See discussions, stats, and author profiles for this publication at: https://www.researchgate.

net/publication/322488375

Rubber cultivation and livelihood - a stakeholder analysis in Xishuangbanna,

Southwest China

Book · March 2014

DOI: 10.18452/13577

CITATIONS READS

11 15,664

5 authors, including:

Thomas Aenis Jue Wang

Humboldt-Universität zu Berlin Chengdu University of Technology
60 PUBLICATIONS   246 CITATIONS    37 PUBLICATIONS   239 CITATIONS   

SEE PROFILE SEE PROFILE

Some of the authors of this publication are also working on these related projects:

Rural Society, Economy and Natural Resources -Integrating Competence in Rural Development” SERIDAR View project

Sustainable Rubber Cultivaiton in the Mekong River Delta (SURUMER) View project

All content following this page was uploaded by Jue Wang on 14 January 2018.

The user has requested enhancement of the downloaded file.

 Thomas AENIS, Susanne HOFMANN-SOUKI, Uwe Jens NAGEL,
TANG Lixia and WANG Jue (Eds.)

Rubber Cultivation and Livelihood -

A Stakeholder Analysis in Xishuangbanna,
Southwest China
With Contributions by:
Sandra I. CRUZ MORENO, Joseph CUTLER, Cornelia KINKEL, Laura KUEBKE, Mark
LARSON, Georg LIEBIG, James LONGANECKER, Friederike MARTIN, Kirstin
OHLENDORF, Rebecka RIDDER, Karina RODRIGUEZ JARDINES and SIM Lay Mei

March 2014
Imprint
Editors

Thomas Aenis, Susanne Hofmann-Souki, Uwe Jens Nagel, Tang Lixia and Wang Jue

Authors

Sandra I. Cruz Moreno, Joseph Cutler, Cornelia Kinkel, Laura Kuebke, Mark Larson, Georg
Liebig, James Longanecker, Friederike Martin, Kirstin Ohlendorf, Rebecka Ridder, Karina
Rodriguez Jardines,Sim Lay Mei

Pictures:

Georg Liebig (Cover Page. pp 31, 38, 43),

Karina Rodriguez (pp 5, 23, 33, 34, 49, 55, 64, 71, 74, 79, 88, 91, 94, 97, 99, 107)
Sandra Cruz (pp 29, 42, 80, 103),
Mark Larson (p 40),
Cornelia Kinkel (pp 47, 63 ),
Laura Kübke (p 57 ),
Sim Lay Mei (p 101 )

Set
Rebecka Ridder & Thomas Aenis

©2014, Humboldt-Universität zu Berlin

Faculty of Agriculture and Horticulture
Unter den Linden 6
Germany – 10099 Berlin
www.agrar.hu-berlin.de

Das diesem Bericht zugrunde liegende Projekt

„SURUMER –Nachhaltiger Kautschukanbau in der Mekong-Region: Entwicklung eines
integrativen Landnutzungskonzepts in der chinesischen Provinz Yunnan“ wurde mit Mitteln
des Bundesministeriums für Bildung und Forschung unter dem Kennzeichen 01 LL 0919
gefördert. Die Verantwortung für den Inhalt liegt bei den Autoren.
 Thomas AENIS, Susanne HOFMANN-SOUKI, Uwe Jens NAGEL,
TANG Lixia and WANG Jue (Eds.)

Rubber Cultivation and Livelihood -

A Stakeholder Analysis in Xishuangbanna,
Southwest China.
With Contributions by:
Sandra I. CRUZ MORENO, Joseph CUTLER, Cornelia KINKEL, Laura KUEBKE, Mark
LARSON, Georg LIEBIG, James LONGANECKER, Friederike MARTIN, Kirstin
OHLENDORF, Rebecka RIDDER, Karina RODRIGUEZ JARDINES and SIM Lay Mei

March 2014
Content
Content ..............................................................................................................................................I 

Abbreviations ................................................................................................................................. IV 

Pictures............................................................................................................................................ V 

Tables ............................................................................................................................................. VI 

Figures ........................................................................................................................................... VII

1  Introduction ................................................................................................................................. 1 
1.1  Problem Situation................................................................................................................... 1 
1.2  Objectives ............................................................................................................................... 2

2  Theoretical Framework ............................................................................................................... 5 

2.1  Sustainable Rubber Cultivation ............................................................................................. 5 
2.2  Stakeholder and Stakeholder Analysis................................................................................... 7 
2.2.1  Definition and meaning of Stakeholder ............................................................................ 7 
2.2.2  Definition of Stakeholder Analysis .................................................................................. 10 
2.2.3  Types of Stakeholder Analysis ......................................................................................... 12 
2.2.4  Aspects to be analyzed .................................................................................................... 14 
2.3  Communication Networks ................................................................................................... 18 
2.3.1  Definition of a Network ................................................................................................... 18 
2.3.2  Components of Communication Networks ................................................................... 18 
2.3.3  Types of Networks in Rural Development ..................................................................... 20

3  Methodology ............................................................................................................................. 23 

3.1  Research Project ................................................................................................................... 23 
3.2  General Approach................................................................................................................. 24 
3.2.1  Problem-Based Learning ................................................................................................. 24 
3.2.2  Project design .................................................................................................................. 25 
3.2.3  Survey Methods ...............................................................................................................29 
3.3  Limits of the Methodology ................................................................................................... 34

4  Introduction to the Study Region ............................................................................................. 36 

4.1  Geography and Environment ............................................................................................... 36 
4.2  Social Characteristics ........................................................................................................... 38 
4.3  Village description ................................................................................................................ 39

I
5  Rubber cultivation in Xishuangbanna...................................................................................... 44 
5.1  Land Use policies before 1980’s ......................................................................................... 44 
5.2  Implementation of the Household Responsibility System .................................................45 
5.3  History of Rubber cultivation in the region of Xishuangbanna ......................................... 46 
5.4  Land Use in the NRWNNR.................................................................................................. 48 
5.4.1  Historical Overview of Land Use .................................................................................... 48 
5.4.2  Land Use Regulations .................................................................................................... 50 
5.4.3  Property rights .................................................................................................................. 51 
5.4.4  Consequences of NRWNNR Regulations on Rubber cultivation .................................. 52 
5.5  Rubber cultivation in the villages within the NRWNNR ..................................................... 52 
5.5.1  Kemu................................................................................................................................. 53 
5.5.2  ChaChang .........................................................................................................................54 
5.5.3  Huilao ...............................................................................................................................54 
5.5.4  BanQianDi ........................................................................................................................ 55 
5.5.5  ManDian ........................................................................................................................... 55 
5.5.6  Pabin ................................................................................................................................ 56 
5.5.7  Naban ............................................................................................................................... 57 
5.5.8  ZhongZhiChang ...............................................................................................................58 
5.6  Income Alternatives to Rubber in the NRWNNR ................................................................58 
5.6.1  Definition of terms .......................................................................................................... 59 
5.6.2  Alternatives in the NRWNNR ......................................................................................... 59 
5.6.3  Field research findings .................................................................................................... 59 
5.6.4  Localized Cases of Alternatives for Income ................................................................... 62 

6  Stakeholders and their role in rubber cultivation in NRWNNR villages ................................ 68 
6.1  Rubber farmers .................................................................................................................... 68 
6.2  Rubber farmers leasing land ............................................................................................... 72 
6.3  Village Heads ........................................................................................................................ 73 
6.4  NRWNNR Officials ............................................................................................................... 75 
6.5  Hired Workers ...................................................................................................................... 76 
6.6  Other Stakeholders ...............................................................................................................77 

7  Stakeholders’ Problems and Problem Perception ................................................................... 79 

7.1  Ecological Problems of rubber cultivation in the NRWNNR ............................................. 79 
7.1.1  Diseases and Pests ......................................................................................................... 79 
7.1.2  Weather Events ................................................................................................................ 81 
7.1.3  Changes in microclimate due to rubber production ..................................................... 82 
7.2  Economic Problems............................................................................................................. 82 
7.2.1  Market Dependency and Price Instability .......................................................................83 
7.2.2  Economic vulnerability .....................................................................................................85 
7.2.3  Economic Inhomogeneity ............................................................................................... 86 
7.2.4  Changing Marketing Patterns ......................................................................................... 87 
7.2.5  Land Leasing and Renting .............................................................................................. 87 

II
7.3  Social Problems ....................................................................................................................89 
7.3.1  Low Level of Cooperation ................................................................................................89 
7.3.2  Leisure Time ................................................................................................................... 90 
7.3.3  Changing Lifestyles ......................................................................................................... 90 

8  Stakeholders’ interests and attitudes towards rubber cultivation ..........................................92 

8.1  General interests and ambitions of the villagers ................................................................92 
8.2  Interests regarding rubber cultivation ................................................................................ 96 

9  Communication Networks in NRWNNR villages ................................................................... 99 

9.1  Types of Rural, Local Networks .......................................................................................... 99 
9.1.1  Social Networks .............................................................................................................. 99 
9.1.2  Institutional Networks ...................................................................................................100 
9.1.3  Value Chains .................................................................................................................. 101 
9.2  Dissemination of information related to rubber cultivation ............................................ 102 
9.2.1  Adoption of Rubber and Changes in Cultivation ......................................................... 102 
9.3  Factors influencing communication.................................................................................. 105 
9.3.1  Environmental Conditions ............................................................................................ 105 
9.3.2  Communication Tools ................................................................................................... 106 
9.3.3  Social Networks ............................................................................................................. 108 
9.3.4  Formal Networks ........................................................................................................... 109 

10 Conclusions ..............................................................................................................................112 

11  Literature ..................................................................................................................................114 

Annex............................................................................................................................................ 120 
Interview Guide for Rubber Farmers........................................................................................... 120 
Interview Guide for Hired Workers ............................................................................................. 123 
Interview Guide for Village Authorities ....................................................................................... 124 
Interview Guide for NRWNNR Authorities ................................................................................. 126 
Code List ...................................................................................................................................... 128 

III
Abbreviations
ADB Asian Development Bank
AKIS Agricultural Knowledge and Information Systems
CAU China Agricultural University
DFID Department for International Development
FAO Food and Agricultural Organization
FZID Center for Research on Innovation and Services
GIZ Gesellschaft für Internationale Zusammenarbeit
HRS Household Responsibility System
HU Humboldt-Universität zu Berlin
ODI Overseas Development Institute
NRWNNR Naban River Watershed National Natural Reserve
NPA Natural Protected Areas
NRM Natural Resource Management
NTFPs Non Timber Forest Products
PBL Problem-based learning
PRA Participatory Rural Appraisal
RAAKS Rapid Appraisal of Agricultural Knowledge Systems
RMB RenMinBi
RRA Rapid Rural Appraisal
R&D Research and Development
SA Stakeholder Analysis
SALB South American Leaf Blight
SMS Short Message Service
TOT Transfer of Technology
UNEP United Nations Environment Program
UNCTAD United Nations Conference on Trade and Development
UNESCO United Nations Educational, Scientific and Cultural Organization
XTBG Xishuangbanna Tropical Botanic Garden
YTPRI Yunnan Tropical Plant Research Institute

IV
Pictures
Picture 1: Rubber trees in Xishuangbanna ...................................................................................... 5
Picture 2: The research team ......................................................................................................... 23
Picture 3: Village mapping in Kemu village ..................................................................................29
Picture 4: Semi-structured interview conducted in BanQianDi village ....................................... 31
Picture 5: The first walks around the village in ManDian............................................................. 33
Picture 6: Preliminary Analysis during the field phase ................................................................. 34
Picture 7: Elderly couple in ZhongZhiChang ................................................................................ 38
Picture 8: House in Kemu Village ................................................................................................ 40
Picture 9: Buddhist temple in ManDian ....................................................................................... 42
Picture 10: ZhongZhiChang .......................................................................................................... 43
Picture 11: Rubber tree in Kemu village......................................................................................... 47
Picture 12: Landscape dominated by rubber tree plantations .................................................... 49
Picture 13: View from Huilao ......................................................................................................... 55
Picture 14: Pabin ............................................................................................................................ 57
Picture 15: Dendrobe plantation in Kemu village ......................................................................... 63
Picture 16: Banana plantation ...................................................................................................... 64
Picture 17: Rubber seedlings in Naban ......................................................................................... 71
Picture 18: Huilao........................................................................................................................... 74
Picture 19: Dragon fruit plantation on the way to Naban ............................................................ 79
Picture 20: Unknown rubber pest in rubber trees, MandDian ................................................... 80
Picture 21: Rubber cultivation on slopes....................................................................................... 88
Picture 22: Motorcycle in ManDian .............................................................................................. 91
Picture 23: Everyday life in Naban ................................................................................................ 94
Picture 24: Latex flow of a rubber tree in Huilao .......................................................................... 97
Picture 25: Gathering for leisure in Naban .................................................................................. 99
Picture 26: Network in BanQianDi.............................................................................................. 101
Picture 27: Livelihood Network in Kemu .................................................................................... 103
Picture 28: Farmer in ChaChang ................................................................................................. 107

V
Tables
Table 1: Comparison between PRA and RRA ............................................................................... 30
Table 2: Respondent's characteristics in the villages ...................................................................32
Table 3: Village descriptions ......................................................................................................... 39
Table 4: Overview of rubber cultivation in the villages ................................................................. 53
Table 5: Agricultural alternatives to rubber in the villages .......................................................... 60
Table 6: Non-Agricultural alternatives to rubber in the villages.................................................. 60
Table 7: New plants introduced to the NRWNNR ........................................................................61
Table 8: Reasons for renting land in different villages ................................................................ 65
Table 9: Overview of Key Stakeholder groups .............................................................................. 68
Table 10: Timeline weather events and Pests/Diseases .............................................................. 80
Table 11: Daily schedule of a rubber farmer during tapping season ........................................... 89
Table 12: Number of people stating the same general interest .................................................. 93
Table 13: Respondents stating the same interests and ambitions regarding rubber production
............................................................................................................................................... 96
Table 14: Informal and Formal Network Interactions................................................................ 100
Table 15: Comparison of different formats of special places..................................................... 106
Table 16: Official extension in Xishuangbanna ........................................................................... 110

VI
Figures
Figure 1: The expansion of rubber forest in Xishuangbanna from 1976-2003 .............................. 1
Figure 2: Classification of stakeholders according to the degree of affection by decision ........... 8
Figure 3: Power versus Interest Grids .............................................................................................9
Figure 4: Stakeholder influence ..................................................................................................... 10
Figure 5: Schematic representation of SA development .............................................................. 13
Figure 6: The diffusion process..................................................................................................... 16
Figure 7: Adopter Categorization on the basis of Innovativeness ............................................... 17
Figure 8: Objectives of Problem Based Learning ......................................................................... 24
Figure 9: Project design visualized according to the concept of the Project Spiral.................... 25
Figure 10: Example of a Problem Tree Analysis............................................................................ 27
Figure 11: Preliminary Plan of the Stakeholder Analysis............................................................... 28
Figure 12: The NRWNNR and its location within Xishuangbanna, Yunnan, and China ............ 37
Figure 13: Respondent's perceptions of the effects of rubber cultivation on their
economic and environmental situation ....................................................................... 50
Figure 14: Economic problems listed by the respondents (n=55) ............................................... 83
Figure 15: Monthly average free market rubber prices, January 2000 - April 2012 .....................84
Figure 16: Dry rubber price fluctuations in the NRWNNR (RMB/kg) .........................................84
Figure 17: The price adoption of natural rubber to the price trend in crude oil .......................... 85
Figure 18: Precise ambitions expressed by individual stakeholders ............................................ 95
Figure 19: Influences of rubber farmers in NRWNNR ................................................................ 113

VII
VIII
 

1 Introduction

1.1 Problem Situation

Over the last decades the demand for natural rubber has steadily increased. In addition to
Thailand and Malaysia, the main rubber suppliers are Vietnam, Laos, Cambodia and South
China. The rising demand and the profitability of rubber cultivation have led to a change in
the land use systems in the producing countries. Formerly diverse and natural landscapes
have been converted to monoculture production systems.
The land use system in Xishuangbanna has undergone a rapid transformation. Since the
introduction of natural rubber in the 1950s, the region has experienced large socio-economic
and ecological changes. Until the 1980s, rubber cultivation was strictly in the hands of the
socialist state farms. Nowadays, smallholder farmers hold a big share of the rubber produc-
tion in the NRWNNR, resulting in a rapid, regional, economic growth over the last decade.
Today, the NRWNNR is characterized by a social and economic heterogeneity. The wealth
gap is continuously growing. Disparities concerning the income situation in the upland and
lowland regions in the NRWNNR appear to be very high. While the lowland villages have
already been transformed into market oriented cash economies, most of the communities
above the rubber production line still live in subsistence. With the abandonment of tradition-
al crops the local farmers gave up their self-sufficiency (WEHNER 2011). The dependency on
rubber as an income source is steadily increasing.
The overall economic growth is accompanied by an ecological degradation. In former times
the region within and around the NRWNNR was a biodiversity hotspot. The increasing loss
of natural forests in recent years leads to a steadily decreasing level of biodiversity. From
1976 to 2003, the forest cover in Xishuangbanna has decreased by 14,000 ha per year, which
accounts for 50% of the total forest area, while the primary forest was reduced to 3.6% (Fig-
ure 1).

Figure 1: The expansion of rubber forest in Xishuangbanna from 1976-2003

Source: LI et al. 2007: p. 1739

One of the most important ecological impacts of rubber cultivation in the research area is the
decreasing water quantity, as well as quality. Rubber monocultures change the hydrological

1
systems within the target region, e.g. increased surface run-off, lower infiltration rates and an
overall decline in water quantity.
Besides reducing hydrological resources, the water quality in the research area is threatened
by the application of fertilizers and pesticides, as well as an increased accumulation of sedi-
ments in the river systems, due to the transformation of mountainous areas into rubber for-
ests (AHLHEIM et al. 2012).
According to SURUMER (2012a) the main ecological impacts of rubber cultivation in the
research area are:
• Changes in sustaining ecosystem services and functions, affecting both local water
balances and water quantities as well as the quality through the increased use of agro-
chemicals. Additionally, there are consequences regarding carbon dynamics, affecting
biological processes, soil fertility and hydrological functions on a broad level;
• The reduction of agro- and natural biodiversity of traditional land use systems, ac-
companied by the interference on pollinator services for relevant food crops;
• The higher vulnerability to climatic changes, pests, diseases and economic risks and
the increasing inability of a rapid adaptation.
Besides ecological and economic consequences, the expansion of rubber cultivation has a
high impact on social lifestyles of farmer households (TANG et al. 2010) and the knowledge
dissemination in the target region.
In respect to the environmental conditions, TANG (2013) found that many changes have oc-
curred over the last decade. Previously, limited contact with outsiders due to geographic con-
ditions was a limiting factor in knowledge dissemination. At that time many villagers had
never even been to Jinghong or Menghai. Poor transportation, a lack of electricity, and poor
television reception caused most information to spread internally within the villages. From
her discussions with village heads, it has been revealed that since roads, electricity and satel-
lite dishes have been implemented, distance as a key indicator of knowledge dissemination is
less of an issue.
In order to address existing problems in the research area, the present study aims to generate
a general, better understanding of the stakeholders and their perception of the problem situa-
tion.
Furthermore the study wants to determine existing and missing information about formal
communication networks, stakeholders’ interests, land use practices and alternatives to rub-
ber.

1.2 Objectives
This study is part of the sub-project 8 of SURUMER - Knowledge Transfer and Interaction
Management: Facilitation of Trans-disciplinary Process and Communication Measures. The
main objective of the sub-project is to develop practice-tested methodology that creates a
knowledge and information flow between the several stakeholders of the project, e.g. regional
decision makers, farmers, researchers, extension staff, etc. Sub project 8 assists in "… the
multi- inter- and transdisciplinary discourse in all project phases from mutual planning to partici-

2
 
patory monitoring and evaluation of the concept" (SURUMER 2012b). To guarantee an integra-
tion of every stakeholder on all levels a dialogue-oriented research process is required.
A stakeholder analysis will be conducted to properly identify the stakeholders in rubber culti-
vation from the NRWNNR and help understand all of the factors that surround rubber pro-
duction in these villagers’ lives. The purpose of this research is to provide information that
could be used in the future for further development of rubber research in the region. This
knowledge about the stakeholders’ interests, communications, and problems can be essential
for the SURUMER’s future communication and implementation phases. It provides the ba-
sis to identify potential conflict of goals and opportunities for encouraging stakeholder active
participation. Therefore, it can contribute to understanding and implementing a more sus-
tainable rubber cultivation system in the region.
The research will create a basic picture with a stakeholder analysis by focusing on communi-
cation networks, stakeholder problems, and interests of the stakeholder. A review of relevant
literature shows that the available information on these topics is limited.

• Methodology: The research methodology was introduced and developed with an appli-
cation to future stakeholder analyses and replication of this model for improved re-
search quality. It is meant to increase interdisciplinary teamwork and to achieve the
most feasible results while still remaining explicative.

• Stakeholder Analysis: The main objective of this chapter is to identify the most influ-
ential people regarding rubber farming in the NRWNNR Villages by analyzing power
and interests in the decision-making of cultivation methods; Elucidating the diversity
of actors who take part in rubber cultivation and whose perceptions and knowledge
have an effect on the cultivation patterns of rubber in the NRWNNR villages; Under-
standing of the multiple and sometimes contradictory interests of the people involved
and their agenda for the upcoming future.

• Land Use: Identifying Chinese Land Use Policies on a national and regional level and
their consequences on farming systems within the NRWNNR is one objective of this
section. An overview of the historical and current land use practices with a focus on
cultivation and expansion of rubber in Xishuangbanna. At the NRWNNR village level,
the focus is set on identifying socio-economic factors and regulations influencing cur-
rent land use practices. The main objective is to have a better understanding of farm-
ers’ perceptions on rubber cultivation through a holistic view of land use and land use
changes. Additionally, land tenure systems and land ownerships on the village level
will be clarified to facilitate identifying responsible stakeholders concerning land activ-
ities. These may later serve as contact persons.

• Alternatives: Economic activities of farmers aside from rubber were identified. Alter-
natives present a possible opportunity for farmers to reduce their dependence on a
single source of income based on rubber. They also provide opportunities to learn
about how the stakeholders obtain information and support from the agricultural
knowledge system. This information is vital in the implementation of future rubber
and non-rubber cultivation systems.

• Stakeholders’ Problems: The present research creates insight into the stakeholders’
problems and their perception towards existing economical, ecological, as well as so-
cial impacts when expanding rubber cultivation. The results of the section will con-

3
 tribute to the identification of the main ecological and socio-economic deficiencies in
the target region and therefore help further studies in their efforts to develop a stake-
holder-oriented action plan.

• Interests: Identification of stakeholders’ interests and ambitions will deepen the un-
derstanding of stakeholders’ needs and their motivation, both for growing rubber as
well as improving rubber cultivation. This is vital to properly understand the current
situation and possible future trends for the chosen villages and their inhabitants.

• Communication: In this section the dissemination of knowledge and communication

networks will be described in detail. The means by which farmers obtain and share in-
formation about rubber cultivation are identified. This includes the respective sources
of information.

4
 

2 Theoretical Framework
The purpose of this chapter is to provide a general overview about the theory in which the
study project has been focused. In the first part, the basic definitions of rubber, its genesis
and discoverers, cultivation, sustainability and sustainable development, and how the con-
cepts are interrelated within the agricultural process are presented. The second part will ad-
dress the issue of the stakeholder analysis’ main characteristics from its typology, origins,
and principles as well as the problems and interests involved in the analysis. Likewise, the
view of different authors is explained as are the methodologies developed in order to seek the
adequate selection and allocation of stakeholders. Finally, the third part will describe the
communication network definitions and component and the types of networks in rural de-
velopment. Additionally, the focus will include the attributes and characteristics of the local
networks.

2.1 Sustainable Rubber Cultivation

The Rubber Tree (Hevea brasiliensis) is a native tropical species of South America. The first
taxonomic identification and description was done by the French botanist Jean Baptiste
FUSÉE AUBLET in 1775, whose contribution led to make rubber be known in Europe. It had
already been identified in previous years in what was called the “Rubber boom” in South
America. (BARLOW 1997).

Picture 1: Rubber trees in Xishuangbanna

Rubber cultivation requires deep soils, and most of the trees are grown in relatively high
temperatures with continuous moisture throughout the year. However, temperatures of 18° C

5
would not affect the vegetative growth but reduces latex yield. During the vegetative devel-
opment stage, (first 6 years), fertilizers are needed when the biomass is building up
(VERHEYE 1997).
Rubber is cultivated around the world where climatic conditions are feasible for it. However,
more and more rubber is becoming adapted to temperate weather due to research and genet-
ic improvement of cultivation techniques. The goal is to expand its production to different
weather and altitude conditions. It is also called the “Para Rubber” of international com-
merce (PRABHAKARAN 2010). Nowadays, rubber is cultivated as far north as 25° North (Yun-
nan Highlands, China) and as far south as 21° South in Brazil (VERHEYE 1997).

Concepts of Sustainability
There are several definitions of sustainability, used in various disciplines: economics, ecolo-
gy, sociology, engineering and physics, among others. According to the ecological view, sus-
tainability is “the degree to which a process is able to be maintained while avoiding the long term
depletion of the natural resources” (GLAVIC and LUKMAN 2007)
In the context of environment and development, the term sustainability was formally used
for the first time by the BRUNDTLAND Commission in the United Nations in 1987. Under this
premise, the following meaning was used: "Sustainable development is development that meets
the needs of the present without compromising the ability of future generations to meet their own
needs." (ZACCAI 2012).
In order to understand sustainability in its broader sense, some authors have analyzed the
different contexts in which the term has been used. In LELÉ’s (1991) review of renewable re-
sources like forests or fisheries, he delimits sustainability as “the existence of the ecological con-
ditions to support human life at a specified level of well-being through future generations”.

Sustainable cultivation
Sustainable cultivation or sustainable agriculture, integrates three main goals: environmental
health, economic profitability, and social and economic equity. In this concept, the determi-
nant aspect of sustainability is the ability to adapt to future potential changes (VERHEYE 1997).

Alternatives to rubber cultivation

For a thorough exploration of alternatives in the context of this research project, the defini-
tion of alternative as “… available as another possibility or choice” (OXFORD DICTIONARY), again
proves too simplistic when applied to the possible alternatives and choices that can be con-
sidered in the tropical climate. It is necessary to highlight the importance of an alternative
being defined as a possibility or choice that ensures both ecological and economic viability as
well as sustainability of stakeholders. To qualify, the alternative must be able to support a
stakeholder’s livelihood should rubber cultivation no longer be a possible sustainable alterna-
tive.
For the purpose of this analysis, an alternative will be identified where both an economically
and ecologically viable source of income for families can be used to replace or supplement

6
 
rubber cultivation. That is, the stakeholder’s current living conditions and income would ei-
ther be supplemented or improved by this alternative when compared to the income current-
ly received through rubber cultivation and production.
Farmers in many rural regions of the world have experienced their quality of life improve
under income diversification through alternatives. According to CARLETTO et al. (2007: p. 173)
the importance of off farm income alternatives are “across the board” vital for rural inhabit-
ants income to advance and stabilize.
CARLETTO et al. (2007) also found that off-farm income alternatives are the most important
considerations in the role of providing supplementary or alternative incomes for rural fami-
lies. In the context of this study, examples of such alternatives would include the renting of
farmers land and additional income obtained from work that is not related to the rubber in-
dustry. Other studies have also determined that another important factor of sustainable in-
come lies in diversifying farming activities.
The FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS (FAO 2000) found that
agricultural diversification that targets niche markets such as honey or exotic plants, live-
stock, or agro-forestry were vital in farmers hedging against risks. Such niche markets can
provide possible alternative income source solutions for farmers whose income from rubber
production is not considered viable or sustainable. Consequently, the consideration of alter-
natives to rubber income seemed pertinent to this study and analysis of stakeholders.
Practically, the research must define factors that determine and define whether an alternative
could be considered as a viable competitor or supplement to the income that is currently pro-
vided by rubber cultivation and production or not. There was no minimum monetary
amount outlined to determine whether an alternative would qualify as an income alternative.
Instead, the determining factor depends on the individual stakeholder’s subjective assess-
ment of this alternatives’ profitability.

2.2 Stakeholder and Stakeholder Analysis

This chapter provides an insight about the main and basic concepts of stakeholders, origins,
typology and the concepts developed by several authors under diverse disciplines and thought
profiles.

2.2.1 Definition and meaning of Stakeholder

A first definition of stakeholder comprises the identification of individuals, groups or organi-
zations that can affect or are (positively or negatively) affected by a decision or action (Fig-
ure°2) (GRIMBLE 1998; BRYSON et al. 2011).
Policy planning and development programs are moving towards methods with a social actor
perspective to elucidate power relations and conflicting interests. Any public problem can
affect numerous and diverse people, groups, organizations, and sectors. The solution does
not depend entirely on one single actor, but rather on those who have partial power and
therefore responsibility to act (BRYSON et al. 2011).

7
Figure 2: Classification of stakeholders according to the degree of affection by decision

Source: REED et al. 2009: p.1938

Other important factors influencing stakeholder’s position towards a project are power and
interest. With this approach four clusters of stakeholders can be identified:
(i) Players: Those who have both an interest and significant power;
(ii) Subjects: Those who have interest but little power;
(iii) Context setters: Those who have power but little interest and;
(iv) Crowd: Those who have little interest and power.
The identification of these clusters shows key informants and may indicate the direction of
future actions in increasing competence and awareness to the projects. For instance, in the
case of 'Subjects' who have interest but limited power, a desired action is enhancing their
capacity to get involved. This can increase their influence on decision making. For the ‘Con-
text setters’, a mechanism to increase their concern are needed. Major efforts are needed to
boost the participation of the 'Crowd' since they are neither interested, nor powerful in the
problem-solving. In spite of the accuracy of this tool to classify stakeholders, interest and
power are variables in constant change. Stakeholders may lose interest or gradually gain
power if alliances are formed (REED et al.2009). The ‘Power versus Interest Grids’ (Figure 3)
is a visualization of these categories.
Once the classification on stakeholders’ interest and power is done, the analysis should fol-
low to reveal sources of power and the usage of such power related to their interests and fu-
ture plans (BRYSON et al. 2011). An illustration of this analysis is given in Figure 4. In the bot-
tom of the diagram sources of power are pointed out whereas in the top arrows indicate the
interest and concerns in which that power is intended to be used.

8
 
Figure 3: Power versus Interest Grids

Source: BRYSON et al. 2011: p. 5

Combining analytically all the previous aspects, four clusters can be identified for pragmatic
classification of stakeholders in a rural development program: (1) people who have decision
authority over the program, including policy makers and funders; (2) people who have direct
responsibility in implementing the program; (3) people who are intended beneficiaries of the
program and their families or communities; (4) people disadvantaged by the program. Gov-
ernment as an abstract institution is not considered as a stakeholder, but its representatives
might be since they can voice the official position from different levels of interaction with
other stakeholders (BRYSON et al. 2011).
Although these factors facilitate the categorization of stakeholders, it is not a straightforward
decision. Rather, the iterative process usually becomes more complex as the analysis is fur-
ther developed (REED et al. 2009). For instance, when stakeholders are identified in a top-
down manner, there is a risk of leaving out some actors whose opinions might be relevant
for the program. Nevertheless, this issue can be corrected by using participatory research
methods that promote bottom-up re-categorization (REED et al. 2009). By asking key in-
formants about whom they perceive as being relevant the stakeholders and their relation-
ships can help identify categories or roles (GRIMBLE 1998).
Another remark about the identification of stakeholders is that each group often has diverse
interests which, although rational, might be opposing (GRIMBLE et al. 1995). Thus, even
though SA attempts to consider the information about interests and concerns of key stake-

9
holders, it does not necessarily imply that stakeholders would be entirely satisfied with the
intended program or policy (BRYSON et al. 2011).

Figure 4: Stakeholder influence

Source: REED et al. 2009: p. 1936

A final feature of this method is the insight on the stakeholder’s perception about the deci-
sion-making frame; that is, the system boundaries where the stakeholders perceive their ac-
tion becoming increasingly limited until decisions seemed to be as out of their individual
control (GRIMBLE 1998).

2.2.2 Definition of Stakeholder Analysis

Poor outcomes or failures in development programs associated with the lack of support and
even opposition from the intended beneficiaries have fostered the use of the Stakeholder
Analysis in fields of political science and policy design (RASTOGI et al. 2010). Conventional
methodologies such as cost-benefit analysis measure gains and losses that do not reflect the
distribution of these costs between different stakeholders and do not recognize that the prob-
lems are observed in different ways by the actors involved (GRIMBLE et al. 1995). In contrast,
SA aims to provide a broader view of the private costs and benefits perceived by the stake-
holders in order to understand their process of decision-making.
Giving attention to people's perceptions, the method emphasizes processes of social con-
struction (CHEVALIER and BUCKLES 1999) addressing questions about representation, legiti-
macy, participation, power, and knowledge. As FRIEDMAN and MILES (2002: p. 4) point out:

10
 
"The theory behind the Stakeholder Analysis accepts that in the context of social interaction, actions
are taken and ideas formed in relation to a perceived (socially constructed) reality, thereby changing
the social reality."
There is plenty of empirical evidence about the positive consequences of considering the in-
terests and information held by key stakeholders in development programs (BRYSON et al.
2011; RASTOGI et al. 2010; REED et al. 2009). Absence of SA could result in excluding im-
portant groups and thus jeopardize the viability of a program over a long period of time
(BRYSON et al. 2011). Furthermore, there is also the risk that powerful and well-connected
stakeholders have a greater influence in decisions that benefit them but harm marginalized
people. Including marginal stakeholder’s opinions in a participatory planning of rural devel-
opment policies and natural resources management has an intrinsic value as means to em-
power them in influencing decision-making processes. Indeed, it is often claimed that SA
can contribute, or at least facilitate, learning among stakeholders by sharing points of view
and knowledge (REED et al. 2009).

Stakeholder Analysis in Natural Resource Management (NRM)

SA can assess the different stakeholders' current usage of natural resources and the per-
ceived value of them, reveal the competition or conflict over natural resources and identify
the social networks in which the stakeholders embedded and the distribution of social im-
pacts (CHEVALIER and BUCKLES 1999). Since the 1990s, the utilization of SA in this arena has
increasingly gained prominence as it seeks to understand stakeholders' agendas and diag-
nose the threats for future welfare at local or wider levels in society (GRIMBLE 1998). SA is
often used as a methodology for ex ante appraisal of projects and policies, ex post evaluation
of projects and policies, general research on natural resource management, and also as ana-
lytical support to an on-going process of conflict resolution and cooperative management of a
resource (GRIMBLE et al. 1995). Key objectives of SA in NRM are:

• To improve the effectiveness of policies and projects on the ground by explicitly con-
sidering stakeholder views.
• To better address the distributional social impacts (Grimble et al. 1995).
This rationale can be accurately understood with the following statement: “Knowing who the
key actors are, their knowledge, interests, positions, alliances, and importance related to the
policy allows policy makers and managers to interact more effectively with key stakeholders
and increase support for a given policy or program. By carrying out this analysis before im-
plementing a policy or program, policy makers and managers can detect and act to prevent
potential misunderstandings and/ or opposition to the implementation of the policy or pro-
gram. A policy or program will more likely succeed if a stakeholder analysis, along with other
key tools, is used to guide its implementation” (SCHMEER 1999: p. 3).

Stakeholder Analysis in the context of R&D projects

A vast amount of research about stakeholders has focused on theoretical discussions and
debates about the concept of stakeholders and the nature of stakeholder theory. Although it is
widely accepted that SA provides a baseline for the identification, classification, and categori-
zation of stakeholders and the understanding of their behavior (AALTONEN 2011), there are
multiple definitions of SA. One general definition given by GRIMBLE (1998: p. 1) delineates

11
SA as “… a methodology for gaining understanding of a system and for assessing the impact of
changes to that system, by means of identifying the key stakeholders and assessing their respective
interests”
SCHMEER (1999: p. 3) highlights the qualitative approach of the analysis: “Stakeholder analy-
sis is a process of systematically gathering and analyzing qualitative information to deter-
mine whose interests should be taken into account when developing and/or implementing a
policy or program.”
A wider definition proposed by REED et al. (2009: p. 1933) includes the consideration of non-
human entities and future generations saying that “… Stakeholder Analysis is a process that: (i)
Defines aspects of a social and natural phenomenon affected by decision or action. (ii) Identifies
individuals, groups and organizations who are affected by or can affect those parts of the phenome-
non (this may include non-human and no-living entities and future generations); (iii) Prioritizes
these individuals and groups involvement in the decision-making process”.
For our study, Stakeholder Analysis is understood as an approach for understanding who are
the key actors regarding rubber cultivation in villages and assessing their interests and influ-
ence in decision-making for cultivation methods.

2.2.3 Types of Stakeholder Analysis

There are three kinds of SA: descriptive, instrumental and normative (REED et al. 2009). The
descriptive approach provides a picture of the actors involved in a social environment
(AALTONEN 2011). The instrumental approach is more pragmatic, attempting to understand
the behavior of stakeholders to accomplish desired outcomes (REED et al. 2009).
The normative approach values the participation and consideration of stakeholders in deci-
sion-making as an empowerment process (REED et al. 2009). From this approach SA
acknowledges the significance of stakeholder’s participation for public welfare. Consequent-
ly, it may lead to instrumental outcomes as well if stakeholders are truly involved and feel
some level of ownership of the process. The rationale, typology, and research methods of the
SA are visualized in Figure 5.
As observed in Figure 5, the main stages in the SA after clarifying objectives of the analysis,
can be summarized as (i) Identification of stakeholders, (ii) Categorization of stakeholders
according to their interests and agendas and (iii) Investigation of patterns of interaction and
dependence between stakeholders assessing their power and its sources (GRIMBLE 1998;
BRYSON et al. 2011; REED et al. 2009).
There are several methods to investigate the stakeholder relationships. However, for this
study the main method employed was the Social Network Analysis, which will be analyzed in
Chapter 9, whereas the research process and methods used in this study are described in
further detail in the Methodology section in Chapter 3.

12
 
Figure 5: Schematic representation of SA development

Source: REED et al. 2009: p.1936

By involving the people’s perceptions in different stages of programs for rural development
through stakeholder analysis will result in more successful achievements and efficiency in
decision-making (BRYSON et al. 2011). SA as a methodology also has its limits and weakness-
es:
First, SA tends to treat stakeholders as distinct entities, while in reality some social groups
are not necessarily exclusively defined (GRIMBLE 1998). Some stakeholder may have different
roles in the analyzed problem of multiple stakeholder clusters (GRIMBLE et al. 1995). Mem-
bership to different stakeholder groups might complicate the analysis of competing interests
(REED et al. 2009).
Second, identification and categorization of stakeholders as well as their power, influence,
and legitimacy rest on subjective assessments. Since the recognition of the stakeholders is
done according to researchers’ interests, it certainly has some biases (intended or unintend-
ed) to approach key representatives and find out about their communication networks (PRELL
et al. 2009).
A third limitation is related to ethical issues in which the information from less powerful
groups is used by the powerful groups in a manipulative way (GRIMBLE et al. 1995). Indeed,
this might not be a weakness of the methodology itself, but rather on how it is utilized.
Finally, SA also increases the complexity of research because of the analysis of diverse and
conflicting perceptions (REED et al. 2009). Therefore, "… stakeholder analyses must be under-
taken skillfully and thoughtfully, with a willingness to learn and revise along the way." (BRYSON et
al. 2011: p. 7).
A necessary step in the planning and design of research and development programs is situa-
tional analysis. It provides a detailed review of the interests, problems and alternatives within the
context of which stakeholders operate. Traditionally, the analysis is conducted at two levels:

13
 • The development context provides an overview of how a community operates, in
terms of resource base, social and institutional structures, and factors that change
over time.
• Livelihoods analysis provides a more detailed examination of how members of the
community obtain income, with consideration to their use of resources and time,
and identification of the benefits generated. Rapid Appraisal techniques are well
suited for conducting a situational analysis (FAO 2000).
As described by FARRINGTON et al. (1999), information can be collected in a participatory
manner, in a style that is relevant to the both community’s or individuals interests, and
through a process that enables all voices in the community to be heard. In addition, they of-
fer:
• flexibility
• receptiveness to new and unexpected ideas
• two way flow of communication
• process for empowering people in the community
• information validation during the collection process

2.2.4 Aspects to be analyzed

A common feature of the conceptualization of this methodology is the attention given to de-
tect key stakeholders and their problems and interests as the central part of the analysis. Alt-
hough categorizing stakeholders “is always an interpretative process” (AALTONEN 2011: p. 165)
there are some parameters and tools which can be simplified as REED et al. (2009: p. 1934)
phrase it: “Who’s in, and why?”

Stakeholder Problems
By a simple definition a problem is “a perceived gap between the existing and a desired state, or a
deviation of a norm, standard, or status quo” (BUSINESS DICTIONARY 2012). Such a simple defi-
nition may prove inadequate when assessing and determining problems from the research
and data collected in the particular context of the current SA (Stakeholder Analysis). In this
context, where the problems are able to be identified from highly diverse and complex factors
and sources, a much more thorough and comprehensive definition and understanding of
problems is required to make adequate analysis.
As problems always underlie the subjectivity of involved parties, difficulties often occur when
attempts are made to achieve a common and agreed understanding between parties. Conse-
quently, external parties are often employed as an unbiased aid, not only to foster the cooper-
ation and understanding of the involved parties’ subjective problems but also to facilitate the
process of developing and agreeing on a favorable solution for all involved.
Nonetheless, it is important to consider that often problems of individual parties are not
solvable and alternative solutions must be reached. This can also become problematic when
factoring in the various differences in the objectives of stakeholders within the NRWNNR.
Therefore, within the context of this SA, it becomes more apparent and feasible to analyze
and discuss the problems as “conflicts of interests” rather than discussing and referring to
them as single problems.

14
 
As a result, the overall aim of determining one or more alternative solutions can therefore be
achieved by comprehensive consideration and discussion of the various conflicts of interests,
ambitions, and subjective perceptions rather than solely being determined by the gaps and
incongruence between the existing and desired states of only the predominant stakeholder
problems.

Stakeholder Interests
According to CAMPBELL and MARSHALL (2002: p. 165), “interest” can be defined in two differ-
ent ways. Firstly, the concept is stated as “having something at stake”. In this case it is not
bound to a specific subject but instead used as a term that can be both subjective and/or ob-
jective. Therefore, it can represent both individual wishes as well as a political dimension
which can be referred to as public interest.
Secondly, the term can be defined in the context of having an interest in something: “It re-
lates to a concern with or attention to something” (ibid: p. 165). In this definition, interest refers
purely to the subjective perception of an individual or a group, based on the subject’s own
particular wishes or feelings.
Considering the stakeholder analysis presented in this report is based on a survey conducted
through interviews which presumably reveals mainly subjective perceptions, the second def-
inition will be used as a basis for our analysis.
That the interviewees are truly able to know and properly communicate their interests to the
interviewers is another imperative assumption. Furthermore, it can be asserted that only the
respective individual can know his or her interests, as it is postulated for instance in utilitari-
an writings (PITKIN 1967). Such considerations outline the benefits of carrying out stakehold-
er analysis, especially in the circumstance of governmental actions where the interests of its
citizens are acknowledged before implementing new regulations and policies.
Supplementary to the importance in the definition of interest, is the understanding of the
term ambition, which is according to the OXFORD DICTIONARY: “A strong desire to do or achieve
something.” In this report, the term ambition is utilized to identify more particular and clearly
defined plans for the future, while interests refer to more vague or general aspects commu-
nicated. The explanations, assumptions and benefits discussed in the previous paragraph
explaining the term “interests” apply also to the term “ambition.”
It is important to acknowledge that there is often no static set of interests and ambitions for
stakeholders. They must therefore be interpreted as individual parties according to
KAHNEMANN et al. (2006):

• Interests and ambitions that can be complex and dissimilar

• Interests and ambitions are likely to change and evolve over time in reaction to differ-
ent circumstances and situations
• Perception of ambitions and interests are highly context-dependent, thus making re-
spective statements less representative for an overall description.

Understanding these terms and concepts foster the ability to create a more comprehensive
and relevant interpretation and analysis of the interests and ambitions of the study group,

15
without compromising on the accuracy of information obtained or neglecting the uncom-
mon interests of stakeholders. Moreover, it also provides a framework on how to approach
research and analysis of stakeholder problems, again without excluding potential complexi-
ties and variables involved in the results.

Diffusion of Innovations
ROGERS’ model Diffusion of Innovations explains how an innovation is spread and implement-
ed in a social community, as shown in Figure 6. According to ROGERS (2003) “… diffusion is a
special type of communication concerned with the spread of messages that are perceived as new ide-
as”. Four main elements can be determined in every diffusion research study: (1) an innova-
tion, (2) a communication channel, (3) a time period and (4) a social system.

Figure 6: The diffusion process

Source: ROGERS 2003: p. 11

“Communication is a process in which participants create and share information with one
another in order to reach a mutual understanding” (Rogers 2003: p.35). The model also ex-
plains that due to the fact that the idea is new, participants might react precautious concern-
ing emerging risks.
An innovation is defined as an “…idea, practice or object perceived as new by an individual or
other unit of adaption” (ibid.: p.36). Innovations are classified depending on their degree of
implementation. ROGERS defined five different categories: (1) relative advantage, (2) compati-
bility, (3) complexity, (4) trialability and (5) observability.

16
 
The new idea, or innovation, is spread from one person to another through the communica-
tion channel. There are different channels which can be distinguished, whereby “… mass me-
dia channels are more effective in creating knowledge of innovations, (…), interpersonal channels
are more effective in forming and changing attitudes toward a new idea” (ibid.: p. 36).
Time includes the innovation-diffusion process, the innovativeness and the innovation’s rate of
adaption. The last element is the social system with the interrelationships of the members in
order to solve problems and achieve shared goals. ROGERS has specified individuals into five
different categories in relation to their time of adoption of the innovation. The “classifica-
tions of the members of a social system on the basis of their innovativeness: (1) innovators,
(2) early adopters, (3) early majority, (4) late majority, and (5) laggards” (ibid.: p.37).

Figure 7: Adopter Categorization on the basis of Innovativeness

Source: Rogers 2003: p. 281

The innovators are individuals who are steadily interested into new ideas and willing to take
risks. They have certain communication patterns and are able to understand complex tech-
nical mechanisms. Since the innovator introduces new ideas he is the gatekeeper in a social
community.
The early adopters are the opinion leaders and thus the most influential people in a commu-
nity: “They reduce the uncertainty concerning new ideas by adopting it” (ibid.).
“The early majority adopt new ideas just before the average member of a system” (ibid.). They are
not always accord with the early adopters but are an important link in the system.
The late majority is rather risk-averse and critical about new ideas. They implement the inno-
vation mostly due to economic reasons or rising peer pressure.
The laggards are very reactionary and the last group of people in a community adopting the
new idea. Many of the laggards are socially excluded and they are still very attached to the
past.

17
2.3 Communication Networks

2.3.1 Definition of a Network

Social networks play an integral role in the dissemination of information related to rural live-
lihood. There are many levels of actors who influence knowledge dissemination and compo-
sition of networks.
According to KADUSHIN (2004) “a network is a set of relationships”. The theory of networks can
be seen as analogous to the phenomena found in physics. When approached from this view-
point the complexity of the concept is simple to grasp. In the study of networks, researchers
observe the objects in the system and describe or map how they are interrelated. In general
social network theory states that these objects can consist of, among other things, individu-
als, groups, organizations and even websites. These objects are referred to as nodes which
are then linked through vectors describing the direction and nature of the relationship. Ap-
proaching the concept from a broader perspective allows an overview that captures the visual
as a whole, enabling a general pattern to be observed and information about the logistics of
the network extracted.

2.3.2 Components of Communication Networks

Within the framework of this study, the key influential components of networks have been
identified as being the nodes, the links (interrelationships between nodes and other compo-
nents) and the web (understanding the web of human interaction).

The Node
The nodes of concern are local villagers. Here the interrelations studied are clustered around
the rubber monoculture, with information flows acting as vectors between actors. In order to
simplify the description of the network as a whole, a discussion of specific aspects of each
one of the components is outlined.
Analysis of a node in itself is controversial as many theoreticians argue that it is more the
transmission and the position of the node with respect to others that is important, and not
the characteristics of that node as an individual. This study takes an integrative stance; one
acknowledging that individual agency is indeed of relevance and that much of the individual
is defined through the relationships with other individuals (COOLEY 1956). The former aspect
is especially relevant when assessing the interests of stakeholders as presented in Chapter 2.
Unique attributes such as the ethnicity, age, religion, race, class and family status can ceteris
paribus give researchers an idea about what kind of knowledge is possessed by the individual.
Inherent qualities can also set a node apart, for example a regulatory body with the power
and resources to make transactions with a large portion of the network, or a village head who
has the responsibility to inform and regulate events according to the administration. These
bodies are given responsibilities that define what sort of role they must take in interacting
with others.

18
 
Roles that are formal or informal and external or internal prescribe the characteristics of the
node fulfilling that role. Frequently, those that have a concrete role are influential and often
function as an intermediate node. This is a special trait that links two actors together. The
connection and correlations between actors is described in more detail within the next sec-
tion.

The Link
The interrelationships between nodes of communication networks are especially important
to distinguish due to its ability to provide researchers in nearly all disciplines the essential
information required to hypothesize about potential occurrences in the future. Although
found to be a useful tool for identifying trends, the general structure of the web network is by
contrast often too complicated to use as a tool for understanding how things interact.
The simplest relationship between two entities is at the dyadic level and many variables can
affect the way that the nodes in the pair relate. Usually, pairs relate to one another in a social-
ly relevant way when they have something in common, this can be referred to as homophily.
Social status and mode of thought were established as subcategories in the classic paper of
LAZARSFELD and MERTON (1954) and a relevant summary describing the influence of the for-
mer on the latter can be found in MCPHERSON et al. (2001).
What is more interesting in this particular case is the cause of such homophily. In
KADUSHIN’s (2004) work two main causes are explained in being affected by or affecting the
attribute of the agent. These are the structural location and the norms. As such, the causal
relationship between status and values is paralleled in the correlation between the location
and strength of the norms.
This correlation is influential when considering official ties, such as administration or con-
tractual relationships. Approached using the same logic, it is more likely that such formal
interrelationships are successful when homophily exists. If the policy makers, renters, land-
lords, factory owners, etc. understand the interests of the various actors and tailor their
agreements to the common interest, the resolved transaction is less likely to result in conflict.
It requires a sizeable investment of resources to understand the attributes of each group
when the actors do not share similar backgrounds. However, depending on the relationship,
such investment proves valuable. Examples of valuable results obtained through cooperation
include solutions that benefit ecological conservation, economic efficiency, and social inte-
gration.

The Web
Although simple dyadic ties are helpful in understanding how nodes interact, in reality, the
web is a more appropriate tool for reflecting complexity of relationships of human interac-
tion. When more actors are incorporated into a project, a more widespread account of the
network is required, thereby enabling a more comprehensive and inclusive study of the net-
work, with as many characteristics and factors being assessed. According to MITCHELL (as
summarized by KADUSHIN 2004: p. 1969) the distance between two nodes is determined by
four factors:
1. The size of the first order zone of nodes in the network;

19
 2. The quantity of overlaps within the interpersonal environment, henceforth referred to
as dimension;
3. Any barriers between nodes;
4. Agency exercised by the nodes.
The larger the first order zone, the more familiar the people in the network are with each
other. It is logical that in larger networks it is harder to form relationships with everyone and
the degrees between nodes may become more complicated as nodes are linked through more
and more intermediaries. In local, somewhat isolated networks the network can be so small
and so established that the entire network is a first order zone, hence fully connected. This
leads to the transitivity aspect of the web. Whereas the degree distribution refers to the num-
ber of social ties, transitivity refers to the likelihood that two of a person’s friends are in turn
friends in a sense
Barriers between nodes can skew the shape of the network, either accounting for the flagging
of certain transactions and the strengthening of others, which in turn widens or shrinks the
distance between actors. For example, a development program might facilitate market access
for small holder farmers. Whereas previously, farming communities had to cooperate in or-
der to get their products to market because of high transaction costs (transportation, time,
labor, etc.), this new legislation could decrease the dependence of farmers on one another.
While the relationship between farmers might be diminished it could also allow for the indi-
vidual farmers to come closer to the consumer.
There are many possible types of barriers that include demographic, geographic, political,
logistical, and moral issues. People’s ability to overcome these barriers and make connection
relates to the amount of agency or motivation an actor has. Actively seeking to increase the
quality and amount of connections despite barriers is a sign of the willingness of the actor to
change the status quo.
However widespread, the many multifaceted factors and complex relationships requiring
consideration in research and development programs must be clearly postulated, evaluated,
identified, and simplified to maintain and collect as much as possible data that is consistent,
relevant, and comprehensive. Through carrying out stakeholder analysis, situational analysis,
and understanding important components in communication networks, research and devel-
opment programs increase in their ability to be efficient and relevant.

2.3.3 Types of Networks in Rural Development

Attributes of Local, Rural Networks
The small size of the villages and their remoteness makes homophily and transitivity key in
understanding the communication dynamics of rural villages in Xishuangbanna. Self-
sustaining, geographically integrated areas must have networks that are highly reliable. Vil-
lagers’ dependence on one another strengthens the individual’s identity within the group and
typically one adheres to the norms that are established. In rural areas, this common social
platform leads to many types of informal ties. High frequency of interaction, accountability
of parties and strong social forces maintain these linkages. Indeed these links can form in
more than one way. Multiple connections between nodes, or multiplicity, is necessary in a
community with a small population and many tasks to complete. For example, a neighbor

20
 
could be a trustworthy friend, an in-law and a newly informed rubber tapper, at which point
she becomes an informant for technical information and simultaneously maintains her so-
cial roles. When kinship ties and inter-subjectivity, or mutual relationships, is taken into ac-
count in small communities, it is quite obvious to note the gross zone of first order connec-
tions and dimension in these networks. There are many variables that hold informal net-
works together and assure their function; however there are large effects of external and for-
mal relationships on these informal ties common in rural, local networks.
As globalization continues to gain momentum, even the most rural areas are becoming not
only accessible but quickly reachable. The local component of these networks is still im-
portant but new relationships with outsiders (i.e. rubber factories) can quickly evolve. As the
distance between actors shrinks it is more likely that once secluded areas are now being in-
fluenced by the growth-oriented world. Not only does proximity in terms of kilometers mat-
ter, the communication tools that enable rural people to contact nodes once worlds away,
have diffused quickly and are being used for both social and entrepreneurial activities. The
increased speed of communication is enabling rural peoples to inherit scientific and econom-
ic knowledge that has a direct effect on their livelihood.
Another reason for new external ties is that formal terms of agreement are possible and insti-
tutional backing is available in case a contract is violated. The perspective of the typically
skeptical, rural actor is changed because the nascent node is able to offer a relationship with
an equal or lower amount of risk when compared with his neighbor. Many rural peoples are
no longer self-sustaining because they are more easily able to specialize their labor force and
trade with less familiar nodes. Without this dependence on the structural location, it is likely
that there will be a change in the functionality of first degree connections and that the net-
work will change shape. The rural, local network is quickly changing; however it is clear that
villagers are still quite reliant on one another for information, community service, and
comradery.

Functional Network Characteristics

Strong combinations of compatible nodes make for a functional network. As explained in the
theory section, homophily increases the likelihood of a relationship but it also contributes to
the quality of the connection. Common issues and interests paired with low barriers between
nodes leads parties to collaborate and, in some cases, to better their wellbeing. Obstacles are
reduced when parties are available to communicate, actors engage with one another, inter-
personal relations are created and when the tools used function. The failure of one of these
components doesn’t necessarily mean that the link will disappear, however the maintenance
of these components will more likely lead to progress.

Dissemination of information
The linear transfer of technology (TOT) classified as a one-way knowledge flow, has been
replaced over time by the Agricultural Knowledge and Information Systems (AKIS) model.
AKIS was developed at Wageningen Agricultural University in the late 1980s (RAMIREZ
1997). The model contradicts the linear information dissemination systems of TOT and is a
two-way exchange of information that is crucial for effective generation and transfer of rele-
vant technology. The method Rapid Appraisal of Agricultural Knowledge Systems (RAAKS)

21
is a management tool established by ENGEL and SALOMON (1994) for understanding agricul-
tural knowledge systems in a participatory manner. RÖLING (1990) defines the best extension
systems as those where farmers are organized and able to lobby for technical assistance suit-
able to their needs (RAMIREZ 1997).
Meetings with farmers and other stakeholders, the study group followed methodology of
both AKIS and RAAKS. In the paper by RAMIREZ (1997), research was conducted in the Phil-
ippines, Ethiopia, and Peru, exploring network analysis from the user perspective, mapping
AKIS from the farmer level up. The first stage of their research was methodology used in our
meetings in the villages involving the following six activities, which have previously been
described in the Methodology chapter:
1. Identification of the farmer
2. Community mapping
3. Ranking of major enterprises
4. History of innovation
5. Discussion and Verification
6. Follow up interviewing non-farmer groups

Social Networks
Families, kinship, and personal relationships with friends also are forms of networks for
sharing information on rubber. WARRINER (1992) has conducted research on conservation
tillage and on whether factors of kinship are related to adoption of farming practices. In his
research he references CARLSON and DILLMAN’s findings on kinship and adoption, which
show both positive and negative consequences of decision making. In their study they found
that most farmers operate their farms with a spouse or in a combination of kinship. Both
intergenerational (father and son) and sibling/peer relationships have been shown to limit
the likelihood of adoption due to similarities and views about conservation tillage. However,
their study also showed that kinship may encourage adoption of new methods, as added and
more frequent communication results in more rapid decision making. Also cited in
WARRINER’s (1992) research is BULTENA and HOIBERG who report that adoption of conserva-
tion tillage is positively associated with received social support among friends and neighbors,
but negatively associated with decisions related to information from departments of agricul-
ture or university extension.

22
 

3 Methodology
The purpose of this chapter is to describe the phases and steps followed for the Master Stu-
dent Project in the Naban River Watershed National Natural Reserve. Starting from the de-
sign of the project Phase I, Analysis of the study area Phase II, preparation of Data collection
in situ taking place in China Phase III and finally, the analysis of results and report writing as
the Phase IV.

3.1 Research Project

This research project at Humboldt University (HU) conducted a Stakeholder Analysis which
contributed to the research process of the SURUMER consortium, specifically within the Sub
Project 8: “Knowledge transfer and interaction management”. The SURUMER project is a
research consortium whose overall objective is developing an integrative, applicable, and
stakeholder-validated concept for sustainable rubber cultivation in southern Yunnan
(SURUMER 2011). The project integrates nine different sub-projects, one of which is Sub-
Project 8 dealing with the management of stakeholders’ processes and one particular focus
in the analysis of stakeholders backgrounds.
As partial requirement of Sub-Project 8, a baseline study was conducted, with combined tools
of participatory and rapid rural appraisal, an integration of multidisciplinary analysis and the
results of the baseline survey, as well as the first stage of a stakeholder analysis which will be
explained in Chapter 6.

Picture 2: The research team

The research team consisted of 12 students from two Master programs at Humboldt Univer-
sity of Berlin: Integrated Natural Resources Management and International Master of Sci-
ences in Rural Development. The diversity of student’s backgrounds and nationalities is a
virtue of the research.

23
3.2 General Approach
In recent years there has been a rapid expansion of new participatory methods and approach-
es in the context of agricultural research and development. Participatory methodologies allow
scientists and other outside professionals to learn with, by and from farmers, food workers,
and citizen consumers. They can help create a working relationship in which people’s priori-
ties and values become more fully expressed in the production of new knowledge and tech-
nologies (CHAMBERS 1994).

3.2.1 Problem-Based Learning

Developing, conducting analyzing and reporting this research was done according to the
principle of Problem-based learning (PBL). Problem-based learning guides learners to dis-
cover knowledge on their own, by confronting the problem directly and activating their
knowledge with very little initial content given; learners are responsible on their own learn-
ing and get encouraged to learn in a more concentrated way (CHAN 2008). The central con-
cept of PBL is that one may learn content effectively while attempting to solve problems
(ENGEL 1991). PBL seeks to provide multiple models of action, knowledge reasoning and re-
flection, together with the opportunities to challenge, evaluate and interrogate. Social skills,
in particular, are strengthened.

Figure 8: Objectives of Problem Based Learning

Source: HOFFMANN-SOUKI 2012

24
 

3.2.2 Project design

According to GOSLING (2006), a project cycle or spiral shows how ideally a project should be
developed, as well as implemented and evaluated, as displayed in Figure 9. It is made of ex-
periences, achievements, review, and also feedback failures; thus, made of several phases
which contribute to the visualization of a whole process. Each achievement or experience
from one phase may influence the next activity.

Figure 9: Project design visualized according to the concept of the Project Spiral

Source: GOSLING 2006: p.6

The project in general has been worked out in three main phases:
1. Conceptualization and delimitation of the project: This phase consisted of the presen-
tation of the project by the senior researcher, the exchange of ideas and possible ques-
tions, definitions of participants and establishment of common interests, and first
agreements.
2. Analysis of the study area: A first measure was the introduction to the study area pre-
viously defined by the consortium (political background, land tenure, geographical lo-
cation, environmental characteristics, population and ethnicities, general conditions
of access to the study area). This was followed by the predefinition of methodologies,

25
 the selection of cases and the most suitable tools and methods. Special considerations
were given to field work (definition and description), the analysis of the current situa-
tion to identify the starting points for the project), the preliminary definition of Stake-
holders, and the preparation of interview guidelines.
3. Field Research. After arriving in China (Jinghong), a meeting/get together with the
student colleagues from the Chinese Agricultural University (CAU) has been ar-
ranged in order to
• Present and update the program;
• Organize mutual agreements related with Humboldt University (HU) objectives
and CAU objectives
• Recognize the study area (language, facilities, limitations, other issues)
During a meeting with the NRWNNR representatives the following day, field research
and last details have been arranged. Further elents of this phase are arrival and living
in the villages, and certainly the survey itself.
4. Analysis of results and report writing: The main tasks of this phase were Review and
feedback, Presentation and evaluation of the findings, and the report.

Exploration
According to the concept of the project spiral, first it is necessary to identify possible prob-
lems in the study region based on literature. At the first meeting for the project, basic litera-
ture and information about the study area was provided, via the Moodle platform linked to
the project space. Furthermore, each member of the group was authorized as an administra-
tor of the space, which mobilized the information exchange as well as the communication
flow. A project concept was designed, namely, the exploration into the possible problems. The
student group decided to set up small topic introduction groups in order to organize the in-
formation and present it during the next sessions. Such activities allowed for a first glance at
the area of study, as well as its economic, environmental and historical profile. Then, based
on the collected information the group decided to develop a preliminary problem analysis.

Preliminary Problem Analysis

This is a hypothetical analysis, where tentative results can be identified. According to Mohr
(1996) the problem analysis focuses on the issue of former problem solving decision making.
Problem analysis identifies the negative aspects of an existing situation and establishes the
‘cause and effect’ relationships between the problems that exist. It involves three steps:
1. Identification of the stakeholders affected by the proposed project
2. Identification of the major problems faced by beneficiaries
3. Development of a problem tree to establish causes and effects
The analysis of problems is one of the milestones to define and focus on, in order to follow a
structure and fulfill the tasks, thereby the group decided to use the problem tree analysis. An
example of one of the five problem trees can be seen in Figure 10.

26
 
Problem tree analysis
A problem tree analysis (DFID 2003) sets up cause (roots) and effect (branches) to ensure
that the root problems (core/focal problem=trunk) are identified and addressed whereas ob-
jective tree is an instrument that helps to analyze and break down the objective graphically
into smaller and manageable parts.

Figure 10: Example of a Problem Tree Analysis

Objective analysis
This is a hypothetical analysis of the regional objectives with the aim of preparing the bases
of the research project. The formulation of objectives should avoid vagueness; the more spe-
cific an objective is formulated, the higher the opportunity that this will lead to a specific out-
come. Measurable, viable and clear objectives are basic for an effective program planning and
a successful project (MILLER 2011).

Content definition
Six main research questions were defined:
1. Who are the stakeholders and what is their role concerning rubber cultivation?
2. How do stakeholders receive and disseminate information of rubber cultivation?
3. What are general problems of the involved stakeholders?

27
 4. What are general problems of the involved stakeholders concerning current land use
systems?
5. Do stakeholders realize environmental impacts/ changes in recent times and how do
they explain them?
6. Which alternatives are considered by stakeholders besides rubber cultivation?

Development of the Stakeholder Analysis

On the basis of the problems and objectives analyses, the influential people regarding rubber
cultivation in the NRWNNR villages were identified. Figure 11 condenses the activities devel-
oped for the stakeholder analysis according to the stages of the methodology (horizontal axis)
and the research logic on site and off site (vertical axis).

Figure 11: Preliminary Plan of the Stakeholder Analysis

Firstly, some relevant stakeholders were identified based on the value chain of rubber pro-
duction, namely suppliers of seedlings, fertilizers and pesticides, rubber farmers, family of
rubber farmers, hired workers, extension services officials and village traders. Since the
NRWNNR (as natural protected area) has regulations and restrictions the NRWNNR officials
and villages heads were included. However, due to prioritization of stakeholders, those who
do not interfere directly on the decision-making for the rubber management or in the setting
of biodiversity conservation measures were excluded. Thus, rubber farmers, village authori-
ties, NRWNNR officials and hired workers were defined as key stakeholders.
The categorization of stakeholders was done according to their interests, problems and agen-
das. Tools such as power vs. interest grids and the model of innovation adoption were also
used.

28
 
Lastly, the investigation of patterns of interaction and dependence between stakeholders fo-
cused on the assessment of their power and its sources, and the dissemination of infor-
mation and knowledge among the social networks are identified (see chapter 8).

3.2.3 Survey Methods

The baseline survey utilized some instruments of Participatory Rural Appraisal (PRA) and
Rapid Rural Appraisal (RRA) such as:

• Semi-structured interviews
• Villages walks and observations
• Communication networks mapping
• Village maps
• Timelines

Picture 3: Village mapping in Kemu village

Participatory Rural Appraisal (PRA) is a tool that is used in the field to collect the qualitative
data, identifying the problems and causes and analyses the possible solutions and conditions.
PRA has been depicted as a growing family of approaches and methods to enable local people

29
to share, enhance and analyze their knowledge of life and conditions, to plan and to act.
(MASCARENHAS 1991). Rapid Rural Appraisal (RRA) has a similar technique like PRA but it is
more cost effective and used to analyze the needs of the rural communities quickly. PRA has
commons principles with RRA such as learning directly from the local people, counterbal-
ance biases, optimizing trade-offs, triangulating and seeking diversity. Besides the common-
alities, there are also differences between PRA and RRA as shown in Table 1.

Table 1: Comparison between PRA and RRA

Source: CHAMBERS 1994: p.958

Types of Interviews
The qualitative interview is a principle research tool often used by sociologists, educators,
political scientists, public administrators, social workers, anthropologists and historians. It is
used in order to learn about the problems of the stakeholders involved (MARSHALL and
ROSSMANN 1989). Qualitative interviews are important in order to find out about the ways
people describe how they understand the world in which they live and work. People who live
or work together or have similar racial, ethnic, or religious backgrounds develop shared un-
derstandings that are communicated to others in their group that constitute their culture.
Qualitative interviews also explore specific topics, events, or happenings. Interviewers can
solicit personal histories to examine social and political phenomena (RUBIN 1995).
Semi-structured interviews are also known as non-standardized and are frequently used in
qualitative analysis. In this kind of interview, the interviewer does not do the research just to
test a particular hypothesis (DAVID and SUTTON 2004: p. 87). During the interviews, the re-
searcher will have a list of specific topics, issues, and questions to be covered, which is often
referred to as interview guide. Additional questions which are not included in the interview
guide can be asked. All of the questions which cover several topics will be asked and a similar
wording must be used from one interviewee to the other. In this type of interview, the re-
searcher has more opportunities to prompt and probe for views and opinions of the inter-
viewee. Probing is a way for the interviewer to explore new paths which were not initially take
into account (GRAY 2004: p. 217).
Unstructured interviews are non-directive and flexible. It is a more casual type of interview
compared to structured and semi-structured interviews. The researcher does not have to fol-

30
 
low a detailed interview guide as there are no restrictions. Respondents are encouraged to
speak more openly, honestly and provide as much information as possible to the researcher.
Problems will arise in this interviews if the researchers are not experienced in the interview
process as they may not able to obtained the information that are relevant to the research.
In non-directive interviews, the topics are not determined in advance and the interview ques-
tions are usually not pre-planned. The interviewer is the listener and the interviewee will be
the one leading the conversation. The interviewer follows what the interviewee has to say. In
this interview style, the researcher must clearly understand the objectives and topics of the
research he/she want to cover during the interview process. The role of researcher is im-
portant during the interview process as he/she needs to clarify the unclear points with the
interviewee and rephrase the answer to assure the accuracy of data input and understanding
(GRAY 2004: p. 217).
The planned baseline survey implied the use of other PRA methods such as village tours,
transect walks, mapping, timelines of village history, land use change, village profile chart
and festive calendars (SALAS et al. 2007).

Applying the selected interviews methods in situ

During the two weeks, the method semi-structured interview was applied when interviewing
village heads, villagers, and staffs from NRWNNR.

Picture 4: Semi-structured interview conducted in BanQianDi village

The selection of the interview type was based on the following considerations. Structured
interviews, also known as standardized interviews, are quite rigid. In this interview, more
intervention from the researcher can be observed and this might influence interviewees to
not speak openly and answers from the interviewees may not reflect the true variation. The

31
researcher is not allowed to give verbal and non-verbal comments and cues which may cause
biases and could have an influence upon the replies of the interviewee. The disadvantage of
this kind of interviews is that researchers must stick closely to the interview guide.
Four semi-structure interview guidelines were designed, one for each group of stakeholder
identified. The structure of the interview followed the six research questions defined with
sections that focused on identification of the interviewee, characteristics of the farm and
farming systems, problems experienced regarding rubber, other income sources, a special
section about land renting, communication networks and future wishes and improvements
The data obtained from the interviews illustrated specific insight of the respective villages,
socio-economic structures, land use, land use history and environmental issues. The organi-
zation was done as follows: four small groups were formed consisting of three researchers
from Humboldt University, one young researcher from CAU who also collaborated as inter-
preter, one supervisor from Humboldt University and one NRWNNR staff member.
The respondents were selected either through suggestion of the village head or by NRWNNR
staff members. During the case study the group often walked from one door to another in
the village until meeting someone who was willing to participate in the baseline survey. Dur-
ing the two weeks, 55 interviews were conducted in eight villages within the NRWNNR. Ta-
ble°2 shows the general characteristics of the respondents.

Table 2: Respondent's characteristics in the villages

Based on the objective of the baseline survey, it was necessary that the villages selected have
rubber plantations. Eight villages were selected as sampling out of the 32 villages in Naban
River Watershed National Natural Reserve according to the agreement with the staffs from
NRWNNR. The eight selected villages are represented by the main minorities in
Xishuangbanna such as Dai, Han, Lahu, Kemu, and Hani (Akha).

32
 
Observation
Observation is a collection of data where the researcher does not participate in the interac-
tions. Observation is known as the “systematic description of events, behaviors, and artifacts in
the social setting that is chosen for study” (MARSHALL and ROSSMAN 1989: p. 79).
There are different types of observation such as participation observation, non-participation,
structured observation and unstructured observation. Participation observation is an active
involvement of researcher in the field research. Ideally, observers are open-minded, have a
non-judgmental attitude and are interested in learning more about others (DEWALT and
DEWALT 1998). Participant observation can be time-consuming and costly as well, as it can
take a long time to reveal the hidden meanings of the situation or context in the research ar-
ea.
In non-participation, the researcher will be the listener and observe the interviewee without
their knowledge and without any intervention. For this kind of research, the researcher
should be more attentive and focused as compared to the participation-observer.

Picture 5: The first walks around the village in ManDian

Unstructured observation is the first phase of the research, where the specific aspects of top-
ics or behavior to observe and the procedures are set. Structured observation is comparable to
an interview with a survey; specific guidelines are followed. Certain aspects to observe are
generalized in this part to assure reliability and validity.
The research team did have the opportunity to attend local festivals. On International Wom-
en’s Day, two groups participated in a local celebration. In ChaChang, the community gath-
ered to slaughter a pig, eat, and drink. At this occasion, the agricultural and forestry depart-

33
ment representatives came to the party, but it seemed as though discussion on agricultural
production was not the focus of conversations, rather drinking and smoking.

Qualitative Content Analysis

Qualitative analysis has its roots in social science. Trying to study why people behave the way
they do, their concerns, knowledge, attitudes, beliefs are analyzed. Qualitative analysis allows
the subjects being studied to give more detailed answers to questions of the researcher and
might provide more valuable insights in comparison to other methods (Seidel 1998).
The Why and How of decision making are important rather than only the What, When or
Where. Hence, it is more important to conduct high-quality interviews with a smaller number
of individuals, rather than many low-quality interviews. Most of the time these interviews are
used to uncover prevalent trends in thought and opinion that could confirm or disprove our
original hypotheses. In order to elaborate a good analysis, it is first necessary to design a
qualitative interview.

Picture 6: Preliminary Analysis during the field phase

3.3 Limits of the Methodology

While efforts were made to realize a representative sample for the interviews, some biases
could result due to the following reasons:
1) Seasonal bias: Conducting field research during off season in rubber tapping facilitates
reaching farmers at home or with some free time to share with us their opinions about rub-

34
 
ber cultivation and their social networking. However, some disadvantages were the unavaila-
bility of some stakeholders that were not in the village (for instance, more hired workers or
village traders) and the impossibility to observe directly the tapping, collecting and selling
process of latex.
2) Hierarchical bias: Due to the fact that most of the interviews were arranged by the
NRWNNR officials, respondents were generally part of the economic and political elite of
rubber farmers. However, it must be acknowledged that NRWNNR authorities tried as much
as possible to contact people with the characteristics that we were interested in or those who
were mentioned by other stakeholders as the most involved or influential. Indeed, finding
hired workers and convincing them to converse with us was one of the most time-consuming
activities in which the team received total support from the NRWNNR staff and village head.
3) Gender bias: Despite the use of participatory methods as a gender-neutral concept, reality
may be too complex to avoid biases at macro and micro social level.
4) Interpretative bias: Recording responses and reactions about topics addressed during the
interviews and conversations becomes more complicated when a translation is needed, and
even more when two translations are required. Therefore, although there was a constant ef-
fort to confirm the information by asking again in a different way, there can be bias regard-
ing interpretations and translations from local languages to Mandarin and finally to English.

35
4 Introduction to the Study Region

4.1 Geography and Environment

This baseline study was conducted in the Naban River Watershed National Nature Reserve
(NRWNNR), located in the central-north of Xishuangbanna Dai Ethnic Autonomous Prefec-
ture in the southern Yunnan Province in China (Figure 12). The area is located about 25 kil-
ometers outside of the Prefecture’s capital city, Jinghong. The NRWNNR was established in
1991 by defining the catchment zone of the Naban River as the new protection area. The aim
of the reserve is to combine livelihood areas for local villages with environmental protection
following the approach of the Man and Biosphere Network of the United Nations Education-
al, Scientific and Cultural Organization (UNESCO) (WEHNER 2011: p. 44ff). Therefore the
territory, with a size of 266.6 km², is divided into three different zones (Figure 12):

• A core zone (green), in which human land use is prohibited and where most of the
natural rainforest is located;
• An experimental zone (red) where most of the villages are located and agricultural ac-
tivities prevail. Most activities except for large construction sites are permitted;
• A buffer zone (yellow), which lies between a) and b) and where research and certain
interventions are permitted for local villagers. Residents must apply for permit prior
the activity (TANG 2013; GHORBANI et al. 2012).
The NRWNNR terrain is fairly mountainous with altitudes ranging from 539m to 2304m
above sea level. Land with slopes greater than 25 degrees accounts for more than 80% of the
total area, hence flat space is limited. Manifold meso-climatic conditions occur in the protect-
ed area mainly due to its mountainous relief and the large differences in altitudes (WEHNER
2011: p. 44ff). On average, the annual temperature range is 18-22°C and precipitation is be-
tween 1100-1600mm. The rainy season is from May to October. In altitudes lower than 800m
laterite soil types can be found. Red soils prevail in altitudes higher than 800 meters (TANG
2013: p. 50ff.).
Xishuangbanna is still perceived as a biodiversity hotspot. Eight vegetation types can be
found: tropical rainforest, tropical monsoon forest, evergreen broad-leaved forest, deciduous
broad-leaved forest, warm-temperate coniferous forest, bamboo forest, savannah and shrub
(WEHNER 2011: p. 45). In the NRWNNR more than 300 species of invertebrates, over 400
species of vertebrates and more than 2300 species and subspecies of higher plants exist (LIU
et al. 2010). These numbers are likely to be threatened. Forest cover has significantly de-
creased to 50% in 2003, with deforestation most severely affecting tropical rainforest (LI et al.
2008). This is especially true for the buffer and experimental zones, while the largest share
of natural forests can be found in the core zone.

36
 
Figure 12: The NRWNNR and its location within Xishuangbanna, Yunnan, and China

Source: GHORBANI et al. 2012: p. 3

   

37
4.2 Social Characteristics
The state owns 74% of the total area of the NRWNNR, e.g. rivers, mountainous forestland
especially in the core zone. About 26% of the land area is collectively owned which also con-
tains a high share of natural forest coverage (60%).
In 2004, a total of 32 natural villages in the NRWNNR was inhabited by 5,566 residents with
a mean of 40 households per village. Each natural village belongs to one of the five adminis-
trative villages ManDian, Daan, Benggan, DaNuoYou, and Naban, which lie in one of the two
counties Menghai and Jinghong. The villages differ greatly in terms of size, population den-
sity, income and social conditions. One of the factors that is similar in all villages is the
household size: 4.3 people on average. The per capita income per year was about 1,794 RMB
in 2004. The main income source is agricultural production. The composition of income has
changed substantially during the last decades. TANG (2013: p. 55) states that “… although all
are situated in the NRWNNR, different villages have different agricultural industries because differ-
ent towns and villages possess different policies, capabilities and administrative interventions to de-
velop agricultural industries”.
The access to infrastructure and telecommunication is often limited, especially for transpor-
tation during the rainy season. Eight primary schools in the NRWNNR are responsible for
basic formal education.

Picture 7: Elderly couple in ZhongZhiChang

38
 
Xishuangbanna is home to a large number of ethnic minority groups. The largest of the six
ethnic groups in the NRWNNR is Lahu (50.34%), followed by Hani (23.37%), Dai (11.37%),
Han (10.22%), Yi (3.34%) and Bulang (1,35%). According to WEHNER (2011: p. 46) there is a
close connection between belonging to an ethnic group and the traditional land use. Thus,
Dai are traditionally known as rice farmers and Lahu as shifting cultivators, hunters and
gatherers. Other groups have practiced a mix of both land use types. Han migrated into the
region in the first part of the 20th century as a result of persecution and adopted the cultiva-
tion practices from the surrounding villages.
Some communities have been resettled and villagers have been migrating during the last 50
years due to political, infrastructural, and economic internal and external influences and
forces and external aspects of nature conservation. Therefore, only a few of the 32 villages
have been existent in the region for a longer period of time. The oldest settlement may have
been founded 500 years ago.
Influence of humans on the environment has increased in the last decades as a result of mi-
gration, population growth, and modified land use systems (TANG et al. 2009; TANG 2013: p.
50ff; WEHNER 2011: p. 44ff.).

4.3 Village description

In Table 3, villages are ranked by stated income, starting with the financially richest village.

Table 3: Village descriptions

Arable
House- Altitude in Average income
Village Population Ethnicity Land
holds meters (RMB) /pp/a
(mu)
Kemu 22 105 Unknown Kumu No data 6700
Pabin 39 163 770 Hani 125 6500
ChaChang 29 91 750 Lahu 105 5710
Naban 42 187 690 Dai 480 4970
ManDian 67 289 670 Dai 130 4900
ZhongZhiChang 20 101 690 Han 75 3514
Huilao 42 175 1230 Lahu 291 3113
BanQianDi 10 60 1000 Lahu 133 3084
Source: WEHNER 2007 and own research

The following five villages mainly depend on rubber for their income generation: Kemu,
Pabin, ChaChang, Naban and ManDian. Additionally, Huilao and ZhongZhiChang depend
on rubber only to some extent, and they were found to have rather diversified income
sources. Finally, there is currently only a small dependency found for BanQianDi, since they
just began to receive income from rubber in 2012. For further information on villages within
the NRWNNR, see chapter 5 and WEHNER 2007.

39
Kemu
Kemu village was established in 1982. At present there are 22 households with 105 people
inhabiting the village who for the most part belong to the Kumu ethnicity. Rubber is cultivat-
ed on 2420 mu and the mean annual income per person is 6,700 RMB, which makes Kemu
the richest village of the whole research area. The first rubber trees were cultivated in 1984,
when the government required each household to cultivate at least 1 mu. Additionally, the
villagers have been cultivating dendrobe since 2009 (Village head). The communal land was
created for non-farming use in order to protect water, common traditions and to use it as
wood resource. Nowadays, the village is surrounded by a state farm, which also offers train-
ings and seedlings, as several Kemu farmers mentioned.

Picture 8: House in Kemu Village

Pabin
Pabin village consists of three parts. It is around 30 to 40 years old and was moved twice
from its original location. Initially, the village was located close to Menghai but the area was
determined to be the NRWNNR’s core zone. As a senior farmer said: “In 1966 the government
moved the village to another location. But access to transportation and infrastructure in the second
location were insufficient in 1975, and the village was moved to the present location.”
The village consists of 42 households and one village community house (for meetings and
dances). In total, 163 people live in Pabin mostly belonging to the Hani ethnicity. They have
an annual income of about 6,500 RMB, making it the second richest village in the research
area. There is a communal land area, but it is forbidden to cut down trees due to NRWNNR

40
 
regulations. Most of the people have livestock and grow vegetables for subsistence (such as
pumpkin, carrots, cabbage). All farmers in Pabin were found to plant rubber, however not all
are tapping. 100 mu is the biggest area of rubber plantation (Village head and NRWNNR of-
ficial) in Pabin.

ChaChang
ChaChang lies at an altitude of 750m and was established some 35 years ago. It is inhabited
by Lahu people and it used to be a tea producing village. However, tea is not cultivated any-
more. There are 29 households and a total population of 91 inhabitants. Rubber is currently
cultivated on 735 mu and the average income per person per year is 5,710 RMB.

NABAN
Naban village is around 500 years old (Village head). It is located at an altitude of 690m and
consists of 42 households. The majority of inhabitants belong to the Dai ethnic group, with
some Han Chinese and Lahu. Rubber is cultivated on 780 mu. The average annual income is
4,970 RMB. Information from the village head and the NRWNNR official shows that the
village was connected to the power grid system in 1958 but only recently in 2011 was it con-
nected to roads. Naban village is very rich in flat lands, so the majority has been cultivated
with rubber already. Besides planting hybrid rice, in the winter Naban farmers also cultivate
muskmelon and watermelon (2013: p. 58).

Huilao
Huilao belongs to the administrative village of DaNuoYou and lies at an altitude of 1230 m.
There are 42 households that can be located within the village. The majority of the 172 inhab-
itants are Lahu with only three Han Chinese living in the village. Information from the vil-
lage head and a Huilao NRWNNR official suggests that before 1950, villagers lived up in the
mountains and were gradually resettled to the present village up until 1990-1991 as the pre-
sent village is connected to a road and is closer to rubber farmland. The main crops that are
cultivated are rice for subsistence use, maize, yams, bamboo, coffee, tea and honey while
livestock is mainly chicken, pigs and geese. Even though rubber is being cultivated on an
area of 1038 mu, the average income per person is still fairly low with 3,113 RMB.

ManDian
ManDian village is set up by 67 households with 288 inhabitants. ManDian is the most pop-
ulated of all researched villages and people belong to the Dai ethnic group. Rubber is culti-
vated on 2098 mu and the mean income per person and year lies at 4,900 RMB. With an
average altitude of 670 m, ManDian is suitable for planting rubber. According to the village
head, rubber cultivation in ManDian began in 1984, inspired by the ManDian-State farm,
which was founded in 1982. Consequently, the mountainous lands are all cultivated with
rubber trees so that some villagers are renting land from outside to plant even more rubber.
Additionally, the village also cultivates 12 mu of dendrobe.

41
 Picture 9: Buddhist temple in ManDian

BanQianDi
BanQianDi is the only one of the researched villages that belongs to Menghai County. The
ethnic group inhabiting the village is Black Lahu. They were transhumant before settling
down in 1953 after a governmental distribution of land and forced to lead a sedentary life. The
village lies at an altitude of 1000m, at the border of climatically possible rubber cultivation. It
is set up by 10 households with a population of 60 inhabitants. According to the village head,
villagers only started to grow rubber recently in 2005 which explains the fairly low mean in-
come of around 3,084 RMB per person.
According to the village head and an NRWNNR official, Lahu people were living in Naban
River, GuoMenShan and HuoNanShan. As no roads were leading to these villages, the gov-
ernment wanted them to move in order to improve their organization. In addition, as the
forest is a biodiverse hotspot, human activities should be limited and people were moved to
BanQianDi around 10 years ago. While GuoMenShan is in the NRWNNR’s buffer zone,
Naban River and HuoNanShan are in the experimental zone. People received a compensa-
tion of about 500 RMB and the roof for constructing a new house from the government

42
 
when they moved to BanQianDi. But they claim that the compensations were actually not
high enough to start a new living and compared to what they had given up in their old villag-
es.

ZhongZhiChang
Picture 10: ZhongZhiChang

ZhongZhiChang is a natural village which lies at an altitude of around 700 m and belongs to
DaNuoYou. The people living in ZhongZhiChang mainly belong to the Han ethnicity and
were resettled from the mountainous Dabonggang in 1984, as their old lands were in the
area of NRWNNR’s experimental zone. It is comprised by 22 households and villagers have
been cultivating rubber since 1987. Living standards are fairly high with a mean annual in-
come of around 3,514 RMB per person. Nowadays, all households plant rubber trees which
also take the main share in terms of land use. Ten households were found to be renting land
from outside the village, namely from Huilao and DaNuoYou Village. The renting schemes
are set up for a period of up to 50 years (Village head).

43
5 Rubber cultivation in Xishuangbanna
The area around Jinghong is characterized by much agricultural activity. With regard to his-
torical changes there has been a shift from cultivating huge varieties of food crops towards
focusing only on cash crops like bananas, tea, and rubber. This shift was induced by the gov-
ernment’s intention to promote a more market oriented agriculture. In the following section,
the most important of these are presented in order to create an understanding of the current
agricultural situation in Xishuangbanna and the NRWNNR.

5.1 Land Use policies before 1980’s

Currently, China’s society is characterized by a wide range of economic and cultural stages.
While there is enormous development and growth in the cities, traditions and indigenous
knowledge still play an important role in rural areas. The country has faced rapid transfor-
mations in different sectors of which economic growth is potentially the most important,
though institutional and social changes have also had a substantial influence (TANG 2013).
An individually owned family farm system, which was mainly characterized by its small size,
had been the traditional Land Use System in China for thousands of years until 1949 (LIN
1997). Since the foundation of the People’s Republic of China in 1949 a main focus in the
Chinese policy systems on all levels had always been to improve agricultural development
(TANG et al. 2010). The incentive of these strategies, which involved the promotion of new
technologies as well as the confirmation of the land property system, was to reduce poverty
and strengthen the economic viability of the agricultural sector (TANG et al. 2010).
The first Land Reform in China was implemented from 1949 to 1953 (TANG 2013). The main
purpose of this reform was to redistribute the land according to a head count. All rights con-
cerning land use were given to the farmers, meaning they officially became the owner of
their land and had the usage rights (TANG 2013). The program was completed in 1952, after
the success of the socialist revolution (LIN 1997). By that time agricultural production ac-
counted for more than 50 percent of the national GDP (FAN et al. 2006).
In the 1950s, the Chinese government started to collectivize the land. The idea behind collec-
tivization was to mobilize people from rural areas to work in large-scale projects to promote
the industrial sector. Moreover the government believed in improving agricultural productivi-
ty through collectivization (LIN 1997). Until 1962, when it became mandatory, farmers were
encouraged to give their land voluntarily to the collective communities in which they partici-
pated. Since the collectivization approach by the Chinese government was on a voluntary
basis in the first phase, there was no strong resistance from the farmers (LIN 1997). In 1958,
the Chinese Party began to form People’s Communes. The basic function of these Com-
munes was to increase agricultural efficiency by increasing production units. Due to this in-
creased efficiency former agricultural laborers were meant to work in the construction indus-
try in urban areas: “The average size of a commune was about 5000 households, with 10,000 la-
borers, and 10,000 acres of cultivated land” (LIN 1997: p. 204).
The work regulations of the rural People’s Communes, which consisted of 60 articles, forced
all farmers to participate in the People’s Commune in 1962 by collectivizing their property
(TANG 2013). These articles built the legal framework for the Communes. People’s Com-

44
 
munes were organized in production brigades (200-400 households) and production teams
(20-40 households) (TANG 2013). Between 1959 and 1961, the Chinese Communal Movement
faced a severe crisis due to the fact that production was not as successful as it should have
been. As a result, nearly 30 million people died of starvation or malnutrition (LIN 1990 in LIN
1997). Despite this, the collective farming system combined with the promotion of grain,
cotton, and other agricultural products were liberating forces for the industrial development
of China (LIN 1997). On the other hand though, the outcome of this policy led to poverty
among farmers and agricultural workers as well as a misallocation of natural resources (LIN
1997).
The implementation of developed technologies and procedures such as irrigation and chemi-
cal fertilizers and pesticides, combined with new varieties of crops had not yielded the ex-
pected success. It was in 1978 when this started to change because of a series of reforms in
the rural areas of China (LIN 1997). The Household Responsibility System, which granted
more decision making freedom to the production teams finally brought the desired effect:
Agricultural productivity increased and farm workers got an incentive again to feel more re-
sponsible for their actions.

Property rights
Before the first Land Reform in China in 1949, almost half of the arable land belonged to
landlords who were renting their properties to farmers and their families. In order to have
the right to grow agricultural products on that land the farmers had to pay fees which were
“… often as high as 50% of the main crop’s value” (LIN 1997: p. 204). During the land reform
period, the Communist Party re-distributed the land of these landlords to the tenants (LIN
1997). Landlords did not receive any compensation for the confiscated land.
As a result of the forest land reform from 1950-1953 all forestland in China was nationalized.
Shortly after this reform the collectivization began and in 1957 the first collective forest farms
were established (APEL 1997).
In 1958, the Agricultural Production Collective Movement was established in the NRWNNR
and in the whole country. From then on the farmers were working together in the fields,
which belonged to the village community (TANG 2013). A work-quota regulated the distribu-
tion of income that came from the agricultural products from the land.

5.2 Implementation of the Household Responsibility System

In 1979, after the end of the Cultural Revolution and the death of Chairman Mao Zedong the
new government implemented a major change in rural policy. Due to the communal systems
not being as productive as expected there was a shift towards imposing responsibility back to
Chinese households. At that time the Household Responsibility System (HRS) was restricted
to the less developed agricultural regions like mountainous areas (LIN 1997). Additionally the
political transition seemed to contradict the socialist policy of China at that time (WEHNER
2011). However, by 1981, the HRS was officially recognized throughout the entire country and
by the end of 1983 it had reached nearly every rural household in China (LIN 1997). In
Xishuangbanna the HRS was implemented around 1980. After a transition phase the collec-

45
tive land was abolished and transferred to individual households (WEHNER 2011). This trans-
fer also included a change in land use itself. Now, farmers could individually decide about
production management on their land. The former People’s Communes were transformed
into townships. The same happened on other levels: production brigades became administra-
tive villages and production teams then were transformed into natural villages or village
group administration (TANG 2013). The HRS accompanied a land classification campaign.
This campaign distinguished between state and collective land (WEHNER 2011).

Property rights
After the initialization of the HRS, the collective land was distributed to the different house-
holds (WEHNER 2011). In 1983 contracts for land leasing were assigned to the households.
Initially they were contracted for 15 years. The first extension of these contracts occurred in
1998, with the latest extension in 2008 enabling the land owners to increase their lease for a
period of 30 years, and particular a 50-year increase for forested land (WEHNER 2011).
There are several laws that regulate property rights of land and tenure in China. According to
WEHNER (2011) the most important regulations are:

• General Principles of Civil Law of China (NPC 1986);

• Land Administration Law (NPC 2004);
• Law of the People’s Republic of China on Land Contract In Rural Areas (NPC 2002).
Besides regulating property of land and administration, these laws intend to organize the
protection of farmland (WEHNER 2011).

5.3 History of Rubber cultivation in the region of Xishuangbanna

The rubber boom in China started in the 1950s. When the Korean War ended, natural rubber
imports were inhibited by the United States’ trade embargo (CHAPMAN 1991). The opening up
of China’s industry towards market orientation had a distinct effect on natural resources in
Xishuangbanna. Forestland, shrub land and plantations are current types of land use in the
region of which rubber cultivation has the most significant impacts on the regional economy.
In Xishuangbanna, industrial rubber cultivation started around 1980. The core area of rubber
cultivation can be found around Xishuangbanna's capital Jinghong. Traditional self-sufficient
agriculture, livestock keeping and shifting cultivation were still practiced by minorities in the
mountainous regions by that time (ZHAO-LU 2006). But under the local and national goal of
economic growth, the landscape has rapidly changed from high diverse forests and complex
agriculture into monoculture of tea and rubber cultivation (STURGEON 2012).
Between the 1960s and 1990s, approximately 50 million rubber trees have been planted in
the whole of Yunnan province (CHAPMAN 1991). Chapman (1991) argues that the success of
the intensive cultivation of hevea brasiliensis, in a region less suitable for rubber, can be traced
back to the work and skills of the Bureau of State Farm Management in Kunming and, at
national level, to China’s policy to enhance domestic production rather than depend on im-
ports. Rubber cultivation was not very successful in the beginning due to a lack of skills and
forest dieback. This is why the Bureau of State Farm Management implemented a strategic

46
 
plan to minimize these losses (CHAPMAN 1991). In the 1960’s and 1970’s, state farms were
established around the city of Jinghong. These state farms were enormous in size and were
technically well developed compared to rubber farms in the neighboring countries Laos or
Myanmar.

Picture 11: Rubber tree in Kemu village

Due to the HRS, there was a shift from state farms towards rubber cultivation on family
owned farms. This trend became most visible around 1985 when smallholder plantings
spread enormously throughout China (CHAPMAN 1991). The livelihoods of local farmers
started to improve as a consequence of improvements to their cultivation system. In addition,
other stakeholders, like local governments further encouraged the farmers to try planting
new species and using new technologies (TANG 2013). The average income in Xishuangbanna
thus has increased around ten times between 1988 and 2003 (AHLHEIM et al. 2012). The year-
ly average profit of one mu of rubber amounts from 2,000 to 5,000 RMB. In comparison,
the net benefit of hybrid rice is 700 RMB per mu (TANG 2013). The promotion of other agri-

47
cultural products like fruit trees and other cash rain-fed crops failed due to several reasons, of
which investments and high technologies were a limiting factor, and market access and prof-
itability favored rubber as a main income source (TANG 2013).

5.4 Land Use in the NRWNNR

5.4.1 Historical Overview of Land Use

As previously mentioned, the study location is the Naban River Watershed National Nature
Reserve. This reserve was established in 1991, stretches over two counties, Jinghong and
Menghai, and belongs to two townships: Gaza for Jinghong and Mengsong for Menghai
(WEHNER 2011). The nature reserve is managed under the philosophy of the Man and Bio-
sphere Network, which aims to “… facilitate the co-existence of humans and the environment”
(WEHNER 2011: p. 44).
The network was initiated by the UNESCO and launched in the early 1970’s. The division of
the nature reserve into three zones (Core, experimental and buffer zones) aims to achieve a
balance of human and nature living together. The core zone comprises the areas with the
best-obtained primary forests contained within the nature reserve as it is protected from any
destructive activities (WEHNER 2010). Depending on the geographical location the buffer and
experimental zones contain different agricultural activities: rubber cultivation or other crops
(WEHNER 2010). “The forest areas of the lowland zones in NRWNNR have […] experienced the
most fundamental, multidimensional change: from a multi-purpose, spiritual, economic landscape
to a commoditized, mono-structured, single purpose space” (WEHNER 2011: p. 115).
The most important types of land use in the NRWNNR region are secondary forests, rubber
and bamboo plantations, shifting land (wasteland), irrigated land and tea. But the limited and
declining area of collective forest, accompanied by the growing population, have led to an
over-exploitation and degradation of forests, resulting in an increasing loss of traditions.
Hunting was traditionally practiced until it was legally forbidden in 1999 (WEHNER 2011).
Since the introduction of rubber trees in the beginning of the 1980’s, it has become the ma-
jor crop and source of income for many farming households in the reserve area.
Within the buffer- and experimental zones of the NRWNNR, any type of agricultural produc-
tion is allowed and done by the inhabitants of the villages as well as by outsiders who invest
in the region. The majority of the population living in the nature reserve was involved in
paddy rice cultivation, collecting wild plants, bamboo shoots, mushrooms, upland rice and
corn cultivation (ZHAO-LU 2006). Agricultural production was highly influenced by the affil-
iation to different ethnicities that were settled in that area, “... with the Dai as rice farmers, the
Lahu as shifting cultivators and hunters and gatherers and the Akha and other groups as practi-
tioners of both, shifting cultivation and paddy rice cultivation” (WEHNER 2010: p. 46).
Most villagers reported that corn, rice, tea and other vegetables for self-subsistence were the
main agricultural products. Indigenous knowledge about how to grow the different crops
played an important role for farmers. The natural forest was a source for collecting firewood
and wild herbs. There was no cultivation procedure or forest management in the past (TANG
2013). Shifting cultivation was a common procedure before the implementation of rubber
into the NRWNNR. Due to this, the landscape was able to recover naturally from the cultiva-

48
 
tion period, “… but with the introduction of rubber, rotation land was transformed into plantation
land” (TANG 2013: p. 87).

Rubber Cultivation
The earliest state rubber farms in the region around Jinghong were established in the late
1960s and 1970s (CHAPMAN 1991). It was the result from an increased price for rubber on the
world market to meet the high demand for rubber on the national and international market
(LI et al. 2006). Most of the farmers that were interviewed explained that they had started
growing rubber because they observed the state farms’ success and due to this rubber planta-
tions started to expand in the NRWNNR. Furthermore farmers explained that they received
support by state farms as a further incentive to change from crop production to rubber culti-
vation. Pabin was one of the first villages to start rubber cultivation as a monoculture. One
reason for the early adoption was its close proximity to the state rubber farm (WEHNER 2010).

Picture 12: Landscape dominated by rubber tree plantations

Rubber production promises higher incomes than any other cash crop in the region. A
farmer from ZhongZhiChang, who is also one of the pioneers among the rubber farmers in
the village, stated that her daily profit rose about 200 times since 1989. According to her, the
daily profit of a rubber tree was about 0.10 RMB back in 1989 (0.10 RMB*1000 rubber trees =
100 RMB/day). Today, the farmers in ZhongZhiChang achieve a profit of 60 to 80 RMB per
tree per year depending on the market price for natural rubber. Even if those numbers are
subjective estimations, they show to which extent the stakeholders positively perceive their
individual economic growth. Asked why they have started to cultivate rubber most of the re-

49
spondents named “higher profits”. The village head in BanQianDi said: “I saw them
(XiaonuoYou Village) become wealthier and I also wanted to be like one of them. That’s why I’ve
started to grow rubber to increase my income […]. To me, rubber is a way out of poverty“.
A farmer from BanQianDi who just started to plant rubber five years ago said: “If you want to
have a better life, you have to follow what other villagers do. If you have a lot of land you should
plant rubber on it. Other villagers already live a better life, you could also have this life.”
A survey conducted by the Center for Research on Innovation and Services (FZID) at the
University of Hohenheim confirms the findings from the present study. When asked about
their economic situation, 90% of interviewees gave a positive response (Figure 13). At the
same time, almost 80% of the respondents agreed that the environmental situation has got-
ten worse.

Figure 13: Respondent's perceptions of the effects of rubber cultivation on their economic and
environmental situation

Source: AHLHEIM et al. 2012: p. 12

The prefecture accounts for 35% of the national total rubber production, which is reflected in
a share of 30% of the total GDP of Xishuangbanna. Apart from the tourism sector, rubber
has been one of the main drivers for the local economic growth and continues to do so
(AHLHEIM et al. 2012).

5.4.2 Land Use Regulations 
The NRWNNR administration is subject to the Nature Reserve Law of China of 1994
(WEHNER 2011), i.e. implementing new policies concerning nature protection must always be
consistent with the law. Splitting up the nature reserve into different zones is one such con-
cept of the Nature Reserve Law.

50
 
The major tasks of the NRWNNR administration are forest conservation management and
scientific research, i.e. biological, ecological and social developments within the NRWNNR
(NRWNNR official). Due to the community co-management approach, the communities
themselves are able to participate in the decision-making process concerning management
issues (WEHNER 2011). International organizations such as the German Gesellschaft für in-
ternationale Zusammenarbeit (GIZ) or the Asian Development Bank (ADB) are also influ-
encing the work of the NRWNNR administration office (NRWNNR official; WEHNER 2011).
When the NRWNNR was established in 1992, the administrative office sought out for native
people to work for them. Initially the primary task of the NRWNNR authorities was to inhibit
the cutting down of natural forest (NRWNNR official). This policy led to conflicts because
regulations to protect the natural forest competed with the expansion of further rubber plan-
tations. In order to prevent farmers from destroying natural forest, forest rangers were en-
listed and were responsible for controlling the adherence of the people to the NRWNNR reg-
ulations (forest ranger). Furthermore the aim of the forest ranger is to educate the villagers
on how to protect the natural forest and how to prevent fires. In the case that regulations are
impinged upon punishments can be imposed.
Due to the government expanding power over the NRWNNR’s area, some village re-
settlements were implemented within the nature reserve. One reason for relocation of some
villages was for a better organization due to increased accessibility to the village itself
(WEHNER 2011). Another reason was the implementation of the different zones, which in-
tends to secure the region’s natural forest. Three different zones were defined in regard to
the region’s river system (NRWNNR official). Farmers were no longer allowed to cut down
more natural forest for further rubber cultivation. Additionally, above an altitude of 1100m
rubber cultivation is prohibited.
Within the core zone of the NRWNNR, no agricultural production is allowed. Due to the
formation of different zones some villages had to be relocated. For example, the village of
Pabin was originally located in the built up core zone and because no human activity is al-
lowed in the core zone the inhabitants had to move.

5.4.3 Property rights

The HRS reform was fully initiated in 1982 in the NRWNNR. Only farmers who legally had
registered their place of residence within the NRWNNR had the right to own land in their
villages (TANG 2013). Yet, the government hasn’t been able to accurately document the actual
amount of land owned by each farmer in the NRWNNR. The reason for this is that there is
no standard of how the cultivation of rotational land is organized (NRWNNR official). For
example, in case of a conflict concerning ownership, the village head of ChaChang would ask
the village elder for help since they know to whom the land belongs. Nevertheless, “… land
previously owned by the people under the institutional arrangements of the People’s Communes at-
tained the status of collectively owned land“(Wehner 2011: p. 92). This collective land is governed
and regulated by administrative village agencies (Wehner 2011).
The state land, which includes land from either state rubber farms or state forest is owned by
the state and regulated by its institutions. Inhabitants of ManDian village complained that
rubber forests are not always clearly defined and because of that property disputes occur.

51
After the legalization of the Land Transfer Rights Agreement, land transfer and land leasing
activities increased rapidly (TANG 2013). This can be explained by the profitability for farmers
to lease land to investors from outside the NRWNNR. For many farmers it is more profitable
to lease their land than cultivating it by themselves either because of the expenditure of hu-
man labor or because of lacking investment possibilities.

5.4.4 Consequences of NRWNNR Regulations on Rubber cultivation

There is no consensus concerning restrictions imposed by the NRWNNR. Some farmers
were aware of the necessity to protect the natural forest and other farmers complained about
not being able to expand their rubber cultivation.
In villages that are close to the core zone, like ChaChang or Pabin, the inhabitants were clear-
ly aware of the benefits that come from the primary forest. Furthermore, they compared their
livelihood with that of other villages and came to the conclusion that due to better air quality
and access to water resources there were fewer complaints in their villages. Many respond-
ents said that the air quality has decreased enormously in the last decade, due to intensive
use of chemicals in the rubber production. Their ancestors still experienced natural forests
full of biodiversity and their natural services but today water scarcity seems to become a seri-
ous problem and some rubber farmers clearly see a link between this and increasing rubber
plantations.
On the other hand, rubber cultivation is still seen as the catalyst to the increasing wealth
among farmers. In addition, the cultivation methods are less elaborate than other crops such
as paddy rice or maize, which, in their opinion, leads to an improved quality of life.
So far the NRWNNR has no power to prevent outsiders to come into the nature reserve and
make use of the land and natural resources. Again, there are different opinions on that.
Some village heads see outsiders as a benefit since they invest in the region and disseminate
new knowledge and skills. The NRWNNR has a more critical opinion on that because often
outsiders build up intensive rubber or banana plantations and therefore contribute to the
increasing pollution.

5.5 Rubber cultivation in the villages within the NRWNNR

When the HRS was introduced in the NRWNNR in 1982, a dramatic socio-economic trans-
formation took place. Local farmers started to improve their livelihoods by cultivating new
cash crops, which were introduced by the government (TANG 2013). Besides hybrid paddy
rice, rubber was by far the most profitable and successful one. Since rubber cultivation start-
ed to boom in the region of Xishuangbanna in the 1980’s part of this research was to identify
the beginning of market oriented rubber cultivation in the nature reserve of the NRWNNR.
Table 4 lists the information gathered from interviews conducted in different villages. It
shows that most villages have started to grow rubber shortly after the establishment of the
state farms in that region.

52
 
Table 4: Overview of rubber cultivation in the villages
Cha Zhong- BanQian
Kemu Naban ManDian Pabin Huilao
Chang ZhiChang Di

Average
beginning of
1996 1997 1993 1988 1986 1997 2007 2001
rubber culti-
vation

Early
1984 1987 1986 1985 1985 1989 2005 1993
adopters

Late
1998 2005 1998 1995 1996 2005 2008 2007
adopters

Rubber plan-
2420 735 780 2098 1070 1322 150 1038
tation (mu)

Percentage
of tapped 100 100 80 75 10 20
rubber

One can see that villages like BanQianDi and Huilao, started growing rubber trees relatively
late. The reason for BanQianDi’s late development is that this village which belongs to the
Menghai County has only been in existence since 2003. The people living in BanQianDi are
currently considered to belong to the Lahu minority. Since they formerly had limited access
to road connections and additionally, part of the forest they had been cultivating is a hotspot
of biodiversity, the government forced them to move to BanQianDi. In the following chap-
ters, the development of rubber cultivation within the sample villages is presented.

5.5.1 Kemu
Before 1984, villagers in Kemu used their land for upland rice and corn. Villagers soon rec-
ognized that rubber development in Kemu could change their livelihood and lifestyle. In
1996-1998, the government provided subsidies of 20 RMB/mu for developing family-owned
rubber plantations, with technical assistance from the state-owned farm such as grafting
rubber trees, tapping, processing and training as a condition of the agricultural conversion
scheme.
Rubber expansion in Kemu is highly influenced by government intervention in the village in
1984. Under rubber development project, farmers received credit funds from Rural Coopera-
tive Credit to fund their rubber plantations. Farmers signed loan contracts with Rural Coop-
erative Credit under their land certificate (Village head). Some villagers were slow to adopt
rubber regardless of the subsidy given by government for several reasons, uncertainty over
food self-sufficiency, ownership, and limited market outlets for selling latex and non-
attractive latex price during price fluctuations (Village head).
Although, rubber plantation will generate income only in 7-8 years after planting, villagers
did not mind waiting to harvest them as they recognized that rubber provides larger incomes

53
compared to other crops such as rice and corn. Most rubber plantation farmers became bet-
ter off. Their livelihoods were getting better from the rubber production in their village, in-
cluding electricity, water supply and infrastructure. During non-attractive latex price such as
in year 2012, farmers were reluctant to sell their latex and store them in solid forms until the
price stabilized in the market.

5.5.2 ChaChang
Agricultural activity is mainly focused on rubber cultivation. In fact, ChaChang’s economy is
mono-structured with rubber the only cash crop.
Before 1992, villagers in ChaChang used their land for banana, corn and tea cultivation. Tea
was a major crop in the village during that time. The majority of the families owned agricul-
tural lands, knowledge and skills came from their fathers or grandfathers. During the late
1991s, conditions in the area become suitable for rubber plantation and by 1997, rubber plan-
tations were established in ChaChang. Government provided subsidies and credit funds to
smallholder farmers at the start. For example, farmers only need to pay 5 RMB per grafted
tree (real cost 8 RMB). As a condition of the agricultural conversion scheme, the government
also provided the villagers with technical support on rubber planting techniques, skills and
training from state-farms. The main road was paved by the government in 2012.
With a higher latex price, the area of rubber plantations in ChaChang increased to 2 000 mu
(29 families) in 2013. More farmers realized that rubber provides larger incomes compared to
other crops such as rice, soybean, corn, and medicinal plants. In fact, most rubber plantation
farmers are better off today. During times of non-attractive latex price, farmers store latex in
solid form until the price stabilizes.

5.5.3 Huilao
It is essential to recognize that every family in Huilao converts their croplands into rubber
plantations on their own initiative after seeing the success of state-owned rubber plantations.
Families did not receive subsidies from government although they planted rubber in their
cropland. Still, farmers involved in this rubber plantation were provided technical support on
rubber planting and tapping techniques by government through the state farm workers. In
2003, price for grafted rubber trees was relatively low compared to the current market price
in Jinghong. In 2003, one grafted tree cost around 1.8 RMB while in 2013, it cost from 15
RMB to 20 RMB.
Rubber plantation will generate income only after 7-8 years of planting. Almost all farmers
have husbandry for self-consumption. Lack of support services to farmers in terms of tech-
nical, credit, inputs, processing could have an adverse impact on rubber plantation manage-
ment and future yields of latex in Huilao.

54
 
Picture 13: View from Huilao

5.5.4 BanQianDi
The villagers of BanQianDi have inhabited the forest area, practicing slash and burn agricul-
ture for generations before their resettlement by the government in 2003.
In 2013, total agricultural land in BanQianDi amounted to 400 mu with 150 mu planted with
rubber trees. Eight out of the ten households in BanQianDi have their land planted with rub-
ber trees since 2007 but most their young rubber plantations are not yet productive. Only
one household in BanQianDi has started to tap his rubber trees. In 2011, some villagers re-
ceived rubber tapping training offered by Agricultural Department in DaNuoYou. Besides
that, farmers learned the technique of land preparation and rubber seedlings from nearby
villages such as XiaoNuoYou and DaNuoYou. Grafted rubber trees could be bought from the
market in Jinghong at prices ranging from of 15 to 20 RMB in 2013.
It is important to note that the majority of households in BanQianDi have decided by them-
selves to convert further cropland into rubber plantations in future to improve their living
standards.

5.5.5 ManDian
In 1986, rubber plantations were established in ManDian as government provided 0% inter-
est loans to smallholder farmers to start rubber cultivation (village head). As a condition of
the agricultural conversion scheme, the government also provided the villagers with technical

55
support on rubber planting techniques, skills and training from state-farms. ManDian’s
economy is mono-structured as rubber is their only cash crop.
Every family in ManDian had planned by themselves to convert their croplands into rubber
plantations after they saw the success from state-owned rubber plantation. The seedlings
were bought from neighboring village, state farms, and the market in Jinghong at different
prices. Livelihood has improved from rubber production in their village, including electricity,
water supply, health service, housing settlements and paved roads.
The landscape of this traditional rice growing village was changed by an influential farmer.
He started to cultivate rubber on his land in 1985. But in 1987, he went to work on a state
farm to learn how to grow and tap rubber. Upon the return to his village, he decided to con-
vert his croplands into rubber tree plantation to lift his family out of poverty. He started tap-
ping in 1993 and now owns 94 mu of rubber. His success raised the interest of other villag-
ers to learn how to grow and tap rubber under his guidance. Rubber adoption in the village
has improved the income of households but caused a decline in the tea and rice production.
The survey also provided information on hired workers of the ManDian rubber plantation.
The hired workers interviewed mentioned no problems with their employers. In fact, they
strongly declared that they were happy with their jobs and their livelihood was improving as a
result of the support from the employers who were outsiders renting the land from one of
the villagers in ManDian. Services include free electricity use, water supply, tapping tools,
transportation, agro-chemical and housing settlement. Income from selling latex is divided
between employer (67%) and the hired worker (33%).

5.5.6 Pabin
In Pabin, villagers used their land for corn and tea cultivation before 1986. In 1997, some of
the farmers received extension advice on rubber tapping techniques from government.
Moreover, village authorities also assisted those rubber farmers with rubber tree disease con-
trol in the village. Besides that, farmers learned the technique of land preparation and rubber
seedlings from the state farm.
All rubber farmers stated that rubber provides higher profits compared to other crops such as
rice and corn and that this is the main reason why they converted more of their paddy field to
rubber plantations. Some have not started to tap their rubber trees as their rubber trees as
they are still young. Other than that, rubber planting requires less compared to rice produc-
tion. They presently do not fear about food insecurity as they felt that income generated from
rubber productions are able to provide them with everything they need.
Every family in Pabin had planned by themselves to convert their croplands into rubber plan-
tations after they saw the success from state-owned rubber plantation. Their livelihood has
been improving from the rubber production in their village, including electricity, water sup-
ply, housing settlements and paved roads.

56
 
Picture 14: Pabin

5.5.7 Naban
Before 1986, villagers only planted corn, bamboo and tea. They depended on collection of
forest products and upland rice cultivation. Presently, they have a limited number of paddy
rice fields as most of their rice fields have been converted to either banana or rubber planta-
tions. In 1986, rubber plantations were established in Naban when the government provided
free rubber seedlings for one mu of land to smallholder farmers (Leader of women group).
As part of the agricultural conversion scheme, the government also provided villagers with
technical support on rubber planting techniques, skills and training from state-farms.
For several reasons, some villagers were slow to adopt rubber regardless of the subsidy given
by the government: altitude of village, temperature, uncertainty over food self-sufficiency,
ownership, and limited market outlets for selling latex and non-attractive latex price (Leader
of women group).
Still, rubber farmers recognized that rubber provides higher profits compared to other crops
such as rice and corn. This is the main reason why they converted more of their paddy field
to rubber plantations. The seedlings can be bought directly from the state farm or the market
in Jinghong. Presently, they do no longer fear food insecurity believing that income generat-
ed from rubber production is able to provide them with everything they need. Over the years,
most rubber plantation farmers became better off. Some villagers also highlight the long life

57
of rubber trees as an opportunity for their children to inherit these productive assets. Their
livelihoods improved as a result of rubber production in their village, including electricity,
water supply, housing settlements and paved roads. The main road to the village was paved
in 2011.

5.5.8 ZhongZhiChang
ZhongZhiChang, one of the poorest villages within NRWNNR was the first to grow rubber in
1989 under a credit scheme provided by government. In 1989, rubber plantations were estab-
lished in ZhongZhiChang as government provided credit funds to smallholder farmers to
start rubber cultivation. The credits are used by the farmers to buy grafted trees but they have
to return the credit on the following year (1990, rubber farmer). As a condition of the agricul-
tural conversion scheme, the government also provided the villagers with technical support
on rubber planting techniques, skills and training from state-farms. Villagers started to ex-
pand their cropland in 1997 and convert their paddy and corn fields to rubber plantations.
Some villagers have more than 100mu of rubber plantations. The head of the village for ex-
ample owns 700mu of rubber plantations.
All farmers recognized that rubber provides higher profits compared to other crops such as
rice and corn. This is the main reason they converted more of their croplands to rubber plan-
tations. Rubber adoption in the village has improved the income of households but caused
decline in the tea and rice production.
It is essential to recognize that every family in ZhongZhiChang had planned by themselves
to convert their croplands into rubber plantations after they see the success from state-owned
rubber plantation and neighboring rubber village. They bought the grafted rubber trees from
Jinghong market to plant on their land. In 1989, one grafted tree cost 1,5 RMB while in 1997
the price had risen to 5.5 RMB per grafted tree. Some villagers also highlight the long life of
rubber trees as an opportunity for their children to inherit these productive assets in future.
Their livelihoods improved from rubber production in their village, including electricity, wa-
ter supply, housing settlements and paved roads. The road leading to the village was in 2010.

5.6 Income Alternatives to Rubber in the NRWNNR

The region’s tropical climate and favorable location near the Mekong and its tributaries allow
for rural production of many types. Livestock, annual, and perennial agriculture are possible
and have been practiced throughout history (TANG 2013: p. 79-85). It was observed during our
stay that almost every meal in the villages contained food that was picked from the nearby
fields. For example, in Kemu, there was freshwater seafood fished from the river adjacent to
the village in 2 meals a day. Food sources ranged from a lemon tree in the front yard, a cab-
bage patch nearby, family sustenance livestock, and harvested inflorescence of many trees.
The food was of a variety that could be compared to the finest international menu imported
from around the world with products from less than 50 kilometers away. The region is very
famous for tea and tobacco as well. This is just a testament to the versatility and access to
production that rural inhabitants may have in the villages.

58
 

5.6.1 Definition of terms

By a simple definition an alternative is “available as another possibility or choice” (OXFORD
DICTIONARY), but that is too broad when considering all of the options available to tropical
climates. Possible alternatives in the NRWNNR are endless but many are not economically
viable and could not support a household in place of rubber cultivation. The definition cho-
sen for this research was to focus on rubber and to find alternatives that may be able to sup-
plement or even replace rubber as an income source for families. Thus, alternatives, in this
case, would need to be viable biologically as well as being considered competitive or supple-
mental with rubber production.

5.6.2 Alternatives in the NRWNNR

TANG Lixia (2013) has gathered information on previously implemented programs by the
NRWNNR and partner organizations for past implementation of alternatives in the village.
This combined with one of our interviews with an NRWNNR official gives us sufficient in-
formation to conclude that one will not find many economically viable alternatives in the area
that are not listed by her or implemented in conjunction with the NRWNNR (NRWNNR offi-
cial).
In the interview with the NRWNNR official it became clear that the crops being harvested
were introduced by an internal program in association with other groups. Rubber had been
introduced by various governmental and private organizations over a long period of time but
the alternative crops or livestock were being introduced as a program of the NRWNNR. One
of the main goals of this research was to identify how, when, and who disseminated
knowledge about all aspects of life for the villagers and in an overwhelming number of inter-
views we found that the official’s account about the spread of knowledge on alternatives was
correct. Villagers learned of these alternative programs via governmental organizations,
which were not always identified by name but were associated in some level to the
NRWNNR.

5.6.3 Field research findings

As previously discussed, the vast majority of income across the Jinghong side of the
NRWNNR was in natural latex production (NRWNNR official). Not all of these possible al-
ternatives in the NRWNNR were competitive with rubber for some reason or other. This sec-
tion will try to properly paint a picture of past, current, and future income alternatives to
rubber as portrayed by the villagers.
Tables 5 and 6 are a compilation of the data gained from the interviews. There are three cate-
gories of participation in alternatives for income. Table 5 is a check mark for current produc-
tion and sale or developing the product for sale. The second is a diamond for future plans to
produce an alternative and finally the last symbol, P, is for past endeavors that failed for a
multitude of reasons. Even though tea draws a much smaller income amount than rubber we
decided to include it since they were still choosing to grow it even when they could replace it
with rubber in many cases. Finally, there occasionally may be two markers in a single box.
For example, a P and a ♦ would signify that they have a future interest in the alternative but
they have previously failed in the past in this endeavor. These graphs are limited in scope by

59
the questions we asked, the villagers we had access to, translation errors, and potential psy-
chological issues associated with answer questions to foreign researchers. But even with the-
se hindrances the response to our presence in the NRWNNR and the willingness of people to
help us with our research gives confidence that they have answered to the best of their
knowledge.

Table 5: Agricultural alternatives to rubber in the villages

Nut Intercropping Den- Cash Ba-
Villages Livestock Tea Grafting
Trees with rubber drobe crops nana
ManDian √ ♦ √ √♦
Naban √ √ √
Pabin √ √
Kemu ♦P ♦ √
Huilao √ √
ChaChang √
BanQianDi √ ♦ √ √
ZhongZhi
√ √ √
Chang

Table 6: Non-Agricultural alternatives to rubber in the villages

Non-farm
Villages Restaurants/shops Renting out land Tourism
part-time work
ManDian √ √ √ ♦P
Naban √ √ √
Pabin √ √ √
Kemu √
Huilao √ √ √
ChaChang √ √ √
BanQianDi √ ♦
ZhongZhiChang

Table 7 is a valuable indicator of past and present agricultural alternatives programs. There
are a few trends worth noting from this chart for the purpose of this analysis. The promoting
agents for a very large portion of these programs had some sort of governmental organiza-
tion and the adoption status of these and the large proportion of programs for forestry land.
This may be an indicator of where these promoting agents’ interests are. Most of the paddy
land crops will not create as much revenue as the rotational or forest land crops.

60
 
Table 7: New plants introduced to the NRWNNR
Plants Year Promoting agent Adoption status Main reason
Paddy Land
Hybrid paddy Local formal agricultural Dominant agricultural
1986 High yield
rice extension system crop
Capsicum 2002 Outside Businessmen Failure No market
Not suitable to
Local Institute of Tropical local natural
Bean 2006 Failure
Crops conditions; mar-
ket
Planted only by some
Ag. Technology station,
Watermelon 2002 land lessees but not
outside businessmen
local farmers
Complex Tech-
Agricultural Science Insti-
Winter Melon 2006 Failure nology, costly
tute
and no market
Simple Technol-
Autumn Maize 2001 Neighboring Villages Secondary Crop
ogy
Rotation land
and forest land
Rubber 1984 Jinghong plantation farm Dominant forest plant
Comparatively
1984- Initially successful but
Amomum Pharmaceutical company lower profit than
1992 replaced by rubber
rubber
1984-
Sapppanwood Pharmaceutical company
1992
Difficult to man-
age, high tech-
NRWNNR office, Bureau
1996- Failure and let them nology require-
Orange of Science and Technolo-
1997 along ments, low yields
gy
and poor quality,
no market
NRWNNR office, Bureau
1996-
Grapefruit of Science and Technolo-
1997
gy
Complicated
management,
NRWNNR office, Bureau high technology
1996- Failure, replaced by rub-
Lychee of Science and Technolo- requirements,
1997 ber
gy low yields and
poor quality, no
market
NRWNNR office, Bureau
1996-
Longan of Science and Technolo-
1997
gy
NRWNNR office, Bureau Now Dual-cropped with
1996-
Walnut of Science and Technolo- tea in Uncertain
1997
gy Xiaonuoyoushangzhai
Failure, replaced by rub-
Lemon 2001 NRWNNR office No market
ber
Bamboo 2005 Local Government and Some farmers grow near High costly

61
 Plants Year Promoting agent Adoption status Main reason
company contracting land planted transportation
by company
Not suitable for
Winter Yunnan Former agricultural ex-
2006 Failure local natural
Hemp tension system
conditions
Medicine Or- Costly invest-
2007 NRWNNR office Still in pilot test phase
chid ment
High profit, driv-
Formal agricultural ex- Promising new high-
Summer Hemp 2008 en by govern-
tension system altitude cash crop
ment
Source: TANG 2013: pp. 79-80

From these graphs and our data we have found a few important trends in alternatives for
income in the NRWNNR. Renting arable land and forestry land is a reasonable source of in-
come for many villagers across many villages in the NRWNNR. Non-farm work is also a very
large income producer for many of the villagers in the NRWNNR. Another important trend
was the interest in alternatives in general. We will go over all of these findings as well as a
few localized cases in the following sections.

5.6.4 Localized Cases of Alternatives for Income

Specialized conditions that were found are the Yam production in Huilao, Peacocks in
Kemu, and the cooperative effort of BanQianDi.
Yam production in Huilao is an important case. According to the respondents, it was initiat-
ed and implemented privately. The leader of the women group of Huilao reported that the
seeds and technical information was provided to them for production from a business that
produces alcohol from yams. The prices are guaranteed every year and farmers do not need
other inputs such as fertilizer or pesticides. This is an interesting case because most of the
alternative projects in the NRWNNR were introduced via an outside organization in conjunc-
tion with the NRWNNR. With the limited scope of our interviews we are unable to confirm
whether it was an entirely private effort. Table 7 shows that most efforts are dominated by the
NRWNNR or another level of government. With further research into ventures like this pos-
sible implementation of new programs could produce similar successful models.
The NRWNNR carried out a program in Kemu for raising peacock. The program funded free
young peacocks to the farmers as well as care information. The program provided starter
birds for 10 of 22 households (farmer). One family sold 6 of the peacocks for 120 RMB per
kilogram and with each bird weighing 5-8 kg. The program finally failed because the
NRWNNR only provided them with limited technical information. When the birds got a dis-
ease the villagers were unable to cope with the situation. The program ended as a failure but
the farmer said they would try again as it seems to be very profitable if they could keep the
birds healthy (Kemu farmer).

62
 
Picture 15: Dendrobe plantation in Kemu village

BanQianDi has a very ambitious cooperative initiative where farmers will “… cultivate and sell
ecologically produced food plants like tea, bamboo shoots and mushrooms and also rubber. We also
want to establish tourism, so we are planning to build a guest house here” (farmer in BanQianDi).
Part of the plan is to use the cooperative to buy rubber from nearby villages and sell it directly
to the factory at a better price. The organization was started by a villager with the help of
some outsiders. Once the cooperative is fully functioning tourists will be invited to do eco-
tourism in the region associated with the ecologically-friendly food production and the sur-
rounding nature reserve. They have formed a business relationship with a villager from an-
other village for consulting purposes and have established a relationship with the local gov-
ernment. Each person joining the cooperative is eligible to receive a 50,000 RMB loan inter-
est free (Farmer BanQianDi).

Dendrobe
Dendrobe is considered as an alternative of investment for the farmers in some of the villag-
es. As most of the new investments projects, it was brought by an outside organization in
conjunction with the NRWNNR. This orchid species is used in Chinese traditional medicine
and if grown properly the sale can be more profitable than rubber (Farmer Kemu).

63
The farmers of Kemu made it clear that dendrobe would be an accepted alternative if they
would profit from it like they do with rubber. As explained by nearly all the interviewed farm-
ers, it is the lack of necessary techniques and knowledge about the production of this species
which hinders production. “Kemu needs training and management skill in dendrobe or orchid
flower, other plants can make more money than rubber” (Forest Ranger). Dendrobe requires dif-
ficult cultivation management skills. It cannot be in direct sun nor can it be planted directly
into the soil. Most farmers of Kemu described the initial failure as lack of knowledge but
were interested in learning more with their current dendrobe cultivation. Dendrobe failed
only when they had problems with the plants and they were unable to get into touch with
extension advisers (Farmer).
Six out of nine respondents in Kemu expressed interest in replanting dendrobe and all con-
sidered the NRWNNR and its extension services in a very positive manner. They feel that
they have learned a lot from the process and are interested in working with the NRWNNR on
continuing dendrobe and possibly try other programs.

Land Rent
Many villagers are renting out land both for forestry and for arable land crops. Farmers pro-
vided us with many reasons as to why they rent out their land. A farmer in ManDian said: “If
you tap large amounts of rubber it is likely that you will not have time to cultivate rice or other ara-
ble land crops. […] Another reason for renting is simply because there are regulations against plant-
ing rubber on arable lands.”

Picture 16: Banana plantation

64
 
In table 8 specific reasons for renting are displayed, village by village with specific interview
responses.
In the village of Naban, many villagers are renting out to a banana producer because they
would make less money by growing rice on that land. Most of the interviewees in Naban are
renting out their land through multiple different contractual schemes that differ in amount
per mu and length of time. With much certainty we were able to conclude that in the small
village of Kemu they were not renting out any land. Why one village or a specific villager
rents out their land has a variety of reasons but most renting farmers have a very positive
view of renting land.

Table 8: Reasons for renting land in different villages

Village Observed situation Reason for leasing/renting
¾ To learn from the outsider
The village head leases half of his land to a banana
ChaChang ¾ To increase income
farmer who is from outside the NRWNNR

¾ At present there is no pos-

sibility to expand rubber for-
The village head doesn’t know anyone from his
Kemu ests due to NRWNNR re-
village leasing land
strictions

¾ more profitable to lease

A rubber farmer leased part of her land to outsiders
arable land than cultivate on
who wanted to cultivate beans, pepper and corn,
her own
however it failed due to lack of knowledge about
¾ tapping rubber is time con-
ManDian local weather conditions and market mechanisms
suming

•
• lease arable land so as to
The villagers have leased almost all of their rice
not depend on harvest
crops and arable land to outsiders

A farmer rented 20 mu from another villager on a ¾ Increase production

50-years contract and paid 30,000 RMB in cash

Zhong-
ZhiChang
The village head of ZhongZhiChang rents 700 mu
of land mostly situated in DaNouYou and Huilao/ ¾ unknown
HuoNan; all land is not suitable for rubber cultiva-
tion, therefore he intercrops nuts and coffee
¾ not enough money to culti-
A farmer rents part of her land to outsiders from
Pabin vate rubber trees on her own
Menghai

A farmer rents part of his land to an outsider; there

are inconsistencies concerning the duration and ¾ important source of income
Naban
renting schemes; currently he gets 1,000
RMB/mu/year

65
The benefits of renting out for farmers are free time to invest into rubber production, extra
income that surpasses the amount of money they could make if they cultivate the land them-
selves, and a farmer in ManDian described it as a secure income source. If rubber prices
dropped she felt that she would still get the money for renting out her land (Farmer). Negoti-
ations for the rental contracts and prices paid are often mediated by the village head but the
final decision in Man Dian is up to the family renting the land. In Naban, the banana farmer
approached the village head as well but each of the contracts varied in their characteristics so
it is likely that they were finalized privately as well.

Off farm work

Extra income from non-farm labor or from out of village employment was quite common. In
the rubber off-season villagers would often go to a nearby city such as Jinghong and take
work as a laborer. A farmer from Kemu said: “My husband would work in the off-season of rub-
ber in Jinghong doing construction work. He is often staying in Jinghong for a month straight and
returning home for a couple days. When the rainy season begins he returns back to Kemu to har-
vest.” While our research did not focus on this form of income many rural development stud-
ies based in Africa, and Latin America find that diversification into non-farm income is corre-
lated with larger and more stable income (ISGUT 2004; TIMOTHY 2011; BARRET et. al. 2001).

Intercropping
Early in 2013, JuZiDi, BanQianDi, Pabin and ManDian were selected for the intercropping
project introduced by NRWNNR with collaboration with Xishuangbanna Tropical Botanical
Garden (XTBG) and the China Academy of Sciences. 70 mu in JuZiDi, 60 mu lands in
BanQianDi, 300 mu lands in Pabin and 40 mu lands in ManDian are used for this project.
In this project, rubber is intercropped with medicinal herbs such as Flemingiaphilippinensis
(Qianjinba千斤拔), Cortex cinnamoni (Rougui肉桂), Rauvolfiaverticillata (Luofumu萝芙木).
The research was done by Xishuangbanna Tropical Botanical Garden (XTBG) and China
Academy of Sciences over the past 10 years. Associate Prof. TANG Jianwei is in charge of this
project. XTBG has made studies on rubber agroforestry, where rubber plays a major role and
is associated with perennial crops.
The aim of this research is to diversify rubber agroforestry systems that have potential to im-
prove the productivity and economic profitability as compared to the monoculture of rubber.
Besides that, the systems of rubber intercropping with economic and medicinal plants can
help maintain or restore biodiversity. A comparison community of rubber monoculture was
established simultaneously. Observations were carried on the dynamics of plant growth, soil
moisture, soil nutrients, and soil bulk density. There is a compensation of 40 RMB/mu/year
for farmers whose lands are selected for this intercropping project.
Based on the research done by XTBG, QianJinBa is able to maintain soil moisture and im-
prove soil nutrients in rubber plantations and extend the lifespan of rubber trees. Besides
that, based on the research done by the China Academy of Sciences, rubber trees that are
intercropped with QianJinBa mature 1-2 years earlier, and rubber trees could be tapped at the
6th year instead of at 8th year. Normal lifespan of rubber trees without intercropping with
QianJinBa is 24 years whereas lifespan of rubber intercropped with QianJinBa is extended to

66
 
32 years. Apart from that, leaves of QianJinBa could be collected for fodder and also for hu-
man consumption.

Conclusion
Many alternatives for income programs have come to the NRWNNR and some remain while
others failed. A recurring theme across all of our interviews was a very positive outlook on
trying out alternatives. Most farmers would be willing to try these ideas as long as they are
considered competitive with rubber. As some of these projects did not compete with rubber
for land use and villagers saw them as profitable they showed serious interest.
Most of the knowledge dissemination about agriculture in the region is done though exten-
sion, the NRWNNR, and some private firms. Though many farmers thought that the exten-
sion services have been visiting less and less they still held a very positive opinion of these
personnel. Implementation of these alternatives was seen as very positive even if they failed.
The overall level of trust that villagers have of these knowledge dissemination services is
quite high. Therefore, implementation of these alternatives is likely to have few problems if
they can be portrayed as profitable to these farmers which is the main characteristic they
were interested in.

67
6 Stakeholders and their role in rubber cultivation in
NRWNNR villages
This chapter gives the purpose of the Stakeholder Analysis in this study. How to gain under-
standing about the key actors regarding rubber cultivation in villages within the NRWNNR,
assessing their interest and influence in decision-making of more sustainable cultivation
methods, new land-use concepts and conservation.
Four social actors were defined as key stakeholders with different levels of interest and influ-
ence in decision-making regarding rubber cultivation, namely: rubber farmers (with land
ownership or leasing land), village heads, NRWNNR officials at the village level and hired
workers.
Table 9 describes briefly the source of power of the four key stakeholder groups identified.
Table 9: Overview of Key Stakeholder groups

Stakeholder groups Source of power

Land ownership or leased land, expertise, labor, social net-

Rubber farmers
work

Support by villagers;
Village heads
Connections with upper level authorities

NRWNNR Authori- Government upper levels;

ties Sometimes also confidence from farmers

Expertise in rubber cultivation;

Hired workers
Sharing profits with the employer according to latex yield

As mentioned in chapter 2, one of the limitations of the stakeholder analysis is the treatment
of stakeholder groups as a separate entity. This is the case e.g., when analyzing the village
authorities who, besides their administrative position and leadership, are also rubber farm-
ers.

6.1 Rubber farmers

Farmers are the key element in our stakeholder analysis as they are the driving force behind
the entire rubber cultivation process. They are the players within a framework of rules and
regulations. Key decisions about how to cultivate rubber and to what extent their practices
influence the environment are made by these stakeholders. It is vital to know and understand
the needs and problems of the farmer best, their thinking and how they perceive their possi-
bilities within the selected framework.

68
 
Roger’s Diffusion of Innovation model (2003) is being used to analyze our main stakeholders –
the farmers. It is a useful model for an initial analysis as described in the theory introduced
in chapter two. In this analysis five categories: innovator, early adapters, early majority, late
majority and laggards (ROGERS 2003: p. 283) are being used to classify the interviewed farm-
ers concerning their starting period of rubber cultivation.

1983 | The beginning of rubber cultivation

The innovator in our model is the first farmer among our respondents who had started culti-
vating rubber in Pabin in 1983. Today, he only cultivates rubber and some livestock. For an
additional income source he grafts rubber seedlings and sells them to other farmers. Since
his first training in 1997, he meets annually with an extension agent. During the years, he
has changed his cutting techniques as well as the application of pesticides and his methods
to control diseases. Like other farmers who have been cultivating rubber for a longer period
he notes some environmental changes like water scarcity and reduction of animal species in
this area.

1984-1985 | The next cultivators

The group of early adopters started cultivating between 1984 and 1985 and comprises of five
farmers from three different villages (Pabin, ManDian, Kemu). In the model it is said that
the early adopters are opinion leaders and have a high social status. They are the reason why
an innovation is accepted and thus spread out. Consistent with the model, the innovator and
the early adopters in our case are also mostly the farmers with the best skills and networks.
The group of early adopters are farmers in their mid-forties who have rubber-cultivating expe-
riences up to 30 years. The land size varies between 10 to 93 mu and they only have rubber as
cash crop. As most farmers received their first training by extension agents or state-rubber-
farmers after the early 1990s, the beginning of rubber tapping was mostly a process of trial
and error. Today they feel confident about their skills. However, many farmers have ad-
dressed the interest in further pest and disease management, as well as in alternative culti-
vating techniques, e.g. intercropping (several Farmers). Their main sources of information
and help concerning rubber cultivation are state farms, relatives and neighbors. Some also
state that they would call extension agents if they needed help. More experienced farmers
also have a supportive function for those who have not been in the rubber business for long.
While the interviewed farmers of this group have never been to school, today all of their chil-
dren attend or have finished school; some of them even receive higher education at college.
All of the early adopters agree on environmental changes during the last years (mainly water
scarcity) and a rapid increase in overall wealth in the village due to rubber cultivation.

1986-1995 | The majority start cultivating

The group of the early majority consists of 14 farmers from all villages except BanQianDi who
have started cultivating rubber in 1986. Since then, rubber has developed as their main cash
crop. However, some of the farmers have recently started trying out new cash crops; for ex-

69
ample dendrobe (Farmers from Kemu), banana (Farmer from ChaChang), yam (several
Farmers from Huilao) or nuts (Village Head of Huilao). Some of them say that the rubber
prices are too unstable and it is not secure enough to rely only on rubber as an income
source (Farmer). Additionally, some respondents thought about starting to intercrop rubber
with chicken, bees or other crops. However, they mentioned concerns about the effects of
pesticide use on intercropping projects (Farmer) during the interviews.
Some farmers are very knowledgeable about rubber production, for example a farmer from
ManDian who has worked as a trainer for rubber cultivation. Others still talk about their lack
of knowledge. Some state that they would like to know more about pest and disease control.
The main sources of knowledge are relatives, neighbors or state farms (Farmer).
Two farmers of the early majority group have already hired workers to help them tapping
trees. One farmer from ChaChang does not have enough support from his family and thus
relies on the help of additional workers.
Almost all of the 14 farmers we have interviewed rented out land to farmers from other vil-
lages or to outsiders. Businesses of outsiders are generally welcomed by the farmers as they
make business, which increases the overall wealth (Farmer). The size and duration of these
contracts vary. There are no concerns regarding land use and soil degradation. While many
of the early majority-farmers rent out land, only one of the farmers from ZhongZhiChang
leases additional land. The farmers gave several reasons for not renting more land. The main
reason is that the farmers wanted to make sure that they were making enough money for
themselves. However, NRWNNR-regulations and lack of labor resources were mentioned.
The perception concerning environmental changed varies. While some claim not to have
noticed any environmental changes, others realize a decrease in water level and a rise in
temperature (Farmers).

1996-2003 | More farmers begin to cultivate

The group of the late majority started cultivating rubber after 1996 and consists of 16 farmers
from all villages except ChaChang. They are between 25 and 50 years old and own rubber
fields of the size between 20 to 100mu. Among this group there are farmers who already
went to school and have received some sort of education. The younger have mostly learned
tapping rubber from their parents and now possess their own forests (Farmers).
Some of the late majority already do intercropping or try out new cash crops. However, they
say that they have difficulties with new crops as they have only little knowledge. Additionally,
they are not sure whether the alternatives will make decent profit (Farmer, Kemu). A farmer
from Kemu reported problems with the dendrobe plant as there is neither enough
knowledge nor a good supportive network available. This results in a reduction in yield and
therefore, a loss in profit. All farmers in this group who tried to cultivate dendrobe have
failed. They know about their lack of knowledge and would like to receive further trainings in
order to successfully cultivate dendrobe. Many of the late majority discuss intercropping pos-
sibilities for the future but haven’t experimented thus far (Village Head, Farmer).

70
 
2003 | The new generation of rubber farmers
After 2003, eight farmers from BanQianDi, Kemu, ZhongZhiChang, Naban, ChaChang and
Huilao started cultivating rubber. In the model this group is called laggards, but in this paper
they are henceforth referred to as the latecomers. In ROGERS’ model it is said that they are
usually not as socially accepted and are mainly poorer villagers (ROGERS, 2003). However, in
our case we need to distinguish between two groups. Some of the interviewed farmers have
just moved recently to the village. Others are the younger children of rubber farmers who
adopted the profession of their parents and only recently started cultivating on their own.
Both groups are accounted to the latecomer group. The younger villagers went to school,
some even to college and they have learned how to cultivate rubber from their parents. They
already have experiences with rubber as they grew up helping their family in cultivating and
cutting.
In BanQianDi for example, rubber cultivation started as recently as 2000 and it is inferior in
production area and harvesting techniques when compared to the other villages. Their land
size varies from 4,5mu to 65mu and with an average of 30 mu. Famers have less land availa-
ble than the other groups. Although they are less experienced and may face pressures from
outside of their village, this does not mean that they face pressures within their village com-
munity.

Picture 17: Rubber seedlings in Naban

Village newcomers especially have difficulties to integrate and thus have a poor network for
help and support (ChenZhongYun, Huilao, XieYunHui, ZhongZhiChang). Most of the

71
farmers state that relatives or neighbors are very crucial when they need help with rubber
cultivation (Village Head, Farmers). They don’t have contact to the state farm and rarely to
extensionists. While some have received training (Farmers; Village Head), others still under-
go a process of trial and error (Farmer).
A farmer from BanQianDi, who has also just recently started cultivating, has never received
training himself but shows others how to tap the trees. Additionally, two of the eight farmers
mentioned that the work with rubber is much more stressful and they have less leisure time
than before (Senior farmer; Village head).
Risk concerning rubber cultivation is mostly not perceived by the interviewees of the latecom-
ers group. Instead, they are very optimistic about a good financial output.
Environmental changes are generally not observed and if so, they are not connected to the
rubber cultivation (Farmers). Rubber is rather seen as a positive contributor to the environ-
ment.
Even though cultivation of rubber started in different years and thus experiences and income
level varies, all farmers have one perception in common: enormously increased wealth. They
all state that due to rubber, they can now afford to buy goods such as TV screens, cell phones,
cars or motorcycles as well as to build better houses. Additionally, they do not need to work
as hard anymore as compared to their former work of rice cultivation, resulting in more lei-
sure-time.
While the perception of environmental changes as a result of rubber plantations varies, all
the farmers we have asked do understand and obey the regulations by the NRWNNR con-
cerning the forest protection. It is clear to most of them that with further deforestation the
water quality will decrease which will be harmful for the villagers (Farmer).

6.2 Rubber farmers leasing land

Land renting has become very popular among the villagers in the NRWNNR (TANG 2010).
Mainly outsiders, who have only recently moved to one of the villages, are leasing the land of
the villagers. “The land renters included the local officials, formal workers in local sectors, farmers
in villages, neighboring villages and from outside of Jinghong county, workers in state-owned farms,
businessmen and so on” (TANG 2010: p. 1079).
The initial approach for business by an aspirant-lessee is to contact the village head and dis-
cuss price and general conditions of the land. After the negotiation, the village head calls the
villagers to ask who is interested in renting out their land (Farmers, ManDian and Naban).
Especially in Naban, almost all villagers have rented out parts from their land to one busi-
nessman from Guangdong Province.
Of the villages we have interviewed, only farmers from ManDian, ChaChang, Huilao and
ZhongZhiChang are renting land. For instance, the amount of renters in ZhongZhiChang
(ten villagers renting land outside) is very high compared to other villages like Huilao where
only two of our interviewees, who were also outsiders, rent land.
None of the farmers from the other villages we have interviewed are leasing land themselves.
Instead, many of them rent out arable land. One farmer stated that she would like to lease

72
 
land, but since it is very expensive it is no option she can take. The size of the leased land
varies as well as the duration of the contract. However, “… the duration of land renting is usual-
ly between 25 and 30 years, which matches the growth age of rubber and the legal duration of the
land-use right” (TANG 2010: p. 1079).
The reason why farmers rent out their land is to increase their short term income. While
complaining about the low price they agreed to the lessee of the lowlands, all the people from
Naban hope for the next contract round to increase the price per mu. Overall, outsiders are
welcomed as they do business in the village and increase the wealth of the people.
In most cases the price for the land is given in a lump sum. One farmer said that he would
only allow people he really knows and trusts, like relatives and old friends, to pay in install-
ments. The lessee is given a free hand to do as he pleases with his leased property. This may
be problematic: For example villagers from Huilao had not thought about the possibility of
soil erosion when renting out. In ChaChang one farmer stated that if the lessee does not take
care of the land properly he has to pay a fine.
Most of the lessees are poorer compared to other villagers, as they have moved to the village
only recently and thus have just started their businesses (Farmer, Huilao). But there are oth-
ers who had already a larger amount of land and got hold of additional land. In this case they
are better off compared to the other villagers. WEHNER (2011: 59) states that “… the villages
with improved access have also become more appealing for external investors and businesses interest-
ed in land or agricultural and natural resource products. Thus, the widening gap in terms of acces-
sibility could lead to further economic marginalization of the more remote settlements.”

6.3 Village Heads

Village heads in the NRWNNR have been elected by the villagers since the late 1980’s
(WEHNER 2011). Besides being the administrative officials, they are regarded as opinion lead-
ers and have the opportunity to access new information and knowledge. Consequently, vil-
lage heads are prompted to invest in improved technology (TANG 2013) in order to enrich
their cultivation systems and become wealthier (WEHNER 2011).
In all eight villages visited, the position of the village head was occupied by men. The only
position engaged by women in the authority hierarchy at village level was the Director of
Women’s Council of Public Affairs. The range of age of the village heads is from 28 years old
to approximately 50 years old. Only 2 out of the 6 interviewed village heads have had that
authority title for less than 5 years, contrasting to the periods of 14-22 years in office that was
observed in the rest of the villages.
A village head’s main duty is to implement the rural policies and projects dictated by the
Chinese Government at the village level (TANG 2013). In our interviews, village heads empha-
sized their efforts in improving public infrastructure such as roads. They are also the first
contact for outsiders interested in renting land; indeed, official contracts are stamped by the
village administration. In summary, a village head describes his duties as “… leading villagers
to a better life; help them to become richer, and work on public benefits such as roads to improve
living and livelihoods” (Village Head).

73
Picture 18: Huilao

A farmer also pointed out the role of the village head as a source for help when problems in
cultivation have arisen; he states: “In case of a problem we ask the village head to contact the ex-
tension service, as we do not know how to get in contact with them. It is usually the village head (…)
who contact the dealers and extension officers. He is also reporting to the government.”
Regarding rubber cultivation, village heads are usually asked not only to contact extension
services, but also to provide advice by themselves because villagers acknowledge their exper-
tise: “I can ask for help from the village head, because he is more experienced and more skillful”
(Farmer).
Most of the village heads were early adopters of rubber cultivation, a fact that reinforces their
leadership when other villagers followed them in shifting land-use to growing rubber: “Ini-
tially the village head planted the biggest plots. The rest of the villagers started small and then con-
tinued to increase production over the next years” (Farmer).
Village heads’ opinions towards rubber cultivation are certainly positive. Due to the fact that
most of them have been leaders for long periods they have seen the transformations in life-
styles and livelihood since rubber farming began. Although the majority of the interviewed
village heads recognized that climate conditions are changing, becoming drier and water
source scarcer because of rubber forests, some others do not consider rubber forest as the
cause of such environmental alterations: “I think that the changes in the environment have noth-
ing to do with rubber cultivation (...); to me, rubber is a way out of poverty” (Village head).
Village heads also have an important role in fostering initiatives for the improvement of rub-
ber cultivation methods and marketing as well as a nature conservation objective. For exam-
ple, one village head considers intercropping and animal husbandry in the rubber forest to be
a possibility for future rubber development, but acknowledges that the village needs the gov-

74
 
ernment to provide proper knowledge in terms of the sort of crops and animals they could
use with the rubber (Village head, Kemu). Furthermore, one of the interviewed village heads
mentioned his intention to initiate cooperation among rubber farmers to get better prices.
Although the first attempt failed due to lack of support, he plans to try it out again in the fu-
ture.

6.4 NRWNNR Officials

There are 17 public extension institutions in Xishuangbanna. One of them is the NRWNNR
Bureau which is a public administrative agricultural organization located in Jinghong1.
The administrative bureau and its staff are the most important link between today’s mono-
culture farming and a possibly better, sustainable rubber cultivation in the future. Their
main objective is “… to promote ecological balance and biodiversity in the NRWNNR“ (TANG
2013: p. 142), as well as the improvement of livelihood of the farmers. To achieve this goal
they have set strict regulations where rubber is allowed to be cultivated. According to one
official, this leads to disputes between farmers and the NRWNNR staff because the farmers
want to further cut down primary forest in order to increase rubber cultivation. If farmers
violate the rules, they can be punished with a fine between 100-500RMB or go to prison for
one year depending on the level of violation. However, as many of them repeatedly to break
the rules, one NRWNNR authority complains about these futile punishments. This is coher-
ent with a statement of another NRWNNR official. However, she said that due to education
and the friendliness of the NRWNNR officials, the villagers started to obey the policies
(Farmer; NRWNNR official).
To increase the biodiversity and ensure the regeneration of the soil in the NRWNNR, the
bureau has tried to introduce several intercropping-projects in the last years. However, their
implementation has rarely been fruitful. As we talked to the farmers from Kemu only a few
have been successful with cultivating dendrobe so far.
The biggest problem the administrators face is the consistently high price for rubber. Conse-
quently farmers say that there is nothing else to cultivate that would be as profitable as rub-
ber. Additionally, although they are aware of environmental changes, farmers feel that they
do not have the knowledge and the foresight to change their cultivation practices. Today, it is
still more important to them to make profit than to cultivate crops in a sustainable manner
(NRWNNR Official).
The NRWNNR officials are not in the position to tell the farmers what they have to do, in-
stead they can only offer suggestions and encourage them to cultivate alternative crops as
well as to lessen the use pesticides and fertilizer (NRWNNR official). One official said that
about 20% of the villagers are against the programs by the NRWNNR Bureau, but 80% of
them would be willing to change. This goes in line with our research as we talked to the
farmers, seeing that rethinking occurs gradually. While some of them are open to try out new

1 As this section will not go deeper into the structure of the extension service institutions in
Xishuangbanna, please read TANG Lixia 2013 chapter 6 “The External Dissemination System: Agricul-
tural Extension” for further information. This paper will rather discuss the outcomes of the interviews
with the NNNR officials and staff members and their influence on the farmer’s behavior.

75
possibilities for cash crops, most recognize that they know too little in order to be successful.
Farmers are still hopeful and very open towards the NRWNNR. They would like to take ad-
vantage of further possibilities, take part in trainings and exchange knowledge concerning
crop alternatives. Nevertheless, all NRWNNR officials unanimously agree that large scale
rubber cultivation poses an obstacle to the aims of the NRWNNR. Therefore, they do not of-
fer any trainings themselves but seek other institutions to instruct farmers about cultivation.
Overall, this situation can be described as an unsolved conflict between the NRWNNR and
the farmers. As the NRWNNR Bureau does not have a concrete solution of how to success-
fully change the current situation of rubber as a main income source as well as the mindset
of the farmers, the villagers will continue to cultivate rubber and enhance the problems that
come with the monoculture.
Another problem area for the NRWNNR staff are outsiders coming to buy the villagers’ land
(e.g. for banana plantation) or to promote new business possibilities (e.g. pig breeding) and
their lack of environmental consciousness (Farmer). Most of them are said to take even less
care than the villagers about the soil and biodiversity of the region (Farmer) and want to only
to make profit. Trainings are neither obligatory for farmers nor for outsiders. This makes it
even harder for the NRWNNR staff to change people’s perspective on sustainability. Thus,
NRWNNR officials do not recommend leasing land to outsiders.
Apart from their projects, the NRWNNR bureau has only a few other possibilities to influ-
ence the farmers’ behavior. One official said that education is an important factor that influ-
ences the behavior and thinking of the villagers. To clarify the aims of the NRWNNR bureau,
videos are shown to the villagers. Whereas the younger villagers like to watch videos about
environmental protection, the older people rather like to hear about the extension service
(NRWNNR official).
As the officials have many duties they cannot always be in the villages themselves, the other
possibility is to appoint a villager as a forest ranger. Thus, they designate a person within
villages to look after and protect the forest. The interviewed forest rangers understand the
importance of their job and like what they are doing.
Overall, the NRWNNR intends to have good relations with the farmers visiting them on a
regular basis and supporting them, but their main difficulty, i.e. how to change the farmers’
perspective on environmental friendly farming, still remains.

6.5 Hired Workers

Rubber cultivation in the NRWNNR region is a labor intensive production system. Although
the majority of the respondents said that all the activities involved in rubber cultivation were
carried out by family labor, some rubber farmers interviewed owning a large number of rub-
ber trees hire workers. As TANG et al. (2010: p. 1080) report most of the wage workers come
from other villages, lacking land resources, or from outside the NRWNNR. Many of these
hired workers come from other poor counties in Yunnan province, Hunan province and
Huizhou Province.
Only two hired workers from outside the NRWNNR villages could be contacted for inter-
views in ManDian village. According to a female farmer in ManDian one-sixth of the house-

76
 
holds are hiring workers to work on their rubber plantations due to the lack of labor and a
generally large land size. The hired laborers earn 30% of the profit from selling the latex and
have contracts for one to two years. An important feature of those workers reported by the
farmer is that most of them previously worked at the state farm, where they learned tapping
techniques: “Hired laborers are well known for their excellent tapping skills. In the off-season they
may leave ManDian to get a job as a construction worker. The relationship between the villagers
and the hired laborers is very good. The villagers usually invite them to family events like weddings”
(Farmer).
In the interview, the two workers (around 40 and 45 years old) confirm most of this infor-
mation. They settled in ManDian in 2007 and started working on a farm with a total area of
100mu and 3,100 rubber trees. The farm that they cultivate is rented by an outsider from an-
other village who rents the land from two different owners. They live in ManDian full-time
except for small periods in the off-season when the men may go to Jinghong to find construc-
tion work.
Payment contracts lasting three years have decreased from 40% of the rubber sales to 33%.
Payments are received monthly after the final rubber harvest of the month; this means that
the laborers do not make money in the off-season since the rubber trees are not producing
latex. The contracting agent does not do any management or cultivation; rather he helps to
make management decisions for planting and provides all agricultural inputs including tap-
ping tools, transport, and agro-chemicals. If there are problems with trees, the laborer will
tell the agent who will have the solution implemented. It is evident that the agent lays much
trust in the laborer as he only visits the farm 3 times per year.
The hired workers felt that they enjoy living in the community of ManDian, having good rela-
tions with the villagers. Leasing land on their own is not an option they consider due to the
lack of financial resources.
From their statements it can be concluded that the hiring of workers for rubber cultivation is
an emergent phenomenon that can be expected to increase. Since hired laborers share the
profits of rubber sales they have an interest in improving management; however, they lack
control on decision-making, a fact that places them in a vulnerable position.

6.6 Other Stakeholders

Apart from the farmers there are a number of other stakeholders: Traders, forest rangers and
non-rubber farmers who are involved in rubber cultivation and processing. Due to time con-
straints, interviews with these stakeholders could not be carried out in this study. Therefore,
the following sections will only present a brief introduction of the other influential groups.
Even though these stakeholders influence the rubber cultivation and process, the model of
diffusion of innovation is not applicable in this section, as they have not initiated rubber cul-
tivation.

Traders
Traders buy liquid latex to process it to dry latex. According to the villagers, during the tap-
ping season traders come to the villages every day to buy the latex. In most cases, farmers

77
stated that they would rather call the various factories to get the best price for the latex and
deliver it directly to the factories. Especially “… through road improvements, individual farmers
no longer depend on traders picking up the goods and dictating the prices or on village cooperation to
coordinate marketing processes” (WEHNER 2011: p. 59).
Farmers who do not process the latex or those without transportation mostly sell to the trad-
er, who would deal with the factory. This business model can result in a long-term coopera-
tion between farmer, trader, and factory (Farmer).
Several farmers talked about problems and incidents with the traders, who would promise a
certain price on the phone but then pay less after delivery. Also, one trader took off without
paying the farmers at all.
The main reason for many farmers to process and sell their latex themselves is to cut out the
middle-man and to thus make a higher profit (Farmers). In general, the traders are trusted,
with some farmers even handing over the unweighed latex in return for a fair price (Farmer).

Forest Rangers
Every village has its own forest ranger appointed by the NRWNNR Bureau. All of them are
also rubber farmers as they only receive a little extra payment for this part-time job.
The ranger has to take care and protect around 500 mu of the public forest. His duties in-
clude protecting the trees from fire and illegal deforestation as well as to teach the villagers
how to protect the forest.

Non-rubber Farmers
There are several farmers within the NRWNNR who cultivate other cash crops than rubber.
Farmers from different villages rent out their land to outsiders who grow bananas on the
land (Naban, ChaChang).
In the case of Naban, a businessman from Guangdong rented land from many villagers for
his banana plantation. He only hired one worker from the village and was not integrated as
he also lived further away from the village.
One banana farmer who moved to ChaChang in 2011 was interviewed for this research. He
has a six-year contract for 80 mu. While he considered banana as more profitable than other
fruits, he also stated its cultivation was particularly risky and required specific professional
skills. Due to the bad infrastructure to his plantation there would not be enough manpower
available and thus the payments for the workers were higher than in other areas.
Farmers do not see the banana farmer as a competitor for the land as they also make profit
from renting out their land. When asked why they do not cultivate bananas themselves, the
farmers responded that they lacked the knowledge.

78
 

7 Stakeholders’ Problems and Problem Perception

The following chapter will give some insights on the stakeholders’ problems and their per-
ception towards economic, ecological as well as social impacts of expanding rubber cultiva-
tion in the NRWNNR, and the resulting transformation of a traditional subsistence livelihood
towards a cash economy.

Picture 19: Dragon fruit plantation on the way to Naban

7.1 Ecological Problems of rubber cultivation in the NRWNNR

Taking into consideration that rubber is usually planted in monoculture which degrades soils
and that the region is made up of subtropical, mountainous rainforest with poor soil fertility
(TANG et al. 2010: p. 7), negative effects on the ecosystem are likely. Replacing traditional
swidden agriculture with monoculture leads to a decrease in (agro-) biodiversity. Extreme
weather events such as storms and temperature changes also pose a risk to the rubber forests
and to people’s livelihoods. This goes as well for the unprecedented intensive use of fertilizer
and pesticides (TANG et al. 2010: p. 7).

7.1.1 Diseases and Pests

Many farmers possess knowledge about how to deal with pests and diseases and are there-
fore confident about the abilities to cure and mitigate them. Sulfur is a commonly used
measure for prevention of the fallen leave disease and is applied in quantities of roughly 1.6
to 1.8 kg per mu (Farmer).

79
Table 10: Timeline weather events and Pests/Diseases
Year Pests and Diseases Weather Events
1998 ZhongZhiChang: Cold weather destroys 600 of
village head’s trees
1999 Kemu Village: Snowstorm destroys rubber har-
vest of LuoZhongPing
2000 Kemu Village: Fallen leaf disease delays
tapping until July
2003 ManDian: Hailstorm destroys almost 90% of
seedlings planted (reported by HuiYao)
2008 ManDian: Storm brings serious losses to rub-
ber plantations
2011 Kemu Village: Red Spiders damage rub-
ber crops
2012 ManDian: White powder disease has Kemu Village: Widespread drought damages
been occurring many a time rubber crops
ManDian: In recent times, an unknown
disease is affecting the rubber planta-
tions in ManDian village. No cure is
found up to date

Picture 20: Unknown rubber pest in rubber trees, MandDian

80
 
Diseases and pests mentioned during the interviews include white powder disease and the
red spider. However, most of the times farmers are unable to recall exact dates of pests and
diseases occurred (see Table 10). A farmer from Kemu reported that ‘red spider’ occurred in
his plantations and caused a decrease in latex production by around 30%. Consequently, all
farmers in the village gathered together to apply pesticides.
Another disease mentioned in Kemu is the fallen leaf disease. It occurred around the year
2000 and delayed the tapping for three whole months (until July), which meant a loss of in-
come for the farmers. Farmers only could continue to spray pesticides to protect new leave
growth and had to wait for the trees to regenerate. Access to pesticides heavily depends on
farmer’s wealth and their connections to Jinghong. Villagers often do not seem to realize
how vulnerable the monoculture based economy is to destructive outbreaks. Most farmers do
not relate epidemics with monoculture of rubber trees. Instead, their relate pests and diseas-
es to climatic changes.
Even though farmers generally feel confident on how to treat pests and diseases, a farmer
from Kemu mentioned a lacking ability of correct management of fertilizers and pesticides.
According to a farmer in ManDian, there is an unknown disease that has been spreading in
the area recently and up to now can’t be cured. The leaves of the rubber tree turn yellow ini-
tially and the wood is dotted with little holes. Even though farmers assume it is a pest, no
insects could be found when cutting the trees. To prevent further spreading on the planta-
tions, infected trees have to be removed including the surrounding soil.

7.1.2 Weather Events

Throughout the villages, weather events and natural disasters are perceived as a problem
when it comes to rubber production. The events mentioned are manifold, ranging from
storms to drought. Storms that occurred in ManDian village, for example, brought losses to
the local rubber farmers in the year of 2008 when they destroyed a big part of the rubber
plantations. Other natural events include droughts, which occur regularly in the region. “In
1999 a storm occurred which killed 600 of my rubber trees. Another time I’ve lost 200 trees due to
wind damage. The biggest economic damages are caused by natural disasters” (Farmer).
It is important to note that farmers do not receive any kind of compensation by the govern-
ment or any other type of institution when it comes to losses of latex production or damages
to plantations.
A farmer said: “I am aware of increasing losses of topsoil through wind and water events. For this
reason, ManDian villagers have started planting trees only in flat areas instead of using slopes.”
ManDian also experienced a heavy hailstorm in 2003 which in addition to damaging village
infrastructure also caused harm to the rubber trees. One farmer claimed that 90% of the
newly planted seedlings were destroyed.
According to farmers from Kemu, weather events are the biggest problem when it comes to
rubber cultivation. The last drought happened in 2012, lasted for one month and delayed the
tapping season: “A drought in April 2012 caused a huge economic damage to the farmers in Kemu.
We couldn’t tap the trees for a whole month, otherwise the trees would have become sick.” Farmers
furthermore “… have the feeling that extreme weather events had increased over the last years.”

81
7.1.3 Changes in microclimate due to rubber production
The new level of socioeconomic well-being has been achieved by cultivating fewer varieties of
crops in areas with rubber plantations. Commercialized plantations have replaced the tradi-
tional fallow systems, hence also loss of traditional rice varieties (YONGNENG 2005: p. 11). To-
day rubber is cultivated in even lean and marginal soils which formerly were only used to
cultivate specialized rice varieties. This haphazard planting is leading to erosion.
The most striking ecological consequences are the drop of groundwater level; and reduction
of winter, mist, and fog. Local climate records show that average fog days in winter were re-
duced from 115, 128 and 159 in the 1970s to 30, 97 and 98 in 2005 respectively in Jinghong,
Menghai and Mengla. Rubber trees are large water consumers. Additionally, since rubber
trees are not as densely planted as natural forest, more water is lost due to runoff. Less water
is stored in soil therefore less water can evaporate (TANG et al. 2010: p. 1081).
Many farmers are aware of the fact that intensive rubber production can decrease water levels
and even lead to the disappearances of small rivers: “Yes, I have a strong feeling that if we plant
so much rubber there will be less rain and less water to drink” (Farmer).
In fact, the drying out of land is regarded as the most important environmental change farm-
ers are experiencing. Some farmers also note rising temperatures in the areas: “I don’t know
why, but I noticed that the rain is getting less and the soil is drier than before”.
While some of the interviewees regard these environmental changes as directly related to the
increasing rubber plantations, others do not. According to a farmer from ZhongZhiChang,
more trees are better for the environment. A farmer from BanQianDi said: “I think there is no
effect on the environment. I think the changes in the environment have nothing to do with rubber
cultivation. Also, rubber prevents soil erosion because it covers the soil better than corn and other
crops.”

7.2 Economic Problems

The rapid expansion of rubber cultivation in the NRWNNR was mainly triggered by the high
domestic demand for natural rubber linked to the focused development of China’s automo-
bile industry by the government in the 1980s (AHLHEIM et al. 2012). This development was
accompanied by an overall institutional transformation and a change of the current tenure
system. Governmental institutions began to focus on poverty reduction, agricultural innova-
tion and an overall economic growth, especially in rural areas. In order to achieve the set ob-
jectives, incentives were given by the state, aiming to improve the overall regional economic
performance (WEHNER 2011). Providing smallholder farmers with subsidies for rubber culti-
vation is just one example of public support towards an economic growth on the regional
level. After the reform of the Chinese agricultural system in the 1980s, rubber cultivation
began to spread throughout the research area, resulting in an overall economic growth. Even
though the initial phase was not beneficial for all the newcomers, mainly due to a lack of
knowledge and skills, the expectations were finally met.

82
 
Figure 14: Economic problems listed by the respondents (n=55)

This section will examine market dependency and economic vulnerability; two main prob-
lems which arise from such a rapid economic development and the renunciation of tradi-
tional income diversification.

7.2.1 Market Dependency and Price Instability

The traditional subsistence farming system in South East Asia is characterized by a risk
management system, including the diversification of crops. Instead of striving for maximum
yields, farmers rather cultivate traditional crops to sustain their livelihoods. This attitude has
drastically changed in most parts of the research area since the introduction of rubber. From
an economic point of view, increasing dependency on rubber as a monoculture poses several
problems to farmers.
Figure 14 shows the economic problems which were mentioned by the respondents. Among
these the price instability of rubber was considered as the most negative economic factor.
“Another problem is price instability. The effects depend on the wealth of the families. Families who
have enough savings can process the latex and store it until the price is higher, but poor families
might need to sell it in order to buy food and other urgent expenditures, no matter if the price is
low.” (Leader of women group).
“We have experienced price fluctuations. They caused huge income decreases in the past. I give an
example: In 2011 the price for solid latex was 30 RMB/kg; in 2012 it dropped to 18 RMB/kg.”
(Farmer).

83
 Figure 15: Monthly average free market rubber prices, January 2000 - April 2012

Source: UNCTAD 2012


Unlike hybrid rice or hemp, rubber prices do not undergo governmental intervention, such
as the determination of a minimum price (TANG 2013). The price development of rubber is
driven by the international and national markets. Price fluctuations occur rather often as the
market price of rubber is dependent on various factors. Figures 15 and 16 show the monthly
fluctuations of rubber prices on the free market and the price development of dry rubber in
the NRWNNR since 1989.

Figure 16: Dry rubber price fluctuations in the NRWNNR (RMB/kg)

30
25
20
15
10
5
0
early end
1989 1991 1995 2003 2004 2006 2006 2007
2008 of
Price 18 5 20 13 14 15 20 17 24 7

Source: TANG 2013: p. 77

84
 
One of the main influencing factors, besides the global economic development, is the de-
pendency of rubber on crude oil prices. Crude oil is the principal raw material for the produc-
tion of synthetic rubber. As synthetic rubber is a substitute for natural rubber, the price for
natural rubber adjusts to the market price of crude oil (Figure 17).
Another risk avoidance mechanism in former times is the geographical distribution of plots
(WEHNER 2011). In the research area, most of the rubber farmers today have their plots con-
solidated in a single spot. Due to lack of time and labor force and the fact that they tap their
rubber trees during the night, farmers cannot manage to move between different locations.
The concentration of plots has a highly negative influence on the vulnerability of farmers.
For example, if a pest or disease occurs the whole plantation is affected. The distribution of
the plots in former times functioned as a buffer against natural disasters. “The safety principle
is born from the ecological dependency of farming livelihoods.” (WEHNER 2011: p.142).

Figure 17: The price adoption of natural rubber to the price trend in crude oil

Source: ARS 2010

7.2.2 Economic vulnerability

The vulnerability towards economic impacts varies highly between upland and lowland vil-
lages. The economy of villages above the rubber limit can be considered more flexible as

85
compared to the lowlands. Tables 5 and 6 in section 5.6.3 give an overview of the diverse in-
come sources of the respondents. ChaChang, Kemu, ManDian, Naban and Pabin have a ra-
ther low level of income diversification which reduces their ability to adopt in times of need.
The communities highly depend on rubber as a main income source. But since new varieties
of rubber, which can also be cultivated in higher altitudes, were introduced to the upland
villages in the NRWNNR, the share of income arising from rubber is constantly increasing.
Even if “… both upland and lowland villages have maintained the possibility of returning to more
subsistence-oriented production systems” (WEHNER 2011: p. 143) the results of the present study
suggest a highly decreasing tendency.
Due to their rising economic well-being farmers in the lowland areas do not see the need of
subsistence farming anymore, as they enjoy the benefits of increased purchasing power.
Nowadays, the profitability of a crop plays a decisive role and decides on the respective farm-
ing system. At present, there is no other crop which is more profitable than rubber. Even if
farmers in Kemu mentioned that the cultivation of dendrobe could be more profitable, a lack
of knowledge, land and access to markets continue to hamper the improvement of produc-
tion systems. A farmer from Kemu said: “I have failed to cultivate dendrobe due to a lack of
knowledge and skills. My fields died after 2 years … The government contracted a dealer who provid-
ed some information about the cultivation of dendrobe to the villagers in Kemu. The dendrobe dealer
also told the community that he can guarantee a price of 50 RMB/kg for the first three years. In the
third year he just offered us a price of 25 RMB/kg. The cooperation with the dealer is the only rela-
tion which exists concerning dendrobe. The dealer is the only person we can contact when a problem
occurs. That’s why we also continued to sell the dendrobe to him even he halved the kg price for
dendrobe in the third year.”
The opportunities for farmers to generate income through off farm activities remain low.
The wage labor sector in the NRWNNR is rather small (WEHNER 2011). During the off-season
of tapping most of the farmers are engaged in construction work in Jinghong City. Some of
the households are also running (part time) restaurants and small shops, but the profits are
rather small since the tourism sector is almost non-existent. ManDian for example, used to
be a popular traveling stop for tourists until 2007. The nearby Naban waterfall was a tourist
attraction. Due to the construction of a dam in the area the waterfall disappeared and so did
the tourists.
“The villagers used to have restaurants and sold handicrafts or other homemade products to the
tourists. This used to be an alternative income source for elders, who are not able to tap anymore.
Also children worked as tourist guides and received 50 to 100 RMB/day” (Farmer).
Today, the Administration of the Naban River Watershed National Nature Reserve is one of
the largest and most reliable employers in the region. A detailed description of alternative
income sources is also given in section 5.6.

7.2.3 Economic Inhomogeneity

With the implementation of the HRS in the NRWNNR in 1982, a socio-economic transfor-
mation took place in the region. Local farmers started to improve their livelihoods by cultivat-
ing new cash crops (TANG 2013). Besides hybrid paddy rice, rubber was by far the most prof-
itable and successful one. With the abandonment of traditional crops, the local farmers gave

86
 
up their self-sufficiency. It needs to be stressed, however that “self-sufficiency” was far from
stable and secure. Periods of hunger were frequent and this is still part of the social memory
of villagers.
Today, the NRWNNR is characterized by social and economic inhomogeneity (WEHNER 2011).
The wealth gap continuously grows. Disparities concerning the income situation in the up-
land and lowland regions in the NRWNNR appear to be dramatic. While the lowland villages
have already been transformed into market oriented cash economies, most of the communi-
ties above the rubber producing elevation continue to depend on subsistence farming. A staff
member of the NRWNNR, who promotes the diversity of plantations in order to lower the
risk of monoculture, said: “Villages which do not produce rubber are poorer. They generate their
income from tea, corn and chicken. They achieve an average income of 20,000 RMB per year. Here
in ChaChang the average is around 50,000 to 60,000 RMB per year.”
The socioeconomic disparities continue to grow, also due to rising input prices: “First, I
bought grafted seedlings in Jinghong for 4-6 RMB. Last year I started to collect seeds, because I
could not afford the grafted seedlings which then cost about 15 RMB.” (Farmer)
Due to degrading soil quality, the demand for fertilizers and pesticides is constantly increas-
ing. In many cases there is a lack of money to purchase these chemicals. Those who are able
to afford the rising input prices will continue to increase their cash income, those who are
not will remain in a weak economic position, resulting in the continuously widening wealth
gaps mentioned above.

7.2.4 Changing Marketing Patterns

Accompanied by the transformation from a subsistence economy into a market economy, the
process of a diversification of marketing strategies took place in the research area. Trade be-
came an impersonal exchange of goods with a rather low level of transparency (WEHNER
2011). As the results of the research show, the majority of the respondents prefer to sell their
latex directly to the factory instead of marketing the rubber through middlemen. The market-
ing strategies have changed. In the beginning of rubber cultivation, most households sold the
liquid latex to a dealer on a daily basis. Today, due to increased processing skills and the ex-
istence of storage facilities the marketing strategies are more diverse. None of the respond-
ents mentioned a personal relationship to one of the traders. In some cases mistrust, due to
negative experiences in the past, was reported.

7.2.5 Land Leasing and Renting

The number of land-transfer activities has constantly increased over the last decades. The
lack of financial as well as labor resources for further investments is one of the most im-
portant drivers for land leasing in the research area. A farmer from Pabin said: “The decision
to rent out land depends on the economic status of a household. The reason to lease land and share
the income is the lack of initial investment. It’s always the second choice to share the profit.“
Several problems occur which are directly linked to land leasing and renting activities in the
research area. These can be summarized under the terms ‘Diminishing Adaptability’ and

87
‘Land Scarcity’. As villagers become more attracted to the idea of profiting from their land,
either by renting out their arable land or by planting rubber monoculture, they fail to consid-
er their future ability to adapt to a crop failure. As mentioned earlier in this chapter, ecologi-
cal problems concerning rubber cultivation are increasing within the NRWNNR, especially
the frequency and quantity of pests and diseases. In South America, the center of origin of
hevea brasiliensis, a fungal disease caused by Microcyclusulei, known as South American Leaf
Blight (SALB), has stopped the whole rubber production in the Amazon Basin (BOER and
ELLA 2000). Neither the farmers nor scientific experts were able to cure the disease. Every
attempt to control SALB failed. If such a disease would occur in the NRWNNR, the outstand-
ing majority of the households below the rubber line would be ruined. In Kemu for example,
where farmers exclusively cultivate rubber and dendrobe, food security would be seriously
endangered.
Another precarious aspect concerning the decreasing ability of farmers to adapt in times of
emergency is the problem of long term renting schemes. If the lessor wants to end the con-
tract with the lessee before the fixed termination of the contract duration, the lessor would
have to return the full renting fee. According to farmers in Kemu and Pabin, most contract
terms even require to pay back treble or tenfold of the original amount, which is often im-
possible for the lessors.
Land scarcity is one of the most striking factors, especially in lowland villages which already
perform on a high economic level. Farmers in Kemu said: “At present it is impossible to expand
our rubber cultivation as there is no additional land available.”

Picture 21: Rubber cultivation on slopes

88
 
“Purchasing land from surrounding villages would be a possibility but requires a lot of financial
resources, as the price for land is very high.”
“Since the village has no more land left for cultivation the villagers would have to purchase land
elsewhere but since all the nearby villages also plant rubber, it is hard to rent or buy any land. The
land is also very expensive.“
Due to land scarcity, the present status of rubber cultivation in the lowlands has stagnated. In
order to address this problem, farmers are in need of new varieties and alternative income
strategies.

7.3 Social Problems

In former times, socio-economic inequality within villages did not automatically lead to po-
tential conflicts among the villagers. Quite to the contrary, it supported the creation of a so-
cial network, based on reciprocity and cooperativeness (WEHNER 2011). Even if conflicts do
not seem to occur frequently, at least within the villages, the increasing cultivation of rubber
has a high impact on the social lifestyle of the communities in the NRWNNR. Therefore two
main aspects will be discussed in detail: the decreasing level of cooperation among farmer
households and the general change in lifestyles.

7.3.1 Low Level of Cooperation

A rather low level of internal as well as external cooperation of the communities was ob-
served and mentioned several times by some respondents during the study. Although the
families help each other in cases of house construction, or would ask their neighbors for
small loans, the overall level of mutual support is declining. Asked about the changes within
the community since the cultivation of rubber, a senior farmer from ZhongZhiChang said:
“Before the people in the village started cultivating rubber, we had a lot of leisure time. We went out
to visit other houses and chat with other villagers. Since the beginning of rubber cultivation, today
we have less free time. The people have to work more, especially during the tapping season. They
come back late from work and cannot do much else (…), the people do not have the time to help
each other, because all of them need to tap their own trees.”

Table 11: Daily schedule of a rubber farmer during tapping season

Time Activities
2 am – 7 am Tapping
7 am – 12 pm Collecting latex yield; either store it at home or sell it directly to a dealer
12 pm – 2 pm Lunch
2 pm – 4 pm Rest
4 pm – 6 pm Cultivation work (e. g. weeding, fertilizing)
6 pm – 8 pm Dinner
8 pm – 2 am Rest

89
Table 11 shows a daily life schedule of a farmer couple during the tapping season. Since rising
day temperatures lead to a faster natural coagulation of the latex, and therefore an accelerated
sealing of the cut, the tapping is usually done at night or in the early morning in order to
achieve maximum yields.
Due to the given working conditions of a rubber farmer, there has been a significant shift of
the everyday life in the target region. A farmer said: “When I was a child, we had more time to
talk within the community. But now we work at night and rest during the day so it becomes less.”
Another aspect which contributes to an overall alienation among the households is the de-
clining number of social events. According to a farmer in ManDian, the importance and oc-
currence of religious celebrations is constantly declining among the younger generations.

7.3.2 Leisure Time

Quite the opposite picture emerges in villages which are still in their initial phase of rubber
cultivation. Depending on the size of the rubber farm and the number of mature trees which
can be already tapped, farmers either do have to deal with a lack or a surplus of time. Farm-
ers from BanQianDi and Pabin said: “Now I have more free time, since the cultivation of rubber
is not that labor intensive as the other crops I have cultivated before. I can use more machines,
which reduces my personal labor input.” “Before rubber I couldn’t rest the whole day. Nowadays I
have plenty of time to have a rest.”
Due to the high amount of leisure time, drinking and gambling became part of the daily rou-
tine of various farmers in recent years. A farmer from Pabin said:“Due to the fact that the men
drink a lot during the night, they hurt the rubber trees by incorrect cuts and thereby decrease the
production.”

7.3.3 Changing Lifestyles

Because of higher incomes, the purchasing power of rubber farmers has increased dramati-
cally in recent years. These days, every household in the research area owns at least one car
as well as a motorcycle, television, and cell phones (TANG 2013). The meaning of status sym-
bols has reached a new level. A farmer from ChaChang said: “Everything in my life goes well,
not just economically. My family members live a better life. We can buy more diverse food and more
clothing. Additionally, I can invest in electronics and furniture.”
The farming community in the NRWNNR is slowly turning into a consumer society. Life is
becoming more convenient. The displacement of traditional clothing is a good example. The
leader of the women group in Kemu said: “Villagers used to wear clothes made by themselves.
Currently they buy clothes in the market.”
In former times farmers used to purchase their products on regional markets. Today, tradi-
tional markets have almost disappeared in the region. The farmers’ profits were too low so
markets have lost their appeal (WEHNER 2011). Also the amount of arable land is constantly
declining. Farmers do not produce a surplus anymore. If households are still cultivating
some arable land, they use it for personal requirements. In villages like ManDian or Kemu,
the high level of income allows the people to purchase all of their food. They are not in need

90
 
of subsistence farming anymore. Further consequences regarding the low level of diversifica-
tion of income were discussed earlier in this section.

Picture 22: Motorcycle in ManDian

Another obvious change of lifestyle is the movement away from traditional wooden houses to
concrete buildings. All over the research area, construction work was observed. Asked about
the changes in lifestyle since rubber, most of the respondents firstly mentioned the ability to
afford the building of a new, concrete house: “My life has become better since I have been culti-
vating rubber. I have enough money to buy everything I want. I built a new house and bought elec-
tronics” (Farmer).
House building in former times was the responsibility of the family and community. Today,
the families prefer to commission a construction company.
Another aspect is the overall declining number of livestock in the NRWNNR. During the
field research, BanQianDi and Naban were the only villages where buffaloes could still be
observed. In former times, they were used for tillage and therefore had a high value to the
farmers. Today they are replaced by modern machinery. Even the farmers in BanQianDi
would rather sell the animals instead of keeping them. Villagers raise them because they are
able to achieve a sales price of 5,000 up to 6,000 RMB per animal.

91
8 Stakeholders’ interests and attitudes towards rubber
cultivation
The focus of this section is on the stakeholders’ interests and ambitions. This reflection
deepens our understanding of the respective stakeholders their needs and motivation for
growing rubber.
Consequently, the research objective of this section is to identify the interests and ambitions
of the stakeholders in order to understand the stakeholders’ needs and wishes for the future.
This is vital to a proper understanding of the current and future trends of the villagers. In the
long run this knowledge about the stakeholders’ interests can be essential for the
SURUMER’s future communication and implementation phases towards stakeholder partic-
ipation and the overall goal of more sustainable rubber cultivation.
The following section has been divided into two parts. The first part deals with the interests
and ambitions for the future of the stakeholders in general. The second part focuses on fur-
ther ambitions and interests concerning the production of rubber. Ideas which were ex-
pressed frequently are addressed first, followed by statements which were given less often.

Excursus: Limitations to the research questions

In comparison to the other aspects of this stakeholder analysis, questions towards stakehold-
ers’ interests and ambitions have not been answered often by the respondents. This could be
because of the rather abstract question, which makes it more difficult to answer, or it could
be a cultural implication which does not make it adequate to ask such a question. Another
possibility is that the question simply has not been asked in every interview. For future inter-
views it is essential to keep in mind that this information is relevant and that it does make a
difference.
Thus some researchers rephrased the question, “What do you wish for your future” into
“What do you wish for the future of your children”. However, since the questions were not
standardized and the interviews were rather open, with more people around and sometimes
interfering, the results for these questions simply show some general wishes or ambitions of
some of the village inhabitants. These limitations of the data should be kept in mind, before
generalizing the findings.
Nonetheless, some ambitions and interests are mentioned by several people, whereas others
were only mentioned by one individual.

8.1 General interests and ambitions of the villagers

Within this section the different general interests of the villagers are identified. The interests
are: Better education for children, increase in wealth, more government support, and contin-
uation of the status quo, a better/different job, family health, and tourism.

92
 
Table 12: Number of people stating the same general interest
Better educa- Increase in More govern- Continuation Better/ Family Tourism
tion for chil- Wealth ment support of Status Quo Different Health
dren Job
ManDian 1 2 1 1
Kemu 3
Huilao 1 1 1
Zhong- 2
ZhiChang
BanQian Di 1 1 1 1 1
Pabin 1 1 1 1
ChaChang 1 2 1 1
Naban 1 1
TOTAL 9 7 5 4 2 1 1

As indicated in Table 12, some trends regarding the interests of the respondents can be
shown. Many are interested in better education for their children. Education as such is free
of charge in China, but most of the villages are not located close to a high school. Thus, for
further education the children have to stay in a boarding school and the parents have to pay
for accommodation and meals. Most of the elderly people did not receive any formal educa-
tion at all. The interest in higher education for the next generation is correlated with the in-
terest in an increase in wealth. Many interviewees stated that they would like to receive a
higher income.
In connection with the interest in better education the wish for better or different jobs has to
be seen. It was mentioned that the son or daughter of the family should work in the city or
have a different job than being a farmer. This statement is remarkable and could be a first
hint for upcoming social changes, since the wealth in many villages originates almost solely
from growing rubber. Nevertheless some parents see the future of their children outside the
agricultural sector: “The economic situation is better now. I spend my money just on daily life ex-
penditures. I can buy anything I like. I hope my children will have a better life in the future, more
money. I don’t want my children to grow rubber, they should study and go to a good college and find
a good job in the city. In case they do not receive good grades, they have to come back and cultivate
rubber” (Farmer).
Keeping in mind the enormous increase in the living standard of most of the villagers due to
the cultivation of rubber, it is not surprising that some also mentioned that they are interest-
ed in a continuation of the status quo – meaning rubber cultivation and the linked perpetua-
tion of the current high living standard, which is perceived as sufficient (TANG 2013: p. 97).
This interest is also mentioned in the problem section, because changes in lifestyle and liv-
ing standard can also lead to problems and might not have a positive connotation.
Other aspects mentioned by some of the villagers are interests in family health and the gen-
eral wish for the establishment of tourism. Tourism is rather difficult to promote, because
the villages are located in the “Nabanhe National Nature Reserve” and a further expansion of
the areas belonging to the villages is not feasible (TANG 2013: p. 53).

93
 Picture 23: Everyday life in Naban

It is essential to realize that even with regard to the stakeholders’ general interests, the life of
the people in the villages is strongly connected to the production of rubber, since the reve-
nues provide the basis for the interests most frequently stated: Better education and in-
creased wealth. This holds true for most of the respondents in villages with high and lower
current dependence on rubber cultivation. To be successful, especially in terms of social sus-
tainability, future interventions need to address these interests by facilitating equitable in-
come opportunities. As stated by the farmers, government support seems to be an option to
enhance or keep up the present living standard in the villages.
Along with the interests shared by many villagers, there were also more precise ambitions
expressed, often only by individuals (Figure 18): more government support; some interview-
ees listed infrastructure, such as street light or better transportation through paved roads;
others access to credits; and more extension. Retirement funds or pensions for the villagers
were also mentioned, as government pensions are not sufficient.

94
 
Figure 18: Precise ambitions expressed by individual stakeholders

Access to credits
Paved roads More extension service

Street light Retirement funds or

Governmental pension
support

Beautification of
riverside Precise ambitions Cooperative

Banana
factory Infrastructure
School

Restaurant Community house

The deputy head of one village specifically mentioned that he would like to have a school in
his village, which points at the awareness of the importance of education. Another ambition
for an improvement of the village infrastructure was the idea to open a restaurant in one of
the villages, which could also be used for tourism. Another farmer wished for a new facility
for gatherings: “I also wish we had a community center as we don’t have one yet. Right now, we
are using the deputy’s village house for our meetings.”
In terms of cooperation among the villagers, the plan of one family is to build cooperation
facilities and to manage a cooperative of many villagers, who intend to sell various ecological-
ly produced products, such as Puer tea, mushroom and bamboo. The association should cov-
er most of the parts of the production process, such as planting, cultivating, managing, pro-
cessing, trading and selling. Besides, this cooperative should also be involved in eco-tourism
to increase the benefits for their contributors. The construction of facilities is in progress. In
ManDian one villager was particularly interested in the beautification of the riverside – po-
tentially for tourism (Figure 18).
Another ambitious villager plans to build a banana factory close to his plantation. He wants
to be responsible for the entire production process, including storage and a cooling house. In
that way, it is possible for him to store the bananas when the price is low and thus be respon-
sible for a bigger part of the value chain.
All in all, with regard to the overall goal of more sustainable rubber production, the interests
expressed by the villagers show that improvement of the ecological situation in the reserve is
closely connected to the parallel provision of economically viable alternatives.

95
8.2 Interests regarding rubber cultivation
In the following chapter, the specific interests of the villagers with regard to rubber cultiva-
tion are analyzed. These are: More land or increase in production, more knowledge on ferti-
lizer or pesticides, intercropping techniques or alternative cultivation techniques, new varie-
ties, ecological improvement, bargaining power, prices, and the stabilization of the current
production (Table 13).

Table 13: Respondents stating the same interests and ambitions regarding rubber production
More land/ More (Alternative New vari- Ecological Bargain- Remain
increase in knowledge cultivation) eties improve- ing pow- current pro-
production on fertilizer/ Intercropping ment er/ prices duction
pesticides Techniques
ManDian 1 3 1
Kemu 2 1 2 1 1
Huilao -
ZhongZhi 2 1 2 1
Chang
BanQian 3 1 1 1 1

Di
Pabin 1 3 1
Cha 3 2 3 2 11

Chang
Naban 1
TOTAL 12 9 8 5 3 13 2

As shown in Table 13 the biggest interest of the villagers is to acquire more land and/or to
increase the production of rubber. Due to the location of the villages and the environmental
policy in the NRWNNR an expansion of the area for rubber cultivation through the cutting of
forest is not possible. However, an increase in production could be possible with new varie-
ties, which could be, for instance, placed on land in higher altitudes. Improved management
through the usage of fertilizers and pesticides is also wished by the stakeholders. As stated in
the problem section 7.2., several villagers perceive fertilizers and pesticides as too costly.
More knowledge and capacities on both is of high interest for the villagers, as combined with
the correct tapping it could enhance productivity: “I have the impression that other villages are
doing better in cultivating rubber. We are lacking sufficient fertilizer, which lowers our production
and I can see improvement in terms of tapping skills and knowledge. Right tapping technology could
increase the output and the quality of the latex.” (Farmer).
Another important aspect is the high interest in alternative cultivation techniques, such as
intercropping. This fact could be a good starting-point for the SURUMER consortium to
propagate improved conservation practices. Some villages already started trials, for instance
with tea. This, however, but did not work out, because the shadow of the rubber trees reduces
the quality of the tea.

96
 
Picture 24: Latex flow of a rubber tree in Huilao

Also mentioned was the interest in better prices for rubber and more bargaining power. Due
to the price fluctuation of rubber and price drops in 1991 and 2007 (TANG 2013: p. 95) this
interest is comprehensible and also mentioned in the problem section 7.2. Some of the inter-
viewees said that they sometimes sell the latex to businessmen and only get a reduced price
for it in comparison to the price at the factory.
With this interest in mind, the future cooperative for the production of ecologically produced
crops also wants to buy latex from their members to receive higher prices while selling it di-
rectly to the factory in Jinghong. Similar practical plans were made in ZhongZhiChang,
which failed to be implemented due to problems in the cooperation among the farmers in
the village.
Since the prices for grafted rubber trees are significantly increasing over time one farmer is
keen on acquiring crafting skills and receiving training on that to be able to graft the trees by
himself. He feels that otherwise he will not be able to buy new trees in the future.
Table 13 shows that two respondents were satisfied with the current production. It is interest-
ing that several people stated to be satisfied with their current situation in general or the cur-
rent production of rubber. This could also be a sign of the improvement in living standards
in the villages over the last years.
Most of the respondents stated that they are aware of the environmental changes (see also
section 7.1). They noticed decreasing water sources or fluctuating weather events, such as too

97
much or little rain. Without measures of ecological improvement, rubber production cannot
be made more sustainable.
It is important to keep in mind that the villagers are not a homogenous group, but rather
share only some aspirations while others have been stated by one or two individuals solely.
Each and every villager faces a unique set of circumstances, environmental conditions and
individual backgrounds that consequentially shapes different interests. For future implemen-
tation it will be a challenge to handle all the interest and/or provide knowledge which can be
of interest to everyone.
There are six main fields of interest of influential rubber farmers:
1) Increasing latex yield: Since they are highly dependent on rubber cultivation, the first goal
in short-term is increasing latex yield. Therefore, rubber farmers are usually making use of
their contacts and networks to find out new information and knowledge.
2) Improving cultivation methods: This category comprises aspects of ecological and eco-
nomic sustainability. Many rubber farmers associate the scarcity of groundwater to rubber
production. While giving up rubber cultivation is not part of their plans, some farmers are
interested in intercropping or improving cultivation methods to reduce the negative envi-
ronmental effects. In economic terms, they are looking for more efficient methods to max-
imize profits.
3) Enhancing financial capital: This is the most frequently mentioned interest of rubber
farmers who see in rubber cultivation a source of wealth and well-being for their families and
villages.
4) Changing lifestyles and consumption patterns: Although this interest was not explicitly
addressed during the interviews, it was widely observed that most of the rubber farmers and
their families are changing their lifestyles, redefining their cultural background and ethnici-
ty.
5) Taking off in other profitable crops: Some of the respondents are concerned about the dis-
advantage of being dependent on rubber cultivation. This may be due to the price fluctuation
of latex or the recognition that land for expanding their rubber forest is limited. They are
therefore interested in experiments with other cash crops that can be as profitable as rubber.
6) Preserve connections to influential people: Maintaining and strengthening linkages with
the economic and political elite allow rubber farmers to have access to valuable information
and participate directly or indirectly in decision-making processes.

98
 

9 Communication Networks in NRWNNR villages

9.1 Types of Rural, Local Networks

When in the field, groups were able to identify three main types of networks: Social net-
works, institutional networks and value chains.

9.1.1 Social Networks

As presented in 2.3.1, KADUSHIN (2004) defines a network as “a set of relationships”, consist-
ing of, among other things, individuals, groups, organizations and even websites. These ob-
jects are referred to as nodes which are then linked depending on the direction and nature of
the relationship. If one visualizes the network as an object, one can observe the general shape
and draw information about the logistics of the network. For this report the nodes are local
villagers. The research carried out by the team classifies a social network as the villagers and
those informal relationships they share. As stated earlier, 30 male and 18 female farmers
were interviewed in eight villages. Each of these interviewed farmers has their own network
of informal contacts. These informal contacts can include the workers they meet on a daily
basis in the fields, as well as neighbors who live in close proximity with whom they can dis-
cuss topics related to rubber cultivation.

Picture 25: Gathering for leisure in Naban

In most villages, the idea of the family played a major role in the sharing of information.
Many farmers' spouses had experiences working somewhere and then sharing the infor-
mation they learned there. Marriages between members of different villages that are con-
nected to other sources of information on rubber result in dissemination of information.

99
Other informal network members include outsiders and non-rubber farmers. The types of
interactions that members of an informal network have are summarized in Table 14 below.
Informal internal interactions take place at dinners, community gatherings, while gambling,
or selling to a market. Informal external network interactions include regional gatherings.

9.1.2 Institutional Networks

In most villages, a community was made up of system of actors called the village head, an
opinion leader, and villagers. According to TANG (2013), opinion leaders play an intermediary
role between the user system, the institutional network and the knowledge dissemination
system which includes the public extension sector, the private sector, and mass media. Tang
found five opinion leaders in Pabin and four in ManDian, but in present research in the vil-
lages the study group identified village heads as opinion leaders themselves.
Village heads are elected by the villagers. They have the opportunity to access new infor-
mation and knowledge and implement rural policies by the Chinese government. The
NRWNNR officials, also part of the formal institutional network, have been previously identi-
fied in this report as the villagers’ link to promote better cultivation strategies, offering sug-
gestions and sometimes extension advice.
Other formal network members include the forest ranger, hired workers, traders, and the
public extension sector institutes. The informal and formal network interactions are summa-
rized in Table 14. Formal internal network conversations could take place at village meetings,
or within the village committee in a meeting. Formal external interactions take place at ex-
tension visits from the NRWNNR or training programs.

Table 14: Informal and Formal Network Interactions

Informal Formal
Dinners

Community gatherings Village meetings

Internal Gambling & Games Self-organized knowledge sharing

Cooperation in selling to market Village Committee

Personal relationships
Sanongtong Informational Alerts
Regional gatherings
External Extension visits
Information from friends & relatives
Training programs

100
 

9.1.3 Value Chains

According to LA LONDE and MASTERS (1994) a value chain is a set of firms that pass materials
forward. Normally, several independent firms manufacture a product until it reaches the end
user in a value chain—raw material and component producers, product assemblers, whole-
salers, retailer merchants and transportation companies are all members of a supply chain.
LAMBERT et al. (1998) define a supply chain as the alignment of firms that brings products or
services to market, and include the final consumer as part of the supply chain.
Another definition notes a value chain as the network of organizations that are involved in
the different processes and activities that produce value in the form of products and services
delivered to the ultimate consumer (CHRISTOPHER 1992). In other words, a value chain con-
sists of multiple firms including suppliers, distributors, and the consumer.
Only one example of planned cooperation and knowledge transfer was encountered in
BanQianDi which is described in more detail in section 9.2.1. This initiative was prompted by
the poor conditions for rubber planting and low income, mainly by a motivated villager. One
of the principal goals of this cooperative is to capture more of the value created in the chain
by cutting out the intermediary that the villagers currently contact in order to sell to the mar-
ket.

Picture 26: Network in BanQianDi

Photo 1. Marketing network in BanQianDi. By Lay Mei Sim.

Communication in other villages, although not as organized as in BanQianDi, is functional

enough that some villages cooperate in marketing. For example, the delivery of rubber in
Naban is organized by villagers and they collectively decide upon when to sell the rubber to
the factory. If the market rate was too low they hold the rubber until the price increases and

101
gauge where to sell by calling different factories with their cell phones. Market information
was accessed in the same way by individual villagers who dealt directly with the factories.
Some of whom also stored their rubber until the market prices became more favorable.
The research group only analyzed stakeholders in the rubber supply chain, and included only
rubber farmers and formal government stakeholders. The end user of the latex was not con-
sulted. Earlier in this paper the role of the trader was briefly discussed, but only from the
perspective of the rubber farmer.

9.2 Dissemination of information related to rubber cultivation

This subchapter identifies the means by which farmers obtain and share information about
rubber cultivation. Information and knowledge about rubber provide a common denomina-
tor among farmers, extension workers and researchers (RAMIREZ 1997). Theoretical ideas on
communication networks as discussed in section 2.6 (RAMIREZ 1997, WARRINER 1992 and
CONLEY and UDRY 2001), previous research work of TANG (2013) in Xishuangbanna, together
with information the study group obtained in interviews provide the basis for this analysis of
farmer's communication networks. Findings from TANG (2013) are compared with field expe-
riences in villages previously studied and villages that were researched for the first time.

9.2.1 Adoption of Rubber and Changes in Cultivation

The impact of factors such as credit, information availability, risk, and farm size have an ef-
fect on farmer adoption of new technologies. The economic environment of rural households
in developing countries is also often characterized by the fact that some markets are missing.
Future prices and the role of learning-by-doing shape the takeoff and new technology adop-
tion (FEDER 1993). The information we collected from interviews with villagers show that
adoption by farmers of rubber and other alternatives was connected to the wealth of other
villagers living nearby.
As mentioned in section 5.5, the villages in the NRWNNR adopted rubber at different times.
A farmer of ZhongZhiChang started planting in 1989, after learning the technique from the
state farm. He shared knowledge with other villagers. Another villager in ZhongZhiChang
began earlier in 1987. One villager and her husband started to grow rubber because they
heard about people at the state farm getting profits from rubber cultivation. At that time oth-
er villagers also started growing rubber. In 1989, she received credit from government to
plant rubber trees. The government gave her and her husband credits to buy the grafted trees
that they had to return the following year. She knew about the credits through the infor-
mation passed by the government to the head of the village to the villagers. During that year,
she bought about 400 grafted trees on this credit. In Pabin, a few villagers signed a contract
in 1999 with some outsiders for 30 years, with whom they shared profits 50%.

102
 
Picture 27: Livelihood Network in Kemu

According to a farmer in BanQianDi, he learned most of the rubber planting knowledge

from experiences he heard about in ZhongZhiChang. There, villagers began rubber cultiva-
tion in 1989 and the large number of rubber plantations showed that they had lots of experi-
ence in growing rubber. He also has two good friends in 2 villages (A MaXinZhai and
ZhongZhiChang) who taught him how to grow rubber. He thinks that the people in these
villages received governmental training on rubber cultivation whereas he gained tapping
skills from a training in 2011.
A farmer from ManDian started cultivating rubber in 1996. At that time he bought the young
plants from a dealer who also provided him with some information. A hired worker adopted
rubber in 2007 when he took the job on a farm. His boss asked the state farm to provide him
with information about tapping, fertilizer, pesticides and other management skills as well.
Another villager was one such trainer in rubber cultivation. From 1991 to 2001 the govern-
ment Department of Agriculture, the State Farm, and the office of the tropical crop business
hired him. At that time, a state farm officer came to the village to ask whether there was
someone suitable for this job and the village head and village council recommended him. He
initially learned information about rubber from the sourcebooks and training provided by the
state farm, and learned more when he was staff in the training program.
In Kemu village farmers started almost at the same time. Initially the village head planted the
biggest plots. The rest of the villagers started small and then continued to increase their pro-
duction over the next years. Rubber cultivation in Kemu village was introduced and support-

103
ed with subsidies by the government. The government offered the villagers an initial training
and some financial support to start with their cultivation. Another farmer in Kemu also start-
ed rubber cultivation in 1996. He learned how to grow rubber from the extension officers.
He said that at the time the government provided development programs for rubber that in-
cluded non-interest loans and technological training. The government promoted rubber as
‘an investment in the future. Initially, government programs were effective means for villag-
ers to learn about rubber, but the adoption within villages was spontaneous after villagers
saw the benefits of producing rubber and the wealth it could bring them.

Cooperatives
Different households from different villages in the region are preparing to work together in
order to establish a cooperative in agriculture and forest processing products. The leader of
the cooperative in BanQianDi says that rubber will also be a part of the cooperative. Planting,
collecting, and buying latex from villagers will be managed within the cooperative for sale in
Jinghong. The advantage of marketing through a cooperative enables villagers to sell latex
directly to a factory in Jinghong, so that insights and information can be shared directly be-
tween partners. The establishment of the cooperative will also improve bargaining power. At
the moment, there are 6 households involved in the cooperative, and a central building is
located in a village with easy road access called GuoMenShan. The government provided the
cooperative with interest-free credit for 2 years of about 50,000 RMB for the establishment.
Every family involved received 50,000 RMB from the bank. The construction of the build-
ings is expected to be finished before May 2013 when the rainy season begins.

Livestock
In BanQianDi, some families own buffalos that can be sold to the city markets. One buffalo
could be sold for about 5,000-6,000 RMB. In Kemu, villagers began raising peacocks a few
years ago. Originally, they received the young birds free from the NRWNNR through a dealer
in Jinghong. They sold 6 of the peacock while 5 of them died due to disease; other villages
experienced this problem as well. The NRWNNR also provided information in a manual that
had information about raising peacocks. This information was not enough for the villagers to
successfully raise their animals. When the peacocks started to get sick the villagers went to
the dealer in Jinghong to buy medicine but it did not work. Kemu villagers would consider
peacock again if they were given more information on how to combat disease and other prob-
lems.

Crop Alternatives
According to a farmer from ManDian, the cultivation of dragon fruit started 2 years ago at a
small scale. His source of information about dragon fruit was friends in ManDian. The in-
troduction of the dragon fruit is not a government project but rather an initiative of the farm-
ers. He also experimented with dendrobe, but failed due to lack of knowledge and skills. In
his opinion dendrobe is not as profitable as rubber so his interest in further production is
rather low.

104
 
One can see that the majority of the decisions to cultivate rubber and adopt alternatives were
made through observing the wealth of neighbors who began cultivating early. The state farm
and training programs are integral in the beginning stages of adoption, and maintenance of
trees, from forest protection to fire prevention.

9.3 Factors influencing communication

The study setting is very unique in this respect because of the enormous ethnic diversity
found in the comparably small location. Within each of the different villages there were dif-
ferent cultural norms. Nevertheless, there were trends in how the villagers communicated
within internal and external networks. This section discusses these trends and is divided into
the advantages and shortcomings of the network as perceived by the stakeholders.
Research done by TANG (2013) and LIU (2008) follows knowledge flow within the community
according to basic elements of village communication: environmental conditions, tools and
social networks. The next part of this subchapter is a comparison of the findings of TANG
(2013) and the study team. The influences that the institution has on the way that local actors
communicate will also be examined.

9.3.1 Environmental Conditions

TANG (2013) found that the proximity of neighboring villages has an effect on whether infor-
mation about rubber production or markets can be shared. A Jinghong rubber farm is locat-
ed 1 km from ManDian, 3 km from Pabin, and 5 km from Naban. ChaChang village is also
near to Pabin, and in more recent visits, villagers were found visiting each other for dinner
and celebrations. Some women in ManDian village married men from the Jinