosophical thoughts. Pedro-Rafael criticizes the situation in which many commercial
painters prefer this motif with very similar layout because the tourists are very attracted
by the elements in this coffee motifs such as deep green tree leaves, clear red fruits, the
magnificent San Pedro volcano, and indigenous men and women working with colorful
traditional clothes (see Fig. 2). Based on this critical opinion, Pedro-Rafael paints
coffee-picking scene, and claims that his own work has social message. FURUYA
interprets this inserted message of Pedro-Rafael as follows:
For him [Pedro Rafael], the paintings with motifs of "coffee harvest" express
the sufferings and the discrimination that have been experienced by the
indigenous people in the past. In other words, these paintings are expressions
of the History of the people in the lowest class, who were forced to engage in
heavy and stressful work of coffee production, but earned very little income.
The painter hopes that, for example, the person who takes a cup of coffee in
restaurant in the U.S.A. captures these sufferings through his painting.
(Furuya 2001, p.238, translated by Nakata)
In spite of the popular motifs of coffee picking, Pedro-Rafael always tries to

uncover the history of repression. That is why Furuya is urging us not only to
"consume" the paintings as a collection of indigenous artisans, but also to try to listen to
these social and historical critical messages.
Figure 2. One of the typical coffee

harvest painting
(Painted by Pedro Gonzalez)

From “Men of Maize to Men of Coffee”
We have still more point to discuss here. In the above coffee painting, we also
observe the lake as one of the indispensable elements. The presence of the lake is very
important, because if the lake is included in coffee picking labor scenes, they cannot be
of the southern coffee plantation, but of the village of San Pedro La Laguna.
As far as the author Nakata knows, the village of San Pedro (including Santiago
Atitlán and San Juan) is unique from among the indigenous villages in Guatemala,
because the local indigenous people themselves introduced the coffee cultivation within
their own village in the second half of the 20th century. Because of this historical and
social change in San Pedro, the local artists can take the motifs of coffee harvesting
without any strange feelings. If the tourists may have observed coffee production in
other areas, they can consider it also as a traditional activity of the indigenous people in
San Pedro, and thus, paintings with the “coffee production” also attracts the tourists,
because they can observe the coffee cultivation anywhere as common crop in San
Pedro.
It is useful to mention two additional facts that back up this point. Firstly, San Juan
Comalapa is in the department of Chimaltenango, which is located at the central
highland. This village is another internationally well-known place for the primitive
paintings in Guatemala. Comalapa can be more famous because some painters studied
in foreign country through government scholarship. But, paintings with the coffee
motifs are not found in this village. This is because nobody engages in coffee
cultivation in/around this village.
Secondly, Santa Catalina Polopó, a famous village among those around the Atitlan
Lake, has developed tourism as influenced by Panajachel. Today, various "primitivism"
painters have appeared in this village. But the clear difference from San Pedro is that
few painters take coffee as motifs, because there has not been any coffee cultivation
in/around the village, and thus, it is not considered as a traditional activity. Most of the
coffee paintings in the local galleries of Santa Catalina come from the painters in San
Pedro.
Today, the natives of San Pedro have completely shifted from maize production to
coffee production, and San Pedro has developed and attained a stable socioeconomic
level because of the higher income from coffee cultivation. Today, many children are
able to go to school without helping their parents in the farm. Many local people
including old men and women can now speak Spanish. All of these changes brought
about by the introduction of coffee, and the developed tourist industry have contributed
to a positive impact on the socioeconomic level of the village.
At the end of the internal conflicts period, in 1995, the National Coffee Association
(ANACAFE) published the book of general and definitive edition of Guatemalan
coffee, entitled "Man of the coffee (Hombre del café)". The first page begins with the
following notes:

Hideki Nakata
From the Popol Vuh to Miguel Angel Astúrias, Guatemala has been described
as a land of men of maize. If the last one hundred years of its history and its
future could be presented in a large mural, it would surely be full of scenes
related to coffee production. The Guatemalan nation, with roots of maize, now
has trunks, stems, leaves and fruits of coffee. Undoubtedly, Guatemala has
become a land of men of coffee. (ANACAFE 1995, p. i)
Since the end of 19th century when the Guatemalan government started to construct a
modern capitalist nation, the ultimate objective has been nothing but to convert the
indigenous "men of maize" into "men of coffee." This has been the very history that the
government has been yearning for.
During the past one hundred years of the Guatemalan capitalist dynamism, the
residents of San Pedro have been introducing the cultivation of coffee by themselves,
within their village. The question now is, “has the village of San Pedro been
transformed from “men of maize” to “men of coffee?” Can we assume that the
transformation process of San Pedro is aimed at disintegrating the indigenous traditional
village or is it aimed at integrating or assimilating San Pedro into the Guatemalan
modern nation? In this process, have the local people of San Pedro lost their own
identity as Mayan indigenous peoples?
No doubt the actual situation that exists and is observed today in San Pedro is
totally the opposite. Based on history, San Pedro has become one of the most famous
indigenous villages in Guatemala. If the fact that San Pedro has already introduced
coffee production would mean that they have already lost their own Maya culture, why
would tourist still want to visit San Pedro to tour around this village? This could only be
explained by the fact that the village of San Pedro has already shifted to coffee
production, but they have realized the need to preserve the culture that is unique to the
Mayans. They were able to integrate coffee production that was introduced from the
external societies, without jeopardizing their own indigenous traditions.
So, now we are delighted to put another interpretation on this San Pedro's history as
follows:
It is to reduce San Pedro's history to the one as reconstructing or inventing

traditional culture in which, even though the natives of San Pedro introduced coffee as
an exterior element that had been just a representation of oppression by forced labor,
they successfully converted this element into their own.
This explanation seems very comfortable and welcome dynamism for us because
we can maintain certain distance between their history of oppression and our present.
By mummifying their hard history as one that have passed "once upon a time in
Guatemala", and by putting our current situation far from the potentiality or possibility
of admitting such oppression in our own present society, we can easily acknowledge the
villagers of San Pedro as those who had endured their past of hardship and have
successfully taken off it, and so we can say "congratulation" and "welcome to our
World".

And here, we must remember how the 19th century "liberal" reform had affected the
highlands where indigenous people lived. Even though certain lands with unclear uses
had also been expropriated, the change caused by the reform about highlands land use
had been much less than the southern low regions because each parcel of land in the
highlands was very small and thus, it was difficult to introduce modern technologies,
machines and transportation infrastructure. Above all, the government could get huge
territory on the coast, so it was not needed to expropriate the lands occupied by
indigenous people that can cause high risk conflicts.
After the end of 20th century, however, the oversupply of coffee has caused the
downfall of Guatemala in the international market, partly due to the supply of coffee
from Vietnam. To survive this crisis, Guatemala had to bet for high quality production
with brand names such as "blue mountain", "mocha", "Kilimanjaro" etc. One advantage
of Guatemala is the fact that high quality coffee can be produced in the highlands by the
indigenous people, and thus, creating much interest from the consumers who prefer
organic and natural products or who are interested in humanitarian concerns such as
"fair trade."
With these, one can say that an indigenous village could also contribute to
nation/state’s capitalism and tourism, while preserving their indigenous culture, and
indeed, the case of San Pedro is an evidence that it is possible to promote state
capitalism without jeopardizing the culture and traditions of the indigenous people.
Considering these conditions, we can easily extract the following conclusion; San Pedro
is the very 21st century's ideal indigenous village and the other indigenous villages that
satisfy these necessary conditions have to introduce coffee, because San Pedro could
demonstrate that it is possible. This is not far from the situation where the 19th century
government obligated the indigenous people to engage in coffee production. For this
reason, there can be problematic explication if the history of San Pedro is reduced to a
"Inventing traditional" (Eric Hobsbowm) or "hybrid culture" (Galcía Canclini) story.
In the village next to San Pedro, San Juan La Laguna, an organization called "La
voz que clama en el desierto (The voice crying in the desert)", sells coffee through the
collective production of the members. They established this organization in 1978 and
started this activity the following year. Today, the organization has about 150 members
mostly from San Juan, and continues with the development and diversity of their
activities. The organization is now engaged in eco-tourism activities, in addition to the
original activity of selling coffee, but newly following the concept of "Fair Trade".
Similarly, in San Juan, the tourists can observe coffee plantation anywhere in the
village, which used to be planted with maize. Based on this social change, this
cooperative organization embarked on this "eco-tourism" activity that offers to tourists
the coffee landscape as one of the Mayan culture. They started this activity in 2007, and
today tourists can book this "eco-tour" through various travel agencies in many touristic
villages or cities. The participating tourists walk around coffee farms with a local guide
who gives information about the organic coffee cultivation, then, they would go to the
coffee organization's office and observe the products processing in the refinery. After
observing the whole process, the tourists take a cup of coffee at the cafeteria next to the

Hideki Nakata
refinery, and finally they are taken to the gallery to see and also shop for the nice
indigenous handicrafts that were made by the indigenous women. These include
textiles, artisans and --- primitive paintings with the motif of coffee.
Meanwhile, Antigua Guatemala is the most visited city in Guatemala, being declared
as the World Heritage Site. Eco-tours are also being organized for the tourists. As in
San Juan, the tourists are brought around the coffee farms. However, unlike in San Juan
village that organizes eco-tourism of coffee farms based on their Mayan indigenous
culture, many coffee farm owners in Antigua Guatemala have invested so much on
facilities such as coffee museums that offer exhibitions such as “Coffee Disneyland".
Conclusion
Without any doubt, it is important to discuss the coffee cultivation in these southern
villages of the Lake Atitlan not only in regard to the local indigenous in habitants but
also to the Mayan people in Guatemala. In spite of forced labor history in coffee
plantations in the 20th century, the indigenous people in San Pedro (and San Juan) have
introduced coffee into their own village by themselves, even though coffee is a
representation of painful history. The coffee cultivation, however, endowed to the local
indigenous people with an unprecedented economic base, social stability and strong
cultural identity as indigenous village. Parallel to this history, they have created and
expanded the history of "primitive" painting. It is clear that the expansion of painting
inextricably ties the development of local sightseeing. This means that the process of
coffee introduction does not mean corruption of these villages as indigenous but clearly
strengthening them.
The government came to dedicate its effort to reconstruct the internal conflicts'
post-era through activating the two main pillars mentioned above; high quality coffee
production by indigenous villages at the highlands and tourist industry based on the
Mayan culture as primary product. Referring to these changes in social public structure
in Guatemalan 21st century, we must discuss the positive expectations and the negative
risks that the indigenous people are going to face. For the future of Guatemalan
indigenous people after surviving their oppressed past, what we should need seems to be
not an abstract discussion or general analysis but careful case studies, for example about
these villages.
Notes
1 Citation from the introductory chapter in the Japanese version of (ODAHG 1998). This
paragraph was translated from Spanish by Nakata.
2 Oficial Figueroa, entrusted with a "Model Village" in the department of Alta Verapaz, 1982; in
(ODHAG 1998, tomo II, p. 142), translated by Nakata from Spanish.
3 Citation from (ODHAG 1998, pp. 17-18), Introductory comment in the Japanese version for
readers. Translated by Nakata.

References
ANACAFE (Asociación Nacional del Café). 1995. Hombres del café, Guatemala: ANACAFE.
ARTE MAYA. http://www.artemaya.com/ (June 16, 2010)
Burgos, Elizabeth. 1984[1983]. I, Rigobertta Menchú, An Indian Woman in Guatemala,

translated by Verso. (Originally published, Burgos, Elizabeth. 1983. Me llamo Rigoberta
Menchú y así me nació la conciencia, Barcelona: Editorial Argos Vergara, S. A.)
Cambranes, Julio Castellanos. 1985. Coffee and Peasants: The Origins of the Modern Plantation
Economy in Guatemala, 1853-1897, English version revised by Carla Clason-Höök,
Stockholm, Sweden : Institute of Latin American Studies.
Cardoso, Ciro y Héctor Pérez Bringoli. 1977. Centroamérica y la economía occidental (1520-
1930), San José, Costa Rica: Editorial de la Universidad de Costa Rica.
Furuya, Yoshiaki. 2001. Hybrid Modernities and Anthropology: From Latin-American Contact
Zone, Japan, Kyoto: Jinbun Shoin.
García, Paola. 1999. La Pintura del lago de Atitlán, Collección Xokomil No.14, Ediciones 1999,
Guatemala: Casa de Estudios de los Pueblos del Lago Atitlán.
McCreery, David. 1994. Rural Guatemala, 1760-1940, California: Stanford University Press.
NAGATA Coffee Club. http://www.nagatacoffee.com/kaori/00/kata0001.html (June 16, 2010)
ODHAG (Human Rights Office of the Archdiocese of Guatemala). 1999[1998]. GUATEMALA:

Never Again, Guatemala: Recovery of Historical Memory (REMHI). (Originally published,
ODHAG. 1998. GUATEMALA: Nunca más, Guatemala: REMHI.)
Paul, Benjamin y Joseph Johnston. 1998. "Arte étnico:orígenes y desarrollo de la pintura al óleo
de los artistas mayas de San Pedro La Laguna, Guatemala", Mesoamérica, No.36, pp. 423-
440, Antigua Guatemala: CIRMA.
Tax, Sol. 1953. Penny Capitalism, a Guatemalan Indian Economy, Smithsonian Institution,
Institute of Social Anthropology Publication, No.16, Washington D.C.: United States
Government Printing Office.

Takashi Sasaki, Toshiyuki Chiba, Eiko Kusaba, Yoshinori Honma, Masashi Kawasaki and Reiko Osato
Transformation of Life and Culture in Northern Ohoku

Region, Japan as Influenced by Modern
Environmental Changes
Part 1. Outline and Purpose of Research
Takashi Sasaki, Toshiyuki Chiba, Eiko Kusaba, Yoshinori Honma,

Masashi Kawasaki and Reiko Osato
Iwate Prefectural University
152-52, Takizawa, Iwate-ken 020-0193, Japan
t-sasaki@iwate-pu.ac.jp
Abstract
This paper highlights the results of the study that was conducted in the four regions of Iwate
Prefecture in Japan to find out the transformation of life and culture brought about by the
environmental changes.
The findings of the study indicate that there has been some changes as regards the physical
structures of the houses in the four districts. The lavatories and bathroom which used to be set
up outside the houses50 years ago, are now built inside the houses for convenience. This is so,
because generally, there was a relatively old population in the four districts. The climate,
geographical location and social conditions in each of the four regions determined which part of
the house needs repair.
This paper argues that environmental changes influenced the transformation of life and culture
of the residents in the four regions in Japan.
Keywords: life, culture, modern-environment, transformation, indoor-climate, progressive aging
Introduction
The purpose of this study was to compare the transformation of life and culture that
was brought about by the modern environmental changes in the four regions in Japan. It
was observed that the lavatory and bathroom that used to be located outside the houses
50 years ago, are now set up within or inside the house. However, because the research
zone is a cold region, the bedroom and the lavatory were still under the freezing point.
Changes in the temperature and the problem on energy consumption brought about by
the global warming are among the perceived problems in the progressive-aged society
in Japan in the future.

Transformation of Life and Culture in Northern Ohoku Region, Japan as Influenced by Modern Environmental
Changes
Outline of the Study and Features of the Regions Investigated
The investigation was executed in the four regions as follows:
 Iwate-gun Nishine village (presently known as Hachimantai district)

 Iwate-gun Tamayama-village Shibutami district now called the Tamayama Shimoda
district)
 Shimohei-gun Kawai-village Oguni district
 Kuji City Kosode village (present Kuji City Ube-cho)
The first stage of the study was conducted using a structured survey. The
questionnaire revolved around the items and questions that were used 50 years ago to be
able to compare results. The questionnaires were distributed to the fishery cooperative
association that manages the district.
Around 94 percent of the total land area of the Nishine village district (now called
as the Nishine district) is classified as ricefields. The climate is a continental basin that
is not very different from the Morioka area. The district is within the Kitakami and Oou
mountain ranges. Meanwhile, Tamayama-Shibutami district (now called as Shibutami
district) occupies a smooth cropland, which has an excellent rice production capacity.
The temperature is a little low though the climate is not very different from the Morioka
area.
Kawai-Oguni district (now called ass Kawai district) is a mountainous district. The
temperature is a little low though the climate is not very different from the Morioka area.
About 70 percent of the population is engaged in agriculture, forestry, and hunting.
Kuji-Kosode district (now called ass Kuji district) is situated along the coast. It is
divided into two villages, namely Uemura and Shimomura. Uemura and Shimomura.
Uemura is found on the mountain side while Shimomura along the coast. The climate in
this district is a little warmer than the Morioka areas.
Contents of the survey questionnaire
The questionnaire was developed in such a way that it captures the same data
sets/variables that were used in the research conducted 50 years ago. This enabled the
researchers to compare results. The questionnaire revolved around the information
about food, clothing, housing and culture.
There was about 66.4 percent (73/110) who responded and filled-up the
questionnaire in Nishine; 30.1% (231/426) in Shibutami; 45% (102/227) in Kawai; and,
83% (156/188) in Kuji. It may be noted that Shibutami has the least number of
respondents because this district is a new residential area. The residents were relatively
old, and there seemed to be no cooperation among the residents in this district. There
was also a low turn-out response from Kawai district because the houses are scattered
geographically. Nishine district has been in existence for about 100 years or more and
the residents have already established good relationships with one another. On the other

hand, the Kuji district, comprised mostly of the fishery workers, is being led by a
fishing guild.
Survey results
Figure 1 shows the age distribution of the population in the four villages from
1959-2009. The distribution of 70-year-old and above has increased to about 20 percent
compared with the results generated 50 years ago. Thus, these villages are now called
the aged societies.
2009Kaw ai
2009Kuji
2009S hibutam i
2009N ishine
1963Kaw ai
1961K ujii
1961S hibutam i
1959N ishine
0% 20% 40% 60% 80% 100%
0-5years 6-11years 12-29years 30-49years

50-69years over70years
Figure 1. Age distribution of population in each district 50 years ago and at present
As shown in Figure 2, about 60 percent respondents in Nishine, Shibutami and

Kawai region have done repairs on their houses in the last 50 years, while only 22
percent repaired their houses in Kuji district. This could be because there were few old
houses after the conflagration at the Meiji era, and the replacement and construction of
building was done at that time. Therefore, there are fewer houses that should be repaired
during the last 50 years.
50
45
40
P ercentage of reply
35
30
25
20
15
10
5
0
ll
of
r
or
nt
en
w
om
ion
or
wa
he
o
ro
do
at
me
ch
ro
ot
nd
ns
wi
ide
kit
th
lav
e
ve
te
nc
ba
ts
ex
ro
tra
ou
p
im
en
o le
wh
2009N ishine 2009Shibutam i 2009Kuji 2009K aw ai
Figure 2. Percentage of repaired or improvement before

Changes
Changes in the four regions in the last 50 years
Results of the survey indicate that there has been a big change as regards the
housing in the four regions in the last 50 years. Climate is one factor that determines the
house repairs. Though the repairs of the lavatory and the bathroom were observed in all
of the four districts, the percentage of roof repair was noticeable in Kawai district.
Kawai is situated in the mountainous district, which is very prone to strong winds and
rain which corrodes the roof iron plate easily.
Figure 3 shows the degree of satisfaction and dissatisfaction of the residents on the
damaged parts of their house. Most of the respondents have expressed the need to repair
their restroom and bathroom in the future. Generally, there is low satisfaction rating in
the four regions. There were some remained unrepaired.
broken　condition
40
35
30
replied　num ber
25
20
15
10
0
dissatisfy slightly
sl ightly neutral slightly
slightly satisfy
dissatisfied dissatisfied neutral dissatisfied satisfied
dissatisfy satisfy
2009N ishine 2009S hibutam i 2009Kuji 2009Kaw ai
Figure 3. Respondents’ satisfaction rate on the damaged parts of the houses

Figure 4 shows that there was generally a dissatisfaction of the respondents on the status
of their houses. The satisfaction rating is high also in Iwate Prefecture. This could be
accounted to the numerous big houses having large floor space. Figure 5 shows that
the respondents were dissatisfied about the current floor space and some arrangement
which seemed to be very inconvenient for them.
0verall
50
45
40
35
replied　num ber
30
25
20
15
10
5
0
slightly
dissatisfy
dissatisfied slislightly
ghtly neutral
neutral slightly satisfy
satisfied
dissatisfied dissatisfied
dissatisfy satisfy
2009N ishine 2009S hibutam i 2009K uji 2009K aw ai
Figure 4. Overall satisfaction rate to the entire house
Planning and
Planning and Room
Roomy Size
45
40
35
replied　num ber
30
25
20
15
10
5
0
dissatisfy slightly
slightly
slightly neutral slightly
slslightly
ightly satisfy
dissatisfied
dissatisfied dissatisfied neutral
neutral dissatisfied satisfied
satisfied
dissatisfied
dissatisfy dissatisfied
satisfy
2009N ishine 2009Shibutam i 2009Kuji 2009Kaw ai
Figure 5. Satisfaction rate for housing

Changes
Figure 6 shows a summary of the house sections that need repair in the future. In
Nishine and Kawai districts, most of the respondents expressed their need of repairing
their bathroom, while those from Shibutami district would like their lavatories repaired,
especially that most of the residents are already aging. Lastly, the respondents from Kuji
district hoped to repair their outside walls because of the cool sea breeze especially that
their residences are along the coastal areas.
These results suggest that the geographical, climatic and social conditions (e.g.
aging population, depopulation) in each region determine the need for house repair.
repair in the future
40
35
30
replied num ber
25
20
15
10
5
0
all
ll
y
of
r
or
en
om
or
wa
he
er
ro
do
ch
at
ro
ot
ov
e
kit
th
lav
d
id
an
ba
ts
ou
o w
nd
wi
2009N ishine 2009Shibutam i 2009K uji 2009K aw ai
Figure 6. Hoped parts should repair in the future
Problems during winter
Figure 7 shows the heating methods in each region during winter. The use of the
portable type stove with no chimney, stands out in most regions.
120
100
replied　num ber
80
60
40
20
0
H otC arpet(electric）
H otC arpet(kerosene）
K otatsu（heatingT able）
S tove（chim ney、kerosene）
S tove（chim ney、w ood）

A irC onditioner
H otC arpet(W ood)
PortableH eater(kerosene)
centralH eating(kerosene)
centralH eating(w ood)

ElectricS tove
2009N ishine 2009Shibutam i 2009K uji 2009K aw ai
Figure 7. Heating methods in each district

Generally, the stove with chimney and a portable type are used for heating in the
northern part of Japan. This may probably be because the stove with chimney is usually
set in areas with big spaces such as living rooms where the families usually gather,
while the portable type is used in smaller areas. The four regions also differ in terms of
fuel use. The residents in Shibutami and Kuji districts use kerosene, while firewood is
being used in Kawai district. Shibutami and Kuji districts are situated near the urban
areas, and thus, kerosene is the most available fuel, while Kawai is a district with
forestry as the main industry, and therefore, firewood is the most available source of
fuel.
There are number of houses for the table with the heat source that is called a
KOTATSU. We called that customs as the SAIDAN in Japanese.
The lifestyle form during winter is almost similar in all regions though the heat
source also changes in each region. There are few houses heaters in the bedroom,
lavatory, and the bathroom during winter.
The houses that were observed to be under the freezing point temperature is an
example of SAIDAN, a heating custom that only heats the necessary space. There is a
need to improve housing in Tohoku region where the rate of apoplexy is highly
observed. The authors assumed that salinity, which trigger apoplexy is observed in
houses with fluctuating temperatures. The thermal insulation should be strengthened to
enhance heating, and air-tightening to ensure proper ventilation.
Conclusion
This paper highlighted the results of an investigation that was conducted in order to
compare results with that of the study that was conducted 50 years ago. The study was
conducted in the four regions, namely, Kuji, Kawai, Shibutami and Nishine districts.
The results indicate that there has been some changes as regards the physical
structures of the houses in the four districts. The lavatories which used to be set up
outside the house 50 years ago are now set up indoor for convenience. While some
houses have been rebuilt or repaired in the last 50 years, the respondents expressed the
need for house repair. The climate, geographical location and social conditions in each
of the regions, determined which part of the house needs repair.
It is thus important to create mechanisms such as thermal insulation and

air-tightening to improve heating and ventilation. Based on the survey results,
transformations in the life and culture are already being observed in Japan brought
about by the rapid environmental changes.

Changes
Acknowledgement
We sincerely express gratitude to all the residents of Nishine, Shibutami, Kawai and
Kuji who participated in this study. We also express our thanks to the public offices, and
the fisher union that helped distribute and collect the questionnaires. This research is a
part of study results of the study of faculty project of Iwate prefectural university.
References (All written in Japanese)
Morioka Junior College: Research report on Life Culture No.1, 12.1959
Nishine Educational Committee: Traditional Dwellings in Nishine, 3.1986
N.Oomukai: Modern history in Kosode, 4.1979
SASAKI,T. et al.: Research on the Improvement of Performance and energy conservation of

housing in Iwate Prefecture. Indoor environment of general hosing in winter season, Bulletin
of Morioka junior College Iwate Prefectural University,No.2,pp.19-27,3,2000.
SASAKI, T. et al.: The relationship between indoor climate and salt concentration in the soup,
Proc. Int. Conf. INDOOAAIR2002, pp1-6, Monterey, 7.2002

Yoshinori Honma, Takashi Sasaki, Toshiyuki Chiba, Eiko Kusaba, Masashi Kawasaki and Reiko Osato
Transformation of Life and Culture in

North Tohoku Region, Japan as Influenced by the
Modern Environmental Changes
(Part 2. Residential Evaluation)
Yoshinori Honma, Takashi Sasaki, Toshiyuki Chiba, Eiko Kusaba,

Masashi Kawasaki and Reiko Osato
152-52, Sugo, Takizawa, Takizawa, Iwate, 020-0193, Japan
honma@iwate-pu.ac.jp
Abstract
On the average, the house lifespan in Japan is 30 years, although it varies by region. There are
still many old houses in the rural areas of the Iwate Prefecture. A study was conducted in the nine
residences in Nishine and Shibutami areas in Iwate Prefecture to evaluate the house conditions,
particularly the indoor temperature and humidity. Actual measurements of the temperatures
and humidity, and interviews were carried out to gather the needed information. The relationship
between the resident’s attitudes/behavior and the indoor thermal environment was likewise
analyzed. The results of the study show that there significant differences in the temperatures in
the bathroom and bedrooms.
Keywords: inhabitants’ residential evaluation, indoor thermal environment, temperature,

humidity
Introduction
Change and development of housing

policy caused by changing social conditions NISHINE
(N39°55.6’, E141°05.7’)
influenced the transformation of the housing
culture. This trend is also observed in rural
areas. The purpose of this study was to Sapporo
assess the changes in the residences in four
farming and fishing villages in Iwate
Prefecture which were surveyed about 50
years ago (Showa 30s). This study indicated SHIBUTAMI
Iwate Prefecture
that most of residences were still in the (N39°52.1’, E141°10’)
pre-war living style as evidenced by the

indoor thermal environment. This paper Tokyo
Osaka
highlights the results of the survey on
housing consciousness in Nishine and
Shibutami areas, and the field survey on Figure 1. Location of Iwate Prefecture

Transformation of Life and Culture in North Tohoku Region, Japan as Influenced by the Modern Environmental
Changes
temperature and humidity in living rooms, bedrooms, and bathrooms of nine residences.
Outline of Surveys
A survey was conducted in two areas (Shibutami and Nishine,) in Iwate Prefecture.
There were 237 survey respondents in both areas -- 73 respondents from Shibutami 231
from Nishine. A one-year monitoring of the temperature and humidity in the living
rooms, bedrooms and bathrooms of the sample residences was made.
Thermo-hygrometer with data logger function (Especmic RT-12, Temperature:

Thermistor, Relative Humidity: Polymeric Humidity Sensor) was used as a measuring
device. The absolute humidity was calculated in accordance with the Sonntag formula
(JIS Z 8806-2001). The time interval for each measurement is one hour.
The questionnaire captured the “Satisfaction of the Residence” (space, room layout,
storage space, protection from natural disasters, decrepitude, and comprehensive
evaluation each on a scale of 1 to 5), actual condition and awareness about
refurbishment, and thermal comfort (on a scale of 1 to 6).
Conditions of residences studied
Figure 2 shows the years (house age) when the 239 residences in Nishine and
Shibutami were constructed. Most of the residences in both areas were built 20 to 25
years ago (15.5%), while others have been existing for 10 to 15years (13.7%), and a few
others range from 30 to 35 years (12.2%). There were only few residences which were
built 50 years ago (4.5%). We found that there were still relatively old residences in
Nishine area, but most of those surveyed 50 years ago have already been rebuilt.
Figure 3 shows the ages of the residences and whether they have been rebuilt or not.
About 9.1% of the 30-35 year-old residences have already been rebuilt; 8.7% of the
35-40 year-old houses and 8.3% of the 20-25 year-old houses have been rebuilt. As a
whole, half of the residences over 15 to 20 years have been rebuilt in some ways. Most
of the refurbishments were extension, repainting, and plumbing.
18
16
Shibutami
Relative Frequencies (%)
14
Nishine
12
10
10 13.3
8 9.6 6.6
6 9.2 5.9
4 5.5 7.7
3.7 1.5
3.3
2 3.7 3.7 3
1.8 2.2 2.6 2.6
1.1 1.1 0.4 1.5
0
less than 5
5-10years
10-15years
15-20years
20-25years
25-30years
30-35years
35-40years
40-45years
45-50years
50years
over
years
Elapsed years after completion
Figure 2 Distribution of house age（Nishine and Shibutami）

12 11
10 9.1 renovation
Relative Frequencies (%)
8.7
8.3 no renovetion
7.9
8 7.1
6.3
5.5
6
4.7
4.3
3.9 3.9 3.9 3.5
4 2.8
2.4
2
1.6
2 1.2
0.8 0.8
0.4
0
less than 5
5-10years
10-15years
15-20years
20-25years
25-30years
30-35years
35-40years
40-45years
45-50years
50years
over
years
Elapsed years after com pletion
Figure 3. House age and its rate which renovated or not （Nishine and Shibutami）
Cross Tabulation Results of Residential Evaluation
Table 1 shows the residents’ evaluation on their respective houses. We conducted

cross-tabulation analysis of the survey results from Nishine and Shibutami areas to
investigate the relationship between two factors by Spearman’s rank correlation
coefficient. As a result, “space and room layout” (Table 2), “storage space” (Table 3),
“Structural Safety” (Table 4), and “House Decrepitude” (Table 5) had a high correlation
with comprehensive evaluation (p<0.001). It was found out that these factors were
significantly related with the residential evaluation. On the other hand, thermal
sensation was correlated neither with comprehensive evaluation (p=0.888, Table 6) nor
with factors which are considered to influence the sense of warmth like “space and
room layout” (p=0.459, Table 7), “House decrepitude” (p=0.588, Table 8). These results
show that thermal sensation (warmth or thermally neutral condition) is not an important
factor for comprehensive residential evaluation, because thermal environment can be
controlled by heating and wearing heavy clothing.

Changes
Table 1. Questionnaire items about Residential Evaluation of

their own house.
Space and Room layout

Storage Space
Structual Safety (safeguard against natural disasters)
House Decrepitude
Complehensive Evaruation
Thermal Sensation
Table 2. Cross Tabulation of Comprehensive Evaluation and Space

layout.
Comprehensive Evaluation
Slightly Slightly
Dissatisfied Neutral Satisfied
Dissatisfied Satisfied
Dissatisfied 13 1 1 0 0
Slightly
roomlayout
Space and
5 40 5 6 0
Dissatisfied
Neutral 3 4 16 4 0
Slightly Satisfied 1 15 17 53 2
Satisfied 0 7 4 24 18
　　Spearman's correlation coefficient by rank test, p<0.001
Table 3. Cross Tabulation of Comprehensive Evaluation and Storage

space.
Slightly Slightly
Dissatisfied 18 14 1 4 0
Storage Space
Slightly
3 35 13 20 1
Dissatisfied
Neutral 1 6 12 5 0
Slightly Satisfied 0 9 16 38 4
Satisfied 0 3 1 20 15
Table 4. Cross Tabulation of Comprehensive Evaluation and

Structural Safety.
Slightly Slightly
Problematic 14 7 0 0 0
Structual Safety
Slightly
2 34 10 7 0
Problematic
Noncommittal 5 20 28 8 1
Still Durable 1 4 4 65 9
Unquestionable 0 2 1 7 10
Table 5. Cross Tabulation of Comprehensive Evaluation and House

Decrepitude.
Slightly Slightly
Problematic 17 17 2 0 0
Decrepitude
Slightly
4 40 16 20 0
House
Problematic
Noncommittal 1 5 22 18 0
Still Durable 0 4 3 44 9
Unquestionable 0 1 0 5 11

Table 6. Cross Tabulation of Thermal Sensation and Comprehensive

Evaluation.
Slightly Slightly
Hot 0 0 1 0 0
Thermal Sensation
Slightly Hot 1 0 0 0 0
Warm 1 11 5 12 4
Neutral 12 51 31 65 16
Cool 6 4 6 10 0
Cold 2 1 0 0 0
　　Spearman's correlation coefficient by rank test, p＝0.888
Table 7. Cross Tabulation of Thermal Sensation and Space layout.
Space and Layout

Slightly Slightly
Hot 0 0 1 0 0
Thermal Sensation
Warm 1 11 2 8 11
Neutral 6 41 23 69 36
Cool 6 4 0 11 5
Cold 2 0 0 0 1
　Spearman's correlation coefficient by rank test, p＝0.459
Table 8. Cross Tabulation of Thermal Sensation and House

Decrepitude.
House decrepitude
Slightly Noncommitt Unquestionabl
Problematic Still Durable
Problematic al e
Hot 0 0 1 0 0
Thermal Sensation
Warm 2 17 4 6 4
Neutral 27 53 36 47 12
Cool 5 10 4 6 1
Cold 2 0 0 1 0
　Spearman's correlation coefficient by rank test, p＝0.588
General Conditions of Houses: Temperature and Humidity
We measured indoor temperature and humidity in order to figure out the actual
condition of thermal comfort less related to comprehensive residential evaluation. Table
10 shows the general conditions of residences measured. The household members
ranges from 1-5. Most of the sample houses are made up of wood beams and have
heating facilities.

Changes
Table 10. Outline of residences measured

Number of
Symbol Completion Renovation Heater Construction
occupants
H1 1959 1985 Kerosene fan heater 1
H2 1966 No Wood stove, Kerosene fan heater, Kotatsu 4
Fire Place, Wood stove, Kerosene fan 4
H3 1970 1990
heater
Wood Beam
H4 1965 1993 Wood stove, Kotatsu 2
and stud
Air conditioner, Kerosene fan heater, 5
H5 1970 1993
Kotatsu
Kerosene FF heater, Kerosene fan heater, 2
T1 1979 No
Kotatsu
T2 1988 No Kerosene fan heater 4
T3 1997 No Air conditioner, Electronic Heat Storage 2 Light steel
Wood Beam
T4 1984 1998 Kerosene fan heater 2
and stud
Indoor Temperature and Humidity Measurement 35

H1 H2 H3 H4 H5
T1 T2 T3 T4
T e m p .in th e Liv in g R o o m (de g .C .) .

30
Figures 4 to 6 show the hourly average temperature 25
fluctuation in living rooms, bedrooms, and 20
bathrooms (toilet) during winter. The coldest period 15

was recorded two weeks from January 24th to 10
February 6th in 2010. Judging from temperature
5
fluctuation in living rooms, heaters were turned-off
0
during bedtime in most residences. By the time 0 3 6 9 12 15 18 21
residents turn on heaters, temperature has dropped time
from around 5 to 70C in residences whose Fig.4 Averaged temperature fluctuation

temperature was from 10 to 150C at the time heaters
25
H1 H2 H3 H4 H5
T1 T2 T3 T4
were turned off. It has dropped to around 100C in
T em p.in th e B ed roo m (d eg .C .) .
20
residences whose temperature was kept at around 20 15

0
C. In H3 residence, the temperature gradually rises 10
during daytime and it rises to near 200C from
5
evening to night time (18:00 to 21:00). In T3,
temperature is kept at around 200C also at night time 0
and it fluctuates around 230C in daytime. As for -5
temperature fluctuation in bedrooms and bathrooms, 0 3 6 9

time
12 15 18 21
all of them are less than 100C except T3, which Fig.5 Averaged temperature fluctuation
means that none of them has a heater. In particular, 20
bedroom temperature in H2 and the bathroom in H1

T em p.in the B ath roo m (d eg .C .) .
are below 0 0C during nighttime. It is a harsh 15
condition for an indoor environment that people 10
might be subject to a heat shock when they move

from one room to another. In contrast, the 5
temperature in T3 is kept from around 18 to 20 0C 0

both in the bedroom and in the bathroom, and the H1
T1
H2
T2
H3
T3
H4
T4
H5
temperature difference between rooms is small, -5

0 3 6 9 12 15 18 21
which is a favorable thermal environment. time
Fig.6 Averaged temperature fluctuation in

Figures 7 to 9 show temperature, relative humidity, average of absolute humidity ±

standard deviation, maximum, and minimum of all the sample measured residences.
Plotted measurement period is 68 days from December 1st in 2009 to February 6th in
2010. As for the relative humidity, the heated living room is comparatively low,
especially in the living room of T3, which has an average RH of 17.7%. Also, humidity
in H3, H4, and H5 is less than 30%RH, which indicates the significant influence of
heating. ΔX, the indoor-outdoor absolute humidity difference, can be a barometer of
ventilation rate, ΔX is small in a detached residence that has high airtight performance
and with adequate ventilation. Figure 10 shows the relationship between ΔX and the
number of ventilations in a residence whose volume is 312 m3 (an ordinary detached
residence) attached with ΔX of measured residences. According to the graph, it is highly
possible that ventilation rates in H2, H4, T1, T2, and T4 are in the normal range, but H1,
H5, H3, and T3 are over ventilated.
Temperature from the left, Temp.of Living Room, Bed Room and Bathroom (toilet), respectively
35
30 L:14.36
Bed: 2.27
25
T em p era tu re( de g.C .) .
Bath: 3.18
20 Out:
-1.16
15
10
5
0
-5
L:13.92 L:22.57 L:15.08
-10 L:15.39 L:16.40 L:24.11 L:20.63 L:14.77
Bed: 3.69 Bed: 18.77 Bed: 7.66
Bed: 2.09 Bed: 2.02 Bed: 4.81 Bed: 3.19 Bed: 5.19
-15 Average Bath: 7.85 Bath: 9.31 Bath: 5.27 Bath: 5.05
Bath: 6.46
Bath: 6.27
Bath: 16.56 Bath: 5.87
-20
H1 H2 H3 H4 H5 T1 T2 T3 T4 Out
House
Figure 7. Average Temperature ± S.D., Maximum

Relative Humidity from the left, Temp.of Living Room, Bed Room and Bathroom (toilet), respectively
100
90 L:17.7
Bed: 25.9
R e la tiv e H u m id ity (% ) .
80
Bath: 30.8
70
60
50
40
Out:
30 Average
72.8
L:34.2 L:49.6 L:50.6
20 L:54.4 L:25.6 L:26.4 L:23.3 L:47.1
Bed: 80.9 Bed: 63.9 Bed: 78.1 Bed: 70.3 Bed: 70.2 Bed: 75.8 Bed: 73.2
Bed: 82.4
10 Bath: 66.5 Bath: 70.5 Bath: 61.0 Bath: 73.4 Bath: 67.4
Bath: 66.2 Bath: 65.9
Bath: 78.9
0
House
Figure 8. Average Relative humidity ± S.D., Maximum

Absolute Humidity from the left, Temp.of Living Room, Bed Room and Bathroom (toilet), respectively
15
L:3.30 L:6.05 L:2.98 L:4.95 L:3.25 L:4.88 L:4.90 L:3.02 L:5.07
A bs olu te H um idity (g/k gD A ) .
Bed: 3.64 Bed: 2.86 Bed: 3.47 Bed: 3.79 Bed: 3.38 Bed: 3.77 Bed: 4.56 Bed: 3.47 Bed: 4.78 Out:
12 Bath: 3.2 Bath: 4.68 Bath: 4.52 Bath: 4.08 Bath: 3.69 Bath: 3.99 Bath: 4.68 Bath: 3.54 Bath: 3.84 2.61
Average
0
House
Figure 9. Average absolute humidity ± S.D.,

Changes
3.5 H2
T4
3
2.5 H4
Δ X (g/k gD A )
T2 T1
2
100g/h
1.5 200g/h
300g/h
400g/h
1 H1
0.5 H5 T3
H3
0
0.1 0.4 0.7 1 1.3 1.6 1.9
Estimated Ventilation Rate (ach)
Figure.10 ΔX of all measured residences and
Relationship Between Thermal Sensations and Thermal Resistance of Clothes (clo

value)
The cross-tabulation result demonstrated no relationship between Thermal sensation

and residential evaluation, but we continue considering the indoor thermal environment
of measured residences. As for Thermal Resistance of Clothes, we got residents to wear
ordinary clothes and calculated the weight from the kinds of their clothes based on
references and estimated clo values by the following formula 4).
I clo male  0.00058 W  0.068 （W 3000g）

I clo female  0.00103  W  0.025 （W 2000g）
Figure 11 shows the relationship between average temperatures of living rooms and
clo values in the sample residences. The figure includes residential symbols,
construction year, year rebuilt, and age and gender of subjects who assessed the degree
of warmth.
26
Neutral
Temperature in the Living Room (deg. C.) .
24 Warm
T3
H4
1997 Cool
22 1965
M, 61
'93&'07
H5
M ,75
20 1970
(1993) H3
M,46 1970
18 (1990)
M,73
16
14 H2 T4 H1
1966 T1 T2
1984 1959
M, 61 1979 1988
12 (1998) (1985)
F, 59 F,57
M,63 M,68
10
0.5 0.7 0.9 1.1 1.3 1.5 1.7
Thermal resistance of closes (clo)
Figure 11. Average temperature of all residences and their clo values

The subject in H4 answered, “cool” even though the average temperature in the
living room of H4 is high. It suggest that the temperature is influenced by factors such
as the lowest Thermal Resistance of Clothes (clo=0.674) among nine subjects, the small
volume of clothes, and the drafty room judging from estimated ventilation rates. In
contrast, all subjects in H1, H2, T2, and T4 whose average indoor temperatures are
around 15 0C answered, “Neutral”. Subjects in H1 and T2 maintained Thermal
Sensation by wearing heavy clothes and the subject in H2 is usually in a room with a
wooden stove, which is an effective heating appliance. H3 is a living-room-centered
residence, so considered to be relatively unaffected by the outside air.
Conclusion
The results of the structured survey in the residential areas of Nishine and
Shibutami were analyzed specifically the temperature and humidity environments of
nine residences in those areas. It was found out that there were not so many residences
aged 50 years or older. Most residences have been rebuilt, and at least half of
residences aged 50 years or below have been rebuilt in some way from 15 to 20 years
after completion. We also found out that comprehensive residential evaluation has a
high correlation with house planning and architectural-construction factors like “space
and room layout,” “Structural Safety”, “House decrepitude”, and storage space,” while
it has a low correlation with thermal environmental factors.
The results of indoor temperature and humidity measurement showed significant

temperature difference between rooms, especially in bed rooms and bathrooms without
heater and are in harsh conditions that their temperature occasionally drops below
freezing point. The residents cope with the cold conditions by wearing heavy clothes
and using heating appliances. From a perspective of comprehensive indoor
environmental coordination, it would be more important to enhance at least thermal
insulation and air tightness with due considerations to the thermal relationship between
the additional space and other residential spaces for the reduction of health risks.
Acknowledgement
We sincerely express gratitude to all residents who answered the questionnaire and
the surveys in Nishine and Shibutami districts. We also thank everyone at the public
office and the self-governning body who distributed and collected the questionnaire vote
and cooperates with its collection. This research is part of the Faculty Research Project
of Iwate Prefectural University.

Changes
References
Yoshinori Honma, Takashi Sasaki, Masako Sugawara, Naoko Kikuchi, Shinpei Uchida: A Study
on reciprocity between occupant’s behavior and indoor thermal environment in Winter
season, The Result of detached houses located around the Morioka City, Journal of Snow
Engineering 23(4), pp.103-104, 2007 (Japanese)
Yoshinori Honma: Point of View in Our Life Style during Winter Season, Journal of Snow
Engineering 22(2), pp.144-147, 2006.4 (Japanese)
Yoshinori Honma, Masamichi Enai, Kanae Urata: A Survey on adaptation to winter in Winter
Cities: In case of
Iwate prefecture, northern part of Tohoku area, Proceedings of AIJ TOHOKU Chapter
Architectural Research Meetings, (68), pp.97-100, 2005 (Japanese)
Mechanism of the thermal comfort, aiming at the comfortable living space, SHASE,
M1003-2006 (Japanese)
ISO 7730, Ergonomics of the thermal environment, 2005E (English)
Quick Look at Housing in JAPAN, 6th edition 2008, The Building Center of JAPAN (English)
http://www.bcj.or.jp/en/index.html

Masashi Kawasaki, Toshiyuki Chiba, Reiko Osato, Takashi Sasaki, Eiko Kusaba and Yoshinori Honma
Transformation of Life and Culture in

Northern Tohoku Region, Japan as Influenced by the
Modern Environmental Changes
Part 3. Changes in Life, Culture and Industry

for Food and Nutrition in Rural Area in Iwate Prefecture
Masashi Kawasaki, Toshiyuki Chiba, Reiko Osato, Takashi Sasaki,

Eiko Kusaba and Yoshinori Honma
Iwate Prefectural University, Morioka Junior College
152-52 Sugo, Takizawa, Iwate 020-0193, Japan
masashi@iwate-pu.ac.jp
Abstract
The recent social changes in Japan are remarkable in the rural areas as well as in the
urban districts. We investigated the transformation of the modern life, culture and industry
for food and nutrition in northern part of Tohoku region in Japan by comparing with those
about 50 years ago. This study was conducted in four typical rural areas engaged in
agriculture, forestry or marine products industries. On the transformation of the life and
culture for food and nutrition, we surveyed the changes in the utilization of 10 kinds of
items for food life (electric refrigerator, microwave oven, gas ring, IH heater, electric rice
cooker, tableware dryer, tableware washing machine, hearth, furnace and well),
production of five kinds of processed foods (miso, soy sauce, rice cake, pickle and rice),
means of purchase, purpose of the water use, and conduct of 14 kinds of the traditional
Japanese annual functions. Among the social changes that were investigated on the
transformation of the industry for food and nutrition include: changes in worker of the
agriculture and marine products industry, use of machines for agriculture and fishery,
breeding of eight kinds of the domestic animals, places to ship the farm and marine
products, and use of internet at work. Some of the changes seen in the present survey were
brought about by the declining birthrate and aging population and the depopulation of the
area. These are the apparent social changes in Japan.
Keywords: changes in food life, changes in food culture, changes in food industry

Transformation of Life and Culture as Influenced by Modern Environmental Changes in Northern Tohoku Region,
Japan Part 3. Changes in Life, Culture and Industry for Food and Nutrition in Rural Area in Iwate Prefecture
Introduction
The recent social changes in Japan are remarkable in the rural areas as well
as in the urban districts. Food and nutrition have improved enormously and an
excessive intake of the food has become a subject of discussion. On the other
hand, the working population of the primary industries including agriculture,
forestry and marine/fisheries has been decreasing and the lack of successor of
these works is one of main social problems.
This study investigated the transformation of the modern life, culture and
industry for food and nutrition in northern part of Tohoku region in Japan by
comparing with those about 50 years ago. 1-4) This study was conducted in four
typical rural areas engaged in agriculture (Nishine and Shibutami), forestry
(Kawai) or marine products industry (Kuji).
Outline of Survey
Among the categories of the transformation of life and culture for food and
nutrition that were surveyed include the source or market of daily foods,
changes in utilization of ten items for food life (electric refrigerator, microwave
oven, gas ring, IH heater, electric rice cooker, tableware dryer, tableware
washing machine, hearth, furnace and well), production of five kinds of the
processed foods (miso, soy sauce, rice cake, pickle and rice), and means of food
purchase.
Meanwhile, changes in the workers in the agriculture and marine products

industry, use of the machines for the agriculture and fishery, breeding of eight
kinds of the domestic animals, markets of farm and marine products, and
utilization of the internet at work were among the categories that captured the
transformation of the industry for food and nutrition.
These surveys were conducted in 2008 and 2009 using a structured

questionnaire. There was a 66.4% (73/110) turn-out response in Nishine, 54.2%
(231/426) in Shibutami, 45.4% (103/227) in Kawai; and 83.0% (156/188in Kuji.

Transformation of life and culture for food and nutrition
Source of the daily foods
Figure 1 shows the source of the daily foods in the four study areas. Most of
the people purchased their daily foods from the supermarket and retail stores in
the neighborhood. Recently, the purchase of the daily foods in markets is
increasing. The products are shipped directly from the producer to the market.
As such, the products are fresh and normally, at lower prices. Some people
purchase their food from the cooperatives (in Shibutami area) and at the mobile
sale car (in Kawai area). Shibutami is a new residential area, and the group
purchasing system may be introduced more easily. On the other hand, Kawai
area is a secluded place in the mountains, and thus, it may be difficult to move
because there is little movement means, so people may use the mobile sale car.
30
I am using it now.
25
I stopped using it.
20
15
(%)
10
Tableware dryer Hearth Well

Tableware washing machine Furnace
12
I utilize it more than half of a week.
10
I utilize it less than half of a week.
8
(%)
Direct purchase
Mail order Internet Others
from producer
Figure 1. Purchase place of the daily foods

Changes in utilization of items and appliances to ensure shelf life of food
Figure 2 shows the changes in utilization of 10 kinds of items that are

necessary to ensure food life. Electric refrigerator, microwave oven, gas ring and
electric rice cooker are used by many people now. IH heater has begun to be
used recently. Although tableware dryer and tableware washing machine have
also begun to be used, some people stopped using these appliances. Compared
with refrigerators, microwave oven, gas ring and electric rice cooker, these
dryers were purchased not solely based on necessity but on convenience. Many
people have also stopped using the hearth and furnace. Some people are still
using the well as a source of water.
100
I am using it now.
90
I stopped using it.
80
70
60
(%)
50
40
30
20
10
0
Electric ref rigerator Microwave oven Gas ring IH heater Electric rice cooker
80
I utilize it more than half of a week.
70
I utilize it less than half of a week.
60
50
(%)
40
30
20
10
Retail store Supermarket Direct marketing place
Figure 2. Changes in utilization of the articles for the food life.

Changes in the production of the processed foods
Figure 3 shows the changes in production of five kinds of the processed

foods. Miso is still produced by some people now, while others have already
stopped because of the high cost of production, and a little demand for the said
product On the other hand, many people still produce rice cakes and pickles.
Rice is a staple food and has been produced by many people from ancient times
in Japan. However, there has been a decline in the number of farmers who are
engaged in rice production because of aging. Off-farm activities to which the
farmers are engaged in; and the deterioration of the farm machines.
100
I am producing it now.
90
I stopped producing it.
80
70
60
(%)
50
40
30
20
10
Miso Soy sauce Rice cake Pickle Rice
60
I ship the products.
50
40
(%)
30
20
10
Farmer's co-op / Direct marketing

Mail order using internat
Fishermen's Co-op to client
Direct marketing place Direct marketing Others
Figure 3. Changes in production of the processed foods.

Transformation of the industry for food and nutrition
Changes in worker of the agriculture, forestry and marine products industry
At the time of this study, the ratio of the worker of the agriculture, forestry
and marine products industry is 50.7% (37/73) in Nishine, 9.1% (21/231) in
Shibutami, 39.8% (41/103) in Kawai and 36.5% (57/156) in Kuji. Figure 4
shows the changes in worker of the agriculture, forestry and marine products
industry. The head of the family is the main worker of the agriculture, forestry
and marine products industry in many families, and in this case, his (her) spouse
and child work as the sub-workers. In some families, however, the spouse or the
child serves as the main worker.
90
I engage in work as a main worker.
80
I engage in work as a sub worker.
70
60
50
(%)
40
30
20
10
Family nurturer Child of family nurturer Parent of family nurturer

Spouse of family nurturer Spouse of chiild
Figure 4. Changes in worker of the agriculture, forestry and

marine products industry.
Markets of the farm and marine products
Figure 5 shows the market of the farm and marine products. Many workers
of agriculture, forestry and fishery ship their farm and marine products to
Farmer’s Cooperative or Fisherman’s Cooperative. Recently, several workers
ship the farm products and marine products directly to the markets or their
clients. There are few workers who sell the farm products and marine products
by mail order using internet.

100
I am using it now.
90
80 I stopped using it.
70
60
(%)
50
40
30
20
10
0
Truck for farming Rice-cutting machine Farm tractor

Rice-transplanting machine
Figure 5. Place to ship of the farm and marine products.
Changes in use of machines in agriculture, forestry and marine products

industry
Figure 6 shows the changes in the use of machines for the agriculture,
forestry and marine products industry. Many workers use truck,
rice-transplanting machine, rice-cutting machine and farm tractor for the
agriculture, forestry and fishery. The trucks are used for a more convenient
transport of farm products. Meanwhile, the rice-transplanting machine,
rice-cutting machine and farm tractor are used for efficiency and to promotethe
introduction of mechanization. There are few workers who used the
bicycle-drawn cart and motor tricycle. While they introduced these machines for
carrying the products, they stopped using these because of the introduction of
the truck. In forestry, more than half of the workers use chain saw for making
firewood and thinning. Up to now, boats are used in fishery, and the number of
users of the powerboat is larger than that of the non-powerboat for efficiency
and lesser labor requirements.
70
I am breeding it now.
60
I stopped breeding it.
50
40
(%)
30
20
10
Beef cattle Milk cow Pig Cock
Figure 6. Changes in use of the machines for the agriculture, forestry and marine
products industry.

Changes in breeding of domestic animals
Figure 7 shows the changes in breeding eight kinds of domestic animals.

While all domestic animals surveyed in the present study were bred about 50
years ago, only beef cattle, milk cow and cock are bred now because farmers
have shifted to vegetable cultivation, and some of them have been engaged in
non-farm employment. In Nishine, the farmers have stopped breeding beef cattle
because of the lower market prices, and the shift to vegetable cultivation. Some
farmers have also stopped breeding horse for farming because of the
introduction of farm mechanization. Meanwhile,
35
I am breeding it now.
30
I stopped breeding it.
25
20
(%)
15
10
Edible horse Horse for farming Goat Sheep
Figure 7. Changes in breeding of the domestic animals.
Use of internet at work
Figure 8 shows the ratio of the workers using the internet at work. Only a
few workers use the internet. Most of the workers use internet to collect
work-related information. Meanwhile, while few workers utilize this facility to
purchase the work-related materials. However, there are no on-line marketing or
selling of products so far.

50
I use the internet for work.
40
30
(%)
20
10
Nishine Shibutami Kawai Kuji
Figure 8. The ratio of the worker using the internet for the work.
Sustainability of agriculture, forestry and marine products industry
The last question is about the sustainability of the agriculture, forestry and
marine products industry (Figure 9). About 14.6% workers wanted to engage in
agriculture, forestry and marine products industries. On the other hand, 28.8% of
the workers think that the continuation of the work depends on the availability of
successors, while 23.7% replied that it is difficult to answer the question.
35
30
25
20
(%)
15
10
I want to continue working. Depend on a successor. It is difficult to answer.

Figure 9. Continuation of the agriculture, forestry and marine products industry.

Conclusion
This paper highlighted the results of the study that investigated the
transformation of the modern life, culture and industry for food and nutrition in
northern part of Tohoku region in Japan by comparing with those about 50 years
ago. A number of changes have been observed in many aspects such as food
and nutrition, use of machines, production of processed foods, marketing of
agriculture and marine products, and the like.
Most of the changes that were observed in this study are brought about by
the declining birthrate, aging population and depopulation in Japan.
To maintain the working population of the agriculture, forestry and marine

products industry (the primary sector of industry) or to maintain the life and
culture for food and nutrition in the rural area, it is important to discuss about
the problems investigated in the present study through a wide range of the point
of view.
Acknowledgment
This study was conducted as a part of the research of the faculty project of
Iwate Prefectural University.
References
Iwate Prefectural Morioka Junior College. Research report on Life Culture (in Nishine)
(in Japanese). No.1. 1959.
Iwate Prefectural Morioka Junior College. Research report on Life Culture (in Sibutami)
Iwate Prefectural Morioka Junior College. Research report on Life Culture (in Kawai)
Iwate Prefectural Morioka Junior College. Research report on Life Culture (in Kuji) (in
Japanese). No.4. 1963.

Eiko Kusaba, Takashi Ssasaki, Yoshinori Honma, Toshiyuki Chiba, Masashi Kawasaki and Reiko Osato
Life and Culture Transformation from Modern

Environmental Changes in Northern Tohoku Region, Japan
Part 4. Maintaining Japanese Rural Folk Culture
Eiko Kusaba, Takashi Ssasaki, Yoshinori Honma,

Toshiyuki Chiba, Masashi Kawasaki and Reiko Osato
152-52, Takizawa, Takizawa, Iwate, 020-0193, Japan
kusaba@iwate-pu.ac.jp
Abstract
The emerging issues now in Japan are the population outflowand low birthrate. These issues
may endanger the rural settlements. Based on reports made half century ago in four
settlements in Iwate Prefecture of the Tohoku district of Japan, we have conducted a
questionnaire survey to compare the current situations with those of the previous reports.
In this paper, we compare each settlement, observing how the age brackets within the population
compositions have changed, since it is believed to be an important factor for folk events to be
maintained. Then, we review in detail “Drawing of the sacred water” on New Year’s Day, one of
the annual events. How and in what form has the event described in the reports 50 years ago
developed been maintained up to now? Although it had vanished in some settlements, leaving just
memories of it in residents in the reports of 50 years ago, it has been proved that there are some
homes, if not many, which are still practicing the ritual event. However, it has been proved that
long held cultures have not necessarily been maintained. We should draw attention to the
methods of maintaining folk customs and collecting documents.
Keywords: maintenance of folk culture, change in balance in settlements’ age distribution,

practitioners of folk events, drawing of the sacred water
Introduction
It has been a problem that many settlements in rural areas in Japan have been in
danger of dying out due to population outflow and the low birthrate. Amid the difficult
situation for settlements to be sustained, under what situation have regional folk
customs been handed down in settlements? In this paper, we focus on the current
situation of the regional folk culture.
With significant population outflow to the extent making it difficult to maintain the
function as a settlement in out-country settlements in Japan, biased age distribution of
remaining people there has put the maintenance of folk culture in jeopardy in some
cases. For example, reduction in birthrate has led to decrease in number of children,
making it difficult to carry on kids-driven events. Further, outflow of young and middle
aged generation in their prime has also made it difficult to sustain events in settlements.

Life and Culture Transformation from Modern Environmental Changes in Northern Tohoku Region, Japan
In a case that a folk event which is supposed to be “old folkway” is practiced in a

settlement, folk investigations in Japan tend to take the event as “maintained”
uncritically, as long as the folk custom is corresponding to the form or name of
“traditional” one. However, is it possible to easily assert that “traditional folkways” are
maintenance form the past?
This paper begins with reviewing current age distributions in settlements and
understanding the current situations there, then we focus attention on annual events in
settlements. Among others, we pay attention to the status of practice of “Drawing the
sacred water”, an event of New Year’s Day. Description of the event is available in the
report of “living survey” in which degree of modernization in settlements was surveyed
from 1959 to 1963 by Iwate Prefectural Morioka Junior College. Therefore, we examine
the situation of the event 50 years ago at first. Besides, it has been found that this event
is practiced even now in a quite few families participated in this questionnaire survey
for examining the degree practice of current annual events. (Morioka Junior
College.1959: Research report on Life Culture No.1, 1961: No.2, 1961:No.3, No.4,
1.1963).
In a case that a handful of families practice “Drawing the sacred water” still now
which had already vanished in some settlements 50 years ago leaving only memories of
the event, such folkways tend to be described by a conventional approach of Japanese
folklore from a point of view that a family keeping folk customs has been found. Could
this perspective for explanation be correct? We will consider maintenance of folk
culture in the paper based on analysis of questionnaire survey result performed this time
by focusing on a folkway called “Drawing the sacred water”.
Survey Method and Subjects
Iwate Prefectural Morioka Junior College performed surveys in four settlements

from 1959 to1963 and has published “Research report on Life Culture” for each
settlement. We conducted survey in the same settlements from 2008 to 2009 almost half
century since the previous survey.
Settlements Surveyed
The characteristics of each settlement are as follows. Nakamura Nishine-cho is a

long-established farming village from medieval times located at a region with strong
cohesiveness as a settlement until now. Settlements with tradition from medieval times
also exist in the neighborhood. Each settlement in this neighborhood has its own strong
identity. Nakamura is one of such settlements as well. Shibutami, a farming village
adjacent to east side of Nishine-cho, has been incorporated into Morioka city currently.
Since around 1970 in particular, a housing development has been promoted for
providing bedroom community in suburban area of Morioka city, causing great
population inflow. Kawai Oguni district had been a mountain village developed mainly
along a street running through from Morioka city, a central city of Iwate prefecture, to
Miyako city at east coast of the prefecture, until it was incorporated into Miyako city in
2010. Kosode in Kuji city is a fishing settlement located at north part of east coast in

Iwate prefecture. Kosode Coast, a part of Rikuchu Kaigan National Park, is known for
fishing by female divers without using oxygen tank and this district is supposed to be
the northern limit for such type of fishing.
“Typical hamlet” from mid 50’s to 60’s
All of four settlements surveyed have been designated as “Typical hamlet” which
was a stronghold of “Farming and Fishing Family Promotion Measure” launched since
1956 in Iwate prefecture. In “Typical hamlet”, small associations for farming families
have implemented such activities to improve small-and-medium-sized farming families
as a mother organization for the activities. The status of the activities may be understood
by reviewing “Typical hamlet/ Farming Family Small Association Directory – All
hamlets designated from 1956 to 1962” published by Agricultural and Forestry Planning
Office of Agriculture Department in Iwate prefecture in 1963. For example, many
activities were performed such as a contest relating to management of farming family to
prize participants who managed their farming better, counseling session, efforts to
obtain a grant for establishing hamlet community center, or publication of “Farming and
Fishing Family Communication” for promotion activities. The overview of main efforts
is found in “Farming and Fishing Family Communication”. The main subject
represented there was modernization of farming family and village. Conventional
approach for modernization of farming management gave such opportunities to cope
with modernization of relationship between capital and agriculture or to question anew
the problems in old-fashioned family as typified by a wife in a conventional farming
family (Iwate Prefectural Official Reports1963:“Typical Hamlet / Farming Small
Association Directory: All hamlets designated from1956 to 1962”)
Hamlets of Funada in Tamayama village and Kosode in Kuji city were designated
as “Typical hamlet” in 1956 when the survey started, and so were those of Nakamura in
Nishine-cho and Yuzawa in Kawai Oguni next year in 1957. The number of hamlets
designated as “Typical hamlet” reached 290 by the year 1962 in Iwate prefecture, with
participation of more than 10,000 farming families (Agricultural and Forestry Planning
Office of Agriculture Department in Iwate prefecture, in 1963/Introduction).
“Living survey” during mid 50’s to 60’s
Iwate Prefectural Morioka Junior College performed “living surveys” during mid
50’s to 60’s when modernization of farming families and villages were tried in Japan.
On these occasions, they examined various matters, such as condition of nutritional
intake based on nutrition and food survey, tap water and bathing habit based on health
inspection, possession status of clothing and house, and newborn baby’s condition
before and after birth as a survey for infant rearing. These were efforts to make living
conditions in farming and fishing villages clear in order to recognize the degree of
modernization that “typical hamlet” at the time was aiming for. Among items surveyed
then, folk customs such as annual events were included. In the paper, we will weigh the
records back then when modernization was tried against conditions today when almost
half century has passed since then, by focusing on these folk customs, in particular, on
“Drawing the sacred water”.

Change in Population Composition and Maintenance of Folk Culture in

Settlements
Change in Age Brackets over the Years in Settlements
Comparison between settlements on current age distribution balance
Thinking of maintenance of folk culture, it is an important condition that age

distribution balance within each age bracket in settlements doesn’t change significantly,
in order to smoothly pass on folk culture to next generation. Here, we’d like to examine
change in age distribution of settlement members over 50 years.
 Population ratio of people to be treated as so called “children”, such as infants,

elementary and junior high school students, is lower than 50 or older, or 70 or
older in any settlement.
 It may be said the larger is the percentage of people aged 70 or older the higher
is the aging of the population. It’s because population ratio of people aged 49 or
lower decreases as that of people aged 70 or older increases.
 Population has been aging at highest rate in Kawai. Nearly 70% of population
is made up by people aged 50 or older. The order of second, third and fourth
place are shared by Nishine, Shibutami and Kuji respectively. Even in Kuji
with the lowest aging ratio, more than 40% of the population is made up by
people aged 50 or older.
 There is no difference by settlements in ratio of age bracket from 50 to 69 years

old.
 Population ratio of people aged 0 to 14 is at almost same level in Kuji,

Shibutami and Nishine except for Kawai.
From these aspects, it is understood that the number of children has decreased along
with the population aging in all four settlements. It seems to be a crucial point for
transmitting folk culture whether the population composition has changed or not
compared with that in the past. Therefore, we’ll compare the age composition of
population in each settlement with those reported 50 years ago.
Change in Age Composition Ratio of Population over the Years
Let’s see changes in age composition of population by settlements. Comparison of

age composition ratio of 50 years ago between each settlement is shown as follows. As
chart numbers are added after the name of settlements, we ask you to check it with
following tables and Figures.

Table1-1 Fig.1-1 Age comparison

(a) Nishine /Table 1-2(a), Fig. 1-2(a) (b) Shibutami / Table 1-2(b), Fig.1-2(b)
(c) Kawai / Table 1-2(c), Fig. 1-2(c) (d) Kuji / Table 1-2(d), Fig.1-2(d)
Table 1-1
Nishine Shibutami Kawai Kuji
0～5 14 24 3 24
6～14 20 67 12 49
15～29 33 101 29 107
30～49 56 161 42 145
50～69 84 203 87 147
70～ 59 114 93 104
Figure 1. Age comparison

(a)Nishine Table1-2(a)
1959 2009
0～5 41 1
6～14 83 33
15 ～ 78 33
29
30 ～ 74 56
49
50 ～ 43 84
69
70～ 12 59
Fig. 1-2(a)
(b)Shibutami Table1-2(b)
Shibutami Shibutami
1961 2009
0～5 30 0～5 24
6～14 18 6～14 67
15～29 44 15～29 101

30～59 43 30～49 161
60～ 19 50～69 203
70～ 114

Fig.1-2(b)
(C)Kawai Table1- 2(c)
Kawai 1961 Kawai 2009
0～5 39 0～5 3
6～14 71 6～14 12
15～29 62 15～29 29
30～59 123 30～49 42 Fig.1-2(c)
60～ 64 50～69 87
70～ 93
(d)Kuji Table1-2(d)
Kuji Kuji
1963 2009
0～5 27 0～5 24
6～11 45 6～14 49
12～29 65 15～29 107

30～49 38 30～49 145
50～69 18 50～69 147
70～ 6 70～ 104
Fig.1-2(d)
Practice of Folk Events
Current Practice Status of Annual Events
In the questionnaire survey, we asked whether any of annual events are practiced in
each family or not. The events we asked are as follows. The author has added
description in parentheses.
We asked about these 13 events whether these events are practiced still now or not,
if abandoned, when they were broken away, or whether they have such customs or not,
etc. Results of these questions are set out in Fig.2 (a)2(b), Fig. 2(c), and Fig. 2 (d).

The generations of the household
Table 3(a) Nishine total answers 73

the number
now before
irregu- Table3(c) Kawai total answers 102
generations of lar the irregu-
doing doing now before
household generations number of lar
0 doing doing
1 9 0 0 household
0 1 13 0 1 1
2 4 1 0
0 2 15 4 0 0
3 8 2 0
0 3 13 1 0 0
4 8 1 3
0 4 6 0 3 1
5 5 0 0
0 5 1 0 0 0
6 3 1 1
0 6 2 1 1 0
7 3 1 0
0 7 8 0 1 1
8 3 1 0
0 8 1 0 0 0
10 1 0 0
0 9 1 1 0 0
30 1 0 0
no answers 28 1 0 0 10 1 0 0 0
15 1 0 0 0
16 1 0 0 0
Table3(b) Shibutamitotal answers 161
the number irregu- 20 1 0 0 0
now before no answers 38 1 0 0
generations of lar
doing doing
household
1 13 0 2 1
2 15 4 0 0 Table3(d) Kuji total answers 156

the irregu-
3 13 1 0 0 now before
generations number of lar
doing doing
4 6 0 0 0 household
1 22 2 1 1
5 1 0 0 0
2 28 4 3 2
6 2 1 0 0
3 21 1 3 1
7 8 0 0 0
4 6 0 0 0
8 1 0 0 0
5 6 0 0 0
9 1 1 0 0
5or6 1 0 1 0
10 1 0 0 0
6 3 0 0 0
15 1 0 0 0
7 2 0 0 0
16 1 0 0 0
10 1 0 0 0
20 1 0 0 0
no answers 66 0 0 1
no answers 43 １ 1 0

Practice Status of “Drawing the sacred water”
We would be to focus on “Drawing the sacred water” among practice status of 13

annual events, because non-response rate was highest for this event and many responses
asserted that there was no such custom according to the questionnaire survey. In surveys
performed in mid 50s to 60s, however, “Drawing the sacred water” was described as
being practiced actually or memorized to have been practiced in the past. But the event
hasn’t entirely “vanished” and a few families responded they practice it still now. The
results of the questionnaire are shown in (a Nishine / Table 3(a), Shibutami / Table 3(b),
Kawai / Table 3(c) and Kuji / Table 3(d).
Table 3(a)(a)Nishine total household number 161

number 73 households
households every year 8
every year 8 irregular 1
irregular 0 ending several years
1
ending several years ago
0
ago ending over 10 years
2
ending over 10 years ago
4
ago no customs 89
no customs 24 total 101
Total 36 no answers 60
no answers 37
Table 3(b) (b) Shibutami total household
Table 3(c) (c) Kawai total household number 102

households
Every year 8
irregular 3
ending several years
2
ago
ending over 10 years
4
ago
no customs 21
Total 38
no answers 64

Table 3(d) (d)Kuji total household number 156

households
every year 7
irregular 5
ending several years ago 0
ending over 10 years ago 5
no customs 41
total 58
no answers 98
Reality of Annual Events 50 Years Ago: Situation of “Drawing the sacred water”
50 Years Ago
Nishine
In the “Research report on Life Culture” of Nishine written in 1959, there are
descriptions as follows.[Drawing the sacred water] Person of Year (master of family)
draws the first water from a stream in a hidden place before dawn on New Year’s Day
by using a new pail around which shimenawa, a sacred rice-straw rope is hung. (In the
past, every family took running water for drinking. Even now when almost every family
uses well water, it is a rule to draw the first water from running water. When drawing
the water, a piece of rice cake is sunk into the running water to be picked up after
breakfast and offered on a shelf at water yard being put on a bamboo skewer. And then
people eat it after it is dried. It is said you’ll never get cavities if you eat it.) Offering tea
prepared by the water to God of the Year first, and then people drink it with their family.
Pail for Drawing the sacred water is put on an inverted rice mortar hung with a sacred
rice-straw rope in which two to three pieces of round rice cakes or four to five square
ones and small amount of rice are fed. The “Drawing the sacred water” is practiced on
every morning of the first three days of the New year. Chanting which is performed
when practicing “Drawing the sacred water” has almost died out currently and it is
seldom performed. (Iwate Prefectural Morioka Junior College, in 1954:4)
Shibutami
There is a description that even though events practiced mainly by temples of Pure Land
Buddhism have been remained, those events such as Aging on New Year’s Eve,
auspicious pine pole on New Year, Feast of the Seven Herbs of Health, which had been
practiced before, entirely disappeared in Shibutami by the late Meiji Period. (Iwate
Prefectural Morioka Junior College, in 1961a:3) (Morioka Junior College, in 1961:3)
Description of “Drawing the sacred water” isn’t found in a survey in 1961.

Kawai
Description of events which are practiced as New Year’s events every morning until
January 7 is observed as of 1961. According to it, it is said that Person of Year (youngest
heir of the family) draws water by a new pail and dipper before dawn and cooks rice
using the water to offer to Gods.( Iwate Prefectural Morioka Junior College, in 1961b:4)
Kuji
As of 1963, “Drawing the sacred water” was described as a custom which

disappeared even though “it had remained until grandfather’s generation”. (Iwate
Prefectural Morioka Junior College, in 1963:3)
As mentioned above, the event “Drawing the sacred water” had been described to be
practiced at home around 1960s when surveys were performed. Or at least, there were
people who remembered it had been practiced before like a case of Kawai. In case of
Shibutami, although it is uncertain according to the report whether the event had
vanished at the time of survey or before late Meiji Period, there is a description that a lot
of annual events maintaining from Edo Period had been abandoned by the late Meiji
Period.
Practitioner of Annual Event: Who practices “Drawing the sacred water”?
Perspective of Consideration
What kind of family is it that has been practicing folk event called “Drawing the
sacred water”? In general, so called folk events are supposed to be folkways which have
been maintained from generation to generation. According to the description of
“Drawing the sacred water”, even though it had been practiced by some families around
1960, people already forgot about the content of chanting back then, or didn’t know the
picture while remembering the fact that such event had been practiced.
Some families have responded they practice “Drawing the sacred water” still now
in 2010. In a case that “traditional folkway” has been practiced, Japanese Folklore tends
to take it as a result of maintenance from early times. According to such way of
thinking, it is assumed from the result of survey in 2010 that the event may have been
marginally maintained in an old family over many generations.
Is this assumption correct? We’ll analyze and review the relationship between
generation and folk culture.
Who Practices Drawing the sacred water? Relationship between Generation Depth
of Family and Folk Event Practitioner
Relationships between families that have been practicing “Drawing the sacred
water” and their generation depth are shown by settlements in Table 3(a), Table 3(b),
Table 3(c), and Table 3(d). In the Tables, responses to “abandoned a few years ago even
though it had been practiced before” and “abandoned more than 10 years ago even

though it had been practiced before” are summed up and described as “practiced
previously”.
Nishine
In case of Nishine, of the 73 families, eight of them responded that they practiced
Drawing the sacred water every year and four of them did that they haven’t practiced
more than a decade, and there was no family that responded they abandoned it a few
years ago. Besides, 24 of them responded they haven’t had such custom. Among these
respondents, is there any characteristic difference between families that responded they
practiced it, abandoned more than a decade ago even though they had practiced it
before, and don’t have the custom? First, we focused on the relationship between
oldness of house construction.
As shown in Table 3(a), of families that responded they practiced it now or did in
the past, one family belonged to second-, fourth-, sixth-, seventh-, and eighth-generation
families each, excepting for two families belonged to third-generation families. No
particular generation depth was found that showed dominance. Further, of three families
in eighth-generation group, just one family practice until now, but other two families
and those in tenth- and thirtieth groups neither practice “Drawing the sacred water” now
nor had maintained it in the past. The oldness of families is not necessarily associated
with practice of the event “Drawing the sacred water” or memories they had practiced it.
Shibutami
Asking families a question of their generation depth that have responded they
practice “Drawing the sacred water” still now, four belonged in second-generation
families and one in third-, sixth- and ninth-generation families each in Shibutami. Two
families in first-generation group had practiced it in the past.
Looking into respondents answered above, a lot of families have emigrated from
other regions during the past 50 years. Of 12 families that have responded they practice,
or had practiced, or practice irregularly the Drawing the sacred water which has been
practiced in Shibutami. 6 families have clearly described they have emigrated from
other regions. Checking residence years since they moved in for all families that
practice it, many of them answered they have emigrated within the past 50 years (some
were non-response). Therefore, while many of annual events had been abandoned by the
late Meiji Period according to the previous living survey report in some 50 years ago, it
may be said many of families that practice Drawing the sacred water in Shibutami have
moved in there after the previous survey.

Kawai
Of 103 families in current Kawai Oguni region in the questionnaire survey, families
that practice Drawing the sacred water every year, do irregularly, abandoned a few years
ago, and abandoned more than a decade were eight, three, two, and four respectively.
How many years hat it been since houses of families that practice Drawing the sacred
water continuously still now and had practiced in the past were built? The result asking
what generation they are now is shown in Table 3(c).
There are four families maintained for more than ten generations, including a
20th-generation family with a long maintained history. However, we should focus on the
fact that Drawing the sacred water hasn’t been maintained in such families with
maintained two-digit generations.
The oldest family that practices “Drawing the sacred water” is in their
ninth-generation and such families including those that had practiced in the past were
found one in seventh-, three in fourth-, one in third-, and four in second-generations
with dominance observed in second- and fourth- generations.
From these aspects, it has been proved also in Kawai that the event hasn’t
necessarily been maintaining in long-established families and that rather relatively new
families, such as those of second-generation, practice it still now.
In addition, we should also pay attention to the fact that even families maintaining
for generations that continue the event still now or had practiced in the past haven’t
necessarily lived in the same settlement for long years since they emigrated. However, a
family of ninth-generation that generation changes were recognized for the longest
period has responded it’s been 60 years since they started to live in the same settlement.
Moreover, a family of seventh-generation has responded it’s been 26 years since they
started to live the same region. Similarly, those of sixth-generation have responded as
60 and 55 years, and those of fourth-generation have responded as 1, 76, and 60 years
respectively. Of 17 families, five have written that hometowns of their original families,
including Hokkaido and Aomori, are other than the same region. Therefore, we should
pay attention to the fact that the annual event “Drawing the sacred water” has been
practiced by immigrants from other regions in many cases even though their families
are long-established and continued for generations.
Kuji
Of 156 families in Kuji, seven families have responded they practice “Drawing the
sacred water” still now and eight have responded they had practiced in the past.
Except for a family responding to be of fifth- or sixth-generation, all families that

practice “Drawing the sacred water” still now or had practiced in the past are relatively
new families of their first-, second- or third-generations.

While “Drawing the sacred water” in Kuji was responded as “remained in

grandfather’s generation” in the survey of Iwate Prefectural Morioka Junior College in
1963, it had been recorded as an event that had already been died out in mid 50s to 60s
(Iwate Prefectural Morioka Junior College / 1963:3). As the event that once died out is
practiced still now, it should be noted that families that practice the event are relatively
new ones experiencing less generation change in the settlement.
Conclusion
As mentioned above, we’ve examined generations of families that have responded

they practice “Drawing the sacred water” by asking questions such as who practices
annual events, among others “Drawing the sacred water”. What has been proved from
the results is that many of families that practice “Drawing the sacred water” are
relatively new ones in all settlements. Or even if they have experienced generation
changes, the years since they moved into the current settlements are within 50 to 60
years. In addition, many of them remembered the regions they had emigrated from.
It is because the event is practiced by people who have emigrated into the
settlements after items about “Drawing the sacred water” had been surveyed and
recorded 50 years ago.
Conclusion and Implications
Recently, population outflow and low birthrate have brought about a problem for
local areas in Japan to face with a danger of extinction. In order to suggest a difficult
situation for settlements to sustain themselves, we’ve compared population
compositions of four intended settlements in Iwate prefecture between 50 yeas ago and
today. Then, it has been proved that ratio of children has dramatically decreased and that
of elderly people has increased instead. Under such situation, it is easily expected that a
problem relating to maintain households will be raised at first to maintain folk culture
which has been handed down in traditional settlements. Even though we couldn’t refer
to how folk events maintain specifically in the paper, it is an important issue for
maintaining of folk culture.
Among problems we worked on in the paper, it was a significant one that

traditionally there was a tendency in Japanese Folklore to uncritically accept folk
culture as “dissemination of culture” or as maintain, as long as it is practiced. As a data
to criticize such thought, we considered an annual event called “Drawing the sacred
water” in the paper.
Considering data recorded half century ago and “Drawing the sacred water” which
is practiced today albeit only slightly, we were able to read out data from the result of
questionnaire survey that not everything has been developed form the past.
As we’ve considered based on questionnaire surveys this time, we’d like to work on
how the folk event is carried out by actual practitioners in another paper. Further, as
only “Drawing the sacred water” has been analyzed in the paper, analysis and review of
other folk cultures will be performed on another opportunity in the future.

It has been demonstrated in the paper that it is risky to easily recognize folk culture
which is practiced today to maintain even if it is also described in a record in the past. It
should be necessary for us to pay further attention to it in case of folk investigation.
References (All written in Japanese)
Iwate Prefectural Morioka Junior College
1. Morioka Junior College: Research report on Life Culture No.1, 12.1959

5. Agricultural and Forestry Planning Office of Agriculture Department of Iwate
Prefecture
6. “Typical Hamlet / Farming Small Association Directory: All hamlets designated from
1956 to 1962”

Q. Forrest Zhang
Reforming China’s State-Owned Farms:

State Farms in Agrarian Transition
Q. Forrest Zhang
School of Social Sciences
Singapore Management University
Abstract
China’s 2000 strong state-owned farms are experiencing a dual transition in the country’s
economic reforms: the market transition (from state-owned enterprises embedded in the
redistributive system to independent enterprises in the new market economy) and agrarian
transition (from small-scale, household-based agriculture to large-scale, capitalist forms of
agriculture that rely on market exchanges of land, labor and products). This paper highlights the
results of a comparative analysis of the state farms and rural farming households in the agrarian
transition to address the theoretical debate about agrarian transition. Using field research data
from state farms in Heilongjiang Province and drawing extensively from secondary sources in
Chinese, this paper examines the he process of agricultural modernization in state farms’ reform
experience. This paper argues that the state farms followed a path distinct from that in the rest of
rural China.
Keywords: state-owned farms, state-owned enterprises, market transition, agrarian transition,

Chinese capitalism.
Instruction
China’s state-owned farm system was established since the People’s Republic was
founded. The state-owned farming system today has expanded considerably–a sharp
contrast to the decline of state-owned enterprises in the urban sector. These farms are
operating in 30 provinces (including municipalities and autonomous regions),
occupying 39 million hectares of land (4% of China’s total land area, of which 4.7
million is arable farm land), employing over 3.5 million people and supporting a total
population of 12.4 Million, and contributing to 3.4% of the country’s total rural output
(Jia, 2004).
The state-owned farms (used interchangeably here with “state farms”) are an
important part of China’s agricultural system. They are also a key force in transforming
China’s natural landscape, especially in the frontier regions. Furthermore, tens of
millions of veterans and sent-down youths devoted parts of their lives to the building of
this system, and tens of millions of people still live their entire lives within this system.
Yet, to date, China’s state-owned farms have largely stayed off the radar screen in
English-language social science literature.

Reforming China’s State-Owned Farms: State Farms in Agrarian Transition
This paper highlights the history of the state-owned farm systems, and the analysis
of the major transformations of this farming system since the beginning of the Reform
Era. Through this discussion, I want to address two theoretically motivated questions.
Created as state-owned and bureaucratically (sometimes even militarily) organized

entities operating in agriculture and in rural areas, for better or worse, the state-owned
farms share characteristics with both the urban state-owned enterprises (SOEs) and the
farming households in rural areas. From the start of the Reform until now, the state-
owned farm system has gone through waves of reforms, adopting – and sometimes
pioneering – measures that are also found in either the SOE sector or in the household-
based rural sector. By comparing the state-owned farms with the urban SOEs on one
hand, and rural farming households on the other, I attempted to address the following
two questions.
First, while urban SOEs have declined drastically in number, state-owned farms
have been much more resilient and largely held its ground during the market reform.
What makes state farms seemingly more adaptable to the market transition than urban
SOEs? Is it because they have successfully transformed themselves, or is it because
political considerations allowed them to be kept alive for long?
Second, China’s agriculture has entered a new phase of development–“agricultural

modernization.” This new phase, which has been called by the central government as
the “second leap” in China’s rural development, is in effect characterized by the spread
of capitalist forms of production in agriculture, and thus, can be understood as China’s
transition capitalist agriculture. With large-scale, specialized and market-oriented
production as its goals, agricultural modernization provides state farms an opportunity
to become market leaders and a new ground for its growth. But how do state farms
respond to this new wave of change? More specifically, do state farms’ organizational
form and ownership structure as state-owned enterprises aid or hinder their progress in
agricultural modernization?
Studying state farms in China’s transition to capitalist agriculture and answering the
two questions above will speak to a theoretical question that goes beyond the specific
Chinese case. In the penetration of capitalism into agricultural production, what roles do
pre-existing non-capitalist organizational forms and ownership structures play?
This question is connected with two important theoretical debates. First, in the
debate on agrarian transition, much of the existing literature has focused on whether
agriculture, compared to industries, poses some natural obstacles to the penetration of
capitalism. What is less discussed is that agricultural production did not operate in an
institutional vacuum before the arrival of capitalism. Compared to the natural
characteristics of agriculture, the pre-existing ownership structure and organizational
forms in agricultural production may play a stronger role in determining the extent to
which capitalist forms and relations of production can penetrate into agriculture. The
study on Chinese state farms and the comparison of state farms with farming
households in rural China will help identify the interaction between pre-existing
organizational forms and the introduction of capitalist forms and relations of production.

Q. Forrest Zhang
Second, this question is parallel to another question that has received a lot of
attention in the social-science literature: in the transition to capitalist market economy
(in China as well as other post-Socialist countries), how have the pre-existing property
relations and redistributive organization system in the urban sector constrained or
shaped the rise of new capitalist economic institutions and market outcomes? Existing
studies on this question, however, are limited to the urban sector. This study, on the
other hand, extends its investigation into the agricultural sector and examines how
emerging market institutions and outcomes are shaped by pre-existing redistributive
institutions.
To answer these research questions, I drew extensively from the secondary sources
in Chinese publications. But more importantly, I conducted field research and collected
first-hand data in state farms in Heilongjiang Province in northeast China. While the
primary data collection is limited to Heilongjiang Province, literature review shows that,
despite regional variations, the main patterns observed in Heilongjiang are also found
elsewhere.
China’s State Farms: History and Reforms
A History of China’s State Farms
The prototype of state-owned farms emerged before the founding of the People’s
Republic, during the Chinese Communist Party’s (CCP) Yan’an Era (1935-1948).
During this period, the CCP, as a rebel group, had been chased by the Nationalist
government into one of the most inhospitable regions of the country – the Loess Plateau
in northwestern China. Having almost no tax base in the local economy to support its
political bureaucracy and military forces, and facing an economic blockade imposed by
the Nationalist government, the CCP had no choice but to secure its own grain supply
through organized reclamation and agricultural projects. Hence, the military forces were
mobilized into reclamation projects under what was called the “Big Production
Movement” and established the first “state farms”. This model was later transplanted
during the Civil War to the Northeast, where CCP had their first victory against the
Nationalist government. Demobilized military units and POWs of the Nationalist army
were settled into farms that were created to reclaim land and produce grains for the
People’s Liberation Army’s (PLA) southward expedition.
After the founding of the socialist republic in 1949, this model of state farms was
adopted all over the country, especially in the country’s frontier regions. These state
farms met three urgent needs of the new republic. First, they provided employment for
demobilized military personnel, who had become redundant after the conclusion of
major military campaigns. Second, many state farms along the border areas were
organized as paramilitary units and stationed there to provide border security to the still
fragile new regime. Third, these state farms provided supplies of food and fiber not only
to feed their own employees but also to help stabilize a national economy devastated by
years of wars.

Although state farms were established in most parts of the country by both the
central and local governments, a great number of them were concentrated in three
regions, namely: Heilongjiang Province in the Northeast, Xinjiang Autonomous Region
in the northwest and sub-tropical areas in Yunnan, Guangdong and Hainan (then a part
of Guangdong). The Three-Rivers Plain in the Northeast of China, bordered by the
Soviet Siberia along the Amur River (known in China as the Black Dragon River,
Heilongjiang) was then still a vast area of virgin land, known as the “Great Northern
Wilderness”.
The first batch of state farms was established here for a host of reasons. The
landscape of this region was dominated by swamps and wetlands, which had to be
drained before agricultural production could start. This kind of endeavor could only be
accomplished by large-scale organized forces, a task well-suited to state farms. The flat
topography of this region was also best suited for mechanized production, and thus, the
farm machines provided by the Soviet Union could be used. These farms also help to
settle a large number of demobilized military personnel.
The Production and Construction Corps in Xinjiang was established primarily for
border security. The Corps was formed on the basis of three field armies of the PLA
and some other local military troops, which total to around 110,000 soldiers and
officers. The Corps established farms all over the province. These farms were organized
as paramilitary units – for example, known as the 8th Agricultural Division and so on –
which, besides producing food and fiber, also acted as security force that kept this
predominantly Muslim region with separatist tendency under tight control. The state
farms in the sub-tropical regions in southern China were established primarily to supply
the much needed strategic resources, especially natural rubber, which the new Republic
was not able to get from the international market.
Since its founding in the early 1950s, the state farm system went through ups and
downs in the turbulent years in the 1960s and 70s much like the rest of the country.
During the Great Leap Forward Era (1958-1962), state farms had a period of explosive
growth (see Table 1). Then during the Cultural Revolution, state farms in the frontier
regions became the destination for millions of urban youths who were sent down in
Mao’s movement of “up to the mountains, down to the countryside”. While most of the
sent-down youths eventually were repatriated to cities by the early 1980s, some stayed
behind.

Q. Forrest Zhang
Table 1. Development of the China’s state farms in the last 50 years

Year Total grain output Total revenue Total
# of # of employees Land area (billion jin) (billion yuan) profit/loss
farms (million) (million mu) (million
yuan)
1957 804 0.44 15.8 1.45 0.67 57.4

1962 2123 2.16 43.7 3.8 1.58 -142
1965 2062 2.60 50.0 -- 3.65 460
1978 2067 1.53 64.2 12.9 8.5 -2,190
1998 2101 12.0 71.6 32.9 -- --
In the late 1970s, when the country, under Deng Xiaoping’s new leadership was
about to reverse its direction and start economic reforms, the state farm system was in
situations as dire as other sectors of the state-run economy. Except for a short hiatus in
the mid-1960s, the state farm system had been hemorrhaging financially for the
majority of its 30-year existence: from 1949 to 1978, the state farm system was loss-
making in 22 years (Sun 1999). By 1978, the state farm system had been making loss
for12 consecutive years despite a cumulative investment of over 4.7 billion yuan by the
state into the state farm system (Liu 1999). In 1978 alone, it made an unprecedented
loss of 2.19 billion yuan (Guo 1999). The state farms, as a whole, had much lower
productivity and lower level of technology use than farming households in the rest of
the country’s rural areas (Liu 1999).
On the brink of economic reform, state farms were also run very much like state-
owned enterprises in the urban sectors and, in some regards, in more extreme forms.
Like urban SOEs, state farms shouldered many social functions and provided cradle-to-
grave social services for their employees. However, the social functions of state farms
often went beyond those shouldered by urban SOEs. Many state farms were set up on
previously uninhabited land (at least uninhabited by settled agriculture). These farms
were not just “running the society” as SOEs often did, but they were literally the
society. Furthermore, agriculture, being land-based, these state farms were managing
large territories (the largest farms can stretch for over one million mu – that is, hundreds
of thousands of hectares) and all the human activities conducted on them. Thus, these
state farms not only had social functions, they also had “governmental functions” and
acted as the de facto local governments. In this sense, more than the urban SOEs, state
farms were typically much more than just economic enterprises, but rather enterprise-
society-government bundles.
This multifaceted nature of state farms meant that, besides engaging in agricultural
production, they also had to simultaneously engage in commercial services and
industrial production to meet local needs. Although these social and governmental
functions of the state farms put heavy financial burdens on state farms, as we shall see
later, they nevertheless also provided state farms the infrastructure to diversify
economically during the Reform Era.

Within the state farms, employees were organized hierarchically. The production
brigades were the basic units of production. In the rest of rural China, the
collectivization campaign also tried to dissolve households as units of production and
turn villages into production brigades. However, those production brigades were still
based on long-existing rural community and kinship ties. In contrast, many state farms
were based on the rationally organized military units; kinship ties and community
relations were usually absent and never the bonding force of an organizational unit.
State farms also resembled urban SOEs in their property structure and thus, their
relations with the state. Unlike in the rest of rural areas, where farm land was owned by
the rural collectives, in state farms, all assets, including land, buildings, machines and
even farm animals, were owned by the state (Sun 1999). Like the urban SOEs,
managers and workers in state farms were merely agents of the states, who were
delegated by the state to manage the state’s properties. This also created a status
difference between state farm employees and other rural residents. The state farm
workers were state employees who received standardized wages according to their rank
and seniority, and were entitled to social benefits similar to those enjoyed by employees
in urban SOEs. On the other hand, other rural residents had rural status and enjoyed no
social benefits except for their access to collectively own the land.
Predictably, state farms behaved economically much like the urban SOEs,
exhibiting the typical behaviors associated with soft budget constraints and agency
problem. Direct producers did not have a stake in the profitability of the enterprises,
neither did they have much of a say in production decisions. Not only state farms were
inefficient and unproductive, they were also overburdened by the social and
governmental functions they had to provide. In this sense, state farms were essentially
SOEs that specialized in agricultural production and located in rural areas.
Initial Reforms in State Farms
Like the de-collectivization process in the rest of rural areas, reforms in state farms
were started spontaneously by local initiatives. As early as in 1979, some state farms in
Inner Mongolia were already experimenting with assigning production responsibilities
to brigades and allowing them to keep the surplus (Liu 1999). One farm went as far as
dividing the state-owned land and assigning responsibilities to employee households.
Various experiments of this kind at the local level that aimed at localizing both the
management of production and sharing of profits were finally sanctioned by the central
government in 1984, together with the Household Responsibility System (HRS)
implemented in the rest of rural areas.
Since then, state farms nationwide started to implement a system that was highly
similar to the HRS, in which agricultural land of state farms was divided and then
allocated on contract. to households of farm employees, who were then responsible for
meeting production quotas, but were allowed to keep some surplus. This reform created
a two-layered system in most state farms, where numerous small family-based farms
were nested within a large state farm. The family farms gained the land use rights,
which were protected by contracts, and the rights to manage farm production and keep a

Q. Forrest Zhang
share of the surplus. The state farms, on the other hand, were put in charge of providing
technical and infrastructure services to family farms under them, often on a fee-for-
service basis.
Similar to de-collectivization in other rural areas, this reform of creating the two-
layered system dissolved the production brigades as units of production and set
agricultural production in state farms on the household basis and much reduced scales.
As a result, state farms came much closer to rural villages both in terms of the
organization of production and scale of production. They were both aggregations of
household-based farms. Employees in state farms, now working for their own family
farms, no longer received the multi-tiered wages from state farms. They were
transformed from dependent employees of state-owned enterprises to independent
economic actors who were responsible for their own production and reproduction costs.
De-collectivization in state farms, however, did not go as far as that in other rural
areas. State farms, as the agents where the state’s ownership of land was rested, retained
more control over how state land was used by farming households than village
authorities had over collectively owned land.
Two other major reforms in state farms were introduced in a top-down manner,
much like reforms in the urban SOEs. First, in 1978, the State Bureau of Agricultural
Reclamation, the central government agency that oversaw the entire state farm system,
decided to encourage state farms to experiment with economic diversification through
establishing “integrated agricultural-industrial-commercial enterprises” (IAICE) (Guo
1999). As mentioned earlier, acting as the de facto local government and in charge of
meeting various needs of their local communities, state farms already had sub-units
engaged in commercial and industrial activities. This decision, and the subsequent
authorization by the State Council in 1979, gave state farms the green light to extend
their non-agricultural activities beyond meeting local needs and to develop these into
market-oriented, profit-seeking businesses.
Compared to urban SOEs, state farms enjoyed a unique advantage. They had direct
access to raw materials produced in the farms. By vertically integrating downwards into
the industrial processing of agricultural materials and the commercial sales of the
processed goods, state farms were able to add value to their agricultural products and
derive much greater profit margins. The vertical expansion of state farms into industries
and commerce also played a role similar to that of township-and-village enterprises
(TVEs) in the rest of rural areas in leading rural industrialization and urbanization. The
growth of these locally-based, non-farm enterprises led to the transfer of agricultural
labor into non-agricultural employment without going through rural-to-urban migration.
It also changed the local economies in state farms from a predominantly agricultural one
into a diversified economy and transformed some rural communities in state farms into
small urbanized areas.

The growth of these IAICEs in state farms also caused changes in agricultural
production in state farms. Because of their integrated nature, these IAICEs’ engagement
in market-oriented, non-farm businesses required that the agricultural production also be
geared toward commercial needs and market demands. Since family farms within a state
farm could easily and securely sell their products to the IAICEs run by the very same
farm, they found it much less risky to shift from producing for self-subsistence to
producing for commercial demands. In comparison, the individual farming households
in the rest of rural China usually lacked such a direct and reliable access to markets and
had to rely on outside agents (such as merchants, outside firms and local governments)
to act as intermediaries to provide them with market information, transportation, and
production assistance. This difference meant that the commercialization of agricultural
production would proceed in state farms much faster than in other rural areas.
Thanks to these two reform measures–shifting agricultural production to the

sounder basis of family farms and diversifying into non-farm businesses – state farms
had more success than urban SOEs in turning into profitable. In 1979, the first year of
its implementation, the state farm system reversed the 12-year losing streak and turned
in a 90 million yuan profit.
Theoretical Background
The above review of the historical background and reform experiences of China’s
state farms highlights the dual transition in China’s state farms: the market transition
and agrarian transition. First, as state-owned enterprises, state farms are making the
transition from dependent units embedded in the central-planned, redistributive
economic system to independent enterprises in the new market economy. Second, after
de-collectivization created the two-layered system in state farms and set agricultural
production on household basis, state farms are also making the transition from small-
scale, household- based farming to large-scale, capitalist forms of farming that involved
market exchanges of labor, land and products.
The dual transition of China’s state farms then allows us to compare state farms
with urban SOEs and rural farming households, respectively, on their transitional
experiences. The different institutional settings in which state farms, urban SOEs and
rural farming households are making the two transitions provide us the opportunity to
use these two comparisons – state farms compared to urban SOEs in the market
transition, state farms compared to rural farming households in the agrarian transition–
to address two theoretical debates on market transition and agrarian transition,
respectively. This paper will focus on the issue of agrarian transition
Agrarian Transition
In sociological literature, agrarian transition refers to the transition from pre-

capitalist agriculture, where production relations were not commoditized and production
was dominated by peasant producers and mainly for subsistence, to capitalist
agriculture, in which production is organized in capitalist forms and production relations

Q. Forrest Zhang
are commoditized. In this sense, agrarian transition is the process of introducing

capitalist forms and relations of production into agriculture.
Debates on agrarian transition have mainly focused on two issues. First, how social
structure shapes the course of agrarian transition and its political consequences, and
second, how agriculture as a natural system of production poses distinctive obstacles to
the penetration of capitalism. With regard to the first question, studies have examined
how different social classes acted as the leading agent in introducing capitalism into
agriculture and created distinctive class relations that shaped both economic
development and political regimes (De Janvry 1981; Moore 1993 [1966]).
More relevant to the study on China’s state farms is the second debate on the
penetration of capitalism in agriculture. One side of this debate, which originated from
Lenin, argues that capitalist relations of production would spread in agriculture just as
easily as in urban industries and, as a result, transforming the peasantry class into
proletariats. Critics of this argument have identified various types of obstacles in
agriculture that could thwart the spread of capitalism in agriculture and thus allow non-
capitalist forms of production and social classes, especially the family-based small
farms, to persist. These obstacles to capitalism include, among others, the immovability
of land as the main means of production in agriculture (Kautsky [1899]1988), the gap
between production time and labor time in agriculture (Mann and Dickinson 1978), and
agriculture’s reliance on biological processes of plants and animals, which often cannot
be altered by capitalist forms of production (Goodman, Sorj, and Wilkinson 1987).
The focus of this debate on the natural obstacles in agriculture to the spread of
capitalism, however, comes at a cost: scholars have paid inadequate attention to the pre-
existing institutional settings in agricultural production and in rural society and how
they affect the spread of capitalism in agriculture. In this regard, a comparative study of
China’s state farms and the rural farming households provide an ideal setting to find out
whether and how capitalist forms and relations of production emerge differently in these
two institutional environments during the country’s agrarian transition.
China’s agrarian transition is still a new topic in the literature. However, one recent
study (Zhang and Donaldson 2008) has identified a variety of capitalist forms of
production emerging among rural farming households in China. Other studies have also
documented specific types of capitalist production such as contract farming in China’s
agriculture (Miyata, Minot, and Hu 2009; Guo, Jolly, and Zhu 2007). Are these forms of
capitalist agriculture also emerging in China’s state farms? And if so, how do the
different institutional settings in state farms shape the spread of these forms?
Compared to the individualized farming households in the rest of rural China, state
farms operate under at least three distinctive institutional conditions. First, the land
rights system is different. All land in state farms is state owned. State farm employees
do not have any entitled access to such state land. In comparison, rural land is
collectively owned by villages. As members of the collective owners, villagers are
entitled to the access of collective land. Second, state farms and rural farming
households inherited very different organizational legacies. Production in state farms

used to be carried out within hierarchically-organized corporate structure – a

characteristic typical of the large-scale, capitalist agriculture operated by agribusinesses.
Even after de-collectivization in early years of the Reform Era, the hierarchical
organizational structure remained largely intact in state farms, despite changes in its
functions. In comparison, prior to collectivization, farming in the rest of rural China had
always been mainly done on a household-basis, without the involvement of any non-
familial, bureaucratic organizations. After communes and brigades were disbanded
during de-collectivization, rural households again went back to household-based
farming. Third, in state farms, agricultural production is closely linked with industrial
production and commerce, thanks to the establishment of IAICEs during the reform.
Rural farming households, on the other hand, lack such direct links to not only non-farm
economic actors, but also markets for agricultural products. On the basis of these
different institutional conditions, I hypothesize:
Due to more conducive institutional conditions, the spread of capitalist forms

and relations of production in agriculture will be faster in state farms than
among farming households in the rest of rural China.
Results
Agricultural Modernization in State Farms
In their study of the rise of capitalist agriculture in rural China, Zhang and
Donaldson (2008) find that rural China’s land rights system – collective ownership and
individualized use rights – is a key factor in shaping the forms of capitalist agricultural
production that is emerging. Because the collective land ownership entitles members of
the collective to access of land, when agribusiness companies or individual
entrepreneurs want to acquire contiguous land area to organize large-scale agricultural
production, they do not only have to rent the contracted use rights of the villagers but
also employ them as farm workers. With this constraint, some companies chose to open
up waste land to establish their production bases.
In comparison, under state land ownership and in the absence of personal

entitlement to land access, concentration of land takes a different path from the very
beginning. Studies have found that during rural China’s de-collectivization,
collectively-owned land was divided to rural households on egalitarian basis (Kung
1995). As a result, households with varying levels of productivity had similar land
holdings. In state farms, however, the initial privatization of land use rights did not face
the “equal entitlement” constraint. In the farms I studied in Heilongjiang, a family’s
ability to rent more land from the state farm was not only constrained by the capital
endowment they had to pay for land rent, but also the capital needed to buy or rent farm
equipments that were indispensable to do the kind of large-scale farming typical in state
farms. As a result, the land distribution in state farms was largely based on each
family’s capital endowment, which resulted in highly unequal holdings. I learned that
usually it is the cadre families who had more capital endowment and rented more land.

Q. Forrest Zhang
The issue of equality aside, unequal land holdings, however, are conducive to the rise of
large-scale, modernized agriculture.
In later years, some farms in Heilongjiang introduced competitive bidding into land
contracting. The families who failed to fulfill contracts in the last round of contracting
were excluded, allowing more land to be concentrated in those more productive families
(Zheng 2004). Such a practice would not be possible in rural villages, wherein villagers’
entitlement to land cannot be denied on the basis of low productivity.
The demand for farmland fluctuated over the years, depending on agricultural
prices and other related costs such as tax. But, after the abolition of agricultural tax and
instituting of direct subsidies to farmland in 2005, a steady rise of demand for land and
land rental prices were observed. Concentration of land in ever-larger family farms is
rising. In the farms that I studied in Heilongjiang, the biggest family farm stretched over
10,000 mu – larger than entire villages in many parts of China. Production in these big
family farms is thoroughly capitalistic. Owners of these farms are no longer direct
producers, but landlord-cum-business owners. They can subcontract part of their
landholding to other families. They hire laborers to work on their lands. The laborers
come from a variety of origins. Some are farm employees who failed to get contract
land, some are residents from neighboring rural areas, and some are migrants from other
provinces.
In rural villages, a variety of capitalist forms emerged in agriculture. Individual

farming households have shifted from subsistence farming to commercial farming,
contract farming and entrepreneurial farming (Zhang and Donaldson 2008). At the same
time, agribusiness companies have also entered and organized land and labor in various
ways. Some households also stayed in subsistence farming. In Heilongjiang’s state
farms, however, I find at least three differences. First, no outside companies are
involved; second, much less variety is found among family farms; and third, no family
farms stay exclusively in subsistence farming. All these, I believe, are related with the
different organizational legacy state farms have.
While agricultural production is now carried-out by family farms, after the de-
collectivization, these farms are still nested in the organizational hierarchy of the state
farm. Although family farms have control over the use rights of their contracted land,
their rights are more constrained than those enjoyed by rural farming households. First,
state farms usually contract land on yearly basis and, as noted earlier, the renewal of
contracts is often tied to productivity in the previous round. Second, family farms need
to take orders on production matters from the state farm. Such top-down control ranges
from variety selection to use of fertilizer and pesticides. State farms continue to exercise
some degrees of control over family farms’ production in order to ensure both the
quantity and quality consistency of the products they purchase from family farms.
Third, family farms usually sell their harvests to the state farm or its linked agricultural
processing companies.

This closely-linked relationship between family farms and the state farm precluded
the involvement of outside agribusiness. It also means that all family farms produce not
for self-consumption, but for commercial sales, as well. Thus, none of the family farms
are subsistence-oriented. Compared with the command economy, the current
relationship between family farms and state farms is still mediated by market, as both
the contracting of land and sales of products are open, competed transactions through
monetary medium. In this relationship, all family farms are contract farmers producing
under contract for the state farms’ agribusiness companies.
From the above, I can already see that the close linkage between agricultural
production and the industrial and commercial activities integrated in the same state
farm, plays an important role in facilitating family farms’ transition to commercialized,
specialized and large-scale agriculture. In other rural areas, a key reason that keeps
many rural households in subsistence farming is their lack of access to markets. It is too
costly and risky for individual farmers to acquire the skills and market information
about producing a non-staple crop, or find the market intermediary to sell it to non-local
markets. Family farms in state farm, in comparison, have direct market access provided
by the state farms’ integrated businesses.
Conclusion
China’s state farms, an important component not only in China’s agriculture, but
also in country’s general economy, have experienced rapid changes during the Reform
Era. In this first study of the state farm system in the Western literature, I used state
farms’ reform experiences in a comparative analysis with farming households in the rest
of rural China.
Findings of this study confirmed my hypothesis that the spread of capitalist forms
and relations of production in agriculture would be faster in state farms than among
farming households due to more conducive institutional conditions. The findings also
showed that state farms’ institutional legacies, especially the absence of an “equal
entitlement” land-rights system, a nested organizational hierarchy and the close linkage
between agricultural production and industrial processing, facilitate the growth of
capitalist forms of production in state farms. This finding adds another perspective to
the agrarian transition debate that besides the social structure and the natural
characteristics of agricultural production, pre-existing institutional conditions also aid or
hinder the spread of capitalism in agriculture.
This study relied on primary data collected in state farms in Heilongjiang Province.
Heilongjiang’s state farms have the longest history in China and account for 45% of
farmland in all China’s state farms (Sun 1999). Thus, I believe studying state farms in
Heilongjiang provides the most effective way to identify the main trends in China’s
state farm system. However, China’s 2000 plus state farms vary greatly in size,
economic location and structure. For example, while nation wide, the average size of
state farms is 30,000 mu, but in Heilongjiang, the average size is ten times bigger (Liu
1999). Among the over 2000 state farms, 281 of them accounts for nearly 60% of the
GDP (Guo 1999). The conclusions drawn from Heilongjiang’s experience, thus, may

Q. Forrest Zhang
not be representative of smaller state farms located elsewhere. But a review of

secondary literature shows that the observations in Heilongjiang are also reported from
state farms elsewhere. More importantly, the theoretical findings are applicable in other
contexts.
References
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Goodman, David, Bernardo Sorj, and John Wilkinson. 1987. From Farming to Biotechnology: A
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Perspectives of Farm Households and Agribusiness Firms. Comparative Economic Studies
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Guo, Shutian. 1999. 50 splendid years of China's agriculture and reclamation system. Economics
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Jia, Daming. 2004. An update and discussion on institutional reform and economic development
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collective property rights: Peasants' preference for institutions in post-Reform Chinese
agriculture. Journal of Comparative Economics 21 (1):82-111.
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Chinese Economic History 2004 (4):43-51.

Community-Level Natural Resource Management

Towards Food and Livelihood Security in
Kanchanaburi, Thailand1
Sayamol Charoenratana2
Researcher, Chulalongkorn University Social Research Institute,
Bangkok, Thailand
sayamol.c@gmail.com
Abstract
Ensuring security in peoples’ lives has become a critically important issue over the past 10 years.
People adopting different livelihoods around the world are trying to ensure their means of living in a
changing world. In Thailand, communities in rural areas manage their surroundings apposite to their
livelihoods in a variety of ways. The purposes of this study are: 1) to understand the communities’
background and approach to natural resources management; 2) to determine each communities’
capacity, and classify and compare the forms of capital at each site; and 3) to analyze community
natural resource management patterns that ensure their sustainable livelihood. One specific question
this study asks is how can communities ensure the security of their livelihood? Three rural villages in
Western Thailand were selected for this study, namely: Baan Huai Saphan in Phanom Thuan district;
Baan Chong Kab in Sai Yok district; and Baan Mae Kra Bung in Si Sawat district. Data collecting
methods conducted with participants in the study sites were check lists, questionnaires, key informant
interviews and focus groups.
It was found that each community was different regarding their: a) human and cultural capital, b)
natural capital, c) financial capital, d) social and management capital, and e) physical capital.
Overall, the key factor to ensure their livelihood security was in holding the authority to manage their
natural resource. A set of indicators were applied to measure the potentials in each capital. Three
indicators for sustainable natural resource management could be identified: 1) natural resource and
environmental 2) economic and 3) social and culture. The first indicator group was able to indicate
how to improve natural resource use and how to balance current use of natural resource with future
needs. The second indicator group indicates how to improve peoples’ well-being at the community
level and the role of outsider support. The last group of indicators measures how to ensure local
management and to secure villagers’ opportunities to access higher education and government
services.
Keywords: livelihood, sustainability, community natural resource management, livelihood security,

food security, Thailand
1
This article is part of “Rural Community Potential in Natural Resource Management on the
Changing Livelihood of Communities in Kanchanaburi Province”.
2

Community Level Natural Resource Management Towards Food Security and Sustainable Livelihood
Introduction
“To be a tiger is not important. The important thing for us is to have a self-
supporting economy. A self-supporting economy means to have enough to survive.
About this, I have often said that a self-sufficient economy does not mean that each
family must produce its own food, weave and sew its own clothes. This is going too far,
but I mean that each village or each district must have relative self-sufficiency. Things
that are produced in surplus can be sold, but should be sold in the same region, not too
far so that the transportation cost is minimized.” (The Speech of His Majesty King
Bhumibol Adulyadej, on December 4, 1997)
The above quoted statement provides a foundation for the ideal sustainable
livelihoods within a self-sufficient economy in Thailand. It guides people in how to live
in a suitable way along the development process and to ensure a secure life meeting
food security and basic needs.
Generally, development is a long process, especially in rural areas. Even well-

intended development often has unintended effects and impacts on its targeted
beneficiaries. The gap between underdeveloped and developed countries is expanding,
as in the gap between rural areas and urban areas. Development in the 18th century
devastated the natural resource base for the next generation. The impacts of
development include pollution, climate-change, deforestation and drought. High
proportions of the world’s population still live in rural areas, and many of them are
extremely poor. Most of the rural poor rely on forms of primary productions from
natural resources for their livelihood (Chamber and Conway, 1992). Many of these
people supplement their income through small-scale farming or other forms of livestock
and gardening activities (Dose, 2007).
In Thailand, a number of households have applied the self-sufficient economy

concept in their livelihood, e.g. Puyai Wiboon Kimchalorm in Chachoengsao province.
They farm in small plots and produce food for household consumption. The majority of
people who live in community forests (CF) usually use their natural forest and farming
products for household consumption.
Forms of natural resource management by communities themselves can be found

around the world. In the sphere of natural resource management and development
policies in Thailand, many conflicts have occurred between local people and
government officials. Because policies are imposed from above, natural resource
policies and interventions are often enforced without the active participation of
communities and local resource users. Therefore, considerations of ethnicity and local
peoples’ interests are important factors when examining conflicts. Local people also
have a limited opportunity to manage their own natural resources. However,
communities are developing their own processes to secure their right to manage their
own natural resources and to create sufficient economic systems. The purpose of this
study is to understand community background and their natural resource management,
to determine the community capacity, to classify and compare the capitals in each site
and to analyze the community natural management patterns for sustainable livelihood

and to recover the security in food and livelihood. Ensuring adequate food for each
household was one of the key concepts of the study.
Food and Livelihood Security at the Community Level: Sufficiency livelihood for
the future
Dependence on forests and natural resources is one way to achieve sufficiency

living and food security. The concept of Livelihood Security has emerged as a way of
thinking that can be used as a tool to identify the poor and to plan to improve the
security by putting people at the center of development. Therefore, community forest is
the core concept of the study. Since most forests in Thailand are the property of the
government, the people’s struggle for the right to manage their community environment
and natural resources occurs everywhere. Due to the 2007 Thailand Community Forest
Bill3, communities in Thailand are now able to manage their community forests (CF)
and hold legal rights to do so. However, more than 20,000 communities in Thailand are
prevented from accessing and managing their community forests because they are
located in previously designated protected forest areas (Wichawutipong, 2005).
Thailand’s 2007 Community Forest Bill may give the basis for communities to now
manage their resources themselves.
Where we were
The Royal Forest Department (RFD) regional records between 1987-2004 showed
that the following numbers of villages were registered and involved in community
forestry: 1) North: 3,359; 2) Northeast: 4,809; 3) Center: 1,621; and 4) South: 1,059.
This totals 10,848 villages and demonstrates that the households in those areas have
lived with their environment for a long time. There are 20 important forest complexes in
Thailand and the western forest is one of the 20 which covers area in three provinces,
namely Tak, Kamphaengphet and Kanchanaburi provinces. The Western Forest
Complex comprises of 19 protected areas, 12 national parks and seven (7) wildlife
sanctuaries. The Western Forest Complex in Thailand and Myanmar is also one of the
nine biodiversity conservation landscapes strategized by Asia Development Bank
(ADB).
Kanchanaburi, as the study site, is Thailand´s third largest province. It is located

130 km west of Bangkok and covers an area of 19,480 km². About 735,000 inhabitants
are living in Kanchanaburi province, which borders Myanmar (Burma) to the north-
west. Thailand’s Western Forest, covering nearly 19,000 km2, is an area rich in bio-
diversity and natural resources, and two thirds of the area of Kanchanaburi province is
3
On 21 November 2007, a Community Forest Bill (CF Bill) was passed by the National
Legislative Assembly (NLA) in Thailand and initially saw widespread optimism for the future
of forest-dependent communities in Thailand. It had taken almost 18 years for the CF Bill to be
passed by the NLA due to ongoing concerns by opponents to the CF Bill about the ability of
forest-dependent communities to manage forests sustainably and reside within those protected
areas.

forest where community forests are numerous. There are also two large dams,
Srinagarindra dam and Vajiralongkorn dam, in the north of the province.
Three communities in Kanchanaburi were selected to study to understand the

individual community itself as well as indigenous minority, sub-urban and rural
community contexts. In the Western Forest, Karen is the largest ethnic group and their
livelihoods are closely linked to the use of the natural resources. Their culture and rule
were in line with the protection and maintenance of their natural balanced surroundings.
Moreover, communities living near and adjacent to the forest still use these resources
for their livelihood, both for family consumption and generating income (Diamantidis,
2008). Rural communities and communities in the forest also have a similar
relationship with the forest. The three rural communities studied were Ban (sub-district)
Ma-kabung, Ban Chong-kab and Ban Hoi-sapan. The culture of Ban Ma-kabung, Kern
community in Erawan National Park makes this village in particular a unique case
study. Three selected areas were a registered community forest (CF).
Concept of thought
The concept of Security Livelihoods is very ideal concept. Sustainable development

is the most closely identifiable concept with three essential conditions: ecological
security, economic efficiency and social equity (Sadler, 1988). The Sustainable
Livelihoods (SL) is certainly a part of the security livelihood concept. Other closely
related concept of livelihood security is known as Rural Livelihood Security (RLS)
which also has three components: capability, equity, and sustainability (Chambers and
Conway, 1992). This study selected Sustainable Livelihoods (SL) framework to
elucidate the community capacity that demonstrate their livelihood security.
The Sustainable Livelihoods (SL) framework in its most common form, identifies
five types of assets important to development: human and culture capital4; natural
capital5; financial capital6; social and management capital7; and physical capital8
(Chambers and Conway, 1992). The framework argues that for positive outcomes, there
must be strengths in all five assets and they must be in synch with each other. The SL
framework helps frame this study and allows us to see the possible connections across
factors leading to life security and sustainable livelihoods. In addition, community
members identified a set of sustainable natural resource management indicators to prove
their living security.
According to the check list and the interview questionnaire, each form of capitals
was strongly presented in all communities studied. More than 3 of 5 of each set of assets
were indicated in the communities. Human and culture capital and natural capital were
4
wisdom, belief, tradition, skills and knowledge
5
renewable natural resources as forest, water, animal and air
6
access to credit and livelihood assets such as chickens, cows, goats, etc. income and debt
7
social institutions, relationships of trust, net work, social norms
8
road, electricity, water supply, irrigation system, etc.

more essential than financial capital, social and management capital and physical capital
to achieve sufficiency living. The focus group interview confirmed the findings that
each village had its own characteristic with certain potentials. All three communities
used their farm products for consumption and used their natural resource near their
home more than buying food from outsiders.
Forest Use in the Past and the Present
In Community Forestry, there are two major types of uses of forest products:
household consumption and income generation. According to the 1941Thailand Forest
Act9, many activities are not permitted. But in the new 2007 Community Forest Bill,
some activities, such as timber product extraction, are prohibited although a permit for
household and communal use may be granted on a case-by-case basis. Decisions are
made by the Forest Committee or a committee in the community. All users are entitled
to harvest non-timber forest products (NTFPs), such as mushrooms, wild vegetables,
bamboo shoots, resin, and insects. Firewood collection is regulated in that only
gathering dead trees and dry branches is allowed. Hunting small animals is also
prohibited.
Over the years, household consumption was the main use of NTFP’s. Villagers’
forest products and forest by-products’ uses vary from season to season with different
levels of use and for different purposes. These products were used both for
consumption and marketing.
Communities not only collect forest products and animals from the forest, but also
used their land for agriculture or for rent. Most of villagers planted maize, rice, cassava
and sugar cane in planting season and used forest products at other times. Farm
products served as the main source of income and food for households. In other words,
the communities’ life cycle in each calendar year was related to farming, hunting and
gathering in the forests. Family food security is ensured through these activities on their
land and in the forests all year round.
At present, households still use forest products in the same way: for household
consumption and for income generation. Household firewood, deadwood or dry branch,
was usually used for cooking activity. It indicated that community forest could ensure
household food and water demand but could not ensure the energy demands for
cooking, petrol and electricity. Conflicts between community members, between
community members and outsiders, and between community members and government
agents have been reduced after the Community Forest Bill because now the community
has the authority to manage their surroundings, including forests and water resources
(watersheds, rivers, etc).
9
1941Forest Act concerns about logging operations and non-wood forest products collection,
timber stamp, wood and non-wood forest products during moving, sawn wood control, forest
cleaning, miscellaneous, penal provisions and transitory provisions.

Rules and Management by the Community
In general, various forest products represent many special and specific property
rights. In open access areas, harvesting of NTFPs (e.g., mushrooms, wild vegetables,
bamboo shoots Insects, and some medicinal plants) is allowed. In common property
areas, harvesting of fuel wood, some medicinal plants and wild vegetables is allowed
too. In government property areas, harvesting timber in forest areas and timber products
is not allowed. As a result of the Community Forest Bill and ancient community rules,
community members have reached some agreement on forest and natural resources
management. They take into account not only present use, but also future use by the
next generations. The rules set by community to protect forest and natural resources
are: no timber extraction or tree removing, no animal hunting, no fire setting, etc. Strong
potential communities have demonstrated their best management. Three communities
were set some indicators to measure their potential in this study.
Many definitions of livelihood security were derived from the work of Chambers
and Conway (1992). This study defines livelihood security as family’s or community’s
ability to maintain and improve its income, assets and social well-being from year to
year; and from a state of relief to rehabilitation and to the development continuum
(Frankenberger, 1996). Three indicators for sustainable natural resource management
could be identified from this study: 1) natural resource and environment; 2) economic;
and 3) social and cultural. To improve the security level in their life, villagers set these
indicators as guidelines for their basic management (Table 1). These items were a set of
quality and quantity measurements in 3 aspects of sustainability concept.
Table 1: Indicators of natural resource management for life security

Natural resource and
Economic social and cultural
environment
1. Increase forest area 1.Increase income 1. Access to government
service; health, education
2. Biodiversity 2.Reduce debt 2. People participation
3. Air quality and reducing 3. Land (ownership) 3. Local wisdom
air pollution management
4. Water quality and 4. Basic human 4.Conflict management
quantity and water sustenance; self
management sufficiency; food security
5.Access to use natural 5. Leadership
resource
6. Law for natural resource 6. Network and social
management network
For all indicators, validity depends upon the quality and totality of the input data
from the villagers. Their beliefs, experiences and actions from past to present, cultures
and wisdom were the basic requirements for these indicators together with their
particular surrounding environment and the context of their community basic needs.

Wrapping up the story: Facts and Future from the People
Community and natural resource management are related at different levels through
time. The concept of sustainable development is a balance between economic, social
and environmental aspects. Sustainable development includes sustainable livelihood,
which, in turn, can help explain a community’s potential to solve problems of well-
being and basic human sustenance.
In a study of social quality and human security in Thailand, food security was a key
factor in rural community livelihoods and required to ensure living security. Most rural
communities depend on natural resources for food, medicine, and habitats for survival.
Food security was not only linked to the natural resources in each area, but also
depended on community uses and outside factors such as market demand, illegal
hunting, and illegal timber felling. In other words, food security or insecurity at the
community level itself isn’t the final answer, but how to secure a living was more
important for the people. It was also found that food security was not a sub-set of
objectives of poor households. Food was only one of a whole range of factors which
determined why the poor make decisions and spread risks (Maxwell and Smith, 1992).
Within Thailand’s context, there is little agreement on the core indicators of

‘success' in the study of the natural resource management by community and land
reform projects. Most attention to date has been on the number of hectares transferred,
and the number of beneficiaries. Little or no attention is paid to the livelihood benefits
generated, in either qualitative or quantitative terms. So, when assessing specific
projects or conducting national surveys on the livelihoods of land reform beneficiaries,
what are we looking for? Throughout the process villagers were encouraged to be open
and critical about the processes affecting them. Villagers were asked to share their
stories about struggling to create sustainable livelihoods or attaining livelihood security
so that others could learn from their experiences and efforts. As well as generating
accounts for this module, the process also brought forward many useful suggestions
about improving the livelihood projects. Plans are already in place to act on a number of
these ideas.
Three indicator groups were identified by communities in this study: 1) natural

resources and environment 2) economic and 3) social and cultural. Each community
tried to prove their potential in 1) capability to manage their natural resource or forest,
2) protecting their life security and food security for their house hold consumption and
3) securing the next generation’s livelihood. This study is aware that the concept of
security or sustainability is an abstract concept. However, it does not follow that
security or sustainability cannot be measured with concrete indicators. Health and
poverty, for example, are very abstract as well, but is measured and cited by
international organizations such as the World Health Organization and the United
Nations Development Program. Therefore, there is no reason to suspect that concepts of
security or sustainability are any different from other abstract concepts.

Access to natural resources is a key asset for rural households, especially as it

affects the subsistence and food security of poor households. Natural resource potential
is necessary for the community. Conflicts over natural resources in each community can
be a major obstacle to securing people's livelihoods. The presence of conflicts can also
indicate that different policies, institutions and processes are not doing a good job of
regulating access to resources, and can undermine people's livelihood outcomes, well-
being and life security. Long-term conflicts can increase people's vulnerability and
reduce their capabilities to respond to sudden challenges, such as price changes,
droughts, floods or diseases. As a result, giving the community the authority and
ensuring the capability to manage their resources and forests is the answer for ensuring
livelihood security.
References
Chambers, R. and Conway, G.R. 1992. ‘Sustainable Rural Livelihoods: Practical Concepts for
the 21st Century’, Discussion Paper 296. Brighton, UK: Institute of Development Studies.
Diamantidis, Antonis.2008. Community forest management: A new and inspiring FoEI

publication. Issue 130 - May 2008 [On-line]. Available:
http://www.wrm.org.uy/bulletin/130/viewpoint.html#inicio Access date: May 5, 2010.
Dose, Henriette. 2007. Securing Household Income among Small-scale Farmers in Kakamega
District:Possibilities and Limitations of Diversification.GIGA working paper 41/2007. On-
line]. Available: http://repec.giga-hamburg.de/pdf/giga_07_wp41_dose.pdf Access date:
May 5, 2010.
Frankenberger, T..1996. Measuring household livelihood security: an approach for reducing

absolute poverty. Paper prepared for the Applied Anthropology Meetings, Baltimore, MD,
March.
Hailu, Zegeye. 1992. Methodologies to Assess the Sustainability of Farming Systems. Working
paper prepared for the Farm Management and Production Economics Service, Agricultural
Services Division, FAO. September 1992. FAO, Rome.
Maxwell, S. and T. Frankenberger. 1992 Household Food Security: Concepts, Indicators and
Measurements: A Technical Review. New York and Rome: UNICEF and IFAD.
Sadler, B. 1988. Cited in Sustainable Development and State of the Environment Reporting
Branch.
Wichawutipong, Janesak. 2005.Thailand communities Forests. [On-line]. Available:

http://www.recoftc.org/site/fileadmin/docs/publications/The_Grey_Zone/2006/CF_Forum/
policy_thai.pdf Access date: June 13, 2010.
WCED. (World Commission on Environment and Development) 1987. Our Common Future.
"The Brundtland Report". Oxford University Press, Oxford, UK.
WRI/ UNEP/ UNWDP. World Resources 1992-93. New York: Oxford University Press.

Ken-ichi Yonezawa and Midori Aoyagi-Usuia
Scenario Analysis of Generational Change of Farmland

Managers for a Depopulated Rural Community
in Japanese Less Favored Areas

National Institute for Environmental Studies, Japan
yonezawa.kenichi@nies.go.jp
Abstract
We conducted a scenario analysis to estimate the possibility of continuing farmland management

in the next decade in a depopulated, rural community in Tokamachi-city in Niigata, Japan. As a
result, farmland management would be succeeded from the elderly farmers when the farm
managers of the next generation manage the farmland co-operatively. It is uncertain that the
successors of the elderly farmers can succeed all the farm work because they do not live in the
community and have off-farm jobs. Farm managers who retire from off-farm jobs were expected
to increase the number of days spent farming and contract the farm work of the successors.
Improvement of farming efficiency by farmland consolidation and co-operative farming would
play a major role in contracting the farm work of the successors to prevent abandonment of their
farmland. However, there is the possibility that abandonment of farmland in disadvantageous
agricultural conditions would progress, considering some risks not included this estimation.
Keywords: Land abandonment, Land-use change, Multifunctionality of agriculture, Direct

payment
Introduction
In Japanese less-favored areas (LFAs), which are commonly found in hilly and
mountainous rural areas of Japan, depopulation and ageing of the population are
progressing rapidly due to disadvantageous agricultural and socioeconomic conditions
(Ohono 2003; OECD 2009). In Japanese LFAs, farmland abandonment and decline of
rural communities are continuing, and there is considerable concern that decline of
these LFAs will cause a loss of beneficial functions provided by agriculture, the
so-called multifunctionality of agriculture (OECD 2001), such as providing good rural
landscapes (Fukamachi et al. 2001; Takeuchi et al. 2003), biodiversity (Kato et al.
2009), landslide prevention and water retention (Kato et al. 1997). In the next decade,
elderly farmers born before WWII will retire from farming; therefore, generational
change of farmland managers is an urgent issue to prevent farmland abandonment.
This study aims to evaluate the possibility of continuing farmland management in

the next decade at a community in the LFAs. Endo (1999) has developed a
methodology to determine farmland to continue farming by residents of a community,
and Endo (2004) showed the result of a land-use simulation based on the methodology

Scenario Analysis of Generational Change of Farmland Managers for a Depopulated Rural Community in
Japanese Less Favored Areas
in 1999. This methodology requires detailed surveys of all farm households in a

community; therefore, it is difficult to apply the methodology to many communities.
Yagi et al (2004) and Yagi (2010) reported a methodology involving land-use modeling
for farm management plan. However, this methodology was not compatible for
small-scale farming and required detailed data of farm works. Our study examines a
methodology to estimate land use at a community scale by using not detailed data that
is required intensive surveys to collect, but available data in common, for general
application of this methodology to the communities in the LFAs.
Method
Agricultural conditions of the study site
We selected a rural community as a study site in Tokamachi-city, in Niigata, Japan.

The community is located in the uppermost stream of the tributary of the Shinano River
at an altitude of approximately 450 m. Single, wet-rice farming is common in the region
because of heavy snow accumulation. Field surveys were conducted to identify
agricultural conditions of farmland, and interview surveys were given to farmers living
in the community to recognize the situation of farm management of each farm
household in November (2009) and January (2010).
Table 1 Changes in the area of farmland, its population, and in the farm household.
2
The Area of Farmland (m ) % of total area
Number of % of poplation of
of farmland Number of
year poplation of farm farm households
Paddy field Upland field Orchard Total compared to farm households
households compared to 1970
1970
1970 29,200 7,500 2,400 39,100 100% 33 190 100%
1975 22,300 5,370 560 28,230 72% 30 151 79%
1980 22,690 4,530 630 27,850 71% 25 127 67%
1985 20,510 2,570 0 23,080 59% 23 110 58%
1990 17,670 2,430 0 20,100 51% 21 99 52%
1995 16,450 2,670 0 19,120 49% 19 82 43%
2000 15,500 2,430 0 17,930 46% 18 71 37%
2005 17,350 1,910 0 19,260 49% 18 61 32%
Source: Census of Agriculture and Forestry.
Farmland in the community decreases continuously, and depopulation and aging of

the population are ongoing (Table 1). Farmland that disappeared was converted to cedar
tree plantations, protected forests for water retention, or abandoned (Map 1). Farm
managers who are 70 years old and over are defined as 1st generation managers, and
farm managers who are under 70 years old are defined as 2nd generation managers
(Table 2). The 1st generation managers are expected to retire from farming in the next
decade due to ageing. Many of the successors of the 1st generation managers, who live
in urban area approximately 30 minutes away from the community, help with farm
work during holidays and during the busy farming season. All of the 2nd generation
managers have off-farm jobs, and they mainly manage their farms during holidays.
Almost all the farm households obtain their main income from the off-farm jobs. Farm
households manage their farm independently and possess the necessary farm

machinery. All of the farm managers participate in a community-based agreement, the

Direct Payment measure to Farmers in Hilly and Mountainous Areas (the LFAs
measure). To receive the subsidy of the LFAs measure, farmers are required to make a
farmers’ group and agree to continue farming and participate in the co-operative
activities of the group for five years. In fiscal year 2009, land consolidation started at
the farmland as shown in Map 2. After consolidation, cooperative farm management
with joint ownership of farm machinery was planned among the farmers.
Table 2. Age of the farm managers in the community and the area of
　　　　　
Man 1 st Generation 2nd Generation The area of
ager （70 years old （30-69 years paddy field
No. and over） old） (m2)
The manager died in 2009. The farmland is managed by the
1 83 8,288
community. The manager No. 10 cultivates a part of the farmland.
The 2nd Gen.56 and the daughter's husband of the manager help
2 82 56 10,717
with the farm work.
3 82 52 16,384 The 2nd Gen.52 helps with the farm work.
4 81 6,592 Contracting the farm works out to the manager No. 12.
6 78 45 9,622 The 2nd Gen.45 living in Tokyo helps with the farm work.
(A (B
8 68 12,586 The son 40 of the manager helps with the farm work.
9 65 10,030 The daughter's husband of the manager helps with the farm work.
10 61 9,701
11 60 3,179
12 59 10,424
13 59 275 Contracting the farm works out to the manager No. 10.
14 58 8,194
15 58 7,682
16 56 16,833
17 51 3,914
18 50 17,225
19 47 10,398
20 (C 46 9,504
Note: Italic characters mean the persons who live in the neighboring urban area of the community.
(A) the 1st generation managers, (B) the successors of the 1st generation managers, (C) the 2nd
Source: Interviews.
Scenario Setting
This study evaluates the possibility of continued management of paddy fields in the
next decade by examining three scenarios. Upland fields are excluded from the target of
this estimation because upland farming is not the main source of agricultural
production. Scenario 1 (Farm household-based management by successors) assumes
that farmland managed by the 1st generation managers would be maintained by their
successors. Scenario 2 (Farmland management by contracting farm work to farmers
living in the community) assumes that the farmland managed by the 1st generation
managers would be maintained by farmers living in the community. Some 2nd
generation managers will retire from off-farm jobs, and after retirement. They will be

able to increase the number of days spent in farming and will be able to contract the
farm work of the successors of the 1st generation managers. Scenario 3 (Farmland
management by the farm organization with land consolidation) assumes that the
farmland managed by the 1st generation managers will be maintained by the farm
organization after land consolidation. The efficiency of farm work is expected to
improve. Scenario 3 is the ongoing situation of the community, while Scenarios 1 and 2
are transitional situations to attain Scenario 3.
Farmland managed by the 1st

Generation
Farmland managed by the 2nd
Generation
Farmland disappeared in the
past
Road
Building
Map 1. Distribution of farmland in the community
Note: The farmland plots inside the dotted circles are under the land consolidation.
Source: This map contains Fundamental Geospatial Data provided from the Geospatial Information Authority
of Japan.
Indicators for the scenario analysis
The indicators for the estimation were selected from both statistical and GIS data.
The result of the estimation was interpreted from the result of the interview survey.
Two main factors which would increase the manageable area of paddy fields were
taken into consideration. First, an increase in the 2nd generation managers in the farm
labor force due to retirement from off-farm jobs was assumed. To estimate changes in
the farm labor force after their retirement, the number of days the farm managers spend
farming was adopted as an indicator. Second, improvement in farming efficiency due to
land consolidation was assumed. This improvement was estimated with an indicator of

farming efficiency of agricultural machinery use. On the other hand, disadvantageous

agricultural conditions of paddy fields were assumed to be main factors that decrease
the manageable area of paddy fields. To estimate the agricultural conditions, the area
and the slope of farmland plots were adopted as indicators. Of course, there are the
other important indicators that determine the possibility of continued farmland
management. However, it is difficult to obtain data for the quantitative analysis. The
impacts of the other indicators that affect the result of the estimation were considered in
the discussion section.
Increase in the farm managers in the farm labor force due to retirement from
off-farm jobs
To estimate the increase in the number of days spent in farming after retirement
from off-farm jobs, the difference in the number of days spent in farming before and
after retirement were compared. The age of retirement from off-farm jobs was assumed
to be 65 years old. In Table 3, the number of people who are engaged in farming was
categorized according to ranges of working days including the following: 1~29, 30~59,
60~99, 100~149, 150~199, 200~249, or 250 days and over. The median of the working
days of each category was 15, 45, 75, 125, 175, 225, and 308 days. The number of days
spent farming before and after retirement was estimated by multiplying “the median of
the working days” by “the number of the farm managers who engaged in farming”. The
estimated average number of days spent in farming before and after retirement was 109
and 149 days. Therefore, the number of days spent in farming after retirement was 1.37
times greater compared to the number of days spent in farming before retirement
(149/109). We estimated the increase in the area of paddy fields after retirement by
multiplying “the area of paddy fields that were managed by farm mangers who will
retire from their off-farm jobs (71,618 m2)” by “the retirement coefficient (1.37)”.
Table 3. The number of members of the farm households by their working days spent
farming in a year (upper) and their estimated working days spent farming
(lower). (Unit: persons)
1-29 30-59 60-99 100-149 150-199 200-249 250 days
Working days for farming Total
days days days days days days and over
Farm manager 0 3 3 7 1 4 0 18
Under 65 years old 0 2 3 2 1 1 0 9
65 years old and over 0 1 0 5 0 3 0 9
Farm manager's family 7 2 0 1 0 0 0 10
The successors 0 1 0 0 0 0 0 1
The successors who live in neighboring
3 1 0 0 0 0 0 4
urban area of the community
The families except the successors 4 1 0 1 0 0 0 6
Source: Census of Agriculture and Forestry, 2005. (Unit: days)
Median of the working days for farming 15 days 45 days 80 days 125 days 175 days 225 days 308 days Total Ave.
Estimated working days of the managers 0 135 240 875 175 900 0 2,325 129
Farm managers (under 65 years old) 0 90 240 250 175 225 0 980 109
Farm managers (65 years old and over) 0 45 0 625 0 675 0 1,345 149
Estimated working days of the family 105 90 0 125 0 0 0 320 29

Improvement in farming efficiency due to land consolidation
Improvement in efficiency of 1,000
Manageable area (m2/hour)

agricultural machinery use by 900
land consolidation is estimated in 800
Scenario 3. In general, the 700
standard size of a farmland plot 600
constructed by land consolidation 500
is 3,000 m2. However, the slope 400
of the farmland of the community
00
00
00
0
0
10
30
50
70
90
is too steep to construct this
11
13
15
standard size plot. The planned The area of a farmland plot (m2)
construction map was not
available, therefore we assumed : The manageable area (A) is estimated from the
the average area of a farmland following expression:
plot after consolidation to be A = 3600 ･ w ･ v ･ Ee/100,
2
1,500 m . The mean area of the Ee = 17.7log10I+22.1,
existing farmland plots under where Ee: cultivating efficiency (%), I: the area of a
2
consolidation is 576 m . Togashi farmland plot (are), w: the width of cultivation (m), v:
et al. (1995) reported expressions the speed of cultivation (m/s). The variables w and v
to estimate farming efficiency of were set as follows; w=1.2, v=0.5.
agricultural machinery use by the
size and shape of a farmland plot. Figure 1. Farming efficiency of agricultural
The larger the area of a farmland
plot the higher is the chance of improving efficiency (Fig. 1). The manageable area
(m2/hour) increases approximately 1.2 times compared to the average area of a
farmland plot before consolidation (576 m2), with an assumed area of a farmland plot
after consolidation of 1,500 m2. Therefore, the increased area of paddy fields after
consolidation was estimated by multiplying “the area of paddy fields under
consolidation (107,127 m2)” by “the consolidation coefficient (1.2)”.
Disadvantageous agricultural conditions: the area of farmland plots
The area of a farmland plot determines farming efficiency of agricultural machinery

use. The area of the disappeared farmland plots is relatively smaller than the area of the
existing farmland plots (Fig. 2). The farmland that disappeared was depicted from aerial
photographs taken in 1974 (Map 2). The size and shape of farmland plots in 1974 was
not suitable to the present-day agricultural machinery use. Therefore, the area of
existing farmland was expanded to suit present-day agricultural machinery use, and the
area of the farmland plots that disappeared is assumed to be due to disadvantageous
conditions for the community. To identify the threshold of the area of farmland plots
that divides the existing and disappeared farmland, a discriminant analysis of
Classification and Regression Tree (CART) was conducted. As the result of the CART
analysis, the threshold of the area was identified as 248 m2 (misclassification ratio:
19.5％). A total of 12,382 m2 of the existing farmland plots is less than the threshold
(248 m2).

30%
% of Num. of the existing farmland plots
30%
25% % of Num. of the disappeared farmland plots
% of Num. of the existing farmland plots
20%
25% % of Num. of the disappeared farmland plots
20%
15%
10%
15%
10%
5%
0%
5%
9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9
0% ~4 ~9 19 29 39 49 59 69 79 89 99 109 119 129 139 149 00~
50 00~ 00~ 00~ 00~ 00~ 00~ 00~ 00~ 00~ 0~ 0~ 0~ 0~ 0~ 15 2
4 9 919 929 939 949 959 969 979 989 99 0909 1909 2909 3909 4909 99 0~ (m )
~ 0 ~ 1 2 3 4 5 6 7 8 19 10 1
1 12 13 4 0
12% 5 00~ 00~ 00~ 00~ 00~ 00~ 00~ 00~ 00~ 0~1 0~1 0~1 0~1 0~1 15
1 2 3 4 5 6 7 8 9 00 10 20 30 40
%1of Num.
1 of1the existing
1 1farmland plots
10%
% of Num. of the disappeared farmland plots
8%
6%
4%
2%
0%
0
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
>=25
(Degrees)
Figure 2. Histograms of the area (upper) and the slope (lower) of farmland plots
by the existing and disappeared farmland
Disadvantageous agricultural conditions: the slope of farmland
The slope of farmland determines farming efficiency of some farm work, such as
mowing, and steeper slope conditions become more disadvantageous. In general, paddy
fields whose gradient is 1/20 (approximately 2.7 degrees) and over are defined as steep
slope. Almost all paddy fields in the community have steep slopes (Fig. 2). To identify
the disadvantageous slope conditions for the community, the difference in slope
conditions of the existing and disappeared farmland were compared. The slope raster
data of a 1-m grid was prepared to calculate the slope of each farmland plot. The slope
mesh data was generated from a digital elevation model (DEM) of a 1-m grid. The
DEM of a 1-m grid was estimated from the DEM of a 10-m grid provided from the
Geospatial Information Authority of Japan. The minimum slope mesh overlapped with
the vector data of each farmland plot was adopted as the representative slope of each
farmland plot because paddy fields are ordinary cultivated on the most gentle slope
locations. The threshold of the slope that divides the existing and disappeared farmland
was identified as 11.7 degrees by the CART analysis (Misclassification ratio: 34.1%).
A total of 52,695 m2 of the existing farmland plots were over the threshold (11.7
degrees).

Table 4 The result of the estimation of each scenario

2
Scenario 1 Scenario 2 Scenario 3 (Unit: m )
Paddy field 1st Gen. manages 69,185 69,185 69,185
Paddy field Increase by the
0 26,332 26,332
the farm managers of retirement
nd Increase by the
2 Gen can manage 0 0 21,425
consolidation
Paddy field the successors have to
69,185 42,853 21,428
succeed the management
Table 5 Estimated area of paddy fields in disadvantageous agricultural conditions

The slope of farmland plot 2
Total (Unit: m )
>=11.7 degrees <11.7 degrees
The area of <248m2 6,914 (4,574) 5,468 (2,557) 12,382 (7,131)
farmland plot >=248m2 45,781 (28,248) 145,847 (61,504) 19,1628 (89,752)
Total 52,695 (32,822) 151,315 (64,061) 204,010 (96,833)
Note: The numbers inside the parentheses are the areas which are not under land consolidation.
Result and Discussion
Scenario 1: Farm household-based management by successors
Table 4 shows the results of the estimation for each scenario. Paddy fields that were
managed by the 1st generation managers were 84,065 m2 in size. The 1st generation
manager No. 1 and 4 already contracted farm work out to the 2nd generation managers.
The five successors have to succeed management of paddy fields (69,185 m2) from the
1st generation managers, although the successors do not live in the community. Farm
management by commuting from the urban area is not impossible because farm
manager No. 20 already manages his farmland, although he lives in an urban area.
However, the farmland would be difficult to manage frequently as compared to farm
managers living in the community.
Successor No. 6 would have to contract farm work out because he lives in Tokyo.
The successors will have to increase the number of days spent farming approximately
three to five times to equal the number of days spent in farming by the 2nd generation
managers (Table 3). It is assumed that contracting the farm work out to farm managers
living in the community is essential for the successors. In the estimation, the farm labor
force composed of the farm managers’ families was not considered. As shown in
Table 3, farm managers’ families spent an average of 29 days in farming. The farm
managers’ family is recognized as supplemental labor force. However, their help is
essential, especially for the 1st generation managers during busy farming seasons
because almost all of the 1st generation managers are supported by their families.

Scenario 2: Farmland management by contracting the farm work to farmers living in

the community
The six farm managers of the 2nd generation, who manage 71,618 m2 of paddy
fields, will retire from their off-farm jobs. The manageable area of paddy fields that
increase after retirement was estimated to be 97,500 m2 by multiplying 71,618 m2 by
the retirement coefficient (1.37). The increase of manageable area compared to before
retirement was estimated to be 26,332 m2 by subtracting 71,618 m2 from 97,500 m2.
This increase is not enough to contract all farmland management that the successors
have as shown in Scenario 1 (69,185 m2). In this estimation, surplus of the farm labor
force of the 2nd generation managers before retirement was not considered. Some 2nd
generation managers would have a surplus of farm labor force before retirement, and
they could contract farm work if they had the opportunity.
Scenario 3: Farmland management by the farm organization with land consolidation
The area of paddy fields under consolidation was 107,127 m2. The manageable area
of paddy fields that increase after consolidation was estimated to be 128,552 m2 by
multiplying 107,127 m2 by the consolidation coefficient (1.2). The increase in the area
compared to before consolidation was estimated to be 21,425 m2 by subtracting
107,127 m2 from 128,552 m2. The area of paddy fields the successors have to manage
in the case of Scenario 3 becomes 20,356 m2 by subtracting the increase of the area by
retirement (26,332 m2) and consolidation (21,425 m2) from the area of paddy fields that
the successors have to succeed the management (69,185 m2) in the case of Scenario 1.
Regarding this estimation, a cooperative farming in which farm work is shared among
the members of the farm organization is essential to increase the manageable area.
Possibility of farmland abandonment in disadvantageous agricultural conditions
According to the results of the scenario analysis, almost all of the management of
paddy fields would be able to succeed. However, there is the possibility that no one
would prefer or could afford to succeed because the management of paddy fields in
disadvantageous conditions is unprofitable and inefficient. Table 5 shows the estimated
area of paddy fields in disadvantageous conditions. These paddy fields that are steeper
and smaller plots would be preferentially abandoned. The estimated area of paddy
fields in disadvantageous conditions would increase when other important indicators
that determine disadvantageous conditions, such as the difficulties in management of
farm roads, waterways, and reservoirs, are taken into consideration. The reason for the
relatively high misclassification ratio of the slope of the farmland plots is assumed to be
because of the shortage of water supply, which was an important factor to abandon
farming considering the location of the disappeared farmland.

Economic factors have both incentives to continue or abandon farm management.

Agricultural subsidy is essential to continue farmland management in disadvantageous
conditions. Approximately 95% of the cost of land consolidation in the community is
subsidized by the national and local governments. The farmers who participate in the
community-based agreement are paid more than 5 million yen annually by the LFAs
measure. Abolition or reduction of the subsidy is a factor favoring abandonment of
farm management.
Some risks of farmland abandonment are assumed. The retirement of the 2nd
generation managers from farming is the most realistic risk. Farm manager No. 1
retired from farming suddenly in 2008. A part of his farmland was managed by the
community-based agreement to comply with the requirement of the LFAs measure.
However, his farmland that was in disadvantageous conditions was abandoned in fiscal
year 2010, corresponding to the revision of the LFAs measure. Natural disasters
become a factor of abandonment of farm management. Some damaged waterways that
were suffered the disasters of the Niitata chuetsu earthquake in 2004 could not be
restored and, therefore, were abandoned.
Management of farmland in disadvantageous agricultural conditions
Some farmlands in disadvantageous conditions were managed for non-agricultural

production purposes. Approximately 30% of the area of paddy fields was fallowed or
changed for producing upland crops to comply with production adjustment program.
Paddy fields in disadvantageous conditions were preferentially fallowed. The revision
of agricultural policies in fiscal year 2010 does not permit fallowing in principle.
Farmland has to be cultivated for production purposes. There is a concern that farmland
abandonment will progress because it is unprofitable and inefficient to cultivate
farmland in disadvantageous conditions. Some farmland in disadvantageous conditions
was provided for developing high value agricultural products and experiential farmland
for a homestay program to teach agriculture to elementary school students with the
support of the LFAs measure. The abandoned farmland had been converted to an
afforestation site. Cedar tree plantations have less incentive due to unprofitability.
Some abandoned farmlands were converted to protected forest for water retention; the
afforestation of a protected forest is financially supported. However, designation of a
protected forest is not popular due to strong restrictions against the use of the forest.
These supports for land management of non-agricultural production would be essential
to prevent land abandonment.
Conclusion
This study estimated the possibility of continuing farmland management in the next
decade for a depopulated, rural community. The results of the estimation are as follows:
(1) Farm management by the 1st generation managers would be succeeded by 2nd
generation managers (who retire from off-farm jobs) who would contract farm work
from the successors. (2) Farmland consolidation accompanying co-operative farm
management would decrease the risk of farmland abandonment. (3) There are concerns
that abandonment of farmland, especially in disadvantageous agricultural conditions,

progresses because of the uncertainty of the succession of farm management from the
1st generation managers by the successors who do not live in the community and have
off-farm jobs. To apply the methodology of this study to other communities, it is
necessary to verify the results of the estimations, which should improve the method of
the estimation.
Acknowledgment
This work was supported by KAKENHI (21248028). We are grateful to the people
of the study site for helping with the survey.
Note
1) Figure 4 shows the estimation of a rice planting machine. Togashi et al. (1995)
reported the expressions for harrowing and cultivating using a tractor. The
coefficients (harrowing: 1.35, cultivation: 1.24) were similar in the case of rice
planting. Therefore, the minimum coefficient was adopted for the estimation.
References
Endo, K. 1999. "Development of a Land Use Classification Method, Which Aims Distinguish
Agricultural Land to be Conserved on Residents’ Determinations in Hilly and Mountainous
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Abstract)
Endo, K. 2004. "A Simulation Method of Agricultural Land Use about Terrace Paddy Fields.
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and its causality in Kamiseya, Kyoto Prefecture, Japan between 1970 and 1995.
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Favored Areas & Regional Revitalization. Tokyo: Tsukuba-Shobo. pp. 51-102.
Takeuchi, K., Brown, R.D., Washitani, I., Tsunekawa, A., and Yokohari, M. (Eds.). 2003.
Satoyama - The traditional rural landscape of Japan -. Tokyo: Springer.

Togashi, C., Matsumori, K, and Sasaki, K. 1995. "On the Change of Capacity Accompanied by
the Increase of Field Lot in Size - III. Analysis by Effective Field Efficiency -. "Japanese
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Yagi, H. and Nagaki, M. 2004. "Capability of Large-Scale Rice Farms on the Production
Facilities in the Mountainous Area - Normative Model Considering Direct Income Support
- . "Transactions of Rural Planning, No. 6. pp. 169-174. (In Japanese with English
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Rural Planning, Vol. 28. pp. 405-411. (In Japanese with English Abstract)

Masatoshi Uehara
The Life After a Great Transformation:

Social Capital and Community-Groups in
Rural Northeast Thailand
Masatoshi Uehara
Doctoral Program
Graduate School of Media and Governance
Keio University, Japan
masatosi@sfc.keio.ac.jp
Abstract
This research aims to examine how people in rural northeast Thailand, particularly landless
farmers, have coped with and survived the market-economy penetration. I call attention
specifically to the formations of community-groups.
Landless farmers have greatly increased since 1970s, as a result of the population increase,
disappearance of frontiers and the continued practice of equal division of land among the
inheritors. Additionally, the highly labour-saving urban formal sector has failed to absorb these
“surplus” labours, leaving most of them surviving in rural areas. In the mean time, the economic
boom of the early 90s accelerated the penetration of market economy into the rural area where
these landless farmers decisively lack the means – cash income – of procuring goods and
services. Thus, how to secure access to goods and services has become a critical issue.
My observations in one village in Khon-Kaen province reveal that the villagers, since the 1990s,
have organized over 15 community-groups such as “community-bank” or “community-market”
as an important means to supplement the lack of cash income. These groups often help the
villagers reduce the transaction costs when they access the market.
By focusing on the workings of social relationship called “Yart-Sanit” or “close relatives”, this
presentation evaluates: 1) how they turn conventional social relations into community-groups;
2)the degree to which the community-groups help reduce the cost of procuring goods and
services for the villagers; and 3)who can and who cannot benefit from this extra market factor.
Keywords: Northeast Thailand, landless farmers, market-economy, community-groups

The Life After a Great Transformation: Social Capital and Community-Groups in Rural Northeast Thailand
Introduction
In this paper I will depict the life of the landless farmers who are trying to cope with
hardships incurred by development in rural northeast Thailand in order to deliver
important issues regarding “empowerment”.
Rural northeast Thailand has been described as a region which has suffered from
negative impacts of the development policies since 1960s and, as a result, the region has
various difficult problems such as “poverty”. According to the World Bank report in
1950s, life in rural villages in the region was “comfortable”, even though there was not
much money. This contrast before and after the development means that there have been
many problems which have not been resolved or newly arisen through the process of
development while national economy has grown larger. Specifically, the problems are,
as NESDB indicates, disparities between urban and rural areas, deforestation, soil
contamination, fragmentation of farmlands, and increase in the number of marginal and
landless farmers. Though national development policies has promoted infrastructure,
improved living environment and boosted cash income, distribution of resources 1
which sustain farmers’ life in rural area have been deeply affected.
Increase in cash income does not always mean enhancement of resources needed
for life. Especially in rural areas where the market mechanism has not been functioned
perfectly, procurements of goods and services largely rely on “extra-market resources”,
resources which enable people in rural communities to access the goods and services
without market transactions. It takes long time before benefits of national development
have “trickled down” and transaction costs are still high because of the “imperfect
market” condition in rural northeast Thailand.
Throughout the history of development, we have seen that there can be a few
decades of interval before the benefits of national economic development reach the local
level. People in local and rural communities, especially those in low-income
households, often find themselves trying to sustain and improve their lives under
conditions which have not been resolved only by national development policies. The
costs of national development are unevenly distributed among the country while
increases in the GNP or GDP are likewise unevenly distributed. In order to sustain and
improve the lives of the rural people in these conditions, the concept of
“empowerment”, has taken on quite a bit of importance 2 . Using questions of
1
As Shigetomi states, “this does not refer simply to natural resources, but also includes the notion of
goods and services belonging to the subject of economic activity” (Shigetomi, 1996: 10). Further, as
Sato points out, “it is not goods themselves, but goods that are made use of in order to pursue those
goals that are based on what people may on occasion find to be of value, which increases or
decreases according to the effects upon, valuings, and skills of the people concerned “(Sato, 2002:
29).
2
Empowerment, according to Umegaki, is that which “enables the conditions and capacities needed to
reduce the costs of information about the goods and services necessary to sustain life—to overcome
or to narrow the distance between oneself and that information”(Umegaki, 2005: 12). Through
providing information or knowledge, local people can aware their own problems and foster the
capacity to solve the problems. In that sense they are no longer beneficiaries of development but
actors of development (Sato, 2005).

Masatoshi Uehara
empowerment as a backdrop, my paper examines the various resources by which rural

people try to survive in the transition phase before development benefits reach them.
“Landless farmers”, on whom this research is focusing, are defined as those farmers
who have no farmland or very limited farmland. The lack of “means of production”
forces landless farmers to be tenant farmers or to be engaged in supplementary
day-labour in order to sustain their lives. Therefore, most of them are those who have
little cash income to procure goods and services on the market. High transaction costs,
caused by gaps in information and bargaining power, pretend landless farmers to access
the market. Usually, landless farmers cannot afford the costs incurred during
extraordinary times such as drought, accident, illness or other unforeseen problems.
They can hardly have choices to cope with the difficult situations. Hence, their lives
tend to be fragile and uncertain.
“Extra-market resources” perform an important role for rural people, and especially
for landless farmers to procure goods and services needed for their lives. These are
custom-based and private systems of transactions where cash is not the sole medium. In
rural northeast Thailand, people can borrow money from “community funds” and they
can obtain or exchange food among relatives and neighbours in the village. If landless
farmers are in trouble, they can also rely on these transactions. It is in fact quite difficult
for landless farmers to access resources only through the market, because transaction
costs are still high and they have insufficient funds to make use of market transactions.
Extra-market resources, in a way, may complement accessibility to goods and services
for people in rural communities. It has been reported that penetration of market
economy may demolish local reciprocal customs such as “long-kheak”, or labor
exchange, on which low-income households could rely in the past. Under the
circumstances landless farmers try to maintain, adapt and re-organise extra-market
resources.
Background
Rural Issues in Economic Development
In recent years, many of the ASEAN countries, most of which are developing
countries, have attained rapid economic development through what is sometimes
called the “latecomer's advantage”.3 However, the costs of development have weighed
more on certain areas and certain people than on others. There are wide gaps between
rich and poor, rural and urban areas. Thailand, often pointed as a successful example,
also has large disparities among the different populations and regions of the country. In
this section, I will explain how national economic development has affected rural
society and how the landless farmers have increased in rural areas of Thailand.
3
This refers to the transfer of capital, technology, and job skills to the ‘backward’ area or country
through foreign direct investment.

In Thailand, rapid economic growth began in the 1950s. The NEDPs (National
Economic Development Plans) began in 1961. 4 The government promoted the
cultivation of commercial crops such as rice, maize, cassava, sugarcane, and kenaf in
rural areas of the Northeast in order to obtain foreign currency. Since 1964, Vietnam
war had gained momentum. Under the influence of the war, infrastructure including the
Route 2, or so-called “Thanon Mittraphap(friendship highway)” had been constructed.
During the period, the market economy began to penetrate into rural society. While cash
income increased, expenditures also increased.
The increase in expenditures weighed heavily upon the household economies of

rural farmers. The agricultural sector supplied cheap food and raw materials to the urban
industrial sector in order to support national-level industrialization. On the other hand,
the people in this same sector had to begin to purchase more expensive
industrially-produced products. Consequently, a cleavage between urban and rural areas
arose, and expanded throughout the 1970s despite the policy efforts.5
At the same time, stratification was further aggravated within the rural areas. Before
the World War II, it had been said that Thailand was not serious in land problems
exceptionally (Kitahara, 1977). However, the present situation has been changed
completely. The “breakdown of the peasantry” is the model used by Toshio Watanabe,
which explains the sharp increase in landless farmers due to this stratification
(Watanabe, 2002). In Thailand, it is said that people have reclaimed and expanded the
farmland to sustain an increasing population for a long time. However, the “frontier”,
the lands which is available for reclamation, had almost disappeared by the 1970s.
Furthermore, the square area of farmland available for one farmer began to decrease
through the custom of “equal inheritance”. As a result, the number of marginal and
landless farmers began to increase.
The “breakdown of the peasantry” caused the rapid outflow of the rural population
to urban areas. However, the industrial sector in the urban area could not absorb the
whole population of job-seekers. For one thing, the industrial structure, mainly fostered
by foreign direct investment, was capital-intensive and labour-saving. Accordingly, the
excess labour supply resulted in a greatly expanded informal sector in both rural and
urban areas. In addition, the “breakdown of the peasantry” had a dramatic influence on
rural communities.
As suggested by Geertz’s “involution” model, rural people in Southeast Asian

countries had earlier organised their social lives in terms of territorial or geographical
connections and blood relations based on reciprocal help principles.6 Some research
indicates that these reciprocal help customs decay through the increasing disparity in
4
NEDP changed its name to NESDP, The National Economic and Social Development Plan, from the
time of the second plan.
5
Many studies have indicated a widening disparity between urban and rural areas in Thailand due to
economic development in Thailand (Dixon, 1999: 190-238; Kitahara, 1990: 255-284; Tasaka, 1991:
178-229).
6
Geertz describes the model of community which allocates labour and production among its members
in order to sustain an increasingly dense population (Geertz, 1963: 89-163, in the Japanese edition).

Masatoshi Uehara
wealth and drastic transformation of the rural society brought about by the phenomena
of modernization and penetration of the market economy. Thus, one consequence is that
while industrial growth and economic development have been achieved, the costs of
national development have been heavier for rural areas and people.
In 1975, the Thai government tried to tackle the issue of land problems. The
government promulgated laws for land reform which aimed, in principle, to re-distribute
public and private land to landless and marginal farmers. But the results were limited
due to budget shortfalls, opposition from landowners, and the effect of a military coup
at the time. As a result, the number of marginal and landless farmers is still large.7.
What may sustain the lives of landless farmers?
At first, my simple question was “why can so many landless farmers still stay in the
village despite the fact that they seem to have so few resources in the village?” It is said
that landless farmers constitute about 10% of rural population in Khon Kaen province.
Of course some of them migrate to urban areas or other villages seasonally or
temporarily but many of them still permanently live in their villages.
In classical development theories, farmers who lost their farmland were treated as a
“surplus” labour force and they were supposed to outflow and to be absorbed by the
industrial sector in urban areas. In reality, many of them have not moved to urban areas
even though such areas have a comparatively high “expected income”.8 How can they
then sustain their lives in the rural area, where people have to engage in labour that
offers only unstable employment relationships and a low cash income?
In order to earn their living, many landless farmers generally take unstable and
irregular day-labour jobs inside and outside of the villages. Of course, they cannot
always find employment even of this kind. And even if they luckily find employment,
they can get at most 200 Baht a day.9 Due to reasons such as their low cash income and
the incomplete penetration of the market economy,10 they have difficulty when they try
to access goods and services only through the market because the market mechanism is
still incomplete, meaning that there is still a high cost of accessing the market and it is
difficult for landless farmers to cover the cost. Thus, in this situation, they cannot
procure enough resources by means of their cash income only. Therefore, they attempt
to make use of extra-market resources such as community groups, relatives, and
neighbours to procure necessary goods and services in order to sustain and improve
their lives.
7
Suehiro described describes the process and the results of the 1975 land reform in Thailand (Suehiro,
1980: 83).
8
Todaro explained explains labour migration from the agricultural sector to the industrial sector by
using the concept of ‘expected income’ (Todaro, 1969: 138-148).
9
Approximately, 100 Baht is converted to approximately 3 U.S. Dollars.
10
“Market incompleteness” is defined as the imperfection (incompleteness) of the market function or
the lack of a market (Yonekura, 1995: 6-7).

When we approach the lives of people who cannot directly reap the benefits of
national economic development, the concept of “empowerment” becomes important.
Making use of extra-market resources is one means of self-empowerment. This study
focuses on the attempts and practices of self-empowerment in the concrete context of
landless farmers’ daily lives.
In order to examine the means by which landless farmers try to achieve this sort of
basic empowerment, I consider the three questions: 1) how they turn conventional social
relations into community-groups; 2) the degree to which the community-groups help
reduce the cost of procuring goods and services for the villagers; and 3) who can and
who cannot benefit from this extra market factor.
Research Methods
In order to clarify the questions relevant to my research, I observed the actions of

local people within the context of their respective circumstances. This is because the
three questions that focus on local people’s actions should also be understood from the
viewpoints and interpretations of local people. Therefore, this study required intensive
qualitative as well as quantitative research.
I went to the field eleven times between 2004 and 2010. My research sites are three
villages in Khon Kaen Province in Northeast Thailand. They are NP village, NW village
and BC village. I chose three villages which have somewhat different conditions such as
accessibility to the market, number of agricultural households and community groups.
In these eleven periods of field research, I did “semi-structured” interviews with

more than 100 households including those of the leaders of the villages, leaders of
community groups and ‘landless’ farmers. Each interview was conducted in the time
frame of about two hours.
I will focus here on northeast Thailand. Northeast Thailand is often called as

‘Esarn’ which is a nostalgic word referring to the countryside. Landscape here is
characterized by sparse woodland and parched earth contains red laterite. In the region,
soil fertility and amount of rainfall are the lowest.
The population of the region is approximately 20,759,899 which accounts for a

third of the entire population of Thailand and the number of the farm households is
2,653,391, which accounts for half of all farm households in the country. Most of the
farm households are growing rice, but the productivity is comparatively low because of
undeveloped irrigation systems, low rainfall, droughts, and sandy soil. Due to the poor
natural conditions, the farmers earn an average of only 4,337 Baht/household/month
while the people in the Greater Bangkok earn 24,690 Baht.
Khon Kaen Province is situated in the centre of Northeast Thailand and is the
focal point for the development of the region. I chose three villages which are in the
vicinity of the medium-sized city of Khon Kaen because I would be able to see the
process of market penetration and the local people’s response to it.

Masatoshi Uehara
Cases from the Field
Procurement of Resources under the Market Penetration
Through my research in the three villages, I have observed rural people’s reactions
and adoptions to the market penetration. Under the restricted situation such as resource
limited natural environment, disorganisation of reciprocal help customs and very low
income, rural people may not sufficiently procure goods and services only by the
market. Therefore, in order to complement the insufficient goods and services, they
sometimes mobilize their blood and territorial relationships including close relatives and
neighbours. Besides that, rural people newly organise community groups in order to
cope with the transformation of living conditions incurred by the market penetration.
What are the “Community Groups”?
Above all, “community groups” play an important role when rural people access
resources. “Community groups” are the groups where certain members administer
resources cooperatively and allocate the resources for reciprocal help. In the three
villages those groups are recognised by the villagers themselves as “glum-mubaan
(village groups)” or “glum-chumchon (community groups)”. There are a couple of
conditions to be a member of community groups: those who got approval from the head
of group, nomination from a member and payment of membership fee. Resources of
community groups are sometimes derived from outside organizations such as
government or NGOs and sometimes capitalized by local people themselves.
For instance, “1million baht fund” is started by the Thaksin administration in 2001
while “saving group” is funded by the villagers in 1992 in NW villages. However, both
of them are managed by villagers and providing credit at low interest to the members
when they need money to invest in income generation or cope with urgent situations.
“Saving group” of the NW village collects membership fees, 100 Baht each month and
loans money at a low interest rate of one percent per month. Only the members can use
this service. A member said that the saving union is very convenient, because he can
borrow money at lower interest than other formal financial institutions when the need
arises.
In addition, some community groups provide knowledge or information to the

members. “Organic agriculture groups” give the members expertise concerning organic
agriculture such as how to reduce the amount of chemical inputs and how to make
compost. The “organic agriculture group” of the NP village hosts a lecture for the
members every month. The group provides information and expertise in organic
agriculture in order to promote organic agriculture. Members talk about agricultural
problems and exchange advice at the meeting. Also, other groups have study meetings
on “how to make a small reservoir” or “how to get higher income by improving
agricultural methods”.

Furthermore, some groups can foster bargaining power of the members. The “silk
weaving group” in the NW village is a good example to illustrate that. In the NW
village, many women produce silk fabric on the side. They used to negotiate with
middlemen individually when they sold their products or bought the materials. But
middlemen often insisted on unreasonable prices. One important function of the
“silk-weaving group” is to improve the women’s bargaining power. The women team
up as a group to be able to negotiate on favourable terms.
In the three villages where I conducted research, each village has around ten
community groups and I observed various functions of them as given above. Their main
functions can be broken down as follows. They are “Credit exchange”, “share expertise
and information” and “improvement in bargaining power”. I have conducted research
on the activities of 20 community groups in the villages, and as a result, we can see 13
groups have the function of credit exchange. The reason why so many groups have the
function of credit exchange is that there is the strong need for short-term, small amounts
of financing at low interest. A villager from NW village said that he feels safe when he
borrows money from community groups in the village but he may feel insecure when he
borrows from the BAAC (bank of agriculture and agricultural cooperation) or other
commercial banks, because the community groups are flexible about repayment.
Most of the community groups were established from the late 1990s to the early
2000s. This coincided with the period of transportation and infrastructure constructions
which physically promoted the further market penetration in the rural villages. In
addition, it must be noted that the monetary crisis in 1997 may also have effects on the
establishment of the community groups, in terms of urgent need for absorbing rural
population returned from urban area where working opportunity had been decreased
suddenly by the recession.
Procurement of resources through extra-market transactions
Specific cases which describe rural people’s life may help us understand the
importance of extra-market methods. Now let me take a look at two ways of life, the
former deeply depends on extra-market and, on the other hand, the latter can not depend
on that.
Mrs. A is a landless farmer who lives in the NW village in Khon Kaen Province.
When I visited her, she was weaving silk textiles with her relatives and friends in the
front yard of her house. She lives with her husband. Her annual cash income is 25,000
Baht, which is the same as the average income of that village. When I interviewed her,
she said with a smile that she was satisfied with her life, although her income is not
high. She participates in 14 community groups including the “1 million baht fund”, “silk
weaving group” and so on. She can obtain various kinds of support such as food aid or
financial aid from those groups. In addition, she can get food or borrow money from
relatives in emergency situations. Moreover, she said that a companionship among
groups and neighbours makes her happy. In addition to accessing goods and services
through the groups and neighbours, she grows fruit and vegetables for domestic
consumption. That means she can access goods and services not only through the

Masatoshi Uehara
market but also through extra-market resources. In this way, she can procure resources
sufficiently, even though her cash income is not high.
When compared with Mrs. A’s life, Mrs. B’s life seems to be rather hard. Mrs. B is
also a landless farmer who lives in the NW village. She lives with her husband, two
daughters and an elder brother. When I interviewed her, her husband had gone to
Amphur Phon town near the village to look for a job. She and her husband are usually
hired by the day as construction labourers at the town. When hired, each of them
receives a daily wage of 120 Baht. She said that her family makes over 70,000 Baht in a
year. Compared with Mrs. A’s life above, their cash income is high. However, she said
that her life is difficult. She has no relatives and does not participate in any community
groups. One reason is that her family had just moved to the village. When she wishes to
access goods such as food, daily goods and information, she cannot rely on transactions
between herself and relatives or community groups. She cannot really rely on anyone
when the need arises. Therefore, she has to access resources only through the market.
As a result, her family needs to pay for procuring goods, and the expenditure heavily
weighs upon their life.
In rural northeast Thailand, many of the people still purchase goods and services;
thanks to the penetration of the market economy. However, the amount of one’s cash
income does not always determine the amount of the goods and services that one can
procure. We can infer the importance of extra-market resources through these two
contrasting ways of life.
“Exclusion” from the Community Groups
Despite its advantages for the low-income households, there are also problems in
extra-market mechanisms. As I mentioned above, community groups have various
functions and they are important for the rural people, especially for landless farmers.
However, not all landless farmers can participate in community groups. It is difficult to
participate in the groups if the person has not gained trust from any member of the
community.
Mr. C is a smallholder in NP village. He lives with his wife, son and two
grandchildren. He has six rai of farmland on paper, but in fact he has only five rai.11. He
rents the farmland to another villager and he gets a third of the harvest as tenant rent. He
works as a day labourer, but he earns only 1,800 Baht a year. Thus, his family depends
on his adult children for their cash income. The remittances from his children who are
25 and 27 years old amount to 14,000 Baht, less than he actually needs to survive. He
holds down his spending to some extent by growing vegetables and chickens in his
yard, but the cash income is absolutely lacking. Participation in community groups may
help him, but he does not participate in any. He explained this with a wry smile: “I
cannot participate in any community groups, because no one trusts me. If a person
wants to participate in a group, he should be allowed by the group head as long as he
can surely pay back the money to the group when he borrows it”.
11
The rai is a unit of land area in Thailand. 1 rai = 0.16 ha.

As he says, people who have little farmland and income tend to participate in the
groups. However, even though a person does not have enough farmland or money, he
has a chance to participate in the groups if he has a connection with the members. This
means that he or she must be in a position to access the key person who can secure
credit, and are thus the key to participation in community groups, especially in the
groups which finance loans to the members. There are landless farmers who really need
to participate in community groups as we have seen, but they are often excluded from
community groups because of not having enough credit to begin with. This is the
vicious circle of “exclusion”.
Conclusions
Rural northeast Thailand is a case showing/highlighting the rural society in society

in a transition phase. The market mechanism is now penetrating into every corner,
influencing the ways of life of the rural people. The rapid expansion of the cultivated
areas and the closure of the land frontier, which are attributed to pervasion of
commercial crops, brought about by the “breakdown of the peasantry” and created a
large number of marginal and landless farmers. However, those who suffer from the
side effects of economic development and market penetration are trying to cope with the
effects through organising their own mechanisms against these impacts in order to
sustain their lives on a daily basis.
The local people try to access and procure goods and services through extra-market
transactions such as transactions among community groups, neighbours and kin. These
extra-market transactions perform crucial functions especially for landless farmers even
when they still cannot procure enough resources. While extra-market transactions
contribute to the diversification of risks and procurement of recourses which can not be
provided only by the market, they still have the possibility of causing vulnerability and
problems such as “exclusion”.
Often, resources which are provided through extra-market transactions do not bring
about the real “improvement” in landless farmer’s lives. From the view point of
“empowerment”, the efficacy may be appraised as limited. Yet, they do need
extra-market transactions in order to survive and stay in the villages.
In the situation where further penetration of market economy can be highly

expected, we must not forget the importance of extra-market transactions for the rural
people and, at the same time, vulnerability of them. National development scheme,
which concerns for extra-market transactions and gently promote market economy, is
needed.
Acknowledgment
This research was partially supported by the Ministry of Education, Science, Sports
and Culture, Grant-in-Aid for Research Fellows of Japan Society for the Promotion of
Science (No. 5322, 2008 - 2009) and grants from Shonan-Fujisawa Campus of Keio
University, which enabled me to conduct the field research.

Masatoshi Uehara
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Trends and Regional Conditions in Irrigation and Drainage Canal Maintenance in Japan
Trends and Regional Conditions in Irrigation and

Drainage Canal Maintenance in Japan
Yasuko Honda
Graduate School of Agriculture, Kyoto University
yhonda`kais.kyoto-u.ac.jp
Abstract
From the analysis of the prefecture data of Census of Agriculture and Forestry 2005, the author
clarified the factors affecting the ways of maintaining irrigation and drainage canals (whether
rural communities maintained the canals by themselves or not and whether non-farmers had
obligations to participate in maintaining of the canals or not), as well as the regionality of the
maintenance. The main findings were as follows: (1) The declining functionality of farm
households and agricultural disadvantages associated with farmland location were more
important factors in deciding over the maintenance of the canals by the communities than the
increase of non-farmers; (2) More urbanized communities had less power to assign non-farmers
to the maintenance of canals; (3) Urbanized or depopulated communities were characterized by
having difficulty in maintaining the canals whereas the communities in the middle elevated
locations succeeded in keeping up their maintenance.;(4) There were regional differences
between the influences of the substandard farmland location on the maintenance of the canals
by communities.
Introduction
Irrigation and drainage canals serve not only as agricultural infrastructure for paddy
fields, but can also contribute to society in other ways, for example, in the reduction of
damage caused by typhoons or heavy rains and in the development of favorable
landscapes. In recent years, the increase of unexpected and localized torrential rains
accompanying global climate change has enhanced the significance of taking
advantage of the water-retaining capacity of paddy fields for flood control. It is crucial
to keep irrigation and drainage canals attached to paddy fields in good condition in
order to fulfill the anti-flooding capacity of paddy fields. Hence, the canals play a
greater role in conserving national land and retaining the living standards of local
residents.
Maintenance work is essential for the proper preservation of the canals (e.g.
cleaning up canals and mowing canal banks). In Japan, irrigation and drainage canals
have traditionally been maintained legally by the Land Improvement Districts that are
usually composed of several rural communities (Figure 1), but maintained practically
by rural communities’ residents’ associations, since most members of rural communities
were farm households, thus, users of the system (Okamoto 2003). Historically, farmers
have had irregularly dispersed small farmlands in Japan. Many farmers used water via
the same canals and they needed to work together to preserve the canals. In most cases,
rural communities possessed water rights and the responsibility to maintain the canals.

Yasuko Honda
All the residents, mostly farmers, participated in the maintenance. Maintaining the
canals as a community activity, also implies that other communities must recognize the
water rights of the community (Noguchi et al. 2002). However, in recent decades, there
have been many changes in rural communities: the increase in part-time farmers,
retirement of residents from farming due to low prices of farm produce, and increased
settlement by non-farmers. This has resulted in a decrease of the number of farm
households and a reduction of the ratio of farm households to total households in a
given community. The maintenance of irrigation and drainage canals has not been
mechanized as much as the mechanization of farm labor (e.g. introducing rice-planting
machines and rice-reaping machines) and thus, still requires much manpower.
Therefore, it is becoming difficult for the community to maintain the canals properly.
This in turn has harmful effects on rural environments and the lives of both farmers and
non-farmer residents.
Riverheads or Canals for paddy fields

Reservoirs
Rural community
Land Improvement District
Figure 1. Land Improvement District and rural communities
There is growing awareness that it is necessary to ask for more participation in the
maintenance of canals by non-farmers in order to cope with this problem (Nagahama
2003). It is reported by a survey entitled “Survey to measure farmers’ feelings about
maintenance and management of regional resources (agricultural land and water) in
rural communities,” published in February 2005 by the Ministry of Agriculture,
Forestry and Fisheries, that 87.1% of farmers hoped the non-farmers who lived in the
same community would participate in the maintenance of the resources. Reflecting this
widespread recognition, the government implemented a policy called “Measures to
Conserve and Improve Land, Water and Environment” that offered financial assistance
to rural communities by improving irrigation and drainage canals and encouraging
non-farmers to participate more positively in maintaining the canals in 2007.

Now that the preservation of irrigation and drainage canals is becoming an issue, it
is significant to grasp the condition of maintaining the canals precisely. Hashizume
(2008) used data from Census of Agriculture and Forestry 2005 to statistically show the
trends in rural communities’ activities, including the maintenance of canals. He found
that farmers had a greater tendency to maintain the canals individually (as opposed to
collectively) in communities with few farm households. Also, he found that the number
of participants became smaller and it took more time to maintain the canals in
mountainous agricultural areas than the others. Hence, he indicated that maintaining the
canals has become a great burden on farmers in recent years. Although a recent study
revealed the latest national trends on the maintenance of the canals, little is known about
important maintenance-related factors or aspects of regionality, such as inter-prefectural
differences in the maintenance of the canals. The purpose of this paper is to clarify
statistically the factors in the way to maintain the canals and the regional characteristics
of the maintenance.
Methodology
The data were derived from the Census of Agriculture and Forestry and national
census 2005 (Table 1). The author used data from each prefecture from the surveys.
There were 47 samples. To clarify the factors affecting the way of the maintenance of
irrigation and drainage canals, the author examined the correlation between the data
shown in Table 1. PCM and PCA were symbolized as ways of maintaining irrigation
and drainage canals. RCR, PCU, ANPC, PCP, and PCF represented the situation of
agricultural infrastructure such as farmlands and ponds. PP, PPE, ROH, ANPM, and
PCN exemplified the number and type of residents in the communities. Next, to clarify
the regionality of the maintenance, the hierarchical cluster analysis (Ward’s Method)
was done on the prefectural percentages of the communities maintaining the canals
between the regional categories defined by the Census of Agriculture and Forestry:
urban area, flat agricultural area, intermediate agricultural area, and mountainous
agricultural area.
Table 1 Definition of the data sets/variables used in the study.

Name Definition
PCM Percentage of communities maintaining irrigation and drainage canals by themselves (%)
PCA Percentage of communities assigning non-farmers to maintenance of the canals (%)
RCR Rate of communities in which ratio of paddy fields to all farmland is 70% or over (%)
PCU Percentage of communities with an urbanization zone (%)
ANPC Average number of ponds in a community (ponds)
PCP Percentage of communities with ponds (%)
PCF Percentage of community in which most farmlands slope steeply or gently (%)
PP Populations of prefectures in 2005 (person)
Percentage of population engaged in farming aged 65 years or over (commercial farm households)
PPE
(%)
ROH Rate of one-generation households to commercial farm households (%)
ANPM Average number of people who make up a farm household (total farm households) (person)
PCN Percentage of communities in which more than 70 percent are non-farm households (%)
Source: PP from national census 2005, the others from Census of Agriculture and Forestry 2005

Yasuko Honda
Factors affecting the Way of Maintenance of Irrigation and Drainage Canals

Factors in presiding over maintenance of irrigation and drainage canals by rural
communities
There are 11,090 target communities in the “Survey on Rural Communities”. 67

percent of communities surveyed maintained irrigation and drainage canals by
themselves or in cooperation with Land Improvement Districts and the local public.
PCM was correlated to RCR, ANPC, PCP, PCF, PPE, ANPM, ROH, and PP (Table 2).
Table 2. Correlation coefficient between PCM/ PCA and the each factors (n=47)
PCM PCA
r p r p
RCR 0.688 0.000 -0.010 0.472
PCU -0.247 0.047 -0.346 0.009
ANPC 0.570 0.000 0.016 0.457
PCP 0.414 0.002 -0.018 0.452
PCF 0.352 0.008 0.233 0.058
PP -0.328 0.012 -0.410 0.002
PPE 0.447 0.001 0.390 0.003
ROH -0.319 0.015 0.089 0.275
ANPM 0.337 0.010 -0.022 0.441
PCN -0.231 0.059 0.097 0.259
Source: Census of Agriculture and Forestry and national census 2005.
(%)
100
80
60
PCM
40
20
0 (%)
0 20 40 60 80 100
RCR
Figure 2 Scatter plot with PCM and RCR

Source: Census of Agriculture and Forestry 2005.

PCM became greater as RCR increased (Figure 2). The result suggested that the
communities in which rice farming was particularly significant, residents took the
initiative in maintaining irrigation and drainage canals. The outlying three prefectures
sat the bottom left, Okinawa (x=0.4%, y=14.8%), Tokyo (x=0%, y=33.3%), and
Kanagawa Prefecture (x=5.5%, y=28.6%) showed extremely low levels of both
percentages. Tokyo and Kanagawa are located in the center of the Tokyo metropolitan
area. This particular area has drastically increased population and the development of
housing land, and resulted in a great reduction in paddy field area within these
prefectures. As for Okinawa, main crop is not rice because Okinawa has a subtropical
climate.
Kawamoto (1983, pp.166-172) argued that because ponds had the limits of total
quantity of usable water, farmers had historically followed more strict customs to use
the water effectively in pond irrigation areas, and thus, communities in these areas had a
high attendance rate at rural community activities, including the maintenance of
irrigation and drainage canals. Therefore, the results of the positive correlation between
PCM and ANPC/ PCP lent support to his statement that the communities with ponds
showed a tendency to maintain the canals on their own. Furthermore, the high level of
PCF was the equivalent of an agricultural disadvantaged area. As a consequence, the
results indicated that the problems with farming, such as the difficulty in retaining water
supply and disadvantages in regard to farmland location strengthened the unity of the
community.
PPE represented the aging of farmers. Therefore, the result suggested that the aging
of farmers leads communities to undertake canal maintenance as well. In recent years,
the combination of aging and the nuclearization of the family have caused an increase in
the number of elderly households who cannot provide for what they need, adequately
owing to a decline in physical strength and a lack of financial leeway, which is
problematic and typically leads to nursing care. The decrease of ANPM and the rise of
ROH signified the decline of the functions of farm households. There was a weak
correlation between PCM and ANPM/ ROH. Given these results, there was a possibility
that the weakening of farm households makes it difficult for the communities to keep
maintaining the canals. It was noteworthy that it was not the aging of the people
engaged in farming, but rather the weakening of farm households that was a factor
affecting whether communities presided over the maintenance of the canals or not. As
Akitsu (1986) pointed out, the participation of farmers in the maintenance of the canals
was closely related with their ownership of paddy fields. These results also justified that
participating in the maintenance of the canals aligned with the retention of land
ownership for farm households.
Incidentally, there was a weak correlation between PCM and PP. Moreover, there
was no correlation between PCA and PCN. The results suggested that the growth in the
number and the rate of non-farmers did not necessarily have a harmful influence upon
maintaining the canals by the community. Accordingly, it implied that whether the
communities presided over the maintenance of the canals or not depended less on
non-farmers’ situations than on farmers’ situations.

Yasuko Honda
Factors affecting non-farmers’ style of participating in maintenances of irrigation and

drainage canals
In the 36% of 74,770 communities conducting the maintenance of irrigation and

drainage canals, not only farmers and households with farmlands but also non-farmers
had obligations to participate in maintaining of the canals. PCA was correlated with PP,
PCU, and PPE (Table 2).
PCA fell as PP increased (Figure 3). The growth of the prefectural population
represented that the scales of the communities and the cities near them were large or
have expanded. An urbanization zone designated by City Planning Law is the area in
which farmlands are comparatively easily allowed to convert to other uses, and thus has
a greater tendency to increase populations than others. Therefore the increase in PP and
the rise of PCU denoted the urbanization of the communities. The results showed that
the communities with deeper urbanization had less power to assign non-farmers to
maintaining the canals. There was something surprising that the rise of PPE raised PCA.
It could be explained by the fact that farmers at the critical aging strongly requested
non-farmers to participate in the maintenance of the canals.
(%)
80
70
60
50
PCA 40
30
20
10
(10,000 persons)
0
0 500 PP 1,000 1,500
Figure 3 Scattor plot with PCA and PP

Source: Census of Agriculture and Forestry and national census 2005
Regionality of Maintaining Irrigation and Drainage Canals by Rural Communities
The Census of Agriculture and Forestry 2005 displayed the data by four regional
categories: urban area, flat agricultural area, intermediate agricultural area, and
mountainous agricultural area. The percentages of the communities maintaining
irrigation and drainage canals on their own were 67% in urban area, 70% in flat area,
68% in intermediate area, and 61% in mountainous area. These data appeared to
indicate that the communities in substandard area such as mountainous area were

difficult to undertake the maintenance of the canals, but it might not be true to all
prefectures. Therefore, the hierarchical cluster analysis (Ward’s Method) was conducted
on PCM between the regional categories. The results are presented in Figure 4. All
prefectures were divided into two main groups (Cluster I and Cluster II) and were
classified into five subcategories (Cluster III, IV, V, VI, VII). As shown in Figure 5 , the
prefectures in Cluster I are distributed over the center of Honshu (the main island) and
the northern part of Kyushu, whereas, the prefectures in Cluster II are distributed in the
Tokyo metropolitan area, the northern part of Honshu, Shikoku, and the southern part of
Kyushu. In addition, the prefectures in Cluster III are the center of the metropolitan area
and Okinawa islands (Figure 6).
Distance
Miyagi
Gifu
Ooita
Fukui
Niigata
Wakayama
Okayama ClusterⅣ
Kagawa
Yamanasi
Mie
Nara ClusterⅠ
Simane
Kyoto
Fukuoka
Nagano
Tottori
Toyama
Ishikawa ClusterⅤ
Siga
Hyogo
Saga
Fukusima
Osaka
Yamagata
Chiba
Akita ClusterⅥ
Ibaraki
Ehime
Kumamoto
Hiroshima
Miyazaki
Kochi
Shizuoka
Kagoshima
Aichi
Tokushima
Iwate ClusterⅡ
Gunma
Aomori ClusterⅦ
Nagasaki
Tochigi
Yamaguchi
Hokkaido
Okinawa ClusterⅢ
Tokyo
Saitama
Kanagawa
Figure 4. Classification of prefectures by cluster analysis

Yasuko Honda
Cluster III
Cluster IV
Cluster I Cluster V
Cluster II Cluster VI
Cluster VII
0 500 1,000km
0 500 1,000km
Figure 5. Distribution of Cluster I and II Figure 6. Distribution of Cluster I-VII
100.0
(%)84.4 87.8 85.2
90.0
86.2 81.6
80.0 79.3
80.3 84.8
76.5 69.2 73.8 70.5 Cluster I
70.0
61.8 67.8 Cluster II
60.0 55.1 57.5 60.3
58.9 Cluster III
PCM 50.1 55.9 48.7 Cluster IV
50.0 54.0
48.7 48.0 Cluster V
40.0
35.4 Cluster VI
39.4
30.0 Cluster VII
22.7
20.0
10.0
1.5
0.0
Urban area Flat Interm ediate M ountanous
agricultural agricultural agricultural
area area area
Figure 7. Change in PCM between regional categories

Source: Census of Agriculture and Forestry 2005.
Figure 7 shows that the change in the percentages of communities maintaining

irrigation and drainage canals by themselves between regional categories. The
percentage of the prefectures in Cluster I was about 30 points higher than that of Cluster
II in any regional category. The prefectures in Cluster II were in the Tokyo metropolitan
area or quite far from the area. Therefore it was difficult in urbanized or depopulated
communities to preside over the maintenance of the canals whereas the communities in
the middle areas between them succeeded in keeping the maintenance of the canal. The

percentages of the prefectures in Cluster III were extremely lower than the others,
especially close to zero in mountainous areas. The reason was that the number of the
mountainous communities extraordinarily decreased because the prefectures in Cluster
III except Okinawa have completely urbanized. The percentage of the prefectures in
Cluster V was 80% or over in all the regional categories. By contrast, the percentages of
the prefectures in Cluster IV declined in intermediate and mountainous areas. Hence,
the substandard locations had greater impact on the communities of Cluster IV than that
of Cluster V. The above data implied that it varied regionally not only whether the
communities maintain the canals or not but also how much the conditions of the
location influences on the communities.
Conclusion
The purpose of this paper was to clarify the factors affecting the way of maintaining
irrigation and drainage canals by rural communities and the regionallty of the
maintenance.
At first, the author examined the correlation between the data from the Census of
Agriculture and Forestry 2005 to clarify the factors in presiding over the maintenance of
the canals by the communities and the factors affecting non-farmers’ style of
participating in the maintenances. As a result, the declining functionality of farm
households and agricultural disadvantages associated with farmland location were more
important factors in having responsible for the maintenance of the canals by the
communities than increased settlement by non-farmers. Furthermore more urbanized
communities had less power to assign non-farmers to the maintenance of canals. Next,
to clarify the regionality of the maintenance, the author classified by the cluster analysis
the prefectural percentages of the communities maintaining the canals on their own
between the regional categories into two main groups and five subcategories.
Consequently, urbanized or depopulated communities were characterized by having
difficultly in maintaining the canals whereas the communities in the area located
between them succeeded in keeping up their maintenance. The results imply that it
varied regionally with how much the substandard location influenced on the
maintenance by the communities as well as whether rural communities maintained the
canals or not.
Endnotes
1
For data and results of Census of Agriculture and Forestry 2005, see Ministry of
agriculture, Forestry and Fisheries (2008).
Acknowledgement
A part of this study supported by the grant from Kyoto University Global COE
Program “Global Center of Excellence for Reconstruction of the Intimate and Public
Spheres in 21st Century Asia”.

Yasuko Honda
References
Hashizume, Noboru. 2008. “New movements of agricultural structure and rural structure in
Japan: analysis of the 2005 agricultural census.” Journal of agricultural policy research.
Vol.14. pp.1-14.
Kawamoto, Akira. 1983. Mura no Ryouiki to Nougyo [Territory of Rural Community and
Agriculture]. Tokyo: Ie-no-Hikari Association.
Nagahama, Kenichiro. 2003. Chiikishigenkanri no shutai keisei [Formation of Management

Agency of Regional Resources: Consideration of Conditions to Regenerate Communities].
Tokyo: Nikkei Hyoronsha.
Ministry of Agriculture, Forestry and Fisheries. 2008. “Report on Results of 2005 Census of
Agriculture and Forestry in Japan” Ministry of Agriculture, Forestry and Fisheries, Tokyo.
http://www.maff.go.jp/j/tokei/census/afc/2010/report_archives_eng.html (July 1, 2010)
Akitsu, Motoki., 1986. “The Criteria of Making Consensus in Japanese Rural Community--In
Regard of the Relation between Agricultural Irrigation and Rural Community.”
Soshioroji[Sociology]. Vol.31. No.2. pp.39-66.
Noguchi,Yasuyo., Horino, Haruhiko., Mitsuno,Toru. 2002. "Ownership, Utilization and

Maintenance of Irrigation and Drainage Canals or Water Considered from Digging or
Cleaning up of Canals: A Case Study in Koboku Region in Shga Prefecture. " Transactions
of the Agricultural Engineering Society,Japan. Vol.70. No.3. pp.427-435.
Okamoto, Masami. 2003. "Irrigation organizations and inhabitants in their command area in
Japan today. " Journal of Rural Planning Association. Vol.22.No.3.pp.183-187.

Ways of Life of Khmer Diaspora Fishermen in Klong Yai District, Thailand
Ways of Life of Khmer Diaspora Fishermen in

Klong Yai District, Thailand1
Abstract
This article aims to demonstrate the ways of life of the Khmer2 diaspora. To avoid the Red
Khmer regime, the Khmer diaspora fled across the Thai-Khmer border to Klong Yai district, Trat
province, Thailand. The Thai government creates images of the Khmers as “the others” by
separating them with identification cards, which indicate their mobility rights, rights to land title
and employment. However, the state discrimination does not go on without resistance. The
Khmers’ diaspora lives are based on marine resources and the environment that create security for
themselves in this country. The Khmer diaspora have different relationships with the environment
and natural resources according to their economic status and cultural beliefs.
Key words: diaspora, ways of life, Khmer, Red Khmer, economic, environment
Introduction
This article presents the ways of life of the Khmer diaspora in Klong Yai district,
Trat province, situated at the Thai-Khmer border, who decided to migrate from their
homeland to Thailand. They have been confronted with various kinds of challenges
and have managed to overcome them and live peacefully in Thailand. The author
chose the diaspora concept of Steven Vertovec and Robin Cohen (1999) as the
guideline for comprehension of oral histories related by 13 key informants belonging
3
to two seaside communities: the Pa Chai Len community and the Pra Yai3
community, Klong Yai district.
Steven Vertovec and Robin Cohen (1999) compared the three meanings of
diaspora. The first is diaspora as a social form, with emphasis on group’s
intra-relationships despite dispersal, whether for voluntary reasons or by forced
migration. These social relationships are cemented by ties to history and geography,
and play out in political orientations and economic strategies. The second is diaspora
as a type of consciousness. The conception is aware of its multi-locality, constituted by
negative experiences of discrimination and exclusion, and positive experiences
through identification with one’s heritage. A third understanding of diaspora is through
its mode of cultural production, it is aligned with scholarship in hybridity and new
1
This article is a part of research:- Supawadee Monnaramit. 2009. Life and Struggle of the Khmer Diaspora.
2
The use of the word of “Khmer”. Because Khmer diaspora call themselves the “Khmer”.
3
Community name is a pseudonym

ethnicities. (Steven Vertovec and Robin Cohen, eds. 1999 quoted in Ratana
Tosakul-Boonmathya 2552: 223 – 227, Steven Vertovec 1997: 277 – 290)
This article is divided into two sections: 1) experiences and migration conditions of
the Khmer diaspora; and, 2) consciousness, ethnic identity and ways of life of Khmer
diaspora fishermen in Klong Yai district.
Experiences and Migration Conditions of the Khmer Diaspora
“There were three cans of rice that were boiled in a big pan to feed over one
hundred people. You could find no more than three rice granules in your bowl. We
were hungry all the time. That was a hard time.” said Yay Suda (An interview with Yay
Suda).
Yay Suda talked about the difficult circumstances that she and her two sons went
through in the past after a military force led by Pol Pot, aka the Red Khmer, ascended to
power in Cambodia on 17 April 1975 and established his own government after
overthrowing the Lon Nol government. (Rungmanee Methsophon 2008: 127-129).
In order to create a completely new society in which everyone would be equal, the
Red Khmer, under the leadership of Pol Pot, ordered everyone, including the elderly and
sick, to go out of the cities and towns of Cambodia and into the countryside. Family life,
all traces of individualism, and all attachments to old institutions, including religion,
were abolished. All Khmers were put to work at agricultural labor in order to build up
the agricultural surplus of the nation to finance rapid industrialization.
(http://www.everyculture.com/multi/Bu-Dr/Cambodian-Americans.html.)
However, some Khmers were not happy with this social and economic reform
policy of Pol Pot so they moved to Klong Yai district, Trat province. These have
become the Khmer diaspora, which can be categorized into two groups: the people who
migrated to Thailand before being forced into agricultural labor; and those who
migrated to Thailand after being forced into agricultural labor.
“Had we not escaped, we would have died. Holes were everywhere. I asked what
those holes were for. They said they were bomb shelters. They lied. They prepared those
holes to put our bodies in. Knowing that, we tried to find a way to escape.” (An
interview with Yay Deaw). Realizing that their lives were in jeopardy was the main
reason for the first group of Khmers to flee the country. Staying meant two things -
being massacred by “the Red Khmer” or being forced into agricultural labor.
In the following four years, until invading Vietnamese forces overthrew Pol Pot’ s
Red Khmer regime on 7 January 1979.( International center for transitional justice
2008:1). This offered a golden opportunity for the second group of Khmer diaspora to
flee the country. There were two reasons for their escape: their life is in jeopardy, and
they feared that they might be under the power of Pol Pot again; and, economic crisis
and poverty after the collapse of the Pol Pot regime which forced the Khmers to escape
the country and look for ways to “make a living” in Klong Yai district, an area
connected to Cambodia.

Consciousness, Ethnic Identity and Ways of Life of Khmer Diaspora Fishermen in

Klong Yai District
Klong Yai is a border district with “the narrowest point of Thailand”, surrounded by
a mountain range, a natural boundary line separating Thailand and Cambodia, on one
side and the sea on the other. The majority of people living in this small area rich in
fishery resources accessible to anybody, are, thus, highly dependent on fishing. Small
family-owned and large-sized businesses in the area have contributed to Klong Yai
district’s central role as a commercial town and sea product export market of Trat
province. Klong Yai district’s lucrative economy has led the Khmer diaspora to leave
poverty-ridden Cambodia and build their new “homes” in Thailand.
The lives of the Khmer diaspora in Khong Yai district under the Thai government’s
administration are not smooth and easy. The Thai government uses identification cards
given to these Khmers to separate them from Thais and identify them as the others. In
addition, these cards imply limitations of the Khmer diaspora mobility rights, rights to
land title and employment. In response to this policy of the Thai government, the Khmer
diaspora managed to naturalize and “blend” with other community members.
Naturalization
Despite “the otherness” given by the Thai government, the Khmer diaspora have
been trying to become Thais by reducing disparity and blend themselves with the Thai
people so as to achieve rights and well-being in this new home, a place of last resort,
because they do not want to start all over again in Cambodia.
The first group of the Khmer diaspora that escaped to Thailand before being forced
into labor by the Red Khmer tried to reduce disparity by becoming Thai citizens through
naturalization, which took them almost ten years and still does not give them rights to
become government officials. “...I am just like a Thai. I can go anywhere I want. I can
elect but I can’t be elected.” said Lung Maew. (An interview with Lung Maew)
Despite some sense of disparity, at least the Khmer diaspora are provided with
rights and freedom similar to those of Thais. Therefore, they feel like they are Thais and
are regarded better than the second groups of the Khmer diaspora who moved to
Thailand after being forced into agricultural labor by the Red Khmer. The Thai
government does not have a policy to allow naturalization of this second group.
Therefore, they are considered Khmers. Naturalization is a way for the Khmers to
assure their places in Thailand.
Blending with other community members
Another way for the Khmer diaspora to reduce disparity between them and Thais is
to blend with other community members and take advantage of fishery resources. Their
blending processes can be sorted as follows: 1) building economic status; 2) becoming
part of the community; 3) adopting beliefs, traditions and culture.

Building economic status of the Khmers diaspora in Pa Chai Len community and Pra
Yai community, Klong Yai district
The Khmers diaspora did not have many belongings when they first came to
Thailand. They were restricted to an area and were given few work options. High
demand among fishing enterprises for cheap labor in Klong Yai enterprises helped the
Khmers diaspora earn income and subsequently build their economic status.
The Khmers diaspora in Pa Chai Len community is the first group of Khmers that
escaped to Thailand before being forced into labor. In the beginning, they were all
workers. With all the experiences and money they have collected, and equal access to
fishery resources, some of them changed their status from workers to self-employed
fishermen. Their economic status has improved to a level equal to that of Thais in the
same community. The fact that they are fishermen like Thais makes them feel Thai, as
indicated in Lung Maew’s statement: “Thais and Khmers nowadays are the same. We
all try to make a living.” (An interview with Lung Maew).
The Khmers diaspora living in Pla Yai community is the second group of the
Khmers that moved to Thailand after being forced into labor. They are all workers
who get hired to go fishing offshore or peel shrimps and crabs. Being workers is
deemed as a Khmers’ job. Their lack of experiences and money forbid them to start
their own businesses. This group of Khmers diaspora feels that they have a better
economic status than the Khmers who are alien workers working in the same area.
However, they remained workers who tried to differentiate themselves from alien
workers. “In the beginning, I did not know how to peel crabs, but now I do. I can peel
7-8 kilograms of crabs per day and I earn 200-300 baht.” said Pa Phon, a crab-peeling
worker4 (An interview with Pa Phon). Having some special skills both increase their
incomes and build close relationship with their employers, who help get access to
exclusive rights barred by the Thai government such as rights to own motorcycles and
houses. Hence, this kind of mutually dependent relationship helps the Khmers
diaspora in Klong Yai district secure their places and blend with Thai people.
Becoming part of the community
Pa Chai Len community and Pra Yai community are situated along the sea. Most
houses are built in a way that stretches out into the sea5. Even though these two
communities are located in the same vicinity, their different contextual characteristics
result in different ways of life of the Khmers diaspora.
The majority of Pa Chai Len community members are the Khmers diaspora who
have been naturalized as Thai citizenship and built their houses in the community. Most
of them have their own fishery businesses and sell fish at the market. People in the
community live near one another and make a living on the same kind of jobs, therefore,
they help and depend on each other economically. They suggest fishing sources,
exchange fishing and fish-selling techniques and labor force. Each year, these fishermen
4
Employers give wages to workers based on the amount of shrimps and crabs that they can peel.
5
The government announced in 2007 that houses could not be built in flood-prone areas.

have to fix their boats, a process they call “Keun Kan Reu”, which requires a labor force
of 4-6 people. Assistance from neighbors is, thus, indispensable. The community
members help and depend on each other, as seen in the statement by Phi Rin: “If we
don’t help them, who will help us when we want to bring our boats up from the sea? We
all have to help each other” (An interview with Phi Rin). This kind of relationship has
brought both Thais and Khmers close together and made them feel like they are in the
same group.
Furthermore, fishing gives community members flexible work hours allowing the
Khmers diaspora to participate in many activities along with Thai people in the
community and other communities. Among these activities include the big cleaning
days during the Father’s Day and the Mother’s Day celebration, fishing games and
boat-releasing, a merit-making activity. All these activities make the Khmers diaspora
feel that they are part of the community. Building/fostering relationship with people in
Thai society is one way of expressing that Khmer diaspora are Thais.
The Khmers diaspora in Pla Yai community who are workers in a port within the
community, work from dusk until dawn. They spend most of their time working. The
more shrimps or crabs they can peel, the more money they can earn. If they stop
working, they will not have money for the family expenses. For example, workers who
get hired to go fishing offshore have to stay on the boats for five to seven days. A few
days after they come back, they have to go offshore again. Hence, this group of the
Khmers diaspora does not have many opportunities to partake in social activities with
Thai people and people outside their community. Apart from that, they call themselves
as Khmers because of their close relationship with Khmer alien workers.
Adopting beliefs, traditions and culture
In addition to their economic relationship with marine resources, their beliefs,

traditions and culture are also highly related to marine resources, especially their beliefs
in “Jao Mae Klong Yai” (Klong Yai Goddess) and the “ Tham Bun Pory Rua” (Boat
Releasing) merit making tradition.
“Jao Mae Klong Yai” or “Jao Mae Thap Tim” (Thap Tim Goddess) is a highly
sacred Goddess of Klong Yai district people. It is believed that she protects all people in
Klong Yai district. Those who go offshore are protected by her. She helps people gain
prosperity and wealth. With strong faith of Klong Yai people, a small Sanjao (spirit
house) located in Pla Yai community has been turned into a big Sanjao with an
approximate budget of 10 million baht. (Winid Labpile and others 2008:17) Beliefs in
the sacredness of the “Jao Mae Thap Tim” is rebuilt and reinforced by the greatest
annual ritual of Klong Yai district, in which celebrations last for seven days and seven
nights. The Khmers diaspora in Pa Chai Len community and Pra Yai community
gradually absorbed these beliefs and traditions. They put talismans of the “Jao Mae
Thap Tim” on the walls in their houses and pay respect to her on a regular basis. Finally,
these have become the Khmers’ diaspora traditions and practices. One example can be
seen from Pa Kung who pay respect to the Goddess on the Chinese New Year’s Day
every year after paying respect to her ancestors. (An interview with Pa Kung)

The “Tham Bun Pory Rua” (Boat Releasing) tradition in Pa Chai Len community
has been organized on Songkran Day for five consecutive years. Everyone in the
community participates in this tradition for good luck and fortune. It is believed that bad
luck is thrown away along with the boat into the sea and merits are given to forlorn
ghosts (An interview with Yay Daeng). Men in the community help build a boat, in
which people put rice, food and money. The boat then is floated away into the sea.
Women cook food and prepare a venue for the ritual. Reinforcing these beliefs and
traditions is a way to build connections among people in the community and develop a
sense of belonging to the community for the Khmers diaspora.
More importantly, these beliefs, culture and participation in local traditions make
the Khmers diaspora feel that they are not different from Thais, and their endeavors to
become part of the Thai community help define the “Thainess” in them.
The Khmers diaspora in Klong Yai district have tried to identify themselves with
Thai people, so they can continue to live in this place of last resort. Racial
self-identification of the Khmers diaspora will change along with the environment and
social relationship with other racial groups in the community they live in(Federik Barth,
1969, referred to by Ratana Boonmathya 2002 : 4). Different levels of accessibility to
economic and social resources have influenced the different ways of life of the Khmers
diaspora.
Conclusion
Wars and economic problems in Cambodia caused the Khmers migration to Klong
Yai district in Thailand. New lives of the Khmers diaspora are not smooth. They are
governed under the “otherness” policy of the Thai government. Notwithstanding
segregation and right restriction imposed on them by Thai people, the Khmers diaspora
tried using geographical factors including natural resources found in Klong Yai district
to reduce disparity between them and Thais and define themselves as Thais.
Marine resources together with high demand for cheap labor in Klong Yai district
helped the Khmers diaspora settle down in this new home. Geographical constraints
have worked in favor of the Khmers diaspora. They get to live with Thai people in the
same neighborhood, which enhanced their presence in this place of last resort.
Nevertheless, accessibility to economic and social resources and different social
contexts have caused different ethnic identities and ways of life of the Khmers diaspora.
References
Barth, Federik.1969. Ethnic Groups and Boundaries: The Social Organization of Cultural
Difference.
Boston: Little Brown and Company.
International Center for Transitional Justice .2008.Cambodian Diaspora communities in

transitional
justice March (Briefing Paper). New York : International center for transitional justice.

Vertovec, Steven. and Cohen, Robin.(Eds.). 1999. Migration, Diaspora and Transnationalism. An
Elgar Reference Collection. Cheltenham, UK, and Northampton, MA, USA: Edward Elgar
Publishing Limited.
Vertovec, Steven. “Three Meanings of ‘Diaspora,’ Exemplified Among South Asian Religions.”
Diaspora 6, no. 3 (1997): 277 – 299.
[In Thai Language]
Ratana Tosakul - Boonmathya. 2002. Phitee Ma Nao Kab Tua Ton Khong Kon Kachins. [Ma Nao
ceremony with the identity of Kachins]. Paper presented at the meeting of the
Anthropology,
Princess Maha Chakri Sirindhorn Anthropology Centre.
Ratana Tosakul - Boonmathya. 2009. “Wattanatam Kham Phom Dan Huan Kery Yoo Uoo Kery
Norn Tong Jon Jam La: Chow Lao Lee Phai Nai America (B.C.178-351).” [Transnational
Migration, and Cross-Cultural: Laos refugees in the United States (B.C.178-351)]. In
Suwanna Kiangkaiphed (an editor). Kwarm Kolahon Khong Wattanatam Suksa Yok Kruang
Rueng Wattanatam Suksa.[Chaos of the Cultural Studies. Overhaul of the culture]. Bangkok:
Princess Maha Chakri Sirindhorn Anthropology Centre.
Rungmanee Methsophon. 2008. Kon Song Phaen Din.[People lived in two lands]. Bangkok: Sun
house.
Winid Labpile and others. 2008. Jao Mae Thap Tim.[ Thap Tim Goddess Spirit House in Klong
Yai district]. Trat: Symbol printing.
Interview
An interview with Yay Suda [Grandma Suda], 28 February 2008.

An interview with Yay Deaw [Grandma Deaw], 13 November 2008.
An interview with Lung Maew [Uncle Maew], 5 December 2008.
An interview with Pa Phon [Aunt Phon], 27 September 2008.
An interview with Yay Daeng [Grandma Daeng], 18 November 2009.
An interview with Phi Rin, 26 January 2009.
Internet
Carl L, Bankston. “Cambodian Americans - History, Origins, Cambodia under the french”.
http://www.everyculture.com/multi/Bu-Dr/Cambodian-Americans.html (July 18, 2010).

Assessing the Potable Water Consumption in the Urban

Barangays of Sto. Domingo, Albay Province, Philippines
Bicol University Research and Development Center, Legazpi City, Philippines
(63-052) 4801325 & apcandelaria@yahoo.com
Abstract
There is an increasing awareness that water resources exist in limited quantity, which makes it
unavailable in some parts of the year. Thus, there is an urgent need to explore ways of
improving the potable water resources management. This paper describes the current state of
potable water consumption, specifically the water usage, demand management and strategies in
water resources management in Sto. Domingo, Albay, Philippines , The data were gathered via
interview of 300 key informants across the 10 urban barangays of Sto. Domingo, Albay, namely:
Del Rosario, Pandayan, San Francisco, San Pedro, San Vicente, Market Site, Nagsiya, San Juan,
Sto. Domingo, and San Rafael.
Keywords: Household, Potable Water Demand
Introduction
Water is a basic economic resource which is a natural endowment to man.

Nowadays, it is becoming a scarce resource with the ever-growing demand for
household and industrial consumption. As an economic resource, pricing of water is
largely determined by the cost of extraction from its natural water supply source and the
cost of distribution. Water is likewise a basic need for the survival of individuals and
family households. Many health and morbidity problems are associated with the quality
and availability of water for human consumption. With the ever increasing population,
the demand for potable water in urban areas has also increased, while the water sources
began to decline over time..
Because water is a basic necessity in the Philippines, the government’s major

concern is to conserve water resources in order to provide clean and potable water to
all.A number of projects have already been initiated to address the issue on increasing
demand for water, limited access to potable water, and poor water distribution. While
80% of the country’s more than 90 million populace are in need of potable water,
roughly 30 million people do not have access to potable water because of the problem
on distribution, lack of accurate water usage monitoring; large amount of “unaccounted-
for-water” due to leaks in distribution pipes, inefficient metering and poor
administration (Philippine Market Profile). A study was conducted to assess the water
economics, analyze the sufficiency and affordability of water for household

Assessing the Potable Water Consumption in the Urban Barangays of Sto. Domingo, Albay Province, Philippines
consumption, and the accessibility of water services in the urban barangays of the
Municipality of Sto. Domingo, Albay in Bicol Region, Philippines.
This paper describes the consumption of potable water among the households in
Sto. Domingo Albay. The analysis, schemes and projections have been carried out to
present viable options for the municipality.Contexts for the analysis included water
accessibility, sufficiency and affordability together with the perceived problems of the
households (Race and Burnell, 2000).
This paper also highlights the relationship between the households and water
consumption. The projected water demand for the next three years was measured using
the input-output, as a method of analysis, complemented by the linear regression
statistical analysis. This is to validate the findings of the earlier studies that attempted
to analyze the relationship between the consumption of natural resources and the
productive structure. (Leontief and Ford, 1972; Stone, 1972).
Specifically, this paper looks in to the socioeconomic characterization of the
household-respondents; alternative sources and accessibility; and an analysis of the
sufficiency and affordability of water for household consumption; household water
demand for potable water in the next three years; and problems and needs of households
associated with water consumption.
Methodology
An interview of key informants was conducted to establish a descriptive

documentation of the socio-economic profile of respondents from the ten (10) urban
barangays of Sto. Domingo, Albay. These include Del Rosario, Pandayan, San
Francisco, San Pedro, San Vicente, Market Site, Nagsiya, San Juan, Sto. Domingo and
San Rafael. Relevant data set for the study was generated using a structured interview
guide which focused on the category of problems and needs of households associated
with water consumption. There were 300 respondents interviewed across the 10 urban
barangays. A descriptive profile of the respondents was made to present the socio-
economic status of households across the study areas. Information on water
consumption, issues and concerns and perceived opinions relative to the existing water
system were likewise derived from the data gathering activities that were undertaken.
Consultations with the formal and informal leaders of the barangays were also carried
out. A focus group discussion with various stakeholders and officials of the LGU-Sto.
Domingo was also organized by the research team to validate the data/information that
were gathered from the key informants. The secondary data that were obtained from the
local government units (LGUs) were also analyzed.

Profile of the Respondents/Households
The Municipality of Sto. Domingo, is a fourth class municipality in the Province of

Albay. It is composed of 23 administrative barangays, of which, ten (10) are classified
as urban and thirteen (13) are rural barangays. Out of the 300 respondents, 206 were
women and 94 were men. This implies that women are in-charge of housekeeping,
while men are either out to work or just simply outside the household when the
interview was conducted. Around 208 respondents were married, while the rest were
either single or widows.
Table 1 shows that around 84 respondents (28%) were college graduates, 55 and 52
of them were high school and elementary graduates, respectively. This result shows that
on the average, majority of the respondents were literate. Likewise, the survey showed
that most of the respondents were in their mid 30’s and 40’s. Both achieved the highest
frequency of responses which totaled to 64 (21.33%). This reveals that most of the
respondents belong to the more mature or knowledgeable members of the family as
validated by their age levels. As to the duration of residency, Table 1 also reveals that
of the 300 respondents, 96 (32%) have been residents of the municipality from 21 to 40
years, 92 (30.67%) have been living in the area for 1 to 20 years already, while 32
(10.67%) for 61 to 80 years. This implies that majority of the respondents were more or
less familiar with their barangay or municipality as shown by the number of years of
their residency.
Table 1. Socioeconomic characteristics of the respondent-household members.

Educational Age Duration of
Attainment No. % Range No. % Residency No. %
Some Elementary 39 13.00 15-25 20 6.67 Below 1 year 3 1.00
Elementary Graduate 52 17.33 26-35 47 15.67 1–20 years 92 30.67
Some High School 22 7.33 36-45 64 21.33 21–40 years 96 32.00
High School Graduate 55 18.33 46-55 64 21.33 41–60 years 69 2.30
Some College 31 10.33 56-65 52 17.33 61–80 years 32 10.67
College Graduate 84 28.00 66-75 41 13.67 81–100 years 3 1.00
Vocational 8 2.67 76-85 10 3.33 No Answer 5 1.67
Post Graduate 6 2.00 86-95 1 0.33
Non-Formal Education 1 0.33 96-100 1 0.33
No Answer 2 0.67
Total 300 300 Total 300
Meanwhile, Table 2 shows the composition of the respondents’ household, where

more than half or 163 (54.33%) has at least 1 to 5 household members. There were 127
respondents whose household members range from 6-10 members This practically
shows that there is a large number of water users considering that across the 10
barangays surveyed, at least 42% have 6-10 household members.

Table 2. Household members/water users and number of dependents per household

No. of HH No. % No. of No. %
Members Dependents/HH
1–5 163 54.33 1 – 5 220 73.33
6 – 10 127 42.33 6 – 10 41 13.67
11 – 15 5 1.67 11 – 15 1 0.33
16 – 20 2 0.67 16 – 20 1 0.33
No Answer 3 1.00 None 35 11.67
No Answer 2 0.67
Total 300 Total 300
Table 2 also shows that majority of the respondents (220 or 73.33%) have 1-5
dependents in their household. This is the average size of the family across the areas of
the study. The remaining portion is broken down into 41 households (13.67%) with 6-
10 dependents and 35 (11.67%) household with no dependents.
There is a wide variety in terms of occupation of the respondents. The results of the
study indicate that most of the respondents (68 or 22.67%were dependents or were not
employed and solely rely on the support of their family and relatives. Meanwhile, some
respondents (11.0%) are merchants in the area, 26 (8.67%) are farmers and 23 (7.67%)
are laborers. There were 19 respondents (6.33%) who are government officials and
about 18 (6%) as teachers, 13 are overseas Filipino workers and 12 were both recorded
as drivers and private employees.. As regards the secondary occupation, 182 (60.67%)
respondents do not have secondary income while 48 (16.0%) gave no answer. This
finding also validates the observation that majority of the respondents are unemployed
and some are underemployed. The other significant secondary occupations of
respondents are merchants (18 or6.0%) farmers (13 or 4.33%), livestock raisers (8 or
2.67%) and the rest are either private employees, entrepreneurs and eatery operators
(Table 3).

Table 3. Primary and secondary occupation of respondents.

Primary Number % Secondary Number %
Occupation Occupation
Merchant 33 Merchant 18 6.00
11.00
Livestock 4 1.33 Livestock 8 2.67
Eatery 7 2.33 Eatery 4 1.33
Teacher 18 6.00 Teacher 0 0.00
Farmer 26 8.67 Farmer 13 4.33
Architect 1 0.33 Architect 0 0.00
Government 19 6.33 Government 1 0.33
Official Official
Driver 12 0.40 Driver 0 0.00
Entrepreneur 6 2.00 Entrepreneur 4 1.33
Private Employee 12 4.00 Private Employee 4 1.33
Laborer 23 7.67 Laborer 3 1.00
Government 8 2.67 Government 2 0.67
Employee Employee
Seaman/OFW 13 4.33 Seaman/OFW 0 0.00
Tailor 7 2.33 Tailor 1 0.33
Lawyer 1 0.33 Lawyer 0 0.00
Fishing 7 2.33 Fishing 0 0.00
Handicraft 3 1.00 Handicraft Making 6 2.00
Making
Carpenter 2 0.67 Carpenter 0 0.00
Beautician 0 0.00 Beautician 1 0.33
Others 16 5.33 Others 5 1.67
No Answer 14 4.67 No Answer 48
16.00
No Primary 68 No Secondary 182
Occupation 22.67 Occupation 60.67
300 300
Total Total
The study also revealed that 94 (31.33%) of the 300 respondents interviewed
claimed that they have an income ranging from 1,100 to 3,000 pesos per month. About
60 (20%), earned 3,100 to 5,000 per month and 49 (16.33%) had an income of 1,000
pesos and below. There were 24 (8%) respondents who claimed that they have income
that ranges from 5,100 to 7,000 pesos and around 24 (8%) also with income ranging
from 7,100 to 10,000 pesos. 38 (12.67%) of the respondents have an income above
10,000 pesos. Thus, Table 4 reveals that all the 300 respondents interviewed live way
below the poverty threshold level of the Province of Albay, which is pegged at
P14,610.00 per month in the year 2006 (NSCB, 2006).

Table 4. Distribution of the respondents by monthly household income

HH Income per month Number Percentage
(%)
1,000 and below 49 16.33
1,100 to 3,000 94 31.33
3,100 to 5,000 60 20.00
5,100 to 7,000 24 8.00
7,100 to 10,000 24 8.00
Above 10,000 38 12.67
No Answer 7 2.33
No Fixed Income 4 1.33
Total 300
Water Consumption
As shown in Table 5, 87 (29%) respondents perceived that the source of potable water
for the municipal system among the 10 urban barangays is derived from Barangay Fidel
Surtida, 70 (23.33%) claimed that it comes from the NAWASA system or the
municipality itself, 40 (13.30%) stated that it emanates from Barangay San Antonio and
25 (8.30%) mentioned that it stems out from Barangay San Antonio. This finding
suggests that the respondents have varying perceptions as regards the source of the
potable water system of the municipality, which implies that they were not aware about
the exact water source. . As an implication to this finding, the municipality through the
concerned services office should adopt an information, education and communication
system to be able to promote its water service and other programs for dissemination and
patronage purposes for the great majority of community members and clients.
Table 5. Awareness of respondents on the location of their municipal water system

Location Number %
Fidel Surtida 87 29.00
San Antonio 40 13.30
Sto. Niño 20 7.70
Nagsiya 1 0.30
NAWASA/Municipality 70 23.33
Slope of Mayon 2 0.70
San Juan 1 0.30
Del Rosario 14 4.70
Mabini Street 1 0.30
Sto. Domingo 23 7.70
San Rafael 5 1.70
San Roque 5 1.70
Sta. Misericordia 1 0.30
Spring 4 1.33
San Pedro 1 0.30
No Answer 25 8.33
Total 300

Table 6 shows that almost all (291) of the the beneficiary-clients that were
interviewed were classified as residential water users or consumers.. However, it was
noted that there were two (0.67%) respondents which belonged to the residential-
commercial type of user who utilizes the water in their private enterprise as well as for
family use. As regards the type used in the households, 190 (63.33%) claimed that they
have water meters installed in their water system sourced out from the municipality,
while105 (35%) of them said that their household did not have water meters installed.
Table 6. Type of water users and households with or without water meter consumption
User Classification No. % Type Used No. %
With Water
Residential 291 97.00 Meter 190 63.33
Without
Residential-Commercial 2 0.67 Water Meter 105 35.00
No Answer 7 2.33 No Answer 5 1.67
Total 300 Total 300
Out of 105 households who asserted that they did not have water meters installed,
27 (25.9%) of them said that the municipal water system has insufficient supply; 21
(20.4%) have claimed that their pipelines were old and worn out and did not require
new water meters as this were installed a long time ago and belongs to the old municipal
water system. Still, from the 105 respondents that did not have water meters installed, 7
(7.4%) stated that they did not have such because of insufficiency and unavailability of
water meters from the LGU. Respondents perceived for the latter that the LGU through
its municipal water service providers were the ones responsible to supply them with
water meters to be installed in their faucets (Table 6).
From the total of 105 respondents who claimed that they did not have water meters
in their households yet have water service being derived from the municipal water
system, 83 (79.05%), which comprise the majority, states that they would want to avail
of the improved water services in the event that the current water system is
rehabilitated, while 15 (14.29%) were unwilling. Seven out of the 105 gave no answer
to the query (Table 7).
Table 7. Willingness of the households to avail of the improved water services,

Willingness No. %
Yes 83 79.05
No 15 14.29
No Answer 7 6.66
Total 105
Of the 15 respondents who were unwilling to avail of the improved potable water
services of the municipality if ever it is rehabilitated, eight respondents claimed that
they have other sources of potable water which is free or readily available in their
household’s vicinity, three asserted that they would not want for economic reasons,
while another three seem hopeless and that it will not materialize.

Meanwhile, 162 (54%) respondents claimed that the potable water is being derived
from the municipal water system, 49 (16.33%) said that their water is sourced out from
springs, while 30 (10%) of them were using deep wells for household needs. A
minimum of 55 (28.95%) out of the 190 water meters installed was found to be
defective, while 135 (71.05%) of them were still usable and were effectively used by the
households. (Table 8).
Table 8. Source of potable water used and status of water meters installed in the
households
Water Sources No. % Water Meter Status No. %
Water Pump 9 3.00 Defective 55 28.95
Deep Well 30 10.00 Effective 135 71.05
Spring 49 16.33 No Answer 0 0.00
Municipal System 162 54.00 Total 190
Barangay 5 1.67
Faucets 9 3.00
Electric Pump 3 1.00
No Answer 33 11.00
Total 300
Meanwhile, 209 (69.67%) were aware of their expenditures on water consumption,

whereas, 0.33% were unaware of their water consumption Of the various water rate
brackets, P1.00-20.00 (39.3%) per month was the most common rate paid by the
respondents. It implies that an increase in the water rates would spur protests – that is,
unless the current issues and concerns on the existing water system be addressed and
resolved. A few consumers have expressed their willingness to pay for a higher amount
provided that the water distribution would be more efficient.(Table 9).
Table 9. Household rate of expenses on water consumption and frequency of paying

water consumption
Rate of Expense (P) No. Frequency of Payment No. %
1.00 - 20.00 per month 39.33 Monthly 130 43.30
21.00 - 40.00 per month 10.00 Quarterly 18 6.00
41.00 - 60.00 per month 4.00 Yearly 71 23.70
61.00 - 80.00 per month 3.33 Semi-Annually 5 1.70
81.00 - 100.00 per month 4.00 It Depends 9 3.00
101.00 - 120.00 per month 1.67 Not Applicable to Me 56 18.70
121.00 - 140.00 per month 0.33 No Response 11 3.70
141.00 - 160.00 per month 1.00 Total 300
161.00 - 180.00 per month 0.67
181.00 - 200.00 per month 1.67
More than 200.00 monthly 3.67

On the frequency of payment for the water consumption, it was also disclosed on
Table 9 that 103 (43.30%) remitted water consumption payments monthly; 71 (23.7%)
paid annually; 18 (6%) made quarterly payments; and 1.7% paid semi-annually. From
the data made available, it was inferred that the reason for the majority of the
respondents’ monthly-made payments for water consumption was that 39.33% of the
households pay a meager P 1.00-20.00 each month.
About 56% of the respondents remit their water payments directly to the municipal
treasurer’s office; 16.33% paid through the field collectors. It would be equally
favorable for both the household water consumers and the local government that the
former make their payments directly to the municipal office. In this manner, the
consumer while upon his purpose of settling his water expenses personally expresses
problems concerning the community water distribution line. In this way, a harmonious
feedback-response relationship between consumer and water service provider can be
fostered. Another concern was that field collectors in the areas, were vulnerable to hold-
ups or even corruption. Officers directly holding cash must be secured with bonds in
case of intermittent loss of collections.
Issues and Concerns on the Potable Water System
From the ones asked if water was sufficient enough for their household needs,
Table 10 shows that some (51%) of the households has enough water supply which is
sufficient for their household needs, but the other respondents (33%) mentioned that
their water supply was not sufficient. Thus, the local government of the Municipality of
Sto. Domingo should review its operations.
It was also observed that there were no existing water service or consumer
organizations in the area as the water system is solely operated and controlled by the
municipal government, as claimed by 80% of the respondents. Apparently, these
households were not aware about the significance of forming a water service
organizations, and thus, the thought of creating this organization, did not even come into
their minds.
Table 10. Number of hours per day where water is sufficient and sufficiency of water
from the system
No. of Hours Per Day Where Water is % Water Sufficiency %
Sufficient
1 to 4 hours 5.33 Yes 32.33
5 to 8 hours 4.33 No 51.00
9 to 12 hours 2.67 Not Applicable to 14.33
Me
13 to 16 hours 1.67 No Answer 2.33
17 to 20 hours 8.67
21 to 24 hours 8.00
Not Applicable to Me 62.33
No Answer 7.00

Around 6.33% of the barangays in the service area complained about the
inadequacy of water supply. Likewise, majority of the ten urban barangays have been
observed to have found sediments in the water system. Table 11 also indicates that the
water system in the municipality needs utmost attention considering that these
observations may have an effect later on the health of consumers as it could cause major
health problems in the community from water-borne diseases derived from foreign
sediments found in the system (Table 11).
Table 11. Areas/Barangay with inadequate water supply and where water Sediments
were found and frequency of observation of sediments appearing in water
Areas/Barangay Barangays Where Frequency of
With Inadequate % Sediments Where % Sediments in %
Water Supply Found Water
San Juan 17.00 San Pedro 10.00 Sometimes 24.00
Del Rosario 6.33 San Vicente 9.33 Occasional 10.00
Nagsiya 6.00 San Rafael 8.67 None 9.33
Pandayan 5.33 San Juan 7.33 Often 8.67
Market Site 5.33 Sto. Domingo 7.00 Never 5.00
Sto. Domingo 4.67 San Francisco 6.00 Always 4.33
San Rafael 4.67 Del Rosario 3.33 Not Applicable 12.33
San Vicente 3.00 Market Site 3.00 No Answer 26.33
Ilawod 1.00 Pandayan 1.33
Iraya 1.00 Nagsiya 0.33
Centro 0.33 None 9.33
Other Barangays 0.33 Almost all 1.33
San Pedro 0.33 Not Applicable 12.33
Almost all 6.33 No Answer 20.66
None 2.67 No Answer 20.66
Not Applicable 13.33
No Answer 22.22
The respondents also disclosed that they were always having water service failure
in their households. However, it is good to note that majority of the respondents have
not observed any illegal tapping of water service connections in their respective
barangays (Table 12).
Table 12. Frequency of water service failure and illegal tapping of service connection
Water Service Failure % Illegal Tapping Status %
Always 36.00 Seldom 5.33
Sometimes 12.33 Many 1.00
Often 8.33 Too many 0.67
Occasional 4.00 Few 0.67
None 6.67 None 53.33
Not Applicable 12.33 Not Applicable 16.67
No Answer 20.33 No Answer 23.33

Perceptions and Opinions on Existing Water Services
Table 13 reveals that 167 (55.67%) respondents opted to have the flat rate scheme of
payment, while still many of them(112 or 37.33%) preferred to pay the scheme through
their water meter consumption. If and when the water system catering to these
barangays of Sto. Domingo have been rehabilitated, the local government have to
recommend measures if majority of the households in the service area would opt for the
flat rate scheme of payment for water consumption. This would have a negative effect
on the maintenance of the water system, as it may not suffice for its operation.If
payment for the water consumption is made using the water meter, this would be require
the municipality to to generate internal resources for its maintenance, operation and for
the sustainability of its municipal water services development programs and activities.
Table 13. Respondents’ preferred scheme of water service payment

Preferred Scheme of Water Service Payment No. %
Flat Rate 167 55.67
Water Metering 112 37.33
It Depends 4 1.33
Not Applicable 8 2.67
No Answer 9 3.00
Meanwhile, most (49.7%) of the respondents were agreeable with the idea of water
rationing in case of the failure or malfunction of the water system. Majority of the
respondents also expressed their willingness to organize a water consumer organization.
This organization would channel the consumers’ problems and concerns on the water
supply services to the concerned offices in the LGU.
Household Potable Water Demand and Projections
Table 14 shows the trend of population in the ten urban barangays of Sto. Domingo,
Albay from 2003 to 2008. Using this data, the population in 2009 to 2011 was
predicted. Linear regression using SPSS software was utilized to obtain a more
empirical projection of the population. Based on the linear regression model (SPSS), the
population changes at a constant rate of 287.314 which is presented on the coefficients
table – Table 15.
Thus in 2009, the projected population is 8,920. Also, 9,207 and 9,495 are the
projected population respectively for the succeeding years (Figure I and Table 16).

Table 14. Barangay Population from 2003 to 2008

Barangay 2003 2004 2005 2006 2007 2008
Del Rosario 779 908 924 998 1050 1098
Market Site 215 248 252 258 248 248
Pandayan 438 513 525 534 554 554
Nagsiya 1,013 853 865 888 1,231 1.239
San Francisco 643 745 760 776 645 635
San Juan 1,150 1,237 1,264 1,290 1,562 1,722
San Pedro 502 566 578 589 564 564
San Rafael 483 569 582 596 593 593
San Vicente 1,224 1,245 1,268 1,289 1,289 1,344
Sto. Domingo 700 723 738 753 603 679
Total 7,147 7,607 7,756 7,971 8,339 8,676
Table 15. Coefficients

Unstandardized Standardized
Coefficients Coefficients
B Beta t Significance
Time 287.314 .991 14.528 .000
(Constant) 6910.400 89.721 .000
10,000
8,000
6,000 POPN_ACTUAL
4,000
POPN_PROJ
2,000
0
2000 2002 2004 2006 2008 2010 2012
Figure I. Actual and Projected Population
It can also be stated that at 95% level of confidence, the variable time has a
significant effect on population (0.000 significance). Using the data on the projected
population, the annual demand for potable water was derived. The formula used was
AWD = PP x WD x 365
where: AWD - Annual Water Demand

PP - Projected Population
WD - Average Water Demand per Head (10 Units)
The ten (10) liters per person per day as the average water consumption across the
ten barangays was derived from the Municipal Planning and Development Office
(MPDO) of the local government unit which is tasked to oversee the management and
operation of the potable water system of the municipality.

Table 16. Population and Water Demand

Water Demand
Year Actual Population Projected Population (liters)
2002 6,910 25,222,960
2003 7,147 7,198 26,270,999
2004 7,607 7,485 27,319,038
2005 7,756 7,772 28,367,077
2006 7,971 8,059 29,415,116
2007 8,339 8,346 30,463,156
2008 8,676 8,633 31,511,195
2009 8,920 32,559,234
2010 9,207 33,607,273
2011 9,495 34,655,312
A multiple regression was conducted to test whether the factors (time and
population) have significant effect on water demand. Results show that at 95% level of
confidence, the factors significantly affect water demand at 0.000 significance.
Conclusions and Recommendations
1. A governing board should be formed to formulate policies, rules and regulations

regarding the proper usage and distribution of water. The governing board shall be
composed of the municipal planning development officer as its chair, municipal
engineer as its vice chair, and its member shall be composed of the finance
committee, chair of the Sangguniang Bayan of Sto. Domingo, Albay, the municipal
health office, a representative from the private sector, and a representative from the
urban barangays of Sto. Domingo. Plumbers, collectors and water readers will also
constitute the organization.
2. There should be a firm, well-established oriented council, which will serve as the
medium for water consumers to address their water complaints, provide a fair
distribution of water to the municipality and most importantly, to create a
permanent and sufficient supply of water.
3. If the council cited above will be organized, then a step for rehabilitation and a
replacement of defective, small pipes will be implemented. This is one of the main
causes why water service is insufficient which also results to the emergence of
foreign materials and sediments.
4. If the municipal government would want to fully rehabilitate and expand water
services to other potential service barangays, a technical feasibility study is vital to
determine its viability. Likewise, other potential sources of water must be explored
for the development and sustainability of the potable water system in the
municipality.

5. There should be an effective control by the council on the usage of electric pump of
some consumers because this greatly affects the normal distribution of water caused
by the pressure it creates from the main line.
6. There should be a strict implementation of water meter connection to every

establishment in the barangay. Based on the study, the flat rate scheme caused an
unfair distribution of water, which is deemed unsystematic if it does not conform to
one water payment scheme.
7. A continuous community information, education and communication system built

in the municipal water service activities for the local government be adopted for a
sustainable and effective water system service for the barangays.
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CIHEAM.

Status and Challenges in Building the Capacities of Young Women Farmers in Japan
Status and Challenges in Building the Capacities of

Young Women Farmers in Japan
Kyoko Morofuji
Research Institute for Rural Community and Life
morofuji@rircl.jp
Keiko Yoshino
Hosei University
Yoshino@hosei.ac.jp
Abstract
In 2007, the population of people over 65 years old exceeded 21%, and Japan became a “super
aging society”. Aging and depopulation are severe in rural areas, especially that the “aged
population is engaged in farming. Human resources development in agriculture, particularly for
young generation, is urgently needed.
In general, Japanese farms are family-operated. Although women have an important role in
supporting the farm management and rural society, this reality is not well recognized, and public
supports are inadequate. For this reason, we conducted a study to understand the present
situation of young women farmers, particularly as regards the administrative support that are
being provided to them.
Young women farmers under 40 years old currently occupy about 10 % of the whole agricultural
population in Japan. Many of them are highly educated and/or experienced with eagerness to
take part in farm management and social activities. On the other hand, the subordinate position
of rural young women as “Future Farmer's wife” has not changed. Many of them have no
regular holidays, and were given lower salaries. But they have to carry the burden of household
chores and childcare because of the unequal gender role distribution.
These young women farmers need opportunities to learn and establish network. It is most
important to encourage their independent identity building in order to empower them.
Introduction 130,000
persons
35.0 %
125,000 30.0
In 2005, population in Japan 25.0
120,000
began to live. In 2007, the 20.0
population ratio of people over 65 115,000
15.0
exceeded 21%, and Japan became a 110,000
10.0
“super aging society” (Figure 1).
105,000 5.0
Aging and depopulation are
particularly severe in rural areas, 100,000 0.0
2000 2005 2010 2015 2020 2025 2030
and the decrease of population
P opulation A bove the age of 65 years
mainly engaged in farming is a big
Source:P opulation census(M IC )
M inistry of
problem. Human resources development in agriculture, particularly for young

generations, is urgently needed (Figure 2).
Figure 1. Trend of population change and the Figure2. Simulation of future

aging ratio in Japan population and the aging ratio
(2005=100, by the classification of
agricultural areas)
Table1. Present situation of social participation by women
N um ber of
N um ber of those N um ber of
executive m em ber
engaged in A gricultural
of A gricultural
agriculture com m ittee
cooperatives
total 3,330,000 56,348 23,742
w om en 178 2,391 364
P ercentage of w om en(%) 53.3 4.2 1.5
Souｒｃse: M A FF　(http://w w w .m aff.go.jp/j/keiei/kourei/danzyo/d_cyosa/index.htm l)
R em arks
1)D ata of num ber of those engaged in agriculture are for 2005. O ther data are for 2004.
2)Those w ho are engaged in agriculture are exclusively engaged in agriculture,or those w hose involvem ent in
agriculture is deep although they are engagrd in other w ork (household choirs ow child care)
3)A gricultural com m ittees are the organization that are poseted in each local governm ent
In general, Japanese farms are family-operated, and women have an important role
in supporting the farm management and rural society. It has been ten years since the
Basic Law for a Gender-equal Society was put into effect, and women’s participation in
farm and community management has been promoted (Table 1). But these opportunities
are inadequate. Young women farmers1 are busy with household chores and child care,
making it difficult for them to participate in farm and community management
activities.
1
In this paper, “young farm women” are mainly those of ages 20-39.

This paper highlights the present situation and problems of young women farmers,
including the programs and initiatives that aim to capacitate them, and the desirable
approaches in empowering the young women farmers through the program called
"Rural Women's School (Problem-Solving-Learning)" in Nagano Prefecture.
Present situation and problems of young farm women farmers in Japan
Statistical trends of young women farmers
The number of men and women engaged in farming, has been decreasing
continuously. The number of women decreased by half, but it is still higher than men.
Only the population over 70 years of age old increased, and the ratio of people over 60
occupies 70% in 2005. On the other hand, the ratio of the age class 20-39 decreased
from about 20% to about 10% (Figure 3).
（
persons）
100000 150000 200000 250000 300000 350000
0 500000 0 0 0 0 0 0 0% 20% 40% 60% 80% 100%
1985 1985
1995 1995
Ｆｅｍａｌ
ｅ
2005 2005
（
persons）
100000 150000 200000 250000 300000 350000
0 500000 0 0 0 0 0 0 0% 20% 40% 60% 80% 100%
1985 1985
Ｍａｌ
ｅ
1995 1995
2005 2005
15ー19yrs.old 20-29yrs.old 30-39yrs.old 40-49yrs.old

50-59yrs.old 60-69yrs.old 70yrs.old and over
S ource:A griculturalcensus
Figure 3. Change of number and composition rate by age classes of those engaged
in agriculture.
Figure 4 shows a cohort graph to clarify the trend of the age class 20-39. Compared
to men’s cohort groups ( 、□、○), women’s cohort groups (▲、■、●) fluctuate
drastically. In Japan, ages 20-39 are the peak period of marriage for women. Both
cohort groups of women ages 20-29 in 1985 (■) and 1995 (●) increased in number.

(P ersons） 20-29yrs.old
500000
Fem ale(1985）
20-29yrs.old
400000 M ale(1985)
30-39yrs.old
Fem ale(1985)
300000 30-39yrs.old
M ale(1985)
20-29yrs.old
200000 Fem ale(1995）
20-29yrs.old
M ale(1995)
100000
20-29yrs.old
Fem ale(2005）
0 20-29yrs.old
1985 1995 2005 M ale(2005)
Source:A griculturalcensus
Figure 4. Change of number of those engaged in agriculture by cohort groups
Present situation and opinions of young farm women
A survey was conducted among the young women farmers was conducted in 20092.
Among 112 respondents, 59% were engaged in their parents’ farm management, mainly
providing labor. 51% were content with agricultural work, and 62% wanted to take part
in the farm management in the future. On the other hand 44% wanted regular holidays,
26% wanted salary, and 17% felt working hours were too long. Meanwhile, 40% got no
salary, while there are no regular salaries for some. Involvement in child care by
husbands or parents was very limited (about 10%). To promote young women’s
participation in farm and community management activities, regular holidays, fair
salary, sharing of household chores and child care, and understanding of family
members are indispensable. Young women farmers also expressed their need to mingle
with friends, and _____ opportunities to interact with others.
Problems being faced by the young women farmers
From cohort analysis, cohort groups of women at ages 20-29 increased in number.
Therefore, it is necessary to collect information on married women and provide them
with capacity development as farmers. Results of the survey indicate that regular
holidays, fair salary, sharing of household chores and child care, understanding of
family members, and opportunities for networking are needed.
Based on these issues, let us examine the women’s capacity development program
managed by Chiba Prefecture.
2
It was conducted to young female members of an agricultural cooperative from October to November,
2009. The age class distribution of respondents was: 2% for 20-29, 33% for 30-39, 56% for 40-49,
and 8% for 50-59. Please refer to RIRCL, 2010, for details.

Women’s capacity development program -Case from Chiba Prefecture
Chiba Prefecture is located in the eastern part of Tokyo metropolis, with a

population of about 6,000,000 people. It has big farming, fishing, and manufacturing
industries.
Women’s capacity development program
Chiba has been holding seminars for young women farmers (under 40) since 2007.
The objectives of the program are to foster female leaders; provide opportunities for
farm women to form a community, and encourage them to participate in farm
management. Preparation was made in 2006. The program staff visited each farming
household to look for young women and they were surveyed as regards their current
conditions.
Between 2007 and 2009, seminars were held three times a year in response to the
needs expressed by the young women farmer-respondents in the survey. There were
about 176 participants from 10 districts. During the seminars, three topics, namely:
agricultural skill development, farm management plans, and young women’s group
activities were discussed. Each time, participants had an opportunity to exchange
information and opinions. To encourage young mothers’ participation, nursery service
was also provided.
The program’s influence on young women
After the seminar, participants formed their own groups and gave their feedback.
Following are their comments on the seminar: “I always wanted such an opportunity;
I’ve waited for ten years. Those who can come to the seminars are lucky. I would like to
invite those who are confined at home.” (Ms. I). “I was able to understand my situation
by talking with other women at the seminar”. (Ms. T), “I made friends with someone
whom I can consult about my concerns. Now I can discuss our work with my husband”
(Ms. S). The participants were very happy that they were given the opportunity to attend
these kinds of seminars. They were able to understand and compare their situations by
talking with other young women farmers. They were also able to gain friends. In
general, there was a positive feedback from the participants..
Women’s empowerment
Lastly, independent identity building of women which is extremely important for

capacity development for young women farmers will be discussed from the viewpoint
of the female empowerment, drawing examples from Chiba’s program.
Absence of the sense of independent identity in rural women
After World War II, the chief support program for rural women was the “Rural Life
Improvement Extension Program”, which was initiated by the government. “Rural life
improvement meant to rationalize family management by acquiring living skills,

improvement of rural women’s status and democratization of rural areas being the final
goals.” (Ichida, 2005). Figure 5 shows the plan and methods for fulfilling the objective
elaborated in 1954. There are two main objectives: “to improve the livelihood”, and to
bring up thinking farmers. The “improvement of living skills” was the method to realize
the former, and “group formation” for the latter.
W hat is "R ural life im provem ent"?

T w o objectives
R ealization of better rural life

To bring up thinking farm ers
(bring about better change for rurallife)
M easures for realizing objectives

Inprovem ent of living skills G roup form ation
H ow to prom ote
E gucational approach
(skillchoice + capacity bullding)
S ource:P artly revised "G uideline of R uralLife im provem ent program m e-1" by R ural life im provem ent D ivision,M inistry of A griculture,195
Figure 5. Concept of Rural Life Improvement Program
Ms. Yamamoto at Ministry of Agriculture, who was in charge of the rural life
improvement program, used to advocate the need to look at the livelihood in a holistic
manner (RIRCL, 2009).
For holistic view and understanding of the rural life a “tentative goal for better
living (Tentative Goal herein after) was proposed by the Ministry of Agriculture in
1959. The Tentative goal, had more than 100 systematic indicators of rural life, which
strongly suggested the need for improvement. Here arises the question whether such
instruction might have been too standardized. Were the rural women’s independent
identity building fully respected?
Problem-Solving-Learning in Rural Women's School- Case from Nagano Prefecture
In Nagano, Rural Women's School started in 1982 for the capacity development for
rural farm women aged 25-35 (later up to 40). The purpose was to develop their views
on farm and home management. One term lasted for 10 months with 32 hours. 852
women from 23 districts participated in the first year. The contents of the course
differed in each region.

Problem-Solving-Learning is the method that was applied in Rural Women's

School3. The basic method of Problem-Solving-Learning is called the “three-layered
five-step” thinking method developed by the Ministry of Agriculture for instructing
extension workers. In Nagano, Problem-Solving-Learning was introduced in the
textbook as shown in Table 2 and Figure 6.
Table 2. Three layered step in rural life.
First layer Everyday life

Second layer Reflection of everyday life, and
thinking about better way
Third layer Learning basically, scientifically and
integratedly
　　　4.P lan im provem ent program 5.E xecute the program m e w ith recording
(tim ing,expense,role of fam ily m em bers,role of (adopted skills and know ledge,activities and
the com m unity,inform ation gathering,leaning) change of ego,fam ily and com m unity)
　　　　　　6.R eflect the result

3.C heck the present situation deeply (think reasons w hy target could be attained/could
not be attained w ith fam ily and group)
7.C heck the grow th offam ily and group

2. S et targets to solve
through the program
1. Find problem s in life and farm ing 8.S hare the valuable experiences w ith group
m em bers, and com m unity m em bers to utilize
for com m unity activities
・Livelihood ・D ecide how to live

・R ealize the vision of ・P lan the vision of the fam ily
agricultural m anagem ent ・D ecide the africultural
・w hat w illbe m y role? m anagem ent for above.
S ource:B asic text of R uralw om en's schoolin S him otakai,1983,S him otakaiA griculturalextension center
Figure 6. The method of Problem-Solving-Learning
In one district (Kita-saku district), emphasis of the course was placed on

Problem-Solving-Learning (Tale 3). Notes taken by the participants give a vivid picture
of the course.
3 Please refer to Ota for Problem-Solving-Learning in detail.

Table 3. Program of basic course of Rural women's school (Kita-saku region).
batch date m orning/afternoon contents of classes　（C ourse A ） contents of classes　（C ourse B ）

1 30,N ovem ebrt m orning orpening celem ony, orpening celem ony,
afternoon Problem solving of everyday life
2 16,D ecem ber m orning R ole of ruralw om en as of course A
afternoon Target setting and planinng
agriculturalm anagem ent,agriculturalskills
3 21,January m orning and w om en as of course A
afternoon project activities in field
4 14,February m orning presentation by participants and discussions as of course A
afternoon sum m ary of project activities
5 1,M arch m orning Problem learning of everyday life as of course A
afternoon R eflectionn and closingcelem ony R eflectionn and closingcelem ony
S ource:R eport of R uralw om en school in 1983, 1983, A gricultural departm ent, N agano prefecture
After lunch, I took part in the discussion. It started with a question, “what is
living?” and we all thought about it for half day. It was tough and painful for me to
think about it for a long time because I had not done that for so long. We were given a
task to find one problem we are facing in everyday life and try to solve it by
Problem-Solving-Learning. Now that I had to pick a theme, I was at a loss because I
usually do not think much about anything, just going with the flow. I thought, “There
was no problem, and even if there was any, there is nothing I could do about it.”
“Finding my own theme” became my main theme. What I have been thinking until now?
I was made keenly aware how I had been evading facing real issues..”(Ms. F)
Thinking about rural women
Ms. X, a former extension agent in Nagano who promoted both “Tentative Goals”
and Problem-Solving-Learning reflects that the “Tentative Goals” approach was to
create stereotyped women who lacked the sense of independent identity. On the other
hand, “Finding one’s own theme was the main theme” in Problem-Solving-Learning,
where the solid sense of independent identity exists.
The fact that the “three-layered five-step thinking method” developed by the
Ministry of Agriculture was used in Problem-Solving-Learning in Nagano is nothing
noteworthy in itself. What was important is the process in which it gave the women a
chance to face each step, particularly in becoming aware about the problems in one’s
farm/family management, and in setting the target as shown in Figure 6. It is said that a
considerable number of participants cried or became angry during this process.
Problem-Solving-Learning was such a tough process. When women were able to
recognize and accept their own problems, the learning was half finished. Many women
who learned Problem-Solving-Learning at Rural Women's school said that they would
still apply Problem-Solving-Learning. Having learned how to “summarize the
situation”, “try to understand other’s feelings” and “try to change myself”, they say they
“can live peacefully now” (from interviews at a women’s group in Kijimadaira)
In order to empower young women, it is essential to support their independent

identity building.

Conclusion
Young women under 40 years of age consist of only 10% of the whole agricultural
population in Japan. Many of them are highly educated and/or experienced women with
eagerness of taking part in farm management and society. On the other hand, the
subordinate position of rural young women as “Future Farmer's wife” has not changed.
Many of them do not have regular holidays nor fair salary, and carry the burden of
household chores and child care because of imbalanced gender role division. Those
young women farmers need opportunities to learn and established network. It is most
important to encourage independent identity building to empower them. In Chiba’s
case, seminars with curriculum based on the results of survey and research of young
farm women were provided. At each session, participants had time to exchange ideas
and opinions. These can be helpful in encouraging women’s independent identity
building.
Recently, the number of women’s groups, which used to function as a place for
bringing up the next generation, is declining drastically. Quite a few female leaders
seem unwilling to recruit and develop young farm women. Observing this reality, one
question arises: Have the leaders of rural women in Japan really become “thinking rural
women”? This is a crucial point in evaluating the extension program in Japan.
Acknowledgement
Sections 1 and 2 were based on the research conducted by RIRCL, funded by the
Ministry of Agriculture, Forestry and Fisheries in 2009. Please refer to RIRCL, 2010,
for details.
References
Ichida, Tomoko. 2005."Sengo kaikakuki to Nouson josei (Period of agricultural reform after
World War II and rural women)” Nouson shakaishi Sengo no Nihon no Shokuryou Nougyou
Nouson Dai 11 kan (History of rural society: Food, agriculture, and rural community of
postwar Japan, vol. 11) Tokyo: Nourin Toukei Kyoukai. (in Japanese)
Ota, Miho. 2004. Seikatsu kairyou fukyuin ni manabu Facilitator no Arikata –Sengo Nihon no
Keiken kara no Kyoukun-(Learning the Role of Facilitators from the Rural Life Improvement
program: Lessons in postwar Japan). Tokyo: JICA. (in Japanese)
Department of Agriculture, Nagano Prefecture. 1983. Mura wo Hiraku Fujin no Gakushu:

Shouwa 57 nendo Nouson fujin gakkou no Matome (Women’s learning program. Summary
of Rural Women's School). Nagano: Department of Agriculture, Nagano Prefecture.(in
Japanese)
Research Institute for Rural Community and Life. 2009. Nou to Hito to Kurashi no.1 Yamamoto
Matsuyo to Seikatsu kaizen fukyu jigyou wo Kataru (Talking with Matsuyo Yamamoto about
the rural live improvement program). Nagano: Research Institute for Rural Community and
Life. (in Japanese)

Research Institute for Rural Community and Life. 2010. Joseinougyousha no Nougyoukeiei to
Ikuji tou no Ryouritsushien ni kansuru Chousabunsekijigyou Heisei 21 nendo Houkokusyo
Jisedai wo Ninau Joseinougyousha no Ikuseisien (Report on support for empowering young
farm women). Nagano: Research Institute for Rural Community and Life. (in Japanese)

Reducing Poverty of Cocoa Smallholders in Desa Compong and Desa Maddenra in Indonesia
Reducing Poverty of Cocoa Smallholders in

Desa Compong and Desa Maddenra in Indonesia
Muhammad Arsyad
Department of Socio-economics of Agriculture (Agribusiness)
Faculty of Agriculture, Hasanuddin University
arsyad@unhas.ac.id
http://www.unhas.ac.id
Abstract
One of the crucial debates when finding solution to rural poverty is whether poverty could be
addressed by agricultural or non-agricultural economic activities. A strong assumption is that,
agricultural and non-agricultural economic activities can be expected to reduce poverty, but it is
difficult to determine the economic activity that has a strong positive impact in reducing rural
poverty. This paper deals with poverty-smallholders linkages by focusing on the poverty causal
comparison of two villages (“desa”) in Indonesia. The Foster-Greer-Torbecke (FGT) poverty
indices were used to describe the poverty situation, (2) Path Analysis to extract the direct and
indirect impacts of explanatory variables on “Household Income” as Poverty proxy, and (3)
Paired-samples T-Test to evaluate income differences. Some principal findings were: (1) the
degree of poverty between two desa is relatively the same, but they have a differences income
structure, meaning that the poverty causes are different; (2) specifically, the orientation of cocoa
production in agricultural economic activity is strong and directly associated with the poverty in
Desa Compong (β=.557), while coffee, cashew-nut and livestock production are directly related
to poverty in Desa Maddenra (β=.674). This implies that encouraging cocoa production in
Compong and coffee, cashew-nut & livestock production in Maddenra (policy for the local
government), can be strongly expected to reduce poverty directly. This suggests that that the
agricultural economic activity can still be the pioneer for rural development in the country.
Keywords: poverty causes, agricultural economic activity, cocoa production, rural

development
Introduction
The poverty situation of cocoa smallholders in Indonesia is a very serious issue.

Although the rapid expansion of Indonesian cocoa production has been mainly
contributed by the smallholders (92.64% in 2005), their income is below the poverty
line. First, the smallholders are originally poor. Second, the smallholders were moving
out of poverty then fell into poverty again causing low purchasing power. Thus, poverty
is indeed cyclical. Some crucial issues strongly associated with poverty reduction
among smallholder remain unsolved. These include: (1) the challenge to improve
income through agricultural and non-agricultural economic activities which still remains
a major barrier; (2) the size of agricultural land which constrains increase in farm
production; (3) unavailability of farm credit. As a result, they do not have options to
finance production and daily needs except for borrowing capital from the brokers called

Muhammad Arsyad
“tengkulak”. The tengkulak will repaid in the farm of cocoa products. However, the
price is below the prevailing market price; (4) lack of access to social facilities such as
education, public health services and clean water; and (5) the lack of access to market
information, agricultural extension and non-agricultural business opportunity.
CRIEC-World Bank (2002) in Indonesia found that the poor are usually the farmers
who lack assets such as land and equipment as well as information (e.g. market,
technology, capital and business opportunity). The main factor which determines the
gap between the poor and the rich is access to information. Given the current situation,
it is really necessary to conduct the research on smallholders-poverty linkages as a
challenging and interesting issue. A brief justification above leads us to hypothesize that
the dimension of household human resource, agricultural asset, access to social facility,
access to information, agricultural economic activity and non-agricultural activities
influence the poverty of smallholders (Figure 1). Two specific purposes of the paper are:
(i) to measure the proportion of smallholders whose income is below the poverty line
and the severity of the poverty situation; and, (ii) to compare the poverty situation
between two desa in Indonesia.
Household P71
Human Resource
(X1) P51
r21 P61
Agricultural P75
P52 Economic Activity
r31 Agricultural
(X5)
r41 Asset (X2)
POVERTY
Income, X7)
(Household
P62 P72 r56
r32
P53
Access to Non-Agricultural
Social Facility (X3) P63
Economic Activity
r42 (X6) P76
r43 P54
P64
Access to
Information (X4) P7
Figure 1. The Hypothetical Model

Note: 1) An arrow indicates a causal relation and a curve indicates a correlation; 2) Pjq is a path
coefficient of Xj on Xq, while rjq is a correlation coefficient between Xj and Xq.

Methodology
Research Site and Data Collection
The research was conducted in Sidrap District, South Sulawesi, Indonesia. The
basic criterion of the site selection is the site which has the same number or percentage
of cocoa smallholders, but different number of poor households. The research sites
were obtained by putting the percentage into XY Scatter Plot (Figure 2). The figure is
divided into four Quadrants (I, II, III and IV) which represent the characteristics of the
cocoa smallholder-poverty linkages. It is assumed that Quadrant I indicates high
percentage of both cocoa smallholders and poor households. Quadrant II indicates low
percentage of cocoa smallholders, but high percentage of poor households, and so on.
The horizontal and vertical lines refer to the average. There are 71 desa in Sidrap
plotted. Desa Maddenra and Desa Compong were chosen to satisfy the criterion. About
26.40 % of the total smallholder households in Compong and 28.20% in Maddenra were
interviewed.
XY Scatter Plot for Se lecting Desa

100.00
90.00
Percentage of Poor Household
80.00
70.00
60.00
50.00
II I
40.00
30.00
20.00 COMPONG
10.00
0.00 MADDENRA
III IV
0.00 20.00 40.00 60.00 80.00 100.00
I
Percentage of Cocoa Sm allholder s
Figure 2. XY Scatter Plot for Selecting Desa

Muhammad Arsyad
Analysis Methods
Head Count and Poverty Gap Indices
The proportion of cocoa smallholders living below the poverty line and the level of
severity was analyzed using the Foster-Greer-Torbecke poverty indices. These are the
Head-Count Index (HCI) and the Poverty Gap Index (PGI):
A
HCI 
N
………………………………………………………………………………………. (1)
A A Z  I i 
PGI   
N i 1  Z 
 ………………………………………...... (2)
where A is the number of households below the National Poverty Line (NPL); N is the
number of total households; Z is the NPL and I i is the average income of the
households which is below the NPL. The 2006 NPL for rural area in South Sulawesi,
Indonesia of Rp.98,946.00/capita/month issued by the Central Board of Statistics (CBS)
served as the reference.
Multiple Regression as Path Analysis and Test for Goodness of Fit
The primary purpose of using the Path Analysis (PA) in this research is to
distinguish between direct and indirect impacts of independent variables on dependent
ones. PA is basically a specific form of standardized General Multiple Regression
Analysis (GMRA). The fundamental difference between PA and GMRA is the nature of
data. The data used in PA is standardized. Therefore, the assumption used in PA
principally is the same as GMRA assumption. The general model of Path Analysis is:
 K 
Yt =    q X qt  + Et
 q 1 
 
………………………………………………………..…...…………….. (3)
Direct impact of the independent variables on each of its respective dependent
can be estimated by Path Equations (PE):
X5 = P51X1 + P52X2 + P53X3 + P54X4 + E5 (PE 1)

………………………………………….. (4)
X6 = P61X1 + P62X2 + P63X3 + E6 (PE 2)
……………………………………………(5)
X7 = P71X1 + P72X2 + P74X4 + P76X6 +P75X5 + E7 (PE 3)
……………………………………………(6)

 k 
The above equations yield a general form, X j  
 Pjq X q   E j for (k < j);
 q 1 
…………………….…….(7)
where Pjq is path coefficient of the independent variables and Ej is error terms. The
estimated values in each one of the above path equations can be obtained by :
k
Xˆj   Pˆ jqXq, (k  j ) ………………………………….…………..… (8)
q 1
where a hat (^) indicates an estimated value. Thus, a path coefficient Pjq is a
standardized regression coefficient, which is bjq*(Sxj/Sxq). In this case, bjq is an
unstandardized regression coefficient, while Sxj and Sxq , respectively, are the standard
deviation of Xj and of Xq (see Arsyad & Kawamura, 2009; Arsyad, 2010). This solution
leads us to test a Null Hypothesis (H0) that “there is no significant impact of
independent variables on dependent ones”.1 In testing goodness of fit and path
coefficients, SPSS Program was used to obtain the observed F-value and coefficient of
determination (R2). The higher R2, the better estimates; meaning the model is fit. If the
observed F-value exceeds the criterion ones, we reject H0. The next stage was the test
for significance of path coefficients, (α= .10) by using the t-ratio. In obtaining the t-
value, the standard error (Sbi) was estimated along with Pjq for each variable. If Pjq,/Sbi
exceeds the t-distribution, it is concluded that Pjq differs significant from zero.
Test for Goodness of Fit and Significance of the Path Coefficient
The overall test confirms the rejection of H0 that “there is no significant impact of
independent variables on “Household Income” as poverty proxy. This could be proved
that all path coefficients in the Path Equation (PE) 3 are zero at the given significance
level. PE 3 is the path equation of all independent variables on “Household Income
(X7)” in Desa Compong and Desa Maddenra. The R2 of PE 3 reached 0.872 for
Compong and 0.814 for Maddenra. These suggest that more than 80% of the total
variance of “Household Income” in general, can be explained robusts by all the existing
independent variables. Thereby, the model constructed through the six dimensions is
adequate in explaining the poverty. In other words, all dimensions (i.e. Household
Human Resource, Agricultural Asset, Access to Social Facility, Access to Information,
Agricultural Economic Activity and Non-Agricultural ones) could be the important
dimensions for the poverty of smallholders. This leads us to argue that all significant
variables could be the direction for policy formulation dealing with poverty reduction in
Indonesia. T-test shows that all path equations have at least three significant path
coefficients in which the PE 3 has 10 for Compong and 11 for Maddenra.
1
However, the impact of independent variable on each of the two intermediate variables will not
be explained in this article.

Muhammad Arsyad
Identifying Poverty Causes: Is Agricultural Economic Activity Still the Pioneer for
Rural Development?
This section deals with a comparison of the poverty situation between two “desa”
and, analyzing the important causes of poverty. It was found through XY Scatter Plot
that some desa has same percentage of cocoa smallholder households, but they differ in
terms of the number of poor households particularly in Desa Compong and Desa
Maddenra. The calculation reveals that the Head Count Index (HCI) of Poverty in
Compong is .3428. It means that around 34.28% of the cocoa smallholder households
in Compong has an income/capita/month below the National Poverty Line (NPL).
Meanwhile, the Poverty Gap Index (PGI) of the analysis is .10. It indicates that the
average income of smallholder households falls short of the NPL. This result is
different from Desa Maddenra. The calculation reveals that the HCI in Maddenra is
.0731 meaning that less than 10% of the cocoa smallholder households has an
income/capita/month below the NPL. In fact, the average income of all smallholder
households in Maddenra is above the NPL resulting in the PGI of zero (0) meaning that
there is no poverty gap in the community. However, it is important to emphasize that,
this finding should not be interpreted to mean that there are no poor people in the said
“desa” (as HCI revealed). The indices of PGI reveal that the depth of poverty is more
severe in Compong compared to Maddenra.
The Paired-samples t Test (Table 1) shows that the average household income is
higher in Maddenra (compared to Compong). However, the income was just
Rp518.67/capita/year or Rp43,250/capita/month (around US$4.71/capita/month,
$1=Rp9,167, rate in 2006) in mean difference, which allows us to accept H0 that the
population mean difference is equal to zero. It means that statistically, there is no mean
difference between these two “desa” in terms of household income. These indicate that
the degree of poverty between Desa Compong and Desa Maddenra is relatively the
same. However, they have difference in income structure, meaning that the poverty
causes are different.
Table 2 and Table 3 present the poverty causes by different variable groups
(intermediate and independent). It should be noted that theoretically, the variables
collected in the two desa should be the same for two fundamental reasons. First, in
constructing the Hypothetical Model, it was obviously using the same dimension in
identifying variables conceptually for two desa. Second, the instrument used in
collecting primary data (questionnaire) is also exactly the same, meaning variables
collected for each of the six dimensions in the two desa should be also the same.
However, Correlation Matrix among variables displayed some dimensions that yields
the different variables collected in the two desa. This indicates that besides their
similarity as common factor, these two desa have also different social structure creating
poverty causal differentiation.

Table 1. Paired-samples T-test of household income between Desa Compong and Desa
Maddenra, Indonesia.
Paired Differences
Intermediate Variable
Desa Compong Desa Maddenra
Maximum 4,600 4,600
Minimum 62,500 76,850
Mean 2.07E4 2.12E4
Mean Difference 518.671
t .218
df 69
p-value .828
At least, there are two ways to compare the poverty situation between two desa as
well as identifying important causal factors. The first is identifying the common factors
responsible for the poverty of two desa. Table 2 shows that the variable, Government
Transfer-Source Income appears to be a common factor in each of the two desa.
Government Transfer-Source Income is defined as the household income from the
government (government transfer). The Indonesian government does not only provide
financial support (cash transfer) such as Social Safety Net Program (called Jaring
Pengaman Sosial), and Highest Oil Price Compensation Program (Kompensasi BBM),
but also subsidizes agricultural inputs such as fertilizer, chemical pesticides and farm
equipment (especially paddy field) to the rural smallholders such as those in Desa
Compong and Desa Maddenra. Therefore, it is a reasonable result that “Government
Transfer-Source Income” appears to be a common factor in explaining the poverty
situation for the two desa. This implies that the “Government Transfer-Source Income”
can be significantly expected to combat poverty in the two desa. The important question
that should be addressed here is that, in which desa do the variables have greater
(important) impacts (direct and indirect) on the poverty.
The direct impact of the “Government Transfer-Source Income” is slightly higher

(=.167) in Compong than in Maddenra (β=.147).2 This implies that the role of
government transfer in reducing poverty in Compong is more important than Maddenra.
Specifically, the orientation of cocoa production in agricultural economic activity is
strong and directly associated with the poverty in Compong (β=.557), while coffee,
cashew-nut and livestock production were observed to be directly associated with the
poverty situation in Maddenra (β=.674). This finding indicates that encouraging cocoa
production in Compong and coffee, cashew-nut and livestock production in Maddenra
could be strongly expected to reduce poverty directly. The variables that have the
strongest direct positive impacts in reducing poverty of smallholders are “Cocoa
Production” in Compong, and coffee, cashew and livestock production in Maddenra. It
suggests that agricultural economic activity (agricultural sector in broad sense) is strong
and directly associated with the rural poverty. Thus, even if the sector is not a single
factor required to reduce poverty, it is still considerably important in reducing rural
poverty directly, meaning that the agricultural economic activity can still be the pioneer
for rural development.
2
The intermediate variables do not have indirect impacts on “Poverty”.

Muhammad Arsyad
Table 2. Comparison of the causes of poverty in Desa Compong and Desa Maddenra by
intermediate variable.
(βweight) on the Poverty
No Intermediate Variable
Desa Compong Desa Maddenra
1 Coffee and Orange Productions .377 *
2 Clove Production and Livestock .195 *
3 Cocoa Production .557 *
4 Family Transfer-Source Income .258 **
5 Government Transfer-Source Income .167 .147
6 Coffee, Cashew and Livestock * .674
7 Clove and Orange Productions * .224
8 Cocoa and Irrigated Paddy Field * .249
Productions
Note: * unidentified in the same cluster of variable; **insignificant; shaded area is common causes
The Family Transfer-Source Income is the second important variable that

influences poverty in one desa but it is unidentified and/or insignificant in the other
desa. The Family Transfer-Source Income is defined as the household income from
other household members who are working outside the country especially Malaysia
(resulting remittances) and the members who are working outside the hometown. It was
observed that the family transfer-source income of households in Desa Compong is
more diverse, because there are members who work in Malaysia. Other family members
are engaged in different economic activities in hometown, such as being a social/private
teacher, craftsman and extracting rattan from forest, etc. On the other hand, the family
transfer-source income of households in Desa Maddenra was limited because they only
generate income from remittances and wages of farm laborers. The number of
smallholders who received the income in the two desa was also different. The frequency
distribution obviously reveals that the family transfer-source income is higher in
Compong, with 44.29%, than in Maddenra with only 41.47% households. Though
insignificant, the “Family Transfer-Source Income (X61m)” also appear to have an
impact (βweight) on the poverty in Maddenra, and has a significant positive impact to
the smallholder farmers in Compong. Hence, this variable is a common factor
influences poverty in both Compong and Maddenra, but the degree of the impacts are
different. This implies that diversity of family transfer-source income can also be
expected to reduce poverty.
In addition to the intermediate variables, the two “desas” were likewise compared in
terms of the influence of the independent variable groups. These include “Cultivated
Land Area”, Social Service Utilization” and “Agriculture & Non-Agriculture
Extensions”. Table 3 clearly depicts that the variable Cultivated Land Area has both
direct and indirect positive impacts to poverty reduction. Its direct positive impact
influences poverty in Maddenra (β=.373, a moderate impact), while its indirect positive
impact to poverty was observed both in Compong (.353) and Maddenra (.078). A
principal implication of this finding is that, expanding cultivated land area could be
expected to moderately reduce poverty directly in Maddenra. In addition, it could be the
next route to reduce poverty indirectly to smallholders in Compong and Maddenra.
However, it should be underscored that its indirect positive impact in Compong is four
times higher than Maddenra. This implies that that expanding cultivated land area will

reduce poverty in Compong indirectly.3
Another common poverty causing factor is “Social Service Utilization”. Table 3

shows that the variable Social Service Utilization has a direct positive impact to the
poverty in Desa Maddenra (β=.444). In addition, it has a negative impact on the poverty
in both Desa Compong (indirect impact of -.061) and Desa Maddenra (indirect impact
of -.040). In Maddenra, social facilities such as primary public health center (called
PUSKESMAS), junior high school and public water for cooking are closer to
smallholder residence compared to Compong. For instance, the frequency distribution
confirms that the average distance of the Junior High School to Compong is almost 4
km (Mean=3.57) with maximum distance of 10 km (Max=10). Meanwhile, the average
distance of Maddenra, to the school is less than 2 km (Mean=1.81) with maximum
distance of 4 km,which is almost three times closer than Compong. It is also clear from
the results that even if the average degree of utilization of PUSKESMAS in Compong
(Mean=.27) is slightly higher than in Maddenra (Mean=.191), Compong has still a
minimum degree of zero (Min=0). This means that there are smallholders who never
used PUSKESMAS in Compong (unlike Maddenra, Min=1). Meanwhile, the degree of
utilization of PUSKESMAS in Maddenra is almost three times higher (Max=5) than in
Compong (Max=2) indicating that Maddena is more accessible to the said facility. This
statement can also be supported by looking at distance of the two “desas” to the
auxiliary health center, called PUSTU. PUSTU is obviously unidentified with
Maddenra. Generally, PUSKESMAS in Indonesia are located in the capital city of sub-
district (kecamatan) and/or desa, while PUSTUs are located in remote rural areas.
Compong, being located in a remote area is more accessible to PUSTU, while
Maddenra which is closer to the capital of kecamatan is more accessible to
PUSKESMAS. However, it does not mean that all smallholders in Maddenra have
better access to social facility,because roughly 19% smallholder farmers in Maddenra
also live in areas which are quite far from these facilities.
Table 3. Common poverty causes comparison between Desa Compong and Desa
Maddenra in Indonesia.
(βweight) on the Poverty

No Independent Variable Desa Compong Desa Maddenra
Direct Indirect Direct Indirect
1 Cultivated Land Area with Farm - .353 .373 .078
Equipment
2 Social Service Utilization - -.061 .444 -.040
3 Agriculture and Non-Agriculture - .288 .276 -.191
Extension
Agriculture & non-agriculture extension activities are also an important poverty

causal factor. As shown in Table 3, it has direct positive impact in increasing household
income in Desa Maddenra (β= .276, a moderate impact). This means that the higher the
frequency of getting the information of technology/agricultural extension, non-
agricultural jobs information and market information for input-output in agriculture, the
3
Indirect impact explained here is total indirect impact.

Muhammad Arsyad
higher would be the crop production, and agricultural income, and more non-
agricultural income will be gained, leading to poverty alleviation. This indicates that
“Agriculture & Non-Agriculture Extension” can also be expected to be the next
important variable in reducing poverty directly.4 This implies that expanding cultivated
land area with farm equipment and stepping up agricultural and non-agricultural
extension services in Maddenra could be the next important routes to help smallholder
farmers move out of poverty directly. In addition, the variable Agriculture & Non-
Agriculture Extension has positive impact in reducing poverty in Desa Compong,
though indirectly. Its impact was transmitted to the poverty through the three
intermediate variables (“Cocoa Production”, “Family Transfer-Source Income” and
“Government Transfer-Source Income”) positively, so that the total indirect impact
becomes positive (.288). This also implies that setting up agricultural and non-
agricultural extensions in Compong could be expected to cope with poverty indirectly.
Conclusion and Policy Options
The Head Count Index (HCI) of poverty in Desa Compong reveals that around
34.28% of the cocoa smallholder households in Compong have an income per capita is
below the National Poverty Line (NPL). Meanwhile, the Poverty Gap Index (PGI) of
the analysis is .10. This indicates that the average income of smallholder households
falls short of the NPL. This result is different from Desa Maddenra. The HCI in
Maddenra confirms that less than 10% of the smallholder households have an income
per capita below the NPL. In fact, the average income of smallholder in Maddenra is
above the NPL resulting in the PGI of zero, meaning that there is no poverty gap in the
community. However, this finding should not be interpreted to mean that there are no
poor people there (as HCI revealed).
The indices of PGI revealed that the depth of poverty is more severe in Compong
than in Maddenra. The degree of poverty between Compong and Maddenra is relatively
the same, but they have a differentiation in income structure, meaning that the poverty
causes are different. Specifically, the orientation of cocoa production in agricultural
economic activity is strong and directly associated with the poverty in Compong
(β=.557), while for coffee, cashew-nut and livestock production were observed to be
directly associated with the poverty in Maddenra (β=.674).
This finding indicates that encouraging farmers in Compong to engage in cocoa

production, and the smallholder farmers in Maddenra to engage in coffee, cashew-nut
and livestock production, could provide direct positive impacts to poverty reduction,.
This means that the orientation of agricultural economic activity (agricultural sector in
broad sense) is strong and directly associated with the rural poverty phenomenon. Thus,
even if the agricultural sector is not a single factor required to reduce poverty, the sector
is still a pioneer in reducing rural poverty directly (pro-poor policy). There are also
common factors and policy options responsible for the poverty reduction. These include
expanding cultivated land area, enhancing government transfer-source income, and
stepping up agriculture & non-agriculture extension services. Promoting social services
4
Note as well that this statement based on the positive moderate impacts directly, not across variables.

utilization especially Public Health Center is also a potential way to help in poverty
reduction efforts.
Acknowledgment
I would like to extend my sincerest thanks to Professor Yoshio Kawamura for his
invaluable solution in employing Factor and Path Analysis. I would also like to thank
Professor Muslim Salam for his helpful discussion in the early stages of model
construction; Professor Saleh Ali, Professor Koji Tanaka and Dr (Cand) T. Temesgen
Tilahun for their comments on an earlier draft of this paper.
References
Arsyad, M. (2010). The Dynamics of Cocoa Smallholders in Indonesia: An Application of Path
Analysis for Poverty Reduction. Ph. D. Thesis, Ryukoku University, Kyoto.
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. & S. Yusuf (2009). Poverty Causes-Cocoa Smallholders Linkages in Indonesia.

Ryukoku Journal of Economic Studies, 49 (2):1-27.
Center Research Institute for Estate Crops (CRIEC) & World Bank (2002). Report Studies on
Smallholder Tree Crops Production and Poverty Alleviation. CRIEC-World Bank.

Ni Hui
Changes in Silk Production and Trade Structure

in China After the 1980s
Ni Hui
Graduate School of Economics
Kyoto University, China
ni.hui.niki@gmail.com
Abstract
Sericulture (silk industry) is one of the most typical industries in China. Since 1980s, the silk
industry in China has experienced a lot of changes in the domestic production and in foreign
trade.
Chinese silk products were mainly exported to European countries and the United States before
the 1980s. Today, the situation has changed, although the United States is still a major buyer of
silk products in the form of silk clothing products. Since the 1990s, India and some other Asian
countries have begun importing Chinese silk products. In 2006, India accounted for more than
30% of total silk yarn export from China. To meet this changing trade structure, Chinese
traditional sericulture regions (e.g. Zhejiang) have been improving the quality of their silk yarn
products, while expanding into the silk clothing production. In terms of cocoon production,
however, these traditional regions are being replaced by new emerging sericulture region,
Guangxi. Today, Guangxi is the biggest sericulture region in China and accounts for over 25%
of cocoon production in the country since 2005.
This paper discusses how the trade structure of Chinese silk products has changed; how these
changes have affected the domestic production in regional and structural terms; and how the
sericulture and silk industry in China is responding to the changes in the trade of silk products.
Keywords: sericulture, silk industry, silk product trade, China
Introduction
Silk production has a long value chain and structure. As Figure 1 shows, it starts
from agriculture sector, to silk reeling and spinning industry, and finally to the textile
and apparel companies. Figure 1 also shows that there are various products of
sericulture. These include the cocoon, silk yarn, silk textiles and apparels. During the
long history of the silk production in China, each of them is a very important export
commodity, especially the silk which has been recognized for number of years ago until
now.

Changes in Silk Production and Trade Structure in China after the 1980s
China has a long history of sericulture and silk industry. Over about 4,500 years,
silk production has retained its character as one of the most important export
commodities. While there is a huge demand for the export of silk products, the import
of silk items is too small. Luxury silk textiles and apparels are among the imported
items, whose price is too high, but the market demand is too low.
Changes of Silk Production and Trade Structure
Macro situation of silk production before 2000
After 1950s, the total export of all kinds of silk commodities, including cocoon, silk
yarn, and silk textiles were almost increasing during the last six decades According to
Wang (2004) and the Silk Year Book, there was a remarkable increase in the export of
silk products during the 1990s than in the 1980s. In 1985, the total silk production was
about 95 million US dollars and was down to 195 million in 1990 (Table 1).
Table 1. Silk export of China from 1950-1997.
Total Silk Yarn

Total Silk Product Total Silk Cloth Total
Production (Including
Year Export 10 and Textile Product of
Mulberry Silk and
Thousand US$ Material Apparel
Others)
1950 2,130.00 1,394.00 678.89 57.00
1960 10,282.00 2,838.00 6,446.15 -
1970 13,897.00 9,206.00 4,691.00 943.41
1980 74,797.00 36,438.00 25,319.90 11,944.07
1985 95,650.00 38,744.00 35,072.11 21,833.47
1990 195,043.00 60,811.90 71,187.80 51,350.14
1991 276,175.00 60,613.00 72,089.00 13,929.00
1992 285,076.00 67,281.00 66,393.00 176,561.00
1993 312,583.00 51,136.00 54,181.00 222,851.00
1994 375,309.00 52,044.00 115,380.00 202,168.00
1995 311,825.00 48,608.00 106,032.00 154,166.00
1996 248,576.00 46,313.00 82,108.00 120,153.00
1997 305,039.00 48,237.00 108,456.00 148,345.00
Source of dates: Wang (2004).

Ni Hui
The remarkable increase in the silk exports could be attributed to the changing
government policies. On January 1, 1987, the China National Silk Import and Export
Cooperation (CNSIEC) was founded1 to govern the export and import of silk and
related products. Specifically, this cooperation aimed to supervise the silk export
companies within China. In 1988, a silk export tax was imposed – a 100% tax rate for
cocoons and all kind of silk yarns, and 80% for silk textile2. During the 1980s and
1990s, the Chinese government promoted the export of silk textiles than the silk
industry materials as cocoons or silk yarn. This is because silk textiles have more added
value than cocoons, which could gain more foreign currency for China. This is why the
Chinese government paid more attention to the silk industry including silk reeling,
spinning and apparel, but not to the sericulture until the beginning of the 21st century.
Simultaneous with the imposition of silk export tax is the promotion of export
rebate rate. Moreover, the rebate rate was improved several times. In 1998, the export
rebate rate of some textile materials including silk yarns was increased to 11%. In 2009,
the rebate rate of silk yarns was increased to 13%, and textiles and most kind of apparel
production to 14%. Among all the materials for silk production, the cocoon has the
lowest rebate rate. During the past 20 years, the export rebate rate of cocoon almost
kept at the level 5%3.
By the end of 1992, silk product companies could not trade their products directly,
instead, they had to go through the CNSIC except for special silk product4. Thus, the
export of silk was strictly under control by the CNSIEC for a time. However, starting in
1993, many large scale silk production companies, including local state-owned filatures
were able to get a quota from CNSIEC, and consequently, local companies could do
silk trade business by themselves and not through the CNSIEC anymore5. CNSIEC
could still control the whole silk trade by governing the silk export quotas.
Macro situation of Silk Production After year 2000
As shown in Table 2, there is an increasing trend in the silk export towards the end
of 1990s. According to the Customs of China, during the period of 2000 to 2007, the
export increased from US$4050M to over US$16500M. This suggests that the export of
silk products has grown up about four times during the past 10 years.
1
The original organization was founded in 1951. Then at the beginning of 1980s, it was merger with
other associations as China Silk Cooperation by the central government of China. In 1987, it was
separated again and reformed.
2
About the tax rate, look the Oder of Custom Institution of China No.1077 ’A Notice of Begin to Tax
on the Export of Silk Productions’
3
From http://www.lhsilk.com/Article/ShowArticle.asp?ArticleID=135, checked on 2010/6/5.
4
Many are the branch company of the state-own silk company in the main product sericulture region.
Some of them have a long history and had begon the silk production export activities before the
liberation of China, and have shaped big customers network for decades of years.
5
Zhuangmu, Wang. 2004 , pp.622-632

Table 2. Silk export changes in 1998-2007.
Silk Production
Export Mulberry Silk Silk and Textile
(Except silk Cocoon Total Silk Yarn
(1000US$) Yarn Production
apparel)
1998 750,341 5,704 212,721 199,046 353,277
1999 754,947 3,175 239,376 162,423 306,682
2000 928,072 5,682 271,585 114,266 362,055
2001 826,587 3,498 242,685 70,399 346,447
2002 767,294 1,647 242,959 22,979 340,225
2003 824,168 895 211,816 14,433 405,560
2004 1,062,306 980 213,596 69,610 583,081
2005* 1,347,582 285 - 224,401 73,281
2006 1,423,799 302 198,389 131,022 786,666
2007 1,396,873 730 337,188 227,477 771,591
Note: Dates of year 2005 are from the ‘Silk Year Book’ 2006
Other data were obtained from General Administration of Custom of China
Changes in the Export of Silk Commodity Structures
The table above shows that in the 1950s, the silk yarn production export was over
65% in the total silk export. The silk cloth and silk apparel were little than 11% and
2.7%, respectively. Except in 1970, the share of silk yarn has decreased rapidly over
the years. In year 2000, it went down to around 19%, and 7%6 in 2006. On a positive
side, the export of apparel and silk cloth has been increasing, and has saved the silk
production industry. In 2000, silk cloth and apparel shared about 81% in the total silk
export, and in 2006, it increased to over 92%. But on the contrary, the quantity of
cocoon was reduced. In 1998, the export of cocoon was about 615 tons, and went down
to 80 tons in 2007.
The silk commodity structures changed dramatically not only because of the change
in the trade policy, but also because of the changes in the domestic sericulture and silk
industries. Figure 2 shows how the total export and the silk yarn export changed from
1970 to 1999. Thus, it is clear that before 1990s, the growing rate of all kinds of main
silk production materials has changed. However, from 1990s there was a sharp increase
in the export of silk production.
Mulberry Cocoons
The Chinese export of cocoon has been declining after the 1980s. There was an
observed stable condition in the cocoon export during the 1990s, because of the
increased cocoon production from 1993 to 1995. The silk reeling capacity, at that time,
could not consume such a large quantity of cocoon material.
6
According to the China Year Book of 2007

Ni Hui
Table 3. Changes in cocoon export, 1992-2007.
Export of cocoon from 1992-2007 (in kg)

Country 1992 1993 1995 2000 2001 2002 2003 2004 2005 2007
Total 2,181,487 2,873,032 2,121,951 632,341 435,180 249,101 138,025 114,084 29,683 80,164
Japan 1,440,532 - 1,594,982 562,582 397,080 234,301 138,025 108,584 8,183 13,750
Korea 273,050 481,725 246,925 64,500 15,000 10,300 - 1,500 1,500 3,200
Hong Kong 467,761 847,508 95,777 - - - - - - -
Germany - 10,000 9,000 - - - - - - -
Thai - 13,040 66,500 - 12,000 - - 3,600 20,000 -
Note: Datas from The General Administration of Customs of the People’s Republic of China
For the last 30 years, the major buyers of cocoons are Japan and Korea. The
cocoon exports command a higher price in Japan than in other countries. Thus, over
60% of the total cocoon products are exported to Japan. Although Japan’s import of
cocoon has been declining from the 1980s and in the recent years, it became one of the
biggest cocoon markets for China, because Japan is also engaged in the traditional
sericulture and silk industry. Japan was the biggest country for cocoon and silk
production until in the middle of 1970s. However, the silk industry has declined
steadily. Most of them have shifted from silk production to sericulture research.
Because of the little demand for cocoon materials, China became Japan’s cocoon
supplier. While there was an observed fluctuation in the demand for cocoon, it is also
apparent that the trend is declining over the years.
Similar with Japan, Korea has been importing the Chinese cocoon since 1980s,
although the import is observed to be declining. The Korea’s import of cocoon was at
its peak in 1993 with 481 tons, and dropped to 3.2 tons in 2007. Other countries such as
Germany, Hongkong, Thailand, Vietnam and some other Asian countries also import
Chinese cocoons. However, the imports were just too small and are only made twice a
year.
Silk yarn, including mulberry raw silk yarn and other silk yarn subsidiary production
As it is known, silk yarn (including mulberry silk yarn and other productions) has
been one of the most important trade commodities for hundreds of years. Table 4 shows
that by the end of 2010, the trend of silk yarn export is increasing. Before 1980s, silk
yarn shared about 50% in the total silk export. But from the 1990s, silk yarn export was
only a small chunk of the total export. The demand for almost all kinds of silk yarn
increased rapidly brought about by the trade policy and the booming of silk industry in
China. Moreover, more middle-`scale filatures were promoted and the silk yarn
production was also enhanced to meet the increasing demand of silk textile spinning
and waving companies. But this is actually not the primary aim of the silk yam
production. While the deregulation of silk trade policy has been observed as early as
1993, it was not easy for the mid-scale or small-scale filatures to export their silk yam
directly, because they had to compete with the huge state-owned silk companies. In

addition, the change in the silk yarn production structure has also changed in order to
meet the different demands from various countries and regions.
By the end of 1990s, Japan and Hong Kong were the first and the second buyers of
mulberry silk yarn. Japan has been requesting for high quality mulberry silk yarns more
than the level of 5A7. On the other hand, Hong Kong only imports average quality silk
yarns (3-4A level). Meanwhile, other countries like Italy and Thailand have been
importing high quality silk yarn, but in small quantity.
Table 4. Changes Mulberry Silk Yarns Export Price 1991-2007
Price 1000US$/ ton 1991 1995 1999 2000 2001 2002 2003 2004 2006 2007
Total/Average Price 40.63 23.75 20.32 23.36 22.48 17.62 16.24 19.57 30.11 24.54
India 34.21 21.62 19.64 22.69 21.94 17.55 14.88 19.12 29.10 23.60
Italy 41.76 25.52 21.15 23.85 23.81 18.06 17.56 20.38 30.16 26.85
Japan 53.30 27.67 21.66 24.61 22.54 18.25 22.95 21.56 34.91 27.83
Myanmar - 23.25 12.77 21.72 18.82 13.53 12.67 17.00 26.52 22.78
Korea - 24.59 21.38 22.92 21.98 17.49 16.84 19.28 29.81 26.01
Hong Kong 22.09 23.11 20.68 22.03 22.46 19.77 12.28 - 27.19 24.34
Pakistan 36.71 20.65 19.85 23.87 22.00 18.90 - 18.80 27.42 23.92
Bangladesh - 21.40 18.79 21.61 24.84 19.19 16.04 17.66 27.00 23.43
Vietnam - 21.42 - 25.05 21.61 18.47 17.68 20.29 34.01 24.79
Thai 35.70 21.90 19.26 22.12 - - 14.56 20.67 28.46 26.81
Indonesia - 23.08 - 24.83 20.90 19.60 - 19.50 28.56 24.55
Arabia 47.66 21.76 20.33 21.45 23.03 19.92 - 18.46 28.82 23.92
This situation is still being observed up to now and such a segment within the silk
yarn market affected the regional shift of Chinese domestic sericulture production.
After year 2000, two groups have been importing silk yarn from China. These are
the group of the developed countries including Japan, Italy and other European
countries, and the group of the developing countries including India, Vietnam and
Korea.
After year 2000, the demand for silk yam from the developed countries has declined
compared in the earlier years. However, the demand from Japan and Italy has been
consistently increasing. In addition, the demand for high quality silk yarn has been
observed in Japan and other European countries. As a result, silk yarn export to
developed countries remains China’s strategy for attaining economic productivity,
rather than engaging in the production of silk apparel.
7
This is a way to express the quality of mulberry silk yarns. It is a National Standard decided by
the Chinese government. Generally, there are several levels from A to 6A. From A to about 3~4A
will be thought as low level, 3A~4A will be a middle level. From 5A to 6A are always
considered as a high level of silk yarn

Ni Hui
Table 5. Quantity of export mulberry silk yarn.
Export of mulberry silk yam (in kg)

Country 1991 1995 1999 2000 2001 2002 2003 2004 2006 2007
India 7,455 2,816,955 3,584,331 1,418,223 1,437,823 683,959 422,275 2,142,059 1,903,707 5,428,748
Italy 54,980 712,084 870,502 870,627 632,084 155,578 65,148 538,333 1,094,740 917,695
Japan 679,813 1,378,404 843,692 1,007,419 566,939 227,691 150,624 254,035 349,049 533,359
Korea - 572,831 741,156 591,824 173,158 57,643 30,106 144,431 197,835 347,047
Hong Kong 644,829 2,349,423 1,067,188 244,522 65,672 35,705 8,063 - 3,384 13,473
Germany 11,529 575,444 42,728 88,346 - 19,360 11,647 26,518 49,278 72,540
Vietnam - 19,327 - 15,369 69,089 20,842 16,512 115,349 284,543 409,326
Thai 97,119 110,479 115,962 6,103 - - 2,679 16,349 2,389 52,896
Arabia 33,991 5,100 173,846 89,646 5,731 3,615 - 82,879 41,666 178,958
Turkey - - 15,600 23,979 28,411 - 418 6,161 6,594 44,003
Myanmar - 64,506 38,520 16,623 44,951 67,766 78,799 77,711 61,655 58,745
France 2,488 44,254 9,600 18,272 5,447 4,242 - 7,900 12,687 19,996
Total 1,807,140 9,693,780 7,991,352 4,892,442 3,131,881 1,304,337 888,472 3,556,588 4,351,841 9,268,698
Many southeast and middle Asian countries, such as India, Vietnam and Arabia
have begun to import silk yarn from China, decades ago. But, as analyzed, Asian
countries only asked middle or low quality of silk yarn at the level of about 3~4A.
Before 1990s, most of the Chinese filatures which are located in the eastern part of
China, preferred producing high quality silk yarn to meet the demand of Japan and
European countries. They did not pay much attention to the production of low quality
silk yarn to meet the demand of neighboring Asian countries. This situation has changed
towards the end of 1990s.
The demand from Vietnam, Korea and Saudi Arabia has also been increasing,
though in smaller quantity. It can also be noticed that the price of silk yarn in almost all
Asian countries are cheaper than prices in developed countries like Japan and European
countries. This explains the level of quality of silk yarn production.
Silk textiles and silk apparel production
The quantity of silk textiles and silk apparel export to European countries and Japan
are not huge, because these commodities command higher added values. The demand
for these products from the developed countries began to decline in the recent years.
However, export of these products to many Asian countries have been observed in the
increasing trend, particularly in India, where the silk yarn export was over 58% of the
total export.
After 1990s, the structure of commodities changed obviously too. It is clear that not
only the cocoons but also the silk yarns market have been divided into two big layers.
One is high quality production, at high price but in smaller quantity, for European

countries or Japan. Another layer is lower quality production, at a lower price but huge
in quantity, which is mainly shaped by Southeast and Middle Asian countries.
Those changes affected the silk production trade structure, and the domestic
sericulture and silk industry production structure too. Also, the changes of domestic
production, promoted the trade structure.
Changes of Sericulture Producing Regions and the Trade Structure
To understand the relationship between the change of domestic sericulture

production and the silk export, I compared the growing rate of the cocoon output inside
China and the silk yarn export. Because, in the silk production’s value chain of
sericulture and silk industry, silk yarn is just next to the cocoon. Then, when cocoon
productions changed, silk yarn would be affected directly and immediately.
It is clear from Figure 6 that silk yarn production output seems to have litte effects
on the change of cocoon by the end of 2004. This is because there has been no
significant change in the demand for the domestic silk yarn until the end of 2004. But,
after 2005, the transition of silk yarn export seems connected with the domestic silk
yarn production.
Silk Export
Cocoon Output
Table 6 shows the change of domestic sericulture and silk reeling industry. The
output of cocoon increased quickly until year 2000, but declined in the middle of the
2001. While the mulberry field was at its peak in 2006, there was an observed declining
trend. The situation is different with that of sericulture in which the trend has been
increasing since mid-1990s. According Ni hui (2005), there are now two regions that
are engaged in sericulture production: the traditional region (then called as the east
region) and the new region (then called as the southwest region). These two types of
regions are quite different from each other. Their characteristics also influence the
development of silk industry.

Ni Hui
Table 6. Domestic sericulture changes of China.
Total Output of Total Output of Raw Silk

Year Cocoon Production Mulberry (10000 Mu)
Production (10000 Ton)
(1000 Ton)
1972 161 1.95 338.50
1980 326 3.55 430.50
1985 371 4.22 619.50
1990 534 5.66 726.10

1991 584.0 6.07 1,540.0
1995 800.0 11.34 1,744.7
2000 548.0 7.33 948.7
2001 655.0 8.73 1,081.5
2002 698.0 9.82 1,131.4
2003 667.0 11.1 1,140.0

2004 555.0 10.26 1,129.1
2005 608.0 13.1 1,070.4
2006 742.1 14.14 1,540.0

2007 789.1 14.9 1,367.0
2008 658.6 - 1,268.9

Note: From “China Silk Year Book”
Changes in the traditional region : Zhejiang Province and Jiangsu Province
Zhejiang and Jiangsu are the most important areas of sericulture in the eastern part
of China (Ni Hui, 2007). Besides the long sericulture history, these two provinces are
considered to have perfect sericulture and silk industry–from cocoon production to silk
apparel, and from the cultivation of silkworm and mulberry trees to foreign trade.
Figures 7 and 8 show that the cocoon output and mulberry production have declined
after 2000 in Zhejiang and Jiangsu Provinces. Despite this, however, the other
components of the silk industry, particularly silk reeling, spinning, and apparel making
have quickly developed and large-scale silk companies began to sprout. In 1991, for
instance, there were about 127 silk companies in Jiangsu and about 140 in Zhejiang.
The outputs of these companies were 528 million RMB and 580 million RMB,
respectively. The average output of each company was about 4.16 million and 4.14
million, respectively. In 1999, however, the number of companies was reduced to 85 in
Jiangsu and 77 in Zhejiang. But the output of the silk industry grew up to 719 million
and 666 million, respectively. As a result, the average output has increased to 8.45
million and 8.64 million, respectively.

Meanwhile, the number of silk companies has declined as a result of the central
government’s regulation in 1998 to adjust the filature and the silk yarn production. This
policy states that the small-scale filature or those reeling threads less than 2400 and with
an average quality of silk yarn under 2A50 would not get a product license after 19988.
As a result, many small-scale filatures dropped and only large-scale silk companies
survived. Many of these are, of course, stated-owned companies or ‘transformed state-
owned” companies9. After 2000, huge silk companies concentrated in the area of
Jiangsu and Zhejiang.
8
For more details, see the Oder of State Council and the Office of Silk Industry [1997] No.16.
9
For more details, see the Oder of State Council and the Office of Silk Industry [1997] No.16.

Ni Hui
In 2008, there were 682 licensed silk companies. Of these, 142 companies are in
Jiangsu and 153 in Zhejiang. About 42% of the total silk companies in China are located
in the provinces of Jiangsu and Zhejiang. Most of these silk companies could directly
export their products and do not have to pass through the centre silk company in China.
Thus, the export of silk textiles and apparel production has increased speedily after
2000.
Because of their wide experience and high-end technologies in silk production, the
silk products of Jiangsu and Zhejiang premises are of very high quality, and are being
exported to Japan, Italy and other developed countries. In 2006, about 29 out of 50
companies that have exported silk products to Japan were enlisted in Jiangsu and
Zhejiang.
The development of silk industry calls for a huge supply of cocoon material. For a
time, sericulture in Jiangsu and Zhejiang declined. A new sericulture region that has the
potential to supply the required cocoon of the two provinces is Guangxi.
Guangxi: A new sericulture and silk industry region
Guangxi is a new region of sericulture in China. After year 2000, the cocoon
production in Guangxi has increased rapidly. Table 7 shows that in year 2000, the
cocoon production of Guangxi was only about 26,000 tons.. But at the end of 2001,
cocoons from Guangxi shared about a quarter of the total domestic cocoon production.
Table 7. Sericulture in Guangxi.
Guangxi Mulberry Square Cocoon

10000 Mu Share In China Ton Share In China
1991 10.0 0.65% 8,381.0 1.44%
1995 26.0 1.49% 14,000.0 1.75%
2000 25.0 2.64% 26,000.0 4.74%
2001 65.0 6.01% 56,000.0 8.55%
2005 140.2 13.09% 140,300.0 23.08%
2006 180.6 11.73% 185,685.0 25.02%
2007 202.1 14.78% 205,163.0 26.00%
2008 201.6 15.89% 170,907.0 25.95%
The growing trend of cocoon production in Guangxi would be able to meet the
demand of cocoon material from Zhejiang and Jiangsu. Guangxi has several features as
a cocoon material production area. These include the: a) quantity of cocoon output; b)
low price of Guangxi cocoons because of cheaper labor and fees; and c) desirable
conditions for the silkworm breeding. The silkworm breeding depends on the suitable
weather and temperature conditions. Usually, cold winter and hot summer are not
suitable for breeding silkworm. Most of he sericulture regions in Zhejiang and Jiangsu
are located in the temperate zones, which are not suitable conditions for silkworm

breeding. This is the reason why there is a limited cocoon supply in these two
provinces.
Guangxi is located in the subtropical zone, in which silkworm breeding could be

done almost throughout the year. Expectedly, there is an assured supply of cocoon
products almost every month. Despite the high cost on transportation from Zhejiang to
Guangxi because of the 1600km distance, the silk companies would still benefit from
getting cocoon products from the latter. However, since Guangxi has just started its
sericulture industry, the cocoon products are still not of very good quality, and
sometimes, this becomes a problem because Jiangsu and Zhejiang prefer high quality
cocoon materials.
Not only has Guangxi explored in cocoon material production. It has likewise
explored developing silk yarn filatures after year 2000. In 2004, there were only 26
filatures that have secured their silk reeling licenses. After five years (in 2008), there
were already 70 filatures that have obtained their licenses. Guangxi is still planning to
build silk spinning and apparel companies. Geographically, Guangxi could directly
export their products to the neighboring Southeast Asian countries. As discussed
earlier, the Southeast Asian countries have become an important market of the middle
and low quality of silk products. Definitely, Guangxi could meet the requirements of the
Southeast Asian countries.
Today, Guangxi has limited capacity to consume all the cocoon outputs. Thus, it
has maintained its linkage with the silk companies in the eastern part of China.
Conclusion
The silk export structure of China has changed during the last three decades. From
the angle of commodity structure, the export of cocoon material and the high quality
silk yarn declined. But silk apparel production to developed countries, like Japan and
Italy increased. At the same time, middle or low quality silk yarns to Southeast Asian
countries increased rapidly. Under such situation, domestic sericulture has consequently
changed. Today, not only the eastern part of China is engaged in sericulture. The
southwestern part of China has also been developed as the main sericulture region.

Ni Hui
References
Friedland, William H. 1984. ‘Commodity Systems Analysis: An Approach of the Sociology of
Agriculture.’ Research inRural Sociolog and Development : A research Annual, edited by
Harry K. Schwarzweller. Greenwich. Connecticut: JAI Press. pp221-235.
Lillian M.Li. 1981. China’s Silk Trade: Traditional Industry in the Modern World 1842-1937.
Council on east Asian Studies Harvard University.
Ni Hui 2007. ‘The Developing Process of Sericultural Industry in China Today -A Case Study on
Zhejiang Province and Jiangsu Province-’ Journal of The Research and Study (Special Issue
of the Economic Review). No. 35, pp.42-63. In Japanese.
Robert Y. Eng. 1986. Economic Imperialism in China Silk Production and Exports, 1861-1932.
California: Institute of East Asian Studies University of California・Berkeley.
Silk Year Book of China. 2000~2007. In Chinese
Zhuangmu, Wang. 2004. New China Silk History. China Spinning Press. In Chinese

Market Structure and Procurement System of Shrimp Export Industry in Bangladesh
Market Structure and Procurement System of

Shrimp Export Industry in Bangladesh
Shuraya Tasnoova, Tomoyuki Yukata and Izumi Iwamoto

Dept. of Agricultural Economics, Faculty of Agriculture,
Kagoshima University, Japan
tasnoova2000@yahoo.com
Abstract
Shrimp production and export in Bangladesh has undergone rapid expansion over the last two
decades. Shrimp is a very valuable export commodity, generating substantial revenues and
foreign exchange and creating employment opportunity. Bangladesh has a total of 145 shrimp
export industries. Of these, 94 industries are situated in Khulna division. Data were collected
from two export industries, five agents, 10 suppliers, 10 sub-suppliers, 12 farmers, one fry
collector and three fry sellers from Khulna, Paikgacha and Bagerhat districts in Khulna division
in Bangladesh on December 29, 2009 to January 14, 2010.
This paper reveals a complex buyer-driven marketing channel for shrimps. The people who are
involved in this industry have improved their livelihoods gradually.
Keywords: shrimp industry, employment opportunity, Bangladesh, marketing channel
Introduction
In Bangladesh, shrimp industry is the second largest foreign currency earner after
the garment industry. About 1.3 million people are involved in forward and backward
linkage activities like fry collection, hatching, nursing, production, harvesting,
processing, export and other logistic support services. The shrimp industry envisions to
increase export quantity and to earn 1.5 billion USD by 2010. Shrimp culture started in
Bangladesh in the coastal district of Satkhira in 1960s. Gradually, its culture expanded
to the coastal belts of Khulna, Bagerhat, Cox’s Bazar and Chittagong and now the area
under shrimp culture has increased from 52,000 ha in 1982-83 to 270,000 ha in 2007-08
(Bangladesh Frozen Food Exporters Association, BFFEA, 2009). About 90% shrimp
land is located in the Khulna, Bagerhat, Satkhira and Cox’s Bazar districts in the
south-eastern region of the country as shown in Figure 1.

Shuraya Tasnoova, Tomoyuki Yutaka and Izumi Iwamoto
30
25
20
15
Area(%)
10
0
g r a t a e r li s
on za uln ha hir or jpu ola ha ict
ag Ba Kh er tk ss ro Bh ak str
hitt x's Bag Sa Je Pi atu rDi
C C o P he
Ot
Districts
(Source: Statistical Year Book Bangladesh 2008)
Figure 1. Percentage of shrimp farming area in Bangladesh 2005-2006.
The export earning from shrimp industries is increasing as shown in Figure 2. It

shows that the total export is gradually increasing from 1972-73 to 2008-09. In 1973,
the export earning was 3.17 million USD, which stands at 456.98 million USD in
2006-07. According to the Fisheries Global Information System (FIGIS), FAO (Food
and Agricultural Organization) databases 2007, the total global production of farmed
shrimp reached more than 1.6 million ton in 2003, representing a farm-gate value of
nearly 9 billion USD. About 75% of the world production of farmed shrimp comes from
Asian countries, the two leading nations being China and Thailand, closely followed by
Vietnam, Indonesia, India and Bangladesh. The largest single market for shrimp is the
United States, importing between 500 – 600,000 tons of shrimp products yearly in
2003-2009.
16000
14000
12000
10000
Valu
8000
6000
4000
2000
0
1972-73
1973-74
1974-75
1975-76
1976-77
1977-78
1978-79
1979-80
1980-81
1981-82
1982-83
1983-84
1984-85
1985-86
1986-87
1987-88
1988-89
1989-90
1990-91
1991-92
1992-93
1993-94
1994-95
1995-96
1996-97
1997-98
1998-99
1999-00
2000-O1
2001-O2
2002-O3
2002-O4
2002-O5
2002-O6
2002-O7
2002-O8
2002-O9
Year
Source: Bangladesh Export Promotion Bureau, 2008-09
Figure 2. Total export trend of cultured shrimps in Bangladesh

from 1972-73 to 2008-09.

Bangladesh exports shrimp to more than 40 countries all over the world (Figure 3).
Shrim p Export Destination

2% 4%
3%
3%
4%
U.
S.A
39% Bel
gium
8%
U.
K
The Netherl
ands
Germ any
10%
Russia
Japan
Denm ark
Others
27%
Figure 3. Shrimp export destination of Bangladesh for 2006-2007

Source: Export Promotion Bureau Bangladesh 2006-2007
Most of the literature have been done on the reproductive behavior, strategies,
embryonic development, soil degradation, shrimp farming in Bangladesh as well as
safety issues (Ahmed, 2008; Akhand and Hasan, 1992; Ali, 2006; Azad et al., 2005;
Azad et al., 2007; Azam et al., 2010; Banks, 2003; Chanda, 1997; Deb, 1998; Hossain
and Islam, 2007; Hossain, 2001; Hossain and Islam, 2006; Islam, 2003; Islam, 2008; Ito,
2002; Ito, 2004; Ito, 2005; Ito, 2007; Ahmed et al., 2008; King, 1989; Nandeesha, 2003).
However, in Bangladesh, shrimp export market structure and procurement system has
fewer studies. Therefore, the broad objective of the study is to find the existing
marketing system, their activities and livelihood development on relating aspects.
Methodology
The data and information were collected from both primary and secondary sources.
In Bangladesh, data were collected from two export industries, five agents, ten suppliers,
ten sub-suppliers, twelve farmers, one fry collector and three fry sellers from Khulna,
Paikgacha and Bagerhat districts in Khulna division in Bangladesh on December 29,
2009 to January 14, 2010.

The shrimp industry is one of the most important sectors in Bangladesh. It provides
significant economic opportunities to middle and upper level participants in the
marketing channel and livelihood opportunities to the rural and urban poor. Shrimps are
grown in the ponds or ghers from fry that are caught in the wild or supplied by
hatcheries. A variety of intermediaries are involved so that the fry could reach the
farmers. The mature shrimps are sold through different intermediaries who supply the
shrimps to the processors and exporters. In Bangladesh, shrimp marketing channel is
complex and buyer-driven. For fry collection, the following marketing channel has been
found which is shown in Figure 4.
Shrimp Marketing Channel in Bangladesh
Fry Catcher 425935（１） Brood Shrimp 3000
Fry Faria 26800（２） Brood Checking Centre
Fry Wholesaler 2000 Hatchery 155
（１）
Shrimp Farmer 160000（１２）
Sub-supplier (Shrimp Faria) 7500(10)
Supplier (Depot) 1600 (10)
Agent (Account holder) 372 (5)
Processing plant 145 (2)
Exporter
Figure 4. Shrimp Marketing Channel in Bangladesh.

Fry Catcher
Fry catchers depend upon largely open access resources such as surf or estuaries
and rivers for fry. According to the respondent-fry catcher, she has been catching fry at
Sundarban regions for five years. She is 40 years old and she can only read and write
her name. She has six family members and has a small piece of land. She used to be a
plain housewife, while her husband was a daily laborer. After having been involved as a
shrimp fry catcher, her economic condition was gradually improving. Her children were
able to go to school. But, because of cyclone Aila, all her properties were wiped out, and
she is struggling to recover her losses. During the peak season of fry, from January to
June, she catches 800 to 1500 pieces of fry per day. During the peak season, she earned
approximately 150 to 300 TK. (Taka) per day, while in lean months, from July to
November, she caught 400 to 1000 pieces of fry per day and she earned approximately
100 to 200 TK. per day. She sells the fry to faria in cash. She uses a small net in
catching the fry. She received loan from NGO (Proshika) for poultry farming. She never
tried to loan from bank.
Fry Faria
Shrimp fry faria is important in the shrimp sector. Fry faria’s main job is to collect
fry from catchers or from hatcheries (artificial fry growers) throughout the year. The fry
faria used to work as agricultural laborers. The monthly revenue for fry faria, varies
between TK. 2000 and 7000 depending on the volume of fry sold. Fry faria also
preferred to sell wild fry rather than hatcheries’ (growers) fry. The price of wild fry is
comparatively higher than hatcheries’ fry (fry growers). Fry faria carries the fry with
bowl by foot or bicycle. According to the respondent-fry faria, their economic
conditions have improved after having been engaged in the shrimp industry, as fry faria.
Fry faria could also get loans from NGOs with higher interest rates. Because of the
formalities and requirements, the fry faria could not get loans from government-run and
private banking institutions.
Fry Wholesaler
According to the survey of fry wholesaler at Khulna, wholesaler is an important

part of shrimp fry industry. Normally, a fry wholesaler is rich. He purchases fry that
comes from hatcheries as well as from natural resources. He buys fry directly from fry
faria and sold them to commission agents. Usually, he does not feed the fry and sells
them quickly within three days. A wholesaler trades fry twice a day. The market price of
fry varies depending on the supply and demand. Normally, Golda fry price is higher
than Bagda in both seasons in Khulna and hatchery fry is lower than the wild fry.
Sometimes, he also sells fry to the farmers who have shrimp farm or ghers. Fry are also
transported by wholesaler to the commission agents in other regions by air and roads.

The range of fry price (1000 pieces of fry) is TK. 250 to TK. 900. He sells around
80 to 110 drums or pateels each day and he earns TK. 10,000 to TK. 25,000 each day.
He provides loan to the fry faria without any interest. The loan ranges from TK.3000 to
TK.100000. Shrimp fry wholesale is a profitable business for him. Institutional credit is
available for him especially from government and private banks, and even from NGOs.
Shrimp farmers
In Bangladesh, there are two types of shrimp that are cultivated.
i. Bagda (Salt water shrimp)

ii. Golda (Freshwater shrimp)
Among the 12 farmers, six farmers buy fry from commission agents and the rest
farmers buy from both wholesalers and commission agents of Coxes Bazar especially
for wild fry. Most of the time, they buy fry in cash. After culturing the shrimp, five out
of the 12 farmers sell their shrimp at door steps to local sub suppliers (farias) and four
of them bring their harvested shrimp to local market and sell them to sub-suppliers
(farias), two of them bring their harvested shrimp to suppliers (depot). Last year, one
rich farmer sold his product directly to the company and he received higher price.
Shrimp selling price fixation policy is negotiation and a very few auction market
remains in the study area. According to the survey, shrimp price depends on size and
quantity. When farmers sell big size and large quantity of shrimps, they get higher prices.
Most of the small farmers reported that micro credit is available for them from different
NGOs. But the interest rate is higher than governmental financial institution. However,
they are not eligible for receiving enough loans from government and private banks.
They also reported that their livelihood has improved when they engaged in shrimp
farming. Shrimp farming is a profitable activity.
Shrimp Sub-supplier (Faria)
In the study areas, shrimp sub-suppliers (farias) run their business around the year.
But they do not have any business license and 100 % shrimp sub-suppliers (farias) were
male. They directly go to farmers, and local market to buying the shrimp (golda and
bagda) and sell to the suppliers (depot).
Buying price range for bagda is TK. 400 to TK.550 and selling price range for
bagda is TK. 430 to TK. 590 per kilogram. Buying price range for golda is TK.300 to
TK. 450 and selling price range for golda was TK.320 to TK. 500 per kilogram. The
average lowest and highest buying and selling quantity of shrimp per day is 19kg and
132kg, respectively. The sale price is fixed based on the grade or size of shrimp and
number per unit weight. But, in the study areas, accurate measuring devices or systems
are not used to assess the size and weight for the grading. In a typical grading process,
the party who has greater power over the other, receives the benefits. Shrimp
sub-suppliers (farias) fixed the shrimp price by negotiation. Shrimp sub-suppliers
(farias) try to pay the farmers in cash, although sometimes, their payments are delayed
because of some reasons. A big number of people are involved as shrimp sub-suppliers

(farias), and they have reported that their livelihoods are gradually improving. Anybody
can work as a shrimp sub-supplier (faria), even those who have small amount of money.
Most of the time, shrimp sub-suppliers (farias) receive loan from suppliers (depots)
without any interest. Lack of institutional credit is one of their main problems.
Suppliers (Depot)
In the study areas, shrimp suppliers (depot) run their business around the year.
Suppliers (depot) have business license and fixed house in the market place, and 100 %
shrimp suppliers (depot) were male. Shrimp suppliers (depots) buy shrimp from
sub-suppliers (farias). Sometimes suppliers (depot) also buy from farmers and they sell
their shrimps to the processing industries through agents (account holder). Suppliers
(depot) buy shrimp through auction local markets and negotiation at their house or at
market places. Suppliers (depot) prefer three types of shrimps, namely: bagda (black
tiger), golda (fresh water prawn) and horina (sea water gray). Suppliers (depot) also
provide loan to the farmers and sub-suppliers (farias) without any interest, but with a
verbal agreement that the shrimps should be sold to the latter. Suppliers (depot) also sell
shrimp to the agents. The minimum range of buying and selling quantity for suppliers
(depot) per day is from 50 kg to 200kg. Meanwhile, the maximum range of buying and
selling quantity for suppliers (depot) per day is from 100 kg to 700 kg. Suppliers (depot)
also get financial support from agents (account holders).
Agents (Account holders)
The agents (account holders) are typically from medium to large size entrepreneurs
who provide large amount of financial support to suppliers. The agents (account
holders) have also business license and office. An agent can work from one to ten
industries. It depends on lending money to suppliers and buying shrimp from suppliers.
Every shrimp industry has six to nine agents. Shrimp processing industries pay a large
number of suppliers of raw shrimps, through the agent’s accounts. Therefore, the
suppliers get money from agents to be able to buy the shrimps the following day. In the
study area, some of the agents also worked as suppliers and commission agents. As
agents, they received a commission of 5 TK./kg from exporters. The minimum revenue
range is from TK.10, 000 to TK.12, 000 per day. The maximum revenue range is from
TK.10, 000 to TK.50, 000 per day. Institutional credit is available for them especially
from banks, and sometimes from NGOs, friends and relatives etc.
Processors
According to Bangladesh Frozen Foods Exporters Association (BFFEA, 2009),

there are 145 shrimp processing plants in Bangladesh. Among them, 94 processing
plants are located in Khulna regions, and there are 25 running industries. There are
only 68 EU-approved processing plants. Every industry is getting 10 percent subsidy
from government of Bangladesh on export value.

The competition between exporters is very high because of high demand and low
supply of raw shrimp. Exporter has two offices. One administrative office is in-charge
in the handling of orders and processing payment to the supplier through agents. The
other office is the processing plant. He exports 70% Bagda shrimp, 25% to 28% golda
and rest of them horina and others. In the survey areas, owners of the processing in
industries sell shrimp using their own brand name and also the brand name of the
importers and buyers specially EU, America, Japan and Russia etc. Exporters have sold
50 to 70 percent in different countries in EU last year. There was an instance when an
exporter has exported around 20-28 percent shrimps to America and the rest was
exported to other countries. In 2009, he sold a total of 100 crore TK. (1 crore=10
million TK.). But, it was lower than in 2008 because of natural disaster (cyclone aila),
virus problems and EU embargo on fresh water prawns. In 2008, the selling price was
150 crore TK. He bought fish through agents.
This industry has been awarded many times for good reputation and for giving so
much contribution on the economic development in Bangladesh. An exporter reported
that Bangladesh has a huge opportunity to export shrimp. But, the main problem is the
insufficient supply of raw shrimps. There is immediate need to expand and increase
shrimp production areas. Likewise, the price should be increased.
Conclusion
Shrimp is a cash crop which creates employment opportunities and improves the
livelihood of shrimp farmers as well as related intermediaries. Therefore, shrimp
industry is an important and potential sector for economic development in Bangladesh.
This sector is helping improve the livelihood of the poor people such as fry catcher, fry
farias, small farmers, different type of intermediaries (shrimp farias, suppliers, agents)
and exporters. However, the benefits generated from shrimp exports are not broadly
shared throughout the marketing channel. It is clear that the most vulnerable actors in
the channel hold the temporary employment, depend on the open access resources and
have limited opportunities to upgrade their production and income.
Women are not visible in many activities, particularly as a fry faria, fry wholesaler,
shrimp farmers, shrimp sub supplier (faria), shrimp supplier (depot), agent or as
management in processing. In Bangladesh, shrimp marketing channel is buyer-oriented.
Farmers have less power to control the price and auction market is very few.
On the other hand, some kinds of support need to be provided to reduce the
agreement of money lender problems for poor farmers and intermediaries. From this
study, it is also clear that banking supports are available only for rich farmers, rich fry
wholesalers, suppliers (depots), agents and exporters.
In this study, all respondents reported that while they are also facing problems in
shrimp farming and marketing activities, but their livelihood is gradually improving.

References
Ahmed, N. 2008. “Freshwater prawn hatcheries in Bangladesh: concern of brood stock.”
Aquaculture Asia Magazine. Vol. 13 (3) pp. 22-26.
Ahmed N., Demaine H., Muir J.F. 2008. “Freshwater prawn farming in Bangladesh: history,
present status and future prospects.” Journal of Aquaculture Research. Vol. 39. pp. 806-819.
Akhand A.M., Hasan MR. 1992. “Status of freshwater prawn (Macrobrachium spp.) culture in
Bangladesh.” In: Silas EG (ed) freshwater prawns. Kerala Agricultural University, Thrissur,
India, pp 32-41.
Ali, A M.S. 2006. “Rice to shrimp: Land use/land cover changes and soil degradation in
southwester Bangladesh.” Land Use Policy. Vol 23(4) pp. 421-435.
Azad, A.K., Chowdhury, W.N., Keus, E.H.J., Haque, MM. 2005. “Integrated Rice-Prawn
(Macrobrachium rosenbergii) Farming: Moving from southwest to mid coast of
Bangladesh.” Bangladesh Journal of Extension Education. Vol. 17(1&2) pp. 33-44.
Azad, A.K., Lin, C.K., Jensen, K.R. 2007. “Wild Shrimp Larvae Harvesting in the Coastal Zone
of Bangladesh: Socio-Economic Perspectives.” Asian Fisheries Science. Vol. 20(4) pp.
339-357.
Azam, K., Nazmul, A.S.M., Naher, S.S. 2010. “Quality assessment of farmed black tiger shrimp
(Penaeus Monodon) in supply chain: Organoleptic evaluation.” Journal of Food Processing
and Preservation. Vol. 34 pp. 164-175.
Bangladesh Export Promotion Bureau 2007. “Export Statistics 2007-08.” Ministry of commerce,
Government of Bangladesh, TCB Bhaban 1, Kawran Bazar, Dhaka, Bangladesh.
Banks, R. 2003. “Brackish and Marine Water Aquaculture. Report on fisheries sector review and
future development.” Dapartment of Fisheries(DoF), Matshya Bhaban, Ramna, Dhaka 1000,
Bangladesh, pp. 2-17.
BFFEA, 2009: Bangladesh Frozen Foods Exporters Association. http://www.bffea.net/
Chanda, A.C. 1997. “Shrimp Farming in Bangladesh: Economic Prospect and Environmental
Disaster. Fish Fortnight Supplement, (IN Bengali).” Department of Fisheries (DoF), Matshya
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Deb, A.K. 1998. “Fake blue revolution, environmental and socio-economic impacts of shrimp
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Department of Fisheries (DoF), 2001. “Management options for the shrimp fry fishery. A regional
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action plan.
Fisheries Global Information System (FIGIS), 2007. Food and Agricultural Organization (FAO)
databases.

Hossain, M.S. 2001. “Biological aspects of the coastal and marine environment of Bangladesh.”
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Hossain, M.A., Islam, M.S., 2006. “Optimization of stocking density of freshwater prawn
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Changing Meanings of Boat Racing in Nan Province and Their Implications for Thai's Creative Economy?
Changing Meanings of Boat Racing in Nan Province

and their Implications for Thai's Creative Economy?
Ms. Rattanapoorn Thongkiew

Social Science Faculty
Naresuan University
nuna2502tk@yahoo.co.th
Social Science Faculty
Abstract
This article arose from a part of a project called “The impacts and pressures from modernization
and capitalism towards the traditional boat racing of Nan province, Thailand”. The major
objective was to identify the problems originating from modernization and capitalist orientation
of tourism policies towards the boat racing in Nan province in Thailand. Qualitative methods
were applied before content analysis was undertaken.
The study found out that boat racing has existed in Nan for a long time, for over 200 years. It
became popular among local residents and tourists during the last decade. The racing takes
place every year during September and October. However, the culture surrounding the event has
recently become a critical issue as it involves large number of people and organizations, and
various kinds of illegal and immoral activities, such as gambling, fighting, and alcohol
consumption. A strong emphasis on modernization and capitalism informs the government’s
tourism policy that has changed the goal of boat-racing from a more expressive symbolic
function to one that emphasizes material reward supported by related organizations. As a result,
previously participating poor villages have now vanished from the race.
This situation has not merely created conflict among actors, but is also destroying the spiritual
cooperative network among the local villages. This project seeks to demonstrate that this
situation will not be part of Thailand’s creative economy unless more consideration about the
connection between Core and Green cultural creativity becomes the major concern of the actors
involved.
Keywords: boats racing, symbolic function, material reward, Core and green cultural creative

Rattanapoorn Thongkiew and Patcharin Sirasoonthorn
Introduction
This article is a result of a research project called “The impacts and pressures
from modernization and capitalism toward the traditional boat racing of Nan
province, Thailand”. Many people experience great happiness from participating boat
racing activity, and they also feel a deep closeness with the groups of people in the local
communities. The traditional boat racing of Nan province, Thailand has been in
existence for over 200 years. It has become especially popular among local residents
and tourists over the past decade. The racing takes place every year during September
and October.
Local activities can bring back a community’s spiritual engagement. Participation

in the boat racing is, thus, a tool for community empowerment. Doing local activities,
for local people refers to being in the same group. This leads to a strong sense of
belonging, as well as strengthening social networks. Thus, boat racing combines local
culture and traditional engagement. There is a basic concept about local activities in
another community in Thailand. When they have been doing the local activities for a
long time from ancestors to present, it is called “local culture and tradition.”
However, there are now trends towards modernization and capitalism in the
context of globalization, which create social change. It has been influencing the lifestyle
of people in the community. The impacts and pressures on the traditional boat racing in
Nan province in Thailand are enormous.
In fact, the Nan traditional boat racing and the Nan River are important symbols of
Nan province. Boat racing remains a major ceremonial occasion. The biggest and most
important boat-races involve large number of boats and attract thousands of people.
However, through the years boat racing is gradually being modified such that the
traditional culture of this activity is being eroded. For instance, the “golden boat
racing” in Nan province has changed from a more expressive symbolic function to a
serious competition. Furthermore, teams of rowers from some villages are now
discouraged to participate in boat racing. They are usually the poor villagers who do not
have money to employ coaches and do not have intention to compete. Oftentimes, they
lose in the competition because of the lack of financial resources. The major objective
of this article is to study the history of boat racing in Nan province and to identify the
problems and impacts arising as a result of modernization and capitalism orientated
tourism policies towards the boat racing of Nan province.

Methodology
This research applied document research and qualitative research. The data for the
document research were collected from local government and municipality reports.
Qualitative methods were applied before content analysis was undertaken.
The researcher used qualitative methods in the field research. Forty-four key
informants were selected representing social actors involved in boat racing, including
local villagers, government officers, and tourists. In depth interviews, focus group
discussions and participant observations were conducted during the boat racing.
Over 800 years ago, Nan province was a great independent city state, free of
Bangkok, and had a succession of 64 kings rule the city state. At that time, there was the
common law governing Nan state called “Arnajuctlakkum.” Arnajuctlakkum was the
local law that encouraged the practice of agriculture, and required that the King’s rule
must take care of the people all the time. They believed that when agriculture becomes
the people would also become happy, which would lead to a peaceful community. The
king’s rule, under the principles of Arnajuctlakkum’s local law in Nan State, served as
guide to the people especially during the dry season and the monsoon.
Some beliefs in the Naga guided day-to-day living of the local people. To bring
more rainfall to the plantation, the local people had to worship and show their respect to
the Naga at all times. The Naga is also known as the “great snake with comb,” as the
comb on the crest of its head is one of the identifying features of the Naga. The people
built images of the Naga in front of the temples and on the racing boats as a sign of their
respect. They believed that Naga had a supernatural power that could bring rain for a
period of time. This would lead to an increase in rice production and income, as well.
For this reason, Nan people worship the Naga in all its forms. The Naga represented
peace and tranquility in the land.
The history of Nan traditional boat racing is recorded in ancient murals on temple
walls and is known as the legend of the “Tai-lah & Ta-Tong Boats”. In oral history,
there was the period of the “Unknown King”. That king ordered the people to make two
boats from a very big tree named “Gldden-Takien.” These big boats were named as the
“Tai-lah & Ta-Tong Boats”. These boats were built with a unique design using the
whole trunk of the tree. The Naga feature - called “Hau-oh” and “Hang-Wan” (the
legend of Nan Tradition Boat racing: 8) are found at the both ends of the racing boats.
After building the Tai-lah & Ta-Tong Boats, the people used them as models to
build the next racing boats. Historically, the race happens on Tan Khauy Sa Lark Day,
a local Kathin ceremony where local people prepare food and other items for the monks
in the temple.

The unique nature of the Great Naga boat racing in Nan province is very significant.
The shape and design of the boats represent an important expressive symbolic function.
Furthermore, the boat design relates to the beliefs and practices that can explain the
links between the abstract and action. For example:
“The length of a boat hull varies between about 60 and 80 feet. A boat may attain
an overall length of 90 feet when it is fitted with its Naga-head prow and Naga-tail
sternpiece. The removable sternpiece and prow are decoratively cared and brightly
painted for dramatic effect. Two removable bulwarks are fitted onto the gunwales to
increase freeboard. These are painted in gaily colored arabesques. The overall effect of
the decorative pieces is impressive, and from a distance the boat looks indeed like a
Naga swimming in the river”.
(Richard B.Davis .Muang Metaphysics ,A Study of Northern Thai Myth and Ritual
:208)
The Naga boat swimming in the river is believed to influence the fertility level of
the land. The Naga racing boats have unique style -- with highly-stylized carved Naga
serpents affixed not only in front of the boat, but at the tail end as well. Because of this
belief, boat racing is organized not merely as a sport but as a symbol of great respect to
Naga.
Today, boat racing in Nan province is still being practiced. Some of the boats were
built more than 200 years ago. These ancient boats are exhibited yearly at Nan’s
traditional boat racing.
There are three classes of boat racing in Nan province, and competitions are
separated according to the design of the boat. The first class of boats, called the “small
boats” have a capacity of 25-30 rowers. The second class of boats, called the “middle
boats”, could accommodate 35-40 rowers. The third class of boat, with a capacity of 48-
58 rowers are called as the “large boat”. Nowadays, there are 52, 50 and 40 boats
respectively in each class of boat in Nan province.
The three oldest racing boats in Nan province are “saw tua talor boat,” built in
1816 (194 years ago);“saw tua boonreang boat” built in 1837 (173 years ago); and
“kumdang dhawee boat” built in 1847 (163 years ago).
Recently, the “saw tua talor” boat is being displayed to the public and competed in
the traditional boat racing in the Nan River. The boat racing is the main highlight of the
event. The major observation of the audience, however, is the change in the design of
Naga-head prow and Naga-tail sternpiece. Furthermore, they commented that the
original Naga-head prows and Naga-tail sternpieces are one of the highlights of their
unique local culture, which bring pride and inspire them to honor and to perpetuate their
unique cultural inheritance. They observed that the new design had lost their unique
local culture. This is a difficult issue that must challenge the people in Nan. But no
leaders are thinking about how to address this issue in the midst of the many problems
and conflict that have been happening every year.

There is also a custom to hold a mock battle-race between the Naga-boats of

neighboring villages in Nan province. Recently, more budget is being allocated for boat
race management during the year. The estimated total budget spent in 2008 was over
eight million baht, ranging between one and eight hundred thousand baht per boat
racing village.
The expenses incurred in the preparation for the boat racing differed from each
village. In the first village, 49 percent of the cost was used to renovate the boat, 37
percent paid for the team rowers, and 14 percent of the cost covered food and foodstuff.
In the second case, most of the money was spent on food and foodstuff (92%). In the
third case, food and foodstuff consumed 32 percent of the cost and 16 percent was spent
on renovating the boat.
Moreover, 17 percent of the villages was hiring expensive professional outside

coaches for three months before the event to increase the rowers’ chances of winning.
The total cost spent on hiring coaches was over 900,000Baht. The highest wage of the
coach is about 100,000 Baht per village, and the lowest wage is about 30,000Baht per
village.
Among all events, the boat racing in Nan is one of the province’s most well-known
ceremonies. This is not only because it involves large number of people and
organizations, but also because of various kinds of illegal and immoral activities, such
as gambling, violence, and alcohol consumption. These activities have also had a
significant social impact on the daily life of the local people. These included debt,
poverty and conflicts. Nonetheless, the ceremony has never been systematically
investigated in terms of its socio-cultural impact towards community life. Moreover, the
question of how the ceremony could introduce a “creative economy” to the life of local
people remains an important question.
Considering the above situation, the researcher undertook a qualitative investigation

to 44 key informants who represented social actors involved in the boat racing including
local villagers, government officers, and tourists. In-depth interviews, focus group
discussions and participant observations were applied during the boat racing.
This investigation concluded that the critical situation being faced now by boat
racing in Nan is derived from the strong values of modernization and capitalism
reflected in government policies. The goal of boat-racing in Nan has been changed from
a more expressive symbolic function towards a material/reward-driven event.
Traditionally, the boat racing competition aimed to bring about individual spirit,
increase the skills of group management, and develop class consciousness among local
people, who were mostly farmers. In other words, the boat racing was a community
symbol that represented the strong sense of individual pride, group capacity and
community power.

Recently, however, the involved actors now aim to win the competition by using
various techniques. These included 1) building a smaller head and tail of the Great Naga
to enable the boats to move faster in the water, 2) hiring expensive professional outside
coaches to increase the rowers’ chance of winning, leading to the loss of the unique
nature of boat racing in Nan, and 3) increasing the budget for boat racing management
(to over eight millions bath per year). Although local people in Nan are not agreeable
with the current set-up, the state government and outside entrepreneurs have more
power than the local villagers. As a result, poor villages that do not have sufficient
resources to join the event have now vanished from the race. This critical situation has
not merely increased conflict among the actors involved, but also eroded the spiritual
cooperative network and local culture of villages in Nan province.
Discussion
The above discussion indicated the conflict and critical situation in the traditional
boat racing in Nan province, Thailand. Since time immemorial, the traditional boat
racing in Nan province, Thailand has been a very valuable part of the culture, resulting
in the unity of the community. The teams of rowers are competitors from neighboring
villages who give their utmost effort to row. Because they were not members of a
‘professional team’ and were not after the reward, they just enjoyed the spirit of the
racing. The people and the audience, at that time, did not care about winning or losing
the race. The more important concern is friendship among the villagers, and enjoyment
as well. This is a better situation that shows friends and relatives how to behave as
generous’ people with each other and between communities.
Nowadays, however, the people and the rowing teams between neighboring villages
have become divided because the goal of the traditional boat racing of Nan province has
changed from a more expressive symbolic function to a material/reward-driven
competition. This is indicated by building boats with a smaller head and tail of the Great
Naga that enables the boat to move faster in the water; hiring of professional outside
coaches to increase the rowers’ chance of winning, thus, losing the unique nature of
Great Naga boat racing in Nan.
Many people in Nan were not agreeable disagree about the changes in the concept
of boat racing. Those who support the changes have more power than those who oppose
it, and can set the rules for the competition. Poor people in many villages do not have
the money to employ coaches and do not wish to compete, so they are becoming
infuriated and they become estranged from the people in the rich villages. For example,
they are against boats owned by non government organizations (NGOs) that have more
budgets for management, as this gives an advantage.
The situation has now come to loggerheads. As a result, poor villages have
vanished from the racing. This is the impacts of modernization and capitalism towards
the traditional boat racing of Nan Province, Thailand.

Conclusions
The biggest and most important boat-races in Nan involve large number of boats
and attract thousands of people. However, as described above, the culture surrounding
the racing has now reached a critical situation.
The project entitled, "The Impacts and Pressures from Modernization and
Capitalism Toward the Traditional Boat Racing in Nan Province, Thailand" has
identified a number of critical findings. There are now trends towards modernization
and capitalism in the context of globalization. These forces have contributed towards
changes in the lifestyle of people in the community. Furthermore, these impacts and
pressures have also changed the traditional boat racing of Nan province, Thailand, and
have implications for Thai's Creative Economy.
These changes in boat racing have been observed through the years. Traditionally,
boat racing was a community symbol to express individual pride, group capacity and
community power. Participation in this kind of activity developed people's individual
spirit, harnessed group's management skills and developed farmers' class consciousness.
There was genuine participation by community members. But when boat racing was
promoted by the government and other organizations for tourism purposes, its meaning
and concept have changed dramatically.
Local people do not participate in boat racing anymore. Instead the participants are
people and organizations who have financial resources for them to build Great Naga
boats with a smaller head and tail that can move faster in the water and who can hire
expensive professional coaches to increase the rowers' chance of winning.
Consequently, the locals are left out of this symbolic expression, which instead now
highlights a competitive spirit between various participants. All of these trends lead not
only to the loss of unique features of the boat racing in Nan Province, but the peoples’
culture, as well.
Are there ways to solve the current crisis? It is important that the issue is discussed
with the participation of the communities. Thus, it is necessary to research the conflict
and the nature of the critical situation so that there will be a transition point between the
creative culture and sufficiency in boat racing and the current modernization and
capitalism. This basic data should be generated in the next project through in-depth
interviews, focus group discussions and participant observations during the next boat
racing activities.

References
Committee of Nan Unique .Nan Uniqueness in Brief: 111. (October ,2006).
Nan Local government municipalitation Office. The reports of the tradition Boat racing in Nan,
Thailand. 2002/08.
Nan Provincial Administration Organization. The legend of Nan Tradition Boat racing: 8 (May,
2007).
Nan province. The report of history of rule in Nan: 57-58 (December 18-21, 1997).
Rachain Kurbkum. Boat Racing of Nan More Value: 3-4 (July 18, 2006).
Richard B. Davis. Muang Metaphysics, A Study of Northern Thai Myth and Ritual: 208

Influence of Fishing Gears on Excessive Use of Fishing Grounds in Batan Estuary, Aklan, Central Philippines
Influence of Fishing Gears on Excessive Use of Fishing

Grounds in Batan Estuary, Aklan, Central Philippines
Ryutaro Kamiyama
Graduate School of Agricultural and Life Sciences
The University of Tokyo, Japan
aa096235@mail.ecc.u-tokyo.ac.jp
Jon P. Altamirano
Aquaculture Department
Southeast Asian Fisheries Development Center Philippines
jonalta@gmail.com
Keiko Yoshino
Institute for Sustainability Research and Education
Hosei University, Japan
yoshino@hosei.ac.jp
Hisashi Kurokura
Graduate School of Agricultural and Life Sciences
The University of Tokyo, Japan
akrkrh@mail.ecc.u-tokyo.ac.jp
Abstract
The excessive fishing activities have led to the depletion of many coastal fisheries resources in
most of the countries in Southeast Asia. It is therefore necessary to find out the causal factors of
excessive fishing in order to build up effective fisheries management system. This paper
highlights the results of the study that investigated the overfishing or excessive fishing in Batan
Estuary, Aklan, Central Philippines.
The data were gathered through an interview of selected households in Barangay Pinamuk-an,
Aklan from March 2-26 2010. Of the 93 respondent-households, 67 or 72% is engaged in fishing.
The most popular fishing gear was the small set net with synthetic fiber, which was introduced to
the community in the latter part of 1970s. The relatively lower cost of this small fishing gear, and
a few labor force requirement, including its availability in nearby market made it easier for the
fisherfolks to acquire this fishing gear. The small set net with synthetic fiber has been widely used
by the fishers, which led to the overuse of the fishing grounds in the Batan Estuary. Thus, this
paper argues that the introduction of new fishing gear and method triggered the excessive fishing
in coastal areas in Philippines.
Keywords: excess fishing capacity, fishing gear, Philippines.

Introduction
According to the Food and Agriculture Organization (FAO, 2008), 86% of the
world’s fishers and fish farmers are living in Asia. Besides the fact that Asians depend
on aquatic resources as their source of animal protein, the fisheries and aquaculture are
also important industries among the Asian countries. Recently, overexploitation of
aquatic resources has become a serious problem. While aquatic resources have the
ability to renew themselves under an appropriate management system, overfishing and
overexploitation constrained the reproduction of these resources. Silvestre et al. (2003)
argued that coastal fish stocks have decreased to 5–30% of their unexploited levels as a
result of overexploitation. As a consequence, poor coastal fishers who depend solely on
these resources continue to experience poverty. These concerns call for the
establishment of an appropriate fisheries management system to promote sustainable
utilization of aquatic resources.
Fisheries management systems are often evaluated from the viewpoint of their
appropriateness at attaining numerical goals based on the ecological characteristics of
the target species. However, fishing is a human activity, and we ultimately have to
discuss how to control human behavior. From this perspective, Beddington et al. (2007)
stated that natural resources cannot be sustained without considering the socioeconomic
factors. Resource economy and resource sociology are relatively young disciplines
within fisheries and socioeconomic factors relating to overexploitation of fisheries
resource have not been sufficiently studied. We need exhaustive case studies to
determine which socioeconomic factors transform fisheries activities to
overexploitation.
This paper highlights the case of overfishing in the Batan Estuary, Aklan, Central
Philippines. The Batan Estuary is located in the northern Panay Island, Aklan, Central
Philippines (Figure 1). It is composed of a network of mangrove channels and a bay
area. Altamirano and Kurokura (2010) reported that the number of fishing gears built in
the Batan Estuary have increased four-fold from 426 gears in 1991 to 2,309 in 2006
(Table 1). Meanwhile, catch from the fish corrals has deteriorated both in quantity and
quality. Average daily catches that reached 24 kg in 1970s, was down to 10 kg in 1980s,
and went down to only 5 kg in 2000. With regard to species composition, larger and
more valuable tiger shrimp (P. monodon) accounted for a larger part of catch in 1970.
However, they have become very rare and another smaller and cheaper shrimp (M.
ensis) dominated more than 80 % of the catch in 2006. Thus, the condition of the Batan
Estuary is a typical case of resource degradation by overfishing.
As reported by Altamirano and Kurokura (2010), the widespread use of fishing

gears resulted to overfishing in Batan Estuary. This paper presents the factors that
triggered the excessive fishing in Batan Estuary. The population change (Jennings and
Polunin 1995, 1996; Dulvy et al 2004) and effects of market formation (Cinner and
McClanahan, 2006) were considered as the external factors, and changes in fishing
technology was considered as the internal factors.

Figure 1. Map of the Batan Estuary and District 3, Pinamuk-an.
Table 1. Type and number of stationary fishing structures in Batan Estuary in 1991,
1996 and 2006 (Altamirano and Kurokura, 2010).
TYPE OF COUNT
LOCAL NAME
STRUCTURE 1991 1999 2006
Fish corral taba, tibakoe, tulis 314 1,554 1,871
Lift net bintahan, batak batak 59 422 261
Filter net tangab, saluran 53 87 112
Fish cage cage n.d. 14 65
TOTAL 426 2,077 2,309
Methodology
District 3 in Barangay Pinamok-an served as the research site. Barangay

Pinamok-an is single Barangay (village) in Pinamuk-an island which is located in the
network of channel in Batan Estuary and has the highest population density of fishers in
Aklan Province. The island is elongated 8 km in length from north-west to south-east.
The Barangay is divided into seven (7) districts with an interval of 1km from west to
east and District 3 has the largest population of fishers among the seven districts.
We performed interviews of all the household representatives in District 3 in

March 2010. The questions revolved around the demographic characteristics of the
respondents (i.e. name, gender, address of all family members, number of years residing
in the area, occupation and the number of years in the said occupation, educational
attainment, type and number of fishing gears). Four key informants who have enough
experiences of fishing in Pinamuk-an, were further interviewed to obtain
data/information about the fisheries in Pinamuk-an.

Socioeconomic characteristics of the fishing households
The survey results indicate that District 3 has a population of 442 people living
in 93 households. Sixty-seven households or 72% were fishery households (Table 2).
Among them, only two households engaged in fisheries as a part-time business, while
others are devoted to fisheries as their main business. Other household heads worked
either as passenger boat operators, fishpond caretakers, or construction laborers.
Farming is not a popular livelihood in District 3 as only one household member is
engaged in farming.
Table 2. Major occupation and the number of households operating them in District 3.
Main occupation Second occupation
Households (%) households (%)
Fishing 67 72.0 2 2.2
Passenger boat operator 5 5.4 4 4.3
Fishpond caretaker 3 3.2 0 0.0
Others 18 19.4 13 14.0
Figure 2 shows the population structure in District 3. It appears that the population
of women in their 20s was significantly small, and the population of men in 20s was
relatively small. Based on this figure, it could be deduced that a rapid decrease in
population occurred in the 1980s. The household survey revealed that 41 % of men and
women in their 20s live outside the village. On the basis of this data and interviewees’
explanation, we determined that young people between the age of 10 and 30 left the
village to find their jobs after their graduation from high school or college, resulting in a
dent of population of people in their 20s. Many of them moved to Manila or Boracay,
which is one of the most famous resorts in the region. In addition, a portion of
immigrants return to Pinamuk-an with their partners after marriage. Because of this
movement, the population of residents in their 30s was larger than those in their 20s.
The population of the district gradually increased for the last 70 years without sudden
increase and decrease of population.

Figure 2. Population structure by gender in District 3.
The average number of children in a household was 4.2 (SD = 3.1, n=93).
According to the key informants, there were 34 households in District 3 in 1940. This
means that the number of households had increased to 93 households over 70 years.
With regard to immigrants in District 3, 14 households (15 %) were from outside of
Pinamuk-an (both husband and wife were from outside of the area), and the others were
the households where at least one of the spouses was from Pinamuk-an. Fourteen
households of immigrants had moved here discretely between 1961 and 2006. In the
Philippines, the annual shrimp production started to increase from the 1980s, reaching a
peak of 90,000 metric tons in 1994 (Figure 3). After that, the production decreased, but
has recently become stable. In the Batan Estuary, 96 % of mangrove forests have been
converted to fishponds since 1950s (Altamirano and Kurokura, 2010). According to
Kelly (1993), mangrove forests in this area were converted to fishponds most
intensively during the period between 1960s and 1970s, as shrimps were being cultured
for export. In fact, an ice plant was built in District 3 and had operated for several years.
A private and public ice plants were operated in the Poblacion (main town) on the other
side of the river. The private ice plant was operated by the company offering the trade
of fish and shrimp.
Figure 3. Changes in the annual shrimp production in Philippines

(Source: FishStat, FAO)

Fishing gears that are being used by the fishers in Batan Estuary
There were four types of fishing gears used in Pinamuk-an in the 1950s. These are:
paea-an, taba, pan-gea, and bobo. All of them were made of native materials like
bamboos, coconuts, and banana because the synthetic fiber net had not been available
around the Batan Estuary at that time. Paea-an is a fish corral using the tide flows. Its
structure includes a playground and wings. Fishers harvest the fish and crustacean
impounded in the playground by using scoop nets made of bamboo. Paea-an is owned
by only one or two of 34 households in District 3, hence, the fishing ground did not
seem to be overcrowded in the 1940s. Taba is the barrier net made of bamboo. Fishers
enclosed a part of mangrove forests at high tide, and harvest the fish and crustaceans left
inside the bamboo fences during low tide. Pan-gea is a trap net which is cylinder and
has openings in each side. This gear targets swimming crabs. Bobo is a cube trap net
which has a single opening, which targets fish like snapper and gropper.
The most popular fishing gear at present is the small fish corral (local name:
tigbakoe¸ Figure 4) and 124 gears of the tigbakoe were operated by 47 households
(Table 3). The second most popular fishing gear was the oyster stake (local name:
talabahan). Other fishing gears were small trap nets targeting swimming crab (local
name: bintol), fish cage, gill net, hook & line, scoop nets, etc.
Figure 4. Typical fishing gear, tigbakoe built in the Batan Estuary
Table 3. Type and number of fishing gears owned by fishery households in District 3.
Type of fishing gear Number of households Total number of the fishing gear
Tigbakoe (fish corral) 47 124
Talabahan (oyster culture) 43 43
Bintol (trap net) 11 410+
Fish cage 9 ‐
Gill net 6 14
Hook & line 4 6
Scoop net 4 5
Sagpang (barrier net) 1 1

Tigbakoe is a small fish corral in shallow water composed of bamboo poles and
synthetic fiber net. Tigbakoe has a catchment bag and a pair of wings which are opened
toward upstream. These wings lead target species with ebb tides to the catchment.
Fishers can catch fish and crustaceans in the catchment easily by hauling up the net to
one side of the catchment. A fisher can operate this fishing gear by himself within a
short time. Tigbakoe can be operated nearly every day in a year except during neap
tides.
Another important fishing gear which was newly-introduced is sagpang, an

improved form of taba (barrier net) with the synthetic fiber net. Sagpang became
popular in the 1980s because of relatively large catches. There was one key informant
who used to operate sagpang in the early years, but now, he is no longer using the said
fishing gear. The respondents mentioned the weaknesses of sagpang. The fish caught by
sagpang are low at quality, because fish caught by sagpang are exposed to the strong
sun light for a long time before they are gathered by fishers. The operation of sagpang
is limited to only two weeks during the period of full moon and the new moon each
month because it requires a sufficient gap between tidal levels. The respondents also
perceived some negative impacts of sagpang on the fishery resources and the
ecosystem. The residents in Pinamuk-an conceded that sagpang has harmful effects to
the ecosystem because it catches all fishes and crustaceans. Finally, it has become
difficult to operate sagpang, because of the introduction of other fishing gears.
Summary and Conclusions
The average number of children in each household was 4.2 (SD = 3.1, n=93). This
value may be smaller than the actual fertility rate because it included young couples
who can have more children in the future. When we calculated the average number of
children among households which have had no more children for more than 10 years,
the value was 5.6 (SD = 2.9, n= 39). The number of children among women who are
over 50 ranged from 4 to 12 (average = 6.8, SD = 2.9, n = 25). Thus, it seems that the
fertility rate of District 3 had been kept at a certain level or has constantly decreased for
several generations.
According to the key informants, there were 34 households in District 3 around

1940. That means, the number of households had increased to 93 households over 70
years. When we considered the number of households as the relative indicator of
population, the average annual rate of population growth was estimated to be 1.14 %. If
this rate had been kept during the period, the magnification ratio of the population
growth during the decade commencing in the 1990s was estimated at 115 %. This value
may be valid because it was close to the ratio of 110 % during the same period based on
the official census (National Statistics Office, 2006) that included three municipalities
around the Batan Estuary. This ratio is much smaller than the increase in fishing gear
which was 487 percent during the same period based on Altamirano and Kurokura
(2010). The population increase during the 1990s was not the primary factor leading to
overcapacity in fisheries.

Shrimp culture production in Philippines was at its peak in 1994. Ice is required for
the transportation of fisheries products. The construction of several ice factories at that
time, in the Batan area may mean that the distribution of cultured shrimp in the area also
expanded in this period with increasing demand. Ingles et al (1992) reported that a
major portion of catch was occupied by tiger shrimp, the same as cultured shrimp in
1978. Formation of market access of culture shrimp likely contributed to the expansion
of distribution region of fisheries products. The temporal expansion of demand may
push up the price of fisheries products and have produced an incentive for overfishing.
The most prominent change among internal factors of fisheries was the change in
fishing gear. The old types of fishing gears were easily eroded because they were made
of native materials. Therefore, they required frequent maintenance and reconstruction.
With regard to the operation of paea-an, it took time and labor forces to pick up fish
inside the large playground by using bamboo scoop nets. Thus, old type fishing gears in
Pinamuk-an required a large amount of time, cost and labor for construction,
maintenance and operation. These limitations functioned as the entry barrier. In fact,
there used to be only ten paea-an around Pinamuk-an and overcrowding of fishing gears
had not yet occurred in the 1960s, according to the interviewees.
On the other hand, the use of tigbakoe is so easy, and it could be done in a short
period of time even by one person/fisher. Tigbakoe can be utilized for a long period,
because it uses the durable synthetic fiber net. Therefore, tigbakoe requires less cost,
time and labor than the old fishing gears mentioned above. In addition, tigbakoe
provides larger amount of catch than other gears. Thus, the use of tigbakoe with
synthetic nets has become widespread because they had lower entrance barriers
including cost, time, and labor, and the incentive of a larger catch than paea-an and
other existing fishing gears. Although tigbakoe was introduced in this area in the late
1970s, synthetic fiber net also became available in nearby cityin the same period, which
has also played an important role in the adoption of tigbakoe as the new fishing gear.
Sagpang is another new type of fishing gear. However, its use is not as popular as
that of tigbakoe. In fact, the household respondents have stopped operating sagpang and
converted to tigbakoe in the mid-1980s. At that time, most of mangrove forests were
converted to shrimp ponds, and therefore, only a limited fishing area could be explored
by the fishers using sagpang.
The introduction of efficient fishing gears with the temporal increase of demand for
fisheries products was likely the major factor creating incentives for excessive
accumulation of fishing activity in this area. A study in Papua New Guinea (Cinner and
McClanahan, 2006) suggested that “communities in close proximity to markets had
likely overfished the higher value and higher trophic level species” and “markets may
be more important in determining the condition of a fishery than population density”.
As was in the case in Batan, the development of shrimp culture likely had an effect of
the temporal expansion of the market and the introduction of the new cheap and
efficient fishing gear enabled the rapid increase of fishing capacity.

References
Altamirano, J.P. and Kurokura, H. 2010. “FAILING INSHORE FISHERIES IN BATAN
ESTUARY, AKLAN, CENTRAL PHILIPPINES.” Journal of Nature Studies. Vol. 9. No. 1.
pp. 13-21.
Beddington, J.R., Agnew, D.J., Clark, C.W. 2007. “Current Problems in the Management of
Marine Fisheries.” Science. Vol.316. pp. 1713-1716.
Cinner, J.E. and McClanahan, T.R. 2006. ”Socioeconomic factors that lead to overfishing in
small-scale coral reef fisheries of Papua New Guinea.” Environmental Conservation. Vol.33.
Vol.1. pp. 73-80.
Dulvy, N.K., Freckleton, R.P. and Polunin, N.V.C. 2004. “Coral reef cascades and indirect
effects of predator removal by exploitation.” Ecology Letters. Vol.7. pp. 410-416.
FAO. 2009. “THE STATE OF WORLD FISHERIES AND AQUACULTURE 2008.” Food and
Agriculture Organization of the United Nations.
http://www.fao.org/docrep/011/i0250e/i0250e00.HTM (June 9, 2010).
Ingles, J., Lao, R., Babaran, R. and Armada, N. 1992. Studies on the fishery of Batan Bay, Banga
Bay and vicinities. Iloilo, Philippines. IMFO-College of Fisheries and Ocean Science,
University of Philippines in Visayas.
Jinner, S. and Polunin, N.V.C. 1995. “Comparative size and composition of yield from six Fijian
reef fisheries.” Journal of Fish Biology. Vol.46. pp. 28-46.
Jinner, S. and Polunin, N.V.C. 1996. “Effects of fishing effort and catch rate upon the structure
and biomass of Fijian reef fish communities.” Journal of Applied Ecology. Vol.33. pp.
400-412.
Kelly, P.F. 1993. “DEVELOPMENT AS DEGRADATION: AQUACULTURE, MANGROVE

DEFORESTATION AND ENTITLEMENT IN BATAN, PHILIPPINES.”
http://digitool.Library.McGill.CA:80/R/-?func=dbin-jump-full&object_id=69616&current_
base=GEN01 (June 9, 2010)
National Statistics Office. 2006. National Census of Population and Housing. Manila. National
Statistics Office.
Silvestre, G.T., Garces, L.R., Stobutzki, I., Ahmed, M., Santos, R.A.V., Luna, C.Z. and Zhou, W.
2003. “South and South-East Asian coastal fisheries: their status and directions for improved
management: conference synopsis and recommendations.” World Fish Center Conference
Proceedings. Vol.67. pp. 1-40.

Developing Marine Fishery Reserves and Sanctuaries for

Coastal Resources Management: Lessons and Experiences
in Bicol Region, Philippines

Bicol University Research and Development Center
Legazpi City, Philippines
apcandelaria@yahoo.com
Abstract
Using a process documentation approach, this paper highlights the new interventions and
strategies, and the emerging issues and concerns in the establishment and management of the
Marine, Fishery, Reserves and Sanctuaries (MFRS) in Bicol Region, Philippines. The results of
the process documentation are intended to become a major source of policy directions and
strategies of MFRS implementation.
An interview of key informants and stakeholders was conducted to establish a chronological

documentation of the developmental processes involved in the establishment of MFRS in the
various sites. An analysis of secondary data available from the project sites and local
government units was undertaken. A survey questionnaire was utilized as a tool in identifying the
category of problems and insights related to the MFRS development. Focus group discussions
with various stakeholders were also employed to validate and determine data gaps.
Six out of the fourteen (14) marine fishery reserves and sanctuaries in the Bicol Region served as
the study areas. These MFRS were established through the initiative of various government, non-
government and academic/research agencies and the local governments. Reserve and sanctuary
status is being enforced at different levels of administration. The establishment of each of the
selected MFRS in Bicol (Region V - Philippines) was influenced pursuant to the promulgation of
the Philippine Fisheries Code (R.A. 8550). While the processes and time element involved in
their establishment vary in each of the study sites, a model can be adopted based from the
observations and experiences of the stakeholders in the project areas observed.
Keywords: Bicol Marine Fishery Reserves and Sanctuaries, Philippines

Developing Marine Fishery Reserves and Sanctuaries for Coastal Resources Management: Lessons and
Experiences in Bicol Region, Philippines
Introduction
The Bicol Region is endowed with a number of marine resources. To protect and
preserve these resources, the local government units and local fishing communities
collaborated for the implementation of the coastal-based resources management through
the establishment and maintenance of Marine Fishery Reserves and Sanctuaries
(MFRS). The collaborators have a number of experiences in various phases of the
MFRS development (e.g. conceptualization, implementation, engaging stakeholders’
participation, capability-building, provision of alternative livelihood opportunities, and
the institutionalization of concerned local organizations).
The successful implementation of MFRS depends on the will and cooperation of

various stakeholders. Likewise, a non-biased political will of local government units
(LGUs) in advocating major issues and problems affecting the fishery sector plays an
important role in the implementation of measures to achieve the project objectives.
This paper presents an in-depth process documentation in the establishment and

implementation of the MFRS. This paper also identifies the factors and insights, which
contributed to the success or failure of programs/projects involved in the development
and management of these resources. An analysis of the push and pull factors
(constraining and facilitating factors) in the implementation of the MFRS projects are
likewise highlighted in this paper in order to come up with a model that will serve as
guide in replicating this project to the other potential areas.
Methodology
Six out of the 14 MFRS in Bicol Region served as the study sites. An interview
with the key informants and stakeholders was conducted to establish a chronological
documentation of the developmental processes involved in the establishment of MFRS
in the various target sites. A survey questionnaire was utilized to identify the category
of problems and insights related to the MFRS development. Focus group discussions
with various stakeholders were also employed to validate the findings from the
interview and survey, and determine data gaps when the existing information are not
sufficient in the course of data gathering. The relevant secondary data from the project
sites and LGUs were analyzed.
As a major approach in collecting vital information, the program on quality

assurance before, during and after each survey activity was also undertaken. Field visit
in each target site was conducted as part of the regular monitoring of the research
project.

The MFRS in Bicol Region
The six reserves and sanctuaries selected as study areas are located in San Miguel
Island, Tabaco City, Agojo in San Andres, Catanduanes, Atulayan Island in Sangay,
Camaries Sur, Marilag in Prieto Diaz, Sorsogon, Recodo in Cawayan, Masbate and
Mercedes in Camarines Norte (Table 1).
The MFRS in Bicol Region were established through the initiatives of various
government, non-government organizations, academic/research agencies and the local
government. Reserve and sanctuary status is being enforced at different levels of
administration.
MFRS were established primarily as a direct response to one of the root causes of
the non-optimal use of marine and aquatic resources, their being an open access, an
attribute of common property resource. These interventions are deemed to regulate and
control the activities of people who use and are dependent on these resources.
The effectiveness as well as the sustainability of these regulatory devices rely on

the extent of support from the stakeholders, including the perceived short-term and
long-term impacts to their economic welfare.
Table 1. Description of the Study Sites in Bicol Region, Philippines.
San Miguel Agojo, Atulayan Marilag, Recodo, Mercedes,

Island, San Andres, Island, Prieto Diaz, Cawayan, Camarines
Indicators Tabaco, City Catanduanes Sangay, Sorsogon Masbate Norte
Camarines Sur
Status
Operational Operational Operational Operational Operational Operational
No. of years in
operation 6 years 10 years 10 years 8 years 4 years 10 years
Area covered Sanctuary-1.0 Sanctuary-127 has. Sanctuary-70 Sanctuary-48 has. Sanctuary- Sanctuary-
km2 Reserve-1700 has. has. Reserve-120 has. Brgy. Recodo Malasugue Is.
Reserve-1.5km2 Reserve-72 has. Reserve-6 Reserve-5 other
other islands islands
Regular fund
support LGU LGU LGU LGU None LGU
Law
enforcement Active Active Active Active Inactive Active
Surveillance Patrol boat and Vessel, Patrol
equipment and Patrol boat VHF Radio boat and VHF Vessel, Patrol None Patrol boat
facilities communication Radio per Brgy. Boat
MFRS Markers MFR/S Concrete No Land Markers No Land No Land Markers No Land No Land
Land Markers Markers Markers Markers
Habitat
a. Mangrove x x x x x
b. Seagrass/ x x x x x
Seaweeds
c. Corals x x x x x x

Initiatives that paved the way for the establishment of MFRS
The establishment of each of the selected MFRS in Bicol Region is pursuant to the
promulgation of the Philippine Fisheries Code (R. A. 8550). This law was passed to
protect and conserve fish habitat and other marine resources in the country that are
threatened due to over exploitation. The concerned LGUs deemed it best to adopt this
law by virtue of passing resolutions and municipal ordinances to strengthen its
provisions and solicit participation and cooperation. The resolutions and ordinances,
however, were offshoots of initial undertakings at the field level. The MFRS in Agojo,
Atulayan, Recodo and Mercedes were established because of the implementation of
projects in collaboration with the Department of Agriculture-Bureau of Fisheries and
Aquatic Resources (DA-BFAR). Meanwhile, Marilag MFRS was established upon the
recommendation of the Department of Environment and Natural Resources (DENR).
The San Miguel Island MFRS is distinct since it was established because of the
collaborative efforts of the Tabaco City-LGU and Bicol University. The lead
organizations and support groups also played very important roles in the motivation,
prodding and activities.
Table 2. Key events that led to the establishment of the MFRS in Bicol Region.
Indicators San Miguel Agojo, Atulayan Island, Marilag, Recodo, Mercedes,
Island, San Andres, Sangay, Prieto Diaz, Cawayan, Camarines Norte
Tabaco, City Catanduanes Camarines Sur Sorsogon Masbate
1. MFRS origin/ Offshoot of BU’s Part of the Fishery Part of the Fishery Established upon Established as Established through
initiative 5-year extensive Sector Program of the Sector Program of the recommenda an offshoot of the collaborative
assessment on Department of the Department of tion of the the Coastal efforts of the
fisheries, coastal Agriculture in Agriculture in Department of Resource Department of
habitat and collaboration with the collaboration with Environment and Management Agriculture and the
human LGU of San Andres, the LGU of Natural (CRM) Project LGU of Mercedes,
resources where Catanduanes Sangay, Resources implemented Camarines Norte
the results of the Camarines Sur Ecosystem by the Dept. of
research were Research and Agriculture
made basis by the Development and the LGU of
LGU in the System to the Cawayan,
declaration of the LGU of P. Diaz Masbate
MFRS
2. Lead MFRMC SACRMC/ Sangguniang Local Sangguniang Local Government
Organizations MFARMC Bayan, Sangay, Government Bayan, Unit
Camarines Sur Unit and NGOs Cawayan,
Masbate
3. Support LGU Tabaco LGU San Andres Atulayan Brgy. Prieto Diaz Cawayan LGU Mercedes LGU
Groups City Bantay Dagat Council LGU SB Committee Bantay Dagat Dept. of
Sagurong Brgy. Dept. of Agriculture SB Committee Bantay Dagat on Fisheries Agriculture
Council NGO on Fisheries MFARMC Recodo Brgy.
MFRMC AT – Fisheries NGOs Council
Academe (BU) PNP and Brgy. Councils
NGO Boatmen DENR
DA-BFAR People’s Org.
Bantay Dagat
Team
NGO
4. Legal basis Mun. Ord. No. Mun. Ord. No. Mun. Ord. No. Mun. Ord. No. Mun. Ord. No. Mun. Ord. No.
008-98 s. 1998 03 s. 1993 93-001 s. 1993 96-19 s. 1996 01 s. 1999 148-93 s. 1993
5. Presence / Present Present Present Present Present Sanctuary – No
Participation of Participation is Participation is Active Participation is Participation is Participation is Community
Community Active Active Active Not Active Reserve-Community
Present and
Participation is Active

Time, processes and resources involved in the establishment and management of

MFRS
Although the phases that were adopted in the establishment of each of the selected
MFRS is sequentially separated and functionally differentiated, the project life
processes were observed to follow the circular concept of development (rather than
linear). Thus, the phases involved are cyclical.. Furthermore, various phases of project
development are not strictly sequential since there is continuous reassessment,
reiteration and refinement of the entire process to improve relevance.
The complex reality in which project development takes place, therefore, requires
that preparation, appraisal, implementation and evaluation activities occur throughout
the project cycle rather than in a single sequence. The various stages of the project
cycle should be viewed only as indicative and illustrative of a sequential flow of steps
inherent in the development of a project. In practice, certain stages may be emphasized,
others may be deemphasized, if not dispensed with, depending on the reality that one is
dealing with (Valdepenas, 1984).
The processes and time element involved in the establishment of MFRS in the study
sites vary. The declaration of the Municipal Ordinances, citing the portions of the gulf
or bay areas as sanctuaries and reserve sites, did not create any difference at all on the
part of the fishers. The termination of the national government-initiated project such as
that of the National Integrated Protected Area System (NIPAS) and the Coastal
Resources Management Program (CRMP) enabled the LGUs to realize the need to
sustain the project, and strengthen what was earlier started by project implementers.
The close coordination between the LGUs and the DA-BFAR also contributed to
the enforcement of fishery-related laws. The increase of illegal fishing activities and the
intrusion of commercial fishing vessel operators in the municipal waters contributed to
“giving more tooth” to subsequent fishery ordinances in the six (6) MFR sites excluding
that of Cawayan, Masbate, which recorded to have passed only one ordinance since the
project implementation. Likewise, five (5) out of six (6) LGUs have allocated funds for
the operation and maintenance of their MFRS. Allocation of funds, however, does not
guarantee the success of the MFRS. Cooperation and participation of the community
and the strong and supportive leadership of the LGU are necessary. The time element
involved in the establishment of each of the MFRS varies with the phase that each of
them follows. The execution of ordinances does not guarantee the smooth flow of
implementation, but depends on the political will and support of the LGUs. Exposing
them to various opportunities could hasten the development process like the experiences
undergone by SMI, Agojo and Marilag MFRS.
Problems, issues, constraints and difficulties experienced by the stakeholders
The lack of budget and access to resources were considered as the major
issue/concern in the implementation of MFRS. This constrained the management and
operational activities from the concerned local government units, agencies and non-
government organizations.

The Filipino trait called “Pakikisama” is the secondary constraint to the MFRS
management. This trait, which encourages a good relationship with kin, makes it
difficult to impose a penalty on violators especially if one is a relative of the enforcing
official.
More particularly in all of the sites, the non-existence of beach markers or buoys
strategically placed as floaters made it difficult for the fishers and community members
to identify the reserve and sanctuary areas of the MFRS. The fishers could hardly
determine if they are fishing within the reserve area because of the absence of markers.
This creates an implication as regards the information dissemination activities along the
peripheries of the MFRS. The implementation of marine-related ordinances must elicit
full support of barangay officials and stakeholders to expand and deepen their
understanding about MFRS, especially if strict compliance or impact is desired. This
lack of information dissemination became a major hindrance in the MFRS
implementation in the various sites.
The fishermen’s organizations such as BFARMC of Agojo, which is tasked to

oversee the management of the MFRS , was just established recently, and thus, at this
point, its effectiveness and contributions could not be seen yet. Some people were not
aware about the BFARMC, in terms of its mission, objectives and structure. In the case
of Marilag, the existence of two organizations of fisherfolks in the early stages of the
MFRS implementation process have not facilitated its development, but rather, have
polarized the community.
A number of billboards bearing relevant information particularly about the

ordinances and the corresponding penalties for violation, have already been dilapidated
because of the typhoons in the past. These billboards need to be replaced to improve the
information campaign about MFRS. The implementation of coastal resource
management project activities seeking to conserve and rationally manage marine
resources in the area contributed to the awareness of the fishers and coastal barangay
residents about the establishment and operations of the MFRS. Yet, it did not encourage
an immediate response from the community to cooperate as they were in dire need for
livelihood sources that would sustain their basic needs.
The lack of organized community efforts to protect the marine resources and the
weak coordination among coastal barangay councils to address the common problem of
marine resources protection were some of the major concerns, which hindered the
MFRS implementation in almost all areas. There was the absence of groundworking
activities from the implementers, which is a major aspect needed to subsequently
manage and monitor the project’s output and progress. The BFARMC which delegates
the marine fishery laws to the municipal government through Bantay Dagat, should be
visible in the project sites to get the active participation of the stakeholders. The lack of
logistical support to the Bantay Dagat Teams, which are tasked to monitor and
apprehend violators is also a major factor which hindered the MFRS project
implementation.

The law provides for the participation of the government agencies and police in the
implementation of fishery resource-related ordinances. However, apparently, the full
responsibility is being given to the barangay councils. The laxity and complacency of
the concerned persons who are responsible in the implementation of the law and
penalizing violators have been another major difficulty.
Potentials of the model system for replication
A model system can be adopted based on the observations and experiences of the
stakeholders in the project sites. Although the turn of key historical events in the
establishment of the MFRS varies from site-to-site, it has somehow followed certain
patterns, which involved levels like project identification and preparation, appraisal,
implementation, operation and evaluation (Valdepenas, 1984). However, depending on
the basic support systems, the following insights can serve as guide to complement the
developing mechanisms for MFRS replication purposes:
1. Presence of a strong and supportive LGU to propose regulatory measures that

would conserve community-based resources and assist in the generation of
capability building activities, logistics support and resources for the development of
the MFRS and its stakeholders;
2. Enforcement of marine and fishery-related ordinances seeking to conserve and

rationally manage the sustainability of marine resources;
3. Presence of other institutions, like the academe and non-government organizations

acting as partners in the development of a common clientele, which are the fishers,
the communities and their environment;
4. Tripartite partnership between and among the LGUs, Non-Government

Organizations (NGOs) and People’s Organizations (POs) as a key strategy for the
sustainable implementation and development of programs and projects in the target
sites towards an organized and participatory effort to protect and conserve the
marine resources;
5. Presence of local marine-fishery guards like the Bantay Dagat Team to monitor the
MFRS area and apprehend violators of fishery laws and ordinances;
6. Implementation of an appropriate and effective information and education

campaign to inform the marine and fishery stakeholders about the intent of related
ordinances, programs and projects;
7. Sustained implementation of alternative sources of livelihood to increase the

income of fishers, thereby, reducing the pressure and dependency on harvesting
marine resources; and,

8. Existence of a good representation of ecological habitats (i.e. coral reef, mangrove,

seagrass/seaweed beds) benefiting community support as basis for study, MFRS
establishment and development (Soliman et al, 1998).
Conclusions and Recommendations
1. The successful implementation of the marine fishery reserves and sanctuaries

depend on the will and support of various stakeholders involved in its development
and sustainability. Likewise, a non-biased political will of the LGUs in advocating
major issues and problems affecting the fishery sector plays an important role in the
implementation of measures to achieve the objectives in which they were
established.
2. The provision of alternative livelihood opportunities and the institutionalization of

concerned local organizations through proper consultations coupled with capability-
building activities are vital factors for success if the stakeholders are really serious
in pursuing the goal of protecting and conserving the marine resources in the
implementation of MFRS development programs.
3. The formation of monitoring teams represented by the LGU and the community to
monitor the ecological habitats and assess the effects of the management
schemes/systems that are being applied or derived can serve as the MFRS data bank
for information and documentation purposes. Community test-fishing activities in
which the stakeholders could get involved as part of the participatory monitoring
activity in the MFRS can also be initiated.
4. Unifying the various community efforts into an organized participatory type of law
enforcement and monitoring system will give the community a sense of ownership
for the protection and preservation of their own marine resources. This should
include a local system of giving due process and imposing of penalty to erring
fishers.
5. The provision of benefits or remuneration to persons directly involved in the

operation and maintenance of MFRS for their services (like patrolling, monitoring
and sanctuary guards) can form part of the logistical and budgetary allocation of
LGUs as support in the MFRS implementation.
6. The promotion of educational drives, information billboards, leaflets, fliers, comics,

broadcast media and rural theater can facilitate information and education campaign
for the protection and conservation of marine resources.
7. Capability-building of the community and the local group tasked to manage the
marine sanctuary is an important activity that should be given emphasis throughout
the sanctuary planning phase and implementation. Without sufficient local capacity
for management, the success of the marine reserve/sanctuary is less certain
(Crawford, 2000).

References
Lauraya, F. M., et. al. Status of Implementing Marine Fishery Resource-Related Ordinances
In Selected Marine and Aquatic Protected Areas in Bicol (The Case of San Miguel Island,
Tabaco, Albay). R&D Journal, Vol. XII, December, 1999. Research and Statistics Center,
Bicol University, Legazpi City.
Lauraya, F. M, et al. Status of Implementing Marine Fishery Resource-Related Ordinances in a

Marine Protected Area: Sangay, Camarines Sur, Bicol, Philippines. R&D Journal, Vol. XIV,
December, 2001. Bicol University, Legazpi City.
Candelaria, A. P, et al. Awareness of Marine Fishery Resource-Related Ordinance in a Marine

Protected Area: Cawayan, Masbate, Philippines. November, 2003. Research and
Development Center, Bicol University, Legazpi City (Unpublished Research).
Sala, A. L. R., et al. Stakeholder’s Evaluation of the Agojo Point Fish Sanctuary and Fishery
Reserve. R&D Journal Vol. XIII, December, 2000. Research and Statistics Center, Bicol
University, Legazpi City.
Valdepenas, V. D. Project Development Manual, NEDA, 1984.
Soliman, V.S., et.al. Assessment and Management of Fishery and Coastal Habitats of San
Miguel Island, Tabaco, Albay. R & D Journal, Vol. X, December, 1997. Research and
Statistics Center, Bicol University, Legazpi City.
Soliman, V. S., et al Assessment of Marine Fishery Reserves in Bicol for Local Government
Planning. R&D Journal. Vol. XI, December 1998. Bicol University, Legazpi City.
De los Reyes, R.P. Process Documentation: Social Science Research in a Learning Process
Approach to Program Development. Institute of Philippine Culture, Ateneo de Manila
University, 1984.
Crawford, B., Balgos, M., Pagdilao, C.R. June 2000. Community Based Marine Sanctuaries in
the Philippines: A Report on Focused Group Discussion.
Volante, J. R. A Manual for Participant Observers in Process Documentation Research.

Philipines Sociological Review, 1984. 32(1-4): 121-132.

Policy Recommendations to Address Drought: Case Study in Phichit Province, Thailand
Policy Recommendations to Address Drought:

Case Study in Phichit Province, Thailand
Gwyntorn Satean
Faculty of Social Science
gwyntorn@live.com
and
Faculty of Social Science
Patcharin76@hotmail.com
Abstract
This research aimed to: 1) find out the factors affecting drought in Phichit Province, Thailand; 2)
determine the changing career structure and farmer’s self-adaptation practices; and, 3) evaluate
the drought-risk areas in Kaosai sub-district, Taphklo district, Phichit province using geographic
information system; and 4), synthesize policy recommendations using qualitative and quantitative
research.
The results indicate that Kaosai sub-district has moderate to highest level of drought risk,
accounting for 74.20 km2 (55.17%). The 15 environmental variables could explain the drought
risk area by 72.8%. It was also found out that the drought risk factor is associated with the
topography and soil, compared with the other environmental factors. As regards the social
factor, it was observed that 74.9% of the farmers did not do anything to handle the drought
because of the unsuitable land.
The research findings suggest that drought can occur in two different seasons of farming. The
first season, called the “Dry Spell” enables the farmers to plant shorter duration rice varieties to
ensure harvest. The second season is drought. During this period, the farmers are forced to look
for other part-time jobs, because their paddies are no longer suitable to rice farming. As such,
most of the family members are doing off-farm or non-farm jobs, and they seldom participate in
community activities.
This research proposes policy recommendations to address the problems on the drought risk
areas. First, there is need to form committees at the village level and establish information
centers to provide assistance to those affected by the drought, and draw up the regulations
related to drought adaptation mechanisms. The second policy alternative is to establish a long-
term project that is geared towards setting-up a community-based disaster risk management,
facilitating the crop insurance system, and establishing funding support.
Keyword: Policy recommendations, agricultural drought, drought risk

Introduction
Thailand has been experiencing drought every two to three years for the past 50
years. However, starting in 2005, the drought began in March, much earlier than the
normal onset of the drought season. Seventy-one (71) out of the 76 provinces in
Thailand were greatly affected by drought. Approximately 2.8 million people were in
distressed and 21,920 km2 of agricultural area were destroyed, which cost about 7,565
million baht (Dept. of Disaster Prevention & Mitigation, 2006).
The drought cycle, which is observed to be getting stronger and is likely to take
place continuously, affects the agriculture sector, particularly the farmers in rainfed
agricultural areas. This puts the agricultural production at risk. There are some areas
(about 69,292 km2) where severe drought occurs every one to three years. The long
drought does not only affect the farmers, but the government as well, because it has to
provide additional compensation to the farmers. In most developing countries, the
governments address this risk through crop insurance and provision of subsidies to the
farmers. These assistance programs will insure farmers’ income and enable them to
sustain their farming activities.
From the literature review, it was found out that the eastern area of the Phichit
province in Thailand is not irrigated as it is far from the Nan Basin. As a result, this area
experiences drought every year, particularly in the Tapkhlo district, covering an area of
about 677.13 km2. In 1969-2000, the land uses of these areas were converted from
conservation forest areas to agriculture area at 63.34% to 94.08%, respectively
(Patcharapa, 2004; Chada and Seesai, 2005). Drought was reported to have damaged
nine districts in Phichit Province from November 2004–June 2005, affecting around
54,311 families. Meanwhile, 14 villages in Kaosai sub-district, Tapkhlo district, and
three villages in Ban Nong Pong were affected by drought repeatedly.
Many literatures also say that drought could not only be addressed by the
environmental factors, but social and political factors, as well. At present, drought
occurs more severely and frequently and has even expanded to the other areas. Because
of the intensity of effects, drought has become a social problem in the province. Thus, a
research on exploring policy options to address drought in Kaosai sub-district, Tapkhlo
district, Phichit Province in Thailand was conducted. This research aimed to: 1) study
the factors contributing to drought; 2) analyze the change in the career structure and
farmer’s self adaptation to drought; and, 3) synthesize policy recommendations by using
qualitative and quantitative research with geographic information system to evaluate
drought risk areas.

Pichit province
Study Area: Kaosai sub-district
Thailand
Figure 1. Map of the study area
Methods
This research used various research methods consisting of quantitative research,

qualitative research, policy research, and documentary research. The research process is
as follows:
Analyzing the environmental factors/variables
The secondary data about the environmental factors were obtained. The
environmental factors include: a) rainfall, b) watershed and groundwater potential; c)
distance of the water sources; and, d) topography/soil. Table 1 shows that there are 16
variances.
The data on the environmental factors were analyzed using the geographic
information system (GIS), particulary using the Raster Layer and the discriminant
analysis. The accuracy of risk area was tested by evaluating damages and assisting
measurement in 2003 and 2004-2005, the period when drought was at its peak. The
relationship between the two sets of data were analyzed using Pearson Correlation
Coefficient.

Table 1. Variables of environmental factors.
Variable Unit of analysis Source Year

Amount of rainfall Millimeters Thai Meteorological Dept. 1995-2005
Number of rainyday Day Thai Meteorological Dept. 1995-2005
Daily evaporation Millimeters Thai Meteorological Dept. 1995-2005
Capable of aquifer yield m3/hour Groundwater Resources -
Dept.
Capable of well m3/hour Groundwater Resources -
Dept.
Density of pond pond/km. Groundwater Resources -
Dept.
Density of sub-stream km/sq.km. Royal Thai Survey Dept. 2005
Area of sub-stream Sq.km. Water Resources Dept. 2005
Distance of stream Meters Water Resources Dept. 2005
Distance of water body Meters Water Resources Dept. 2005
Distance of irrigated areas Meters Water Resources Dept. 2005
Distance of electric pump Meters Water Resources Dept. 2005
Slope Degree Royal Thai Survey Dept. 2005
Elevation Metes Royal Thai Survey Dept. 2005
Landuse field crop, horticulture, forest, paddy Land Development Dept. 2002
field
Soil drainage good, very good, moderate, bad, very Land Development Dept. 2002
bad
Analyzing the drought problem and social change
Using Krejcie, RV and Morgan DW’s sampling size (Watponjudcom 2007), the
researcher came up with a sampling size of 271 household heads from the total
population of 887 households. The standard error was set at 0.05. Quota sampling was
applied to 14 villages in Kaosai sub-district, and the weight for the drought-affected
villages was set at 60%. The data were gathered using a close-ended questionnaire.
Some information were obtained from the key informants who were selected using
snowball sampling. There were 14 key informants in one sampling group covering the
drought-afflicted areas in Villages 5, 7, 8, 11 and 14.
As regards the quantitative method, the closed-ended questionnaire revolved around

1) background information; 2) drought and its effects; 3) social factors related to
drought; 4) farmers’ self-adaptation mechanisms; 5) farmers’ level of satisfaction in
addressing the problem. The data were collected using a 1-5 rating scale, and were
analyzed using descriptive statistics such as mean, percentages and standard deviation.
Meanwhile, the qualitative data obtained from the structured interview have undergone
content analysis.
Analyzing the policy evaluation
Daniel L. Stuffbeam’s CIPP Model was applied to evaluate the results of the work
under the Ministry of Finance’s regulation about advancing money to help the victims
of immediate disaster 2003. There are four aspects to be considered when analyzing the
result. These are: context, input, output, and problems and obstacle.

Six district-assisting-center committees and 15 provincial assisting-center

committees were selected using purposive sampling. Using structured interview, the
four aspects of the concept of policy implementation were covered. The data were
collected from interviews, government reports, and meeting reports. The contents were
evaluated using a correlation between the operations of district centers and the
provincial centers.
Synthesizing policy proposition
Findings from the Policy Environmental Factors which consist of 1) environmental

factors 2) social factors; and, 3) policy factors were synthesized along with the
documents of the research findings and experiences from solving agricultural problems
involving drought in both domestic and international areas. Method of agreement was
used to compare all documents. Content analysis was used to synthesize policy
proposition and unit of analysis is a mean to solve the drought problem of the
agriculture sector.
An analysis of policy environmental factors
From studying the landscape of Kaosai sub-district, it was found out that the largest
area of 74.20 km2 is considered as average risk area of drought. Most of this piece of
land lies in the eastern part of the 11th and 14th villages (Fig. 2a). The second largest
area of 36.13 km2 is considered to be the high risk area of drought and the smallest area
of 24.16 km2 is the low risk area. As regards the land use, paddy field was found to be
the largest area of 100.17 km2 (Fig. 2b) and is at the high risk for drought. When
accuracy is tested, it showed that model of the high risk land for drought is correlated
into the actual land (R=0.74)
Paddy field, no risk

Paddy field, low risk
High risk Low risk
Paddy field, moderate risk
Paddy field, high risk
Figure 2. (a) Drought risk model and (b) drought risk model overlay with landuse map

The relationship between the environmental factors and the risk of drought showed
that the degree of risk is related to topography/soil factors (R=0.96) (Fig. 3d) more than
rainfall factors (R=0.91) (Fig. 3a) distance of water sources factors (R=0.82) (Fig. 3c)
and watershed/groundwater potential factors (R=0.79) (Fig. 3b). Grouping these results,
distance of irrigated areas, distance of electric pump, and elevation are considered to be
highly-related to drought, but density of wells is not related to drought.
High risk Low risk
Figure 3. (a) Rainfall factors, (b) watershed/groundwater potential factors,

(c) distance of water sources factors, and (d) topography/soil factors
Social factors
As regards the social factors, this study revealed that human behavior plays a vital
role in addressing the problem on drought. Most of the farmers (74.9%) did not do
anything to solve the problem. Some of them tried to solve the problem (25.1%) by
farm pond digging (53.5%), water pumping (34.9%), canal digging (7.0%), and
groundwater drilling (4.7%). All of these methods have not been able to solve the
drought problems yet.
The struggling farmers (47%) planned to invest the government’s

compensation/subsidy for the next cropping season, while other farmers (39.1%)
already spent the money to meet the daily needs of the household. During drought
period, about 48.7% of the farmers listen to news from radio, television and newspaper
Moreover, most of the farmers (44.1%) did not change the way they grow rice.
Farmers who were able to cope with the effects of drought were those (26.3%) who
have shifted to planting short-grain cultivars. There were a few farmers (7.2%) who
have just collected the grains for planting in the next cropping season.

Policy evaluation
Context
The committee that should help farmers that were affected by drought, has not been
set up clearly. Thus, in case of drought, district and provincial committees who are
directly responsible for the situation including the official agriculturist, and other groups
of committees take part in setting up meetings and projects to help farmers in canal
dredging budget approval etc.
Input
The structure of the provincial committees consists of knowledgeable personnel

who can work effectively. At the district level, however, there is no enough personnel
who could do the land survey in case there are reports of drought. As regards the
equipment and working place, there are two groups or committees who reported the
need for high technology equipment such as computers to be able to collect and store
the data.
The provincial governor provides the budget needed to assist farmers who were
affected by drought. Each time, the sum is no less than 500,000 baht for each disaster
but this money is not enough for three months of disaster period. Therefore, the
provincial administration has to provide more money to help implement the projects.
However, the primary help is the water for household use and canal dredging. If drought
takes place in many places in a province, much money is needed to handle the situation.
As a result, there will not be enough money left to compensate the farmers. Then, they
have to wait for help from the Ministry of Agriculture and Cooperatives which usually
takes three months.
There are five steps to help the disaster victims: 1) announce disastrous area and
allocate a reimbursed compensation fund for each district not less than 500,000 baht; 2)
district committees survey damages; 3) district committees allocate compensation fund
from provincial committees to each farmers; 4) secretary of the provincial committee
examines the project or the provincial agricultural office gathers all information; and,
5) provincial committees hold meeting to carry on the project and if there is not enough
money for the project, the project has to wait for other source of money.
Output
According to the meeting reports from district and provincial committees, the two
groups of committees’ actions correlate with the Ministry of Finance’s regulation. It
showed that there are no complaints from farmers during this period. However, farmers’
satisfaction to the problem solving before, during and after the disaster is low ( = 1.98,
2.32 and 2.05 respectively) because up to 20% of the farmers did not know about the
committees and their projects.

Problem and obstacle
 When disaster risk areas are announced, there is no consideration about the
information which can be used as an index of the disaster such as rainfall, and
evaporation
 The one who is responsible for helping those farmers are the headmen but when the
politics are involved, there was an observed unequal/inequitable distribution of
money to the farmers
 There is a false notice from farmers who are not really affected by drought. There
are also no enough staff to survey agricultural damages
 All appointed committees are not from the public sector in both district and
provincial level
 There is no structure specification of the committees at the village level which is the
group that directly looks after people in the area
 There is no public announcement to promote working process of the committees to
farmers
Therefore, these farmers are not aware about these processes.
 There is no information storage system to help disaster victims and there is also no
evaluation and regulation and system and follow up of the projects
An analysis of drought problem and social change
Drought characteristic
The major causes of drought occur during the two planting seasons, which are
early-season drought and late-season drought. In early-season drought, dry spell in rainy
season occurs from April to July every year. Farmers have defined this stage as “dry
spell” or “seasonal drought”, which occurs every year. In the past, the early-season,
drought affected an indirect seeding of rice planting. Currently, however, farmers have
changed the way of rice planting to direct seeding, which reduces the risks of difficulty
of rice planting in this early-season drought. During the late-season, drought occurs
between September and October, from rice growing stage to rice flowering stage. Long-
term drought can affect rice production, especially photoperiod sensitive paddy seeds
such as jasmine rice 105. Therefore, this insufficient precipitation is defined by farmers
as “drought”.
In the last decade, Kaosai sub-district faced severe drought in 1980, 1987, and 2005
during the late planting season (Fig. 4). The chances of drought occurring in early
planting season every year was 35.4%, followed by 32.8% every other year. According
to the study of average rainfall during 30 years (1977–2007), the average annual rainfall
from six rain gauge stations around this area was 1,239 mm. The average rainfall in the
30 year-period at Kaosai Tapkhlo School’s rain gauge station was 906 mm, and the
number of rainy days was less than 15 days (Fig. 5). As a result, Kaosai sub-district

faced the risks of crop water shortage unavoidably. Because the most affected areas
produced photoperiod sensitive paddy seeds, particularly the 7th, 11th, and 14th villages.
Rainfall amount (mm.)
Rainy Period Dry Period
MAY JUN JUL AUG SEP OCT NOV DEC JAN FEB MAR APR
Kaosai Wang Tapanhin Average 6 stations

pong
Figure 4. Monthly rainfall in the year 1984–2007 around the study area. The data
suggest 2 periods of climate, rainy period from May till October, and dry period
from November to April.
Rainydays
Rainy Period Dry Period
MAY JUN JUL AUG SEP OCT NOV DEC JAN FEB MAR APR
Wang
Kaosai Tapanhin Average 6 stations
pong
Figure 5. Monthly rainydays in the year 1984 – 2007 around the study area.

The data suggest 2 periods of climate, rainy period from May till October,
and dry period from November to April.
Social Change
Social change causes non-farm-income generating activities after rice planting.

There are several types of economic activities of each household. However, the major
economic activity of the farmers in these villages is rice planting. For other non-farm-
income generating activities, 38.4% of these households work in agricultural and
industrial sections as well as other activities, for example, mungbean planting, tree
farming, livestock, and handicrafts.
Social change is caused by economic activities. The rice planting system had
changed from indirect seeding to direct seeding to allow the farmers to have more time
after rice planting. Drought is another cause of social change, particularly the late-
season drought. During this season, farmers avoid the risks in rice harvesting
investment. Thus, there is less rice production, thus, affecting the farm income of the
farmers. As a result, farmers loan money from many financial institutions for next crop.
This situation has forced farmers to do non-farm-income generating activities from
August until October each year, by working as laborers in Bangkok and big cities in the
Northeastern Thailand.
Less interaction with each household member and fewer social activities occur
when members of some households have left to work in other areas. Moreover, conflicts
of receiving indemnity after drought damages also occurred. This is because some
farmers who were not victims of drought also received the indemnity because of
political factors.
The weather changes are common problems of the farmers in this area. These
farmers had to face the early-season drought and late-season drought, as well as severe
flood, each year. In some areas, these two natural disasters occurred in the same year.
This caused 55.9% of the farmers to change rice-planting behavior. These changes
include 1) postponing the rice planting, 2) using new breed of rice which is photoperiod
sensitive, 3) harvesting more breeding seeds, 4) growing cash crops which are less
water dependent; and, 5) managing rice farming areas such as lifting ridges to keep
water, smoothing paddy fields, growing trees on the ridge for keeping moisture,
dredging ponds in rice fields, pumping water from near water sources, and even stealing
water from the next paddy field. However, 44.1% of the farmers in this area have not
changed the rice production practices because of less knowledge about other activities,
limited experience, lack of funds, and no rights to own paddy field.
An analysis of policy recommendations for agricultural drought solution
The first option is to change the process of helping drought victims
To change the process, three Policy Environmental Factors, namely: environmental

factors, social factors and policy factor are needed. This is an Institutional Welfare

Model that is conducted by the government to fix the problems at hand and to help
relieve farmer’s burden The process that is needed to change is as followed: (Fig. 6)
 Raise drought problem as a public problem. Public awareness should be done to get
people together to find more effective solutions. The topics that they have to
consider are the definition of drought, characteristics of drought, the effect on their
livelihood, on the society and environment, assistance from the government and the
prevention and suitable solution to the problem.
 Consider social context. In the past, the main policy is sent from the central to the
administrative office. Thus, context is ignored. However, at the present, farmers
have the potential to adapt with the economic condition and disaster cycle. The
assistance and rehabilitation program from the government must understand these
changing contexts.
 Community-based management of natural disaster risk focuses on community’s

participation in decision making and taking part in every step of the disaster cycle.
The government should encourage community members to take an active role in
disaster management initiatives.
 Joint committee at the village, district and provincial level: For a more effective
resolution of the problem and assistance to the disaster victims, committees should
be formed at the village, district and provincial levels for a more effective
assistance to the affected communities.
 Open public channel: As many disaster victims do not know about the
government’s assistance , there must be a channel to communicate with the public
to enable them understand the information. It can also reduce the problems and
complaints, because of their misunderstanding about the government’s working
processes. The communication must focus on the steps and duration of the
assistance.
 Set up assistance measurement: Natural disaster area is not clear or can not be done
if the whole village is not in damage. As a result, people in that area will not get
help from the government. When announcing the disaster area, there are things to
be considered such as amount of rainfall.
 Develop database system: There is a need to conduct district database system to

collect up-to-date information needed for the prevention of the disaster. There
should be a connection system along with disaster victim database development to
the Department of Agricultural Extension. When all information is properly
gathered, geographic information system can be applied to predict the damage from
drought.
 Develop follow-up and evaluation system: since the government does not have an
annual evaluation plan, it should be set up to measure the outcome and to draw up
the standard and indicators to assess the efficiency.

The second option is risk management for agricultural drought
The first option calls for an assistance program for the drought victims. But this is just a
short-term program. The long term program should help people to be able to stand on
their own. It could be done by setting up crop insurance system or doing a match
drought funding for natural disaster victims.
 Crop insurance system aims to insure damages that may happen to the crops
together with farmers. There should be two steps in doing crop insurance: 1)
primary crop investment and 2) rainfall index insurance contract. In the beginning
the government may have to enforce the law. But later on, it could be a voluntary
undertaking. When the government can carry out this project nationwide, it can
gradually cancel providing compensation to the farmers in times of disaster.
 Match drought funding for natural disaster victims and focus on helping disaster
victims to be able to stand on their own. The project would be done by the local
people with support from the government sector. Examples include the
development of infrastructures to manage water sources in small farm or in areas
that could become public reservoir for agriculture. They could also request the
government to set up the disaster fund in the Disaster Prevention and Relief Act
2007 or to educate the general public that they can act together to ask for support
from welfare promotion fund as stated in the Social Welfare Promotion Act of
2003.

Figure 6. Policy recommendations for agricultural drought

Conclusion
Drought ranks 4th in all the disasters that happened in Thailand. The level of
vulnerability and management is on the average, but the increasing rate of population is
affecting the use of resources more than ecological carrying capacity, such as watershed
destruction resulting in water shortage. When drought occurs, society and economy are
much destroyed. Therefore, it can be said that drought is as much a threat as other
natural disaster especially in the agricultural society.
A concept of drought management is new in Thailand. Thailand may be able to

handle drought every year but when severe drought happened as in 1994, 1995, 1998,
2001, and 2005, preparation and assistance program that we had was not good enough.
Therefore, ad hoc assistance was needed to fix problems at hand (Tawatchai et al,
2003). We can see that in the past, we mainly applied reactive approach by focusing
more on rehabilitation and reconstruction than preparation and prevention and
mitigation. As a result, farmers has become dependent on the government.
We can say that drought may not be a crisis that everyone often encounters.
However, when it happens, farmers would require immediate help from the government
but this assistance may not be on a long term period. Furthermore, drought happens only
for a short period so they would focus more on the way to fix the present problem.
When the situation goes back to normal, no one tends to forget the real problems.
Acknowledgements
I am grateful to my supervisor, Associate Professor Dr. Patcharin Sirasoonthorn of

Faculty of Social Sciences and the committee, Associate Professor Dr. Chada Narongrit
of Faculty of Agriculture Natural Resources and Environment, Assistance Professor Dr.
Taweesak Siripornpaiboon of Faculty of Science, Naresuan University, Thailand for
their helpful suggestions on my dissertation. We are also grateful to the editor, a referee
and anonymous reviewers.
References
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Characteristics, Impact, Related Policies and Management Strategies. Water and Drainage
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in drought management in the lower northern provinces of Thailand: phase I Uttaradith,
Phitsanuloke, Pichit, Sukothai, Tak and Kampaengphet. Phitsanulok: Faculty of Agriculture
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http://www.disaster.go.th/. (May 25, 2006).
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Donald A. Wilhite, William E. Easterling and Deborah A. Wood. (1987). Planning for Drought:
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http://www.drought.unl.edu/whatis/concept.htm. (July 14, 2005).
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Kaochetluk and Adjacent Area, Changwat Phichit. Master thesis M.Sc., Chalalongkorn
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http://www.watpon.com. (February 07, 2010)

From Rice Economy to Oil Palm Plantation:

Occupational Alternatives of Farmers in
Pak Phanang District, Thailand1
Kanjana Laochockchaikul2
Abstract
This paper highlights the results of a case study about the occupational alternatives of the
farmers in Pak Phanang District, specifically those at the Ban Wat Bote Village, Koh Tuad Sub-
district, Pak Phanang District, Nakhorn Si Thammarat Province. The case study aimed to
understand the historical and sociocultural background of Pak Phanang that have provided a
ground for capitalist development; and analyze the changes and occupational choices of the
respondent-farmers and the conditions for adapting to the chosen occupations. The data were
collected using participant observation and semi-structured interviews.
Research findings confirmed that the economic development in the Pak Phanang area is
apparently associated to the capitalist market system since the reign of King Chulalongkorn. The
area was first developed in accordance with the direction and country’s socioeconomic
development policy in the early 19th century, which was aimed at makingPak Phanang as the
center for rice production and trade. The national social and development policy that was
instituted in the 1960s onwards to modernize the Thai society, paved the way for the
industrialization of agricultur. The introduction of Black Tiger shrimp farm by private business
investors has caused a conflict with rice farming in terms of resource utilization in the area. Such
conflict was resolved because of the establishment of the Pak Phanang Development Project that
was initiated by His Majesty King Bhumipol. In addition, commercialized/high value trees such
as oil palm tree were also introduced in the area.
Investment patterns of farmers in Wat Bote from the past to the present have apparently been
along the line of the macro socioeconomic development of the Pak Phanang area. For decades,
they have commercialized their rice farming. When shrimp farming boomed, they shifted to such
economic enterprise. Today, the farmers are more interested to engage and invest in oil palm
plantation, in response to the demand from the global market These developments only confirmed
that economic opportunities, weaknesses of the national development policy, and the global
capitalist market, dictate the Pak Phang farmers’ decision to engage in a particular
livelihood/economic enterprise. In addition, internal factors such as the desire or goal of the
family to improve their economic status play a key role in the selection of potential economic
enterprises.
Keywords: Rural Socioeconomic Change, Rural Development, Pak Phanang Farmers,

Occupational Alternatives
1
This article is a part of my research: Kanjana Laochockchaikul. 2009. Occupational
Alternatives of Pak Phanang Farmers: A Case of Farmers at Ban Wat Bote Village, Koh Tuad
Sub-district, Pak Phanang District, Nakorn Si Thammarat Province.
2
Researcher, Thai Khadi Research Institute, Thammasat University, Thailand.

From Rice Economy to Oil Palm Plantation: Occupational Alternatives of Farmers in Pak Phanang District,
Thailand
Introduction
During the stint of world food crisis, Thailand, which is one of the world’s rice
producers, has been riddled with the rice price malaise. It was in the best attempt to
contemplate on why the rice mainstay economy is fraught with the national famine. The
mystery was unraveled. The paddy areas have been decreasing for copious reasons. The
proletarian farmers abandoned their lands, sold them, or raised other plants with higher
economic potentials, regardless of the existing domestic consumption.
From the phenomena, it prompted the query why the problematic consequences
which truly arise from the metropolis, driven by the intelligent and potent bourgeoisie,
ingrained themselves in the upcountry. When the problem triggered, the pressure and
origin of the problem is unfairly distorted to the farmers in the rural society. It turned
out to be the great inspiration to examine the changes in ways of life, society, and the
economy. However, when mentioning “Thai Farmer”, the studies mostly focused on the
observation data gathered in the Central Region and the Northeastern Region of
Thailand as a symbol of the whole Thai farmer economy with few justifications. The
product mainstay of those regions is not only rice, but also Farmers are predominantly
living. Most of the studies ignored the fact that the South peninsula of Thailand,
especially Eastern coast, Pak Phanang River Basin, is very motivating to signify the
noticeable upheavals in the agrarian society, the capital system, and the development.
Trade, capital system, and the area, Pak Phanang River Basin, have been inextricably
intertwined for long times on account of the feature of pier community and the attempts
to develop the district.
Pak Phanang: A Brief History of Social and Economic Change
The most significant development in the Pak Phanang River Basin occurred in the
realm of King Rama the Fifth, approximately during the 1900 A.D. The area was built
up for rice production for the domestic consumption of the East South, Phuket, Ranong,
and Phangnga, and for export to Malaya, England colonization. The potential of rice
supply from the area demonstrated the economic prosperity and the intimate
relationship between the capital system and the colonization market. The development
was a result of the open-market policy and free trade in accordance with the Bowring
treaty between Thailand and England during the era of King Rama, the Fourth.
The essence of this area development was reflected by the advent of King Rama,
the Fifth’s visit to propitiously unveil the first rice mill located in the district in 1905,
with His Majesty the King own script “It is no doubt how important Pak Phanang
District is, but when I come over to the place, It is way far off the target; the prosperous
town, the broad river, the fertile rice field which ,some might say the area is better off.
The Rangsit Canal, the spacious open area with tenfold expansion….Among the pier
towns in Eastern Malaya peninsula, no place would beat Pak Phanang” 3
3
Royal own script by handwriting on trip to west coast cities in June and July, 124th
Rattanakosin era. (1905)

With the King’s script, the effort to revive and develop rice production and escalate
rice for trade and export were superlatively apparent. By virtue of the appropriateness of
the vast plain basin, the abundance of water supply, and the suitable pier spot, the
authority, therefore, constructed the infrastructure in every possible aspect so as to make
the environment more conducive to investment, especially to convince the Chinese
capitalist to invest on the rice mills.
The economic advancement in the area grew constantly over time. It could not be
denied that this small pier town profusely generated the income flow for the government
so substantially that there was a policy to elevate the district into a province.
Nevertheless, when the Second World War erupted, the central administration issued a
decree restricting rice trade and transportation, because at that time, rice was regarded
as a critical battle factor. It spawned a series of difficult consequences for thriving rice
mill business. The compulsory policy, which pegged the rice price to the low, instigated
the merchants to resort to marking down the price and oppressing the farmer. Hence,
under the misleading rule by the government, the farmers seemed to have a low level of
interest in growing rice. The rice production was triggered to wane gradually. Besides,
the turbulent calamity went off at Taloumpook peninsula in 1962, and the oil crisis
cropped up. Both incidents turned in the demise to the flourishing rice business in Pak
Phanang District (Phota Kanklew. 1985).
There were endeavors to help resolve the predicament by developing a plan, but the
implementation of the said plan was abortive. Simultaneously, Pak Phanang
incredulously started to recuperate by itself through the Black Tiger shrimp farming.
Pak Phanang stayed in the limelight again through His Majesty the King’s
development scheme ameliorating the deteriorating economy in the area. The area was
under the well-organized development arrangement such as upgrading the whole
environment, allocating the irrigation zone for diverse means of earning a living,
supporting and strengthening the occupation in the area. Alternative plants with
economic potentials were introduced to the locality to attain the standard of living that
they used to have in the past. For this reason, Pak Phanang has again attained its
prosperity. This is a learning experience for a basin management feat.
The development in Pak Phanang also took quite a long time. Over the periods, the
upheavals of the area were in intimate relation to the whole national economic
advancement and the expansion of the authoritarian power in disguise of the economic
policies, especially for the resource management and allocation, which was intensified
and compatible with the development directions.

Thailand
Ban Wat Bote: History and Information
The case study was conducted in Ban Wat Bote, Kao Tuad Sub-district Pak
Phanang District. This community represents the transformation and the development
process in the district. There were various means of living, namely: animal husbandry,
part-time farming, plantation, and other non-agriculture/non-agrarian activities.
The people in the community have settled down in at least three generations.
According to a tale, the raw landscape of the area was once the deserted woodland,
which was later on reclaimed by the people for plantation and farming. The fact
corresponded the whole history of Pak Phanang District which was set forth for rice
production for export in His Majesty the King the Fifth. Moreover, in light of the well-
organized allocation of the vast area plausibly gave rise to the sole pioneer. It seemed
reasonable to assume that the change had been initiated concurrently in 1896, which
was the era of The Provincial Administration of Siam, the intense centralization.
The southern villagers in the Wat Bote community total to 823 people, or about 166
households.There seemed to be more inhabitants than the total land area. The cultivation
area accounts for 90 percent of the whole area of the community, approximately 3,000
Rai. Wat Bote community is principally engaged in agriculture. However, some of the
community members engaged themselves in trade, gardening, working as an employee,
and serving the Thai government. The study reveals that most of the community
members have incidental occupations such as trade, and as workforce. On the contrary,
the occupational options are available only in the rainy season. The task offers a wide
range of activities such as rice grain scattering, field plowing, and fertilizer and
pesticide application.
Wat Bote community has been firmly associated with the Pak Phanang market
since the inception. After harvesting, the rice is sold to the rice mills situated around the
Pak Phanang market. They drifted along the small canals connecting with Pak Phanang
River. The farmers would only sell rice to the middlemen within the community when
they have fewer harvests. Conversely, if the output were productive, the villagers would
rather reap more for sale at rice mills in the town.
The relationship between Wat Bote and Pak Phanang market underwent changes
around 1975, brought about by the modification in waterway transportation. Bang Sai
Canal [Klong Bang Sai] was adjusted in line with the irrigation reform policy. Royal
Irrigation Department constructed the floodgate blocking Bang Sai Canal in Wat Bote
village, Kao Tuad Sub-district. The trade route was, therefore, affected.
The development policy shaped the community at that time, with the forceful
promotion of well-strained rice in 1970, and in 1972 in Wat Bote and Kao Taut
community. Based on the observation and experiences of the head man of Kao Tuad
Sub-district, at that time, the authority encouraged villagers in the area to grow rice
twice a year. The plan was implemented by the scores of cascades of authorities. The
sheriff, the head of the villagers and communities, had been brought to learn the
successful double-crop field cases in the Central Region of Thailand, Chainart and

Ayudhaya Province. Although the effort did not elicit proper response from the
villagers, the relentless government attempt remained proactive, through the income
distribution project by the Ex-Prime Minister Kukrit Pramoj in 1975. With the
restructured irrigation ditch, the fields adjacent to the ditch began to be plowed twice a
year. In addition, the new roads which connected themselves to the main road heading
to Muang Nakhonsrithammarat District and Pak Phanang were introduced. The new
route has somehow facilitated the link between Wat Bote and Pak Phanang. Around
1976-1977, the irrigation ditches were more potent, and increased in the line of duty of
well-equipped Office of Accelerated Rural Development. The ensuing dredging and
expansion of the ditches took place again in 2001, broadening the width from 5 meters
to 15 meters. The development had many repercussions. According to the respondent-
farmers, the plowing of double field rice was in fashion. The alteration to Chainart rice
strain and Chaiburi rice Strain, with shorter four-month cycle and the change from
scattering the rice grain on the parched field to the scattering the grain on the soaking
surface were undergone. Rice growing was more dependent on irrigation than rain-
based agriculture in the past.
The major change of Pak Phanang which hit Wat Bote Community was the
favorable increase in Black Tiger Shrimp farming. Even though Wat Bote area was not
transformed into Black Tiger Shrimp hatcheries which were widespread in Pak Phanang
at that time, the business success was the sheer aspiration for Wat Bote community to
invest in this line of business. There was the emigration approximately in 1997 from
Wat Bote to look for the proper area to rent the land and raise the shrimp. When the
blossom of the business withered together with the advent of Pak Phanang Development
Project initiated by His Majesty the King Bhumipol, Wat Bote community has
undergone the direct and indirect changes of which the outcomes remain conspicuous
nowadays.
The straightforward alterations were the promotion of joint gardening around 2002,
the survey for additional irrigation ditch expansion, and the two new three-kilometer
irrigation ditch creation. The structure was designed to streamline the capacity of
irrigating the land, and accommodating double-field rice crop in the area due to shorter
water-pumping distance. An occupational compensation program was introduced to the
people who were affected by the new allocation of irrigation area in Pak Panang
District. Oil palm plantation was introduced to the farmers in Pak Phanang. The farmers
were so eager to engage in oil palm plantation because of their perception that it is not
only a lucrative livelihood enterprise because of the market demand for alternative
energy, but would also secure their future because of the government’s support.
Occupational Alternatives of Farmers at Ban Wat Bote Village
The economic and social upheaval played an important role in creating occupational
alternatives in Wat Bote Village. At present, several agrarian folks in the village have
become the landlords, and many villagers remained working on their lands. Some
households pay attention to the oil palm plantation, while other families engaged in
gardening. The farmers’ choice of economic enterprise depends largely on the economic
and social conditions.

Thailand
The account of changes in each household unit was brought about by the macro
social and economic variation, as well as the development policy over long period of
time. The investment path of each family varies depending on the social and economic
factors and opportunities.
The promising black tiger shrimp farming regained its situation in conformity with
the world market and world economic momentum. People in Wat Bote community
grabbed the opportunity to invest in shrimp farming. However, the economic
vulnerability put the shrimp business in desperate plight. Many farmers had so much
loss in shrimp industry, which forced them to engage again in rice production.
Rice growing has been the most stable livelihood for well-off families until Pak
Phanang area was preceded tremendously according to the serious development plan.
Land management and occupation promotion has been launched. Wat Bote was
supposed to embrace the joint gardening as a alternative occupation.
Furthermore, the program has assisted people who were not living within the
proximity of the irrigation area to grow oil palm. During the initial stages of information
dissemination and promotion, the public was not enthusiastic about the program.
However, in 2007-2008, during the period of oil crises, the world market was searching
for alternative sources of fuel, and one of which is oil palm. This triggered the
community members in Wat Bote to engage in oil palm plantation. Some community
members have also been earning from gardening.
There have been a variety of occupations in Pak Phanang such as shrimp farming,
oil palm plantation, and gardening. In order to illustrate the condition and the reason
behind the decisions to engage in such livelihood enterprises, the study exemplifies the
economic form into five categories as follows;
Rice growing-based families
The rice growing-based families are divided into two categories. The first category
involved the ex-farmers who, currently turned-out as the landlords. For instance, Uncle
70-year-old Arun Sensornsung who is now a landlord, used to own only three Rai. Now,
he owns a 50 Rai-land. He is the perfect exemplar of the rice growing history. He has
gone through all the developments and stages of field work such as labor-intensive,
cattle-intensive, single-field crop. However, his family income sufficed his children’s
education. After graduation, his children worked in city, and nobody from the next
generation was able to till the land. He settled the lease deal with his relatives and
neighbors. The other category is the real proletarian farmers who own no title, or else
own too few plots of land, which is insufficient to earn their living. Therefore, they
become the land lessees of the first farmer category.

Rice growing, shrimp raising, and oil palm planting-based families
A number of farmers in Pak Phanang have adopted their economic livelihood which
was hinged on the central administration development direction over time. The policies
had an additional ramification. By way of illustration, scores of families were driven out
of the community to look for the proper land for shrimp raising. This is the case of Na
Sitt and Pa Pinn’s family. All of them entered into shrimp business, but they ultimately
operated at loss. They resumed to rice growing with the financial support from their
relatives--his elder brother in case of Na Sitt, and her daughter in case of Pa Pinn.
Because oil palm plantation is still a lucrative economic enterprise at present, both
families are still engaged in this enterprise
Rice growing and oil palm planting-based families
The far reaching implication of the category is the extensive oil palm plantation in
2007-2008 in response to the market demand for alternative sources of fuel. In addition,
there were many information dissemination activities of the public and private
organizations about the establishment of oil palm plantation specially in Pak Phanang.
As such, the farmers have begun to focus on oil palm plantation.
The family’s decision on the choice of livelihood/economic enterprise is based on

two chief conditions: the opportunity, and the return on investment.
Decision based on opportunity
Because of the widespread information dissemination and promotion about the

establishment of oil palm plantation, the families have decided to grab the economic
opportunities that this livelihood enterprise would bring, although the investment in the
long lifespan crop might be an added financial burden. According to the respondent-
farmers, their families have already borne the financial obligations such as the daily
expenses and their children’s tuition fees. They are in desperate need of shortening the
operating cycle of backyard garden, or taking out a land lease. Hence, engaging in oil
palm plantation.
Decision based on return on investment
Over the long period of time, the family’s economic decision stereotype has
diversified their investment and has adjusted itself to the changing circumstances with
the main objective of striking the balance of expenditure and cash earning proceeds. In
the short term, they tend to utilize the archaic occupation to back up. Some have to
produce Thai vermicelli. Others have to grow vegetable to shore up their children’s
educational opportunity. The main target of oil palm plantation is to ensure a constant
income source of the family subsequent to their children’s graduation. The procedure of
putting money into the palm plantation shared the same implementation as the family’s
decisions based on opportunity; keeping the original rice growing supplemented by oil
palm plantation. (based on an interview with Pa Kheaw ,Lung Mong and Na Yom).

Thailand
The author perceived that the prototype of investment in palm plantation differed
from the way which gut feeling played its part in the shrimp business. The farmers
seemed to learn not to put all the eggs in one basket, and they diversified by adhering to
the secure means of living, rice growing or selecting the proper kick-off time, free of
short-term commitment. On the other hand, many households are inclined to engage in
dual income track rather than the complete reverse. The past breakdown ushered in the
conservative attitude towards both short term and long term investment.
Rice growing and trade-based families
Unlike the above-mentioned category, the shape and form of this category is sparse
in the area because of the dependence on a large amount of working capital and a great
deal of management maneuver. Pa Nee is a successful case in this point. Her family has
seized all the available opportunities of generating income. The sources of income
seemed to find their own way to Pa Nee’s pocket. To illustrate, she purchased a tractor
for plowing the field and digging ditches in palm plantation. Moreover, she makes use
of her tractor by rendering ground opening services. Furthermore, on weekday she
trades commodity, and on weekend she moves to the market fair. This case corresponds
to the investment concept for accumulating wealth, no longer for sufficiency. (based on
an interview with Pa Nee).
From rice growing to industrial crop/garden plants
After examining the alternatives, the households that converted to growing

industrial crop or garden plants went through a dearth of labor, but they still have a glut
of funding. Therefore, their investment plan was amended by investing in the non-labor
intensive activities and the long life cycle crop. Lung Wai family is a case in this point.
He converted his plots of land into pine and palm plantation. Lung Klong family is
another example. He made a change in his land use and grew garden plants so as to
boost daily income and to be more financially independent. They regarded the new
ventures as a secured breadwinner for the future, since the output benefit will have been
reaped for a long time (based on an interview with Lung Wai and Lung Klong)
Conclusion
The cases that were discussed above represent an overall image in terms of the
decision making of the farmers in Wat Bote in adopting an alternative economic
enterprise Among the factors that help them come up with their decisions are as follows:
External Factors: Capitalism, Government policy, and the development and

implementation have left a mark in Wat Bote community and Pak Phanang District. The
promotions of avant-garde agricultural technology, the introduction of Black Tiger
Shrimp business, and the campaign of oil palm plantation are all subject to the broad
context of the world economic market which inextricably entangled the national policy
setting procedures. Notwithstanding, those policies have been separately perceived in
different areas. All the discrepancies arise from the varying social and family factors.

Internal Factors: Through the study, the alternative creation and the family
adaptation are demonstrated below:
Family Well-Being Concept. The writer has discerned that the main criteria of making
any adaptation to the new economic environment was the consideration of well-being
both in the present and in the future.
Family Capital Funding Constraint. In the agrarian family, the writer has discovered
that the most essential production factors are labor, land, and capital, which are the
decisive factors in selecting the economic alternatives and opportunity, including the
following adaptation. The households have also responded to the extent of three prime
production factors in variation.
Conceptual Culture and the Traditional Conception of Land. People in Wat Bote
community have no conception of selling their inheritance land on account of the well-
being reasons. Accordingly, the occupancy still exists until the transfer of ownership as
a legacy to their offspring. They will sell their arable land provided that the exchange
happens in the relatives’ circles. Hardly do they put their land on sale for speculation
purpose. As for the retired farmers, they preserve their values by taking out a lease with
their relatives and neighbors or settling Hwa4, an act of pooling their production factors
in growing rice together with their relatives and neighbors. Even though the owners are
strapped for cash, they still apply Hra5, a nuance of mortgage, or take out a mortgage
with the financial institute rather than selling the land. The mortgage taken out with a
financial intermediary is at stake if they are not able to pay off the mortgage on due,
while Hra system allows the borrowers to fix the payment date according to their own
expectation. In addition, land is considered the principal assets, used as collateral for
supplementary money borrowing.
Labor. The number of labor and the domestic capacity are the crucial determinants of
engaging in a particular economic or livelihood enterprise. Many households in Wat
Bote community have made a different pattern of investing to the non labor-intensive
activities, an example of which is, the switch from rice growing to garden planting. The
overall trend for labor-intensive activities has constantly declined due to the shift to
4
“Hwa”, Rice Growing Partnership, when the labor-intensive activities are not the landlords’
desire, the landlords therefore call for their partners. The partners are supposed to labor for rice
grain while the other production factor cost deal will be settled between the landlord and the
partner. Both sides must be equally responsible for the incurred cost such as rice grain cost,
fertilizer cost, pesticide cost, and other wages during the season; for example, the additional
wage for scattering rice grains, the harvesting motor expense. Once the partners reap the
produce, it will be equally divided into two parts for each side.
5
“Hra”, Nuanced Form of Mortgage, Hra has the similar form of mortgage; however, it is
slightly different in details. The land owner would notify the extent of the land designated in
the Hra program, including the amount of proceeds they want, and the length of contract. After
that, those intrigued would agree a contract with cash settled down. When the deal is due, the
land owner is supposed to pay back the money in full amount which was settled the amount
earlier. The mortgagee will be abolished any rights over the land.

Thailand
elder population. Moreover, there is no supply of labor from the youth because they
have been off the area for their studies.
Social Interaction. Social relationship is the domestic internal factor which affects the
solution of capital constraint, for example, the solution to title ownership problem by
cheaply leasing land, the answer to a shortage of capital fund by interest-free and
infinite-time-frame borrowing money from relatives. Social relationship is also helpful
in creating occupational skill which leads to the ability to enhance occupational
alternatives and the capability of crafting various means of living as illustrated in
families in Wat Bote area.
Peasants in Seasons
The study indicates that peasants in Wat Bote community have invested in various
projects which are in harmony with those living in the Pak Phanang District. Their lives
have been tied firmly with the overpowering capitalism and concentrated developments
initiated by the central administration from rice production for trade and export, Shrimp
Farming, to oil palm plantation. The entire programs launched were brought to people’s
attention. Nonetheless, the adoption and adaptation were at the community’s discretion.
Therefore, there are a variety of economic activities in the area such as purely Rice
Growing/purely Oil Palm Plantation, Rice growing and Trade–Based Rice Growing
and industrial crops/garden plants.
The focus of peasants’ economic behavior in the study is in conformity with those
rational peasants in Popkin’s study (1979). All households in this study have elaborately
conducted the investment plan and figured out the cost incurred. The plan is neatly
staged into two phases, short-term and long-term investment. The short-term and long-
term investment schemes are inextricably intertwined with the secure future and well-
being. They have expressed a characteristic of farmers who have rational choices. The
most pervasive long-term investment found in every family is the education investment
for their progeny. The perfect archetype is that many households struggle to reap the
profit from the long-term investment plan to support their descendants’ educational
future. The community value is tremendously based on education advantage. They have
the notion that higher education will assist in mobilizing their children to the higher
social caste. The study indicates that every family succeeds in this point more or less up
to their offspring’s intelligence.
Furthermore, the marketing trend plays its roles in agrarian family decision. The
study discloses that the family investment is ignited by the marketing trend both at the
national and worldwide scale. The shift to oil palm plantation due to popular demand is
the classic example. To put it bluntly, the community seems to grab the economic
opportunities kicked off by the public and private sector. The economic utilities are
subject to each domestic provision.
The highly individual condition and factor have the enormous impact on the
adaptation to the capital fund, land, labor, and social interaction. From the study, the
social nexus is the encouraging factor contributing to the adaptive household ability to

create various economic alternatives, seize the economic opportunity in the capital
world.
Unlike the part-time farmer (Maneemai Tongyu. 2003; Yos Santasombat. 2003) in
the North and in the North Eastern Region of Thailand and the worker-peasant (Kearney
1996) case in South America, there is no chip-off-the-old-block situation in the parent
generation in the agrarian family in the area through the field work observation and
information. In Wat Bote community, no matter how wealthy or underprivileged the
parental generation is, they adapt themselves in the wing of agricultural arena.
However, the puberty mobilizes themselves to the upper societal status by high
education. The velocity of mobilization is strongly dependent on the intelligence and the
struggle for educational opportunity of their children.
There are some similarities in the family issues in the Maneemai’s study (2003) and
Chayanov conceptual framework (1966) reflecting in the agrarian families in Wat Bote
community. Family is the important resource allocation unit. The agrarian status is
predominantly determined by the demographic factor. The way that one family would
thrive or plunge is firmly contingent on the demographic element at the point of time;
for instance, from the stage of recent marriage, the stage of child growth, to the stage of
field employment. It has nothing to do with the scatter of social class according to
Marxism. (Maneemai 2003: p.30). Although peasants have been lured into the world of
capitalism, trade capital and financial capital have dominated over the area of
production in agriculture. Farmers’ activities are still labor-intensive and under the law
of balance in employment and consumption. (Chayanov 1966:257 ,referral in Maneemai
2003: p.31)
Maneemai’s study indicated that the family was the prime economic unit in the
rural community. Emigration to the cities and enrolling in a school is at the expense of
parental sacrifice. (Maneemai 2003: p.192). It was not until the graduation that their
parents’ obligation would be lessened and the discretionary income would be
accumulated increasingly, which positively affected the family’s financial position.
The study is conducive to preliminary change prediction in Wat Bote community

and agrarian families in Pak Phanang District. There will be a drop in rice growing in
accordance with the increasing age of the farmers. The advent of aging society in the
upcountry will blur the demarcation between the urban and suburban community. Lives
in the rural community will hinge on their children’s remuneration more than ever. The
more spacious area used for rice paddy field will be altered to the plantation for new
industrial crop under the popular demand, but the main decision criteria will be the
capacity and the administration. From the point of the current situation, the writer
conceives that provided that the oil palm remain its attraction to the market, there will
be the widespread cultivation of oil palm which will be congruent with the loosen
capacity. As for the educated members will mobilize to the upper social class and
become the bourgeoisies in city.

Thailand
References
Popkin, Samuel L. 1979. The Rational Peasant: The Political Economy of Rural Society in
Vietnam. Berkeley: University of California Press.
Kearney, Michael. 1996. Re-conceptualizing the Peasantry. Colorado: Westview Press.
[In Thai Language]
Jongpit Sirirat, et al. 1991. Karn Pleanplang Tang Setthakij Lae Sangkom Nai Pak Tai
Ponkratobtor Karnpatthana Sappayakornmanut Nai Todsawatna (2534-2543).[Economic and
social change in Southern Thailand: Impact on Human Resource Development on the next
decade (2534-2543 B.C.)]. Bangkok: Human Resource Institute, Thammasat University.
Kajornjop Kusumawalee. 2004. Conflicts between states, Capitalism and Local Community: A
Case Study of Natural Resources Management at Kokpag sub-district and Thasome sub-
district, Hua Sai district, Nakornsrithammarat province. Bangkok: The Thailand Research
Fund.
Koh Tuad Sub-district. 2008. Phan mae bot chumchon radub thambon (tham naw prarachadamri
setthakit porpeng) [Community Master plan (along the Sufficiency Economy)]. Document.
Koh Tuad Sub-district Administration Organization. 2008. Phan patthana kankaset radab
thambon pee 2551-2553 Tham bon Koh tuad Ampher Pak Phanang Jangwat Nakhorn Si
Thammarat. [Agricultural Development Plan 2008-2010 of Koh Tuad Sub-district, Pak
Phanang District, Nakhorn Si Thammarat Province]. Document.
Maneemai Tongyu. 2003. Karn Pleanplaang Kong Setthakij Chawna Esan [Economic Change of
Peasant in Northeastern Thailand]. Bangkok: Sarngson.
National Archives Division, Fine Arts Department. Office Government Document No. 5
[มร.5ม/86] Royal hand report on trip to west coast cities in June and July, 124th Rattanakosin
era.
Phota Kanklew. 1985. Khan plean plang thang setthakij lae sangkhom khong chumchon pak pha
nang 2439 - 2525 BC [The socio-economic changes in Pak-phanang community 1896-1982].
Thesis, Master Degree (History), Faculty of Arts, Chulalongkorn University.
The Royal Development Projects Board. 2005. Plig feen keansu pan din thong “Pak Panang”
rabop buranakarn [Integration System “Pak Phanang”: Recover to the golden land].
Bangkok: Airborn Print.
Yos Santasombat. 2003. Dynamic and Flexibility of Peasant Community. Chiang Mai: The
Study Center of Bio-Diversity and Indigenous Knowledge for Sustainable Development,
Department of Sociology and Anthropology, Faculty of Social Science. Chiang Mai
University.

Interview
An interview with Lung Arun Sensornsung [Uncle Arun Sensornsung], 12 January 2009
An interview with Lung Klong [Uncle Klong], 27 December 2008
An interview with Lung Wai (Sawai Tongdeh) [Uncle Wai], 23 January 2009
An interview with Mr. Bunyat Rodkaew, Village Chief of Ban Wat Bote, 23 April 2008, 16
January 2009, 12 March 2009
An interview with Mr. Supoj Maidung, Ex-sub-district Chief of Koh Tuad, 22 April 2008, 19
January 2010, 23 February 2010
An interview with Na Leum [Aunt Leum], 21 February 2009
An interview with Na Sitt [Uncle Sitt] and Ann, 23 February 2009
An interview with Na Yom (Niyom Ruangpeng) [Aunt Yom], 29 December 2008
An interview with Pa Kheaw [Aunt Kheaw] and Lung Mong [Uncle Mong], 15 December 2008,
23 January 2009, 21 February 2009
An interview with Pa Montha Tamthong [Aunt Montha Tamthong], 11 January 2009
An interview with Pa Nee [Aunt Nee], 2 February 2009
An interview with Pa Pinn [Aunt Pinn], 28 December 2008
An interview with Porn, 17 January 2009

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ASIAN RURAL SOCIOLOGY IV

“The Multidimensionality of Economy,

Asian Rural Sociology Association

“The Multidimensionality of Economy, Energy and

Published by the College of Agriculture

Asian Rural Sociology Association (ARSA)

Cover photo: A village in Imugan, Sta. Fe, Nueva Vizcaya, Philippines

The Conference was organized into plenary/keynote presentation, and

Socioeconomic Reality of Agricultural/Rural Development and Rural

The DBP-Forest Program: Responding to the Call for Environmental

Climate Change, Energy, and Rural Livelihoods: Planning for Resilience 24

Agribusiness and Public Policies: Navigating the Dramatic Changes in

GENDER ROLES IN RURAL DEVELOPMENT

Social Roles of the Indigenous Women in Occidental Mindoro,

The Hanunuo Women’s Perspectives of Environmental Protection and

Work and Life Balance of Female Farmers and Workers in Japan:

The Role of Women in Environmental Conservation in Sorsogon

Management Practices and Needs of Women Farmers in Occidental

Social Network: An Effective Communication for Stopping Teenage

Livelihood of Elderly Citizens and Trends for Increasing Suicides in

SOCIOCULTURAL AND POLICY ISSUES ON RURAL DEVELOPMENT

Sociocultural Factors Influencing Fishers’ Participation in Coastal

Poverty and Phenomenology of Rights in Southeast Asia:

Social Assistance Policy for Family Members of Suicide:

Primary Education and Economic Development in Nepalese Rural

Social Relationships Formed Through Maize Cultivation in a Mien

A Comparative Analysis of Volunteer Tourism in Two Conservation

The Social Insecurity in Mae La Temporary Shelter, Thasongyang

TRADE, INDUSTRY AND TECHNOLOGY DEVELOPMENT

Changes of Silk Production and Trade Structure in China after the

Market Structure and Procurement System of Shrimp Export Industry in

Changing Meanings of Boat Racing in Nan Province and their

Influence of Fishing Gears on the Excessive Use of Fishing Grounds in

Developing Marine Fishery Reserves and Sanctuaries for Coastal

Policy Recommendations for Agricultural Drought: Case Study from

From Rice Economy to Oil Palm Plantation: Occupational Alternatives

SOCIAL CHANGE AND TRANSFORMATION I

Implications of Social Change in the Cil, A Local Group in Coho,

From Men of Maize to Men of Coffee: Integrating the Mayan

Transformation of Life and Culture in North Tohoku Region, Japan as

Transformation of Life and Culture in North Tohoku Region, Japan as

Transformation of Life and Culture in North Tohoku Region, Japan as

Transformation of Life and Culture in North Tohoku Region, Japan as

Reforming China’s State-Owned Farms: State Farms in Agrarian

Community-Level Natural Resources Management: Towards Food

SOCIAL CHANGE AND TRANSFORMATION

Scenario Analysis of Generational Change of Farmland Managers in a

The Life After a Great Transformation: Social Capital and Community

Trends and Regional Conditions in Irrigation and Drainage Canal

Ways of Life of Khmer Diaspora Fishermen in Thailand 422

Assessing the Potable Water Consumption in the Selected Households

Status and Challenges of Building the Capacity of Young Women

Reducing Poverty of Cocoa Smallholders in Desa Compong and Desa

Socioeconomic Reality of Agricultural/Rural Development

Yoshio Kawamura, PhD

Keywords: rural development, globalizing economy, environment, rural sociologists

September 2010 y Legazpi City, Philippines 1

Industrial Differentiation in Coping with Globalization: Mobility of

Input Material Manufacture

Traded Commodity Non-traded Commodity

Figure 1. Type of industry by input-output mobility.

2 4th Asian Rural Sociology Association (ARSA) International Conference

It is important to note that most industries have a significant positive correlation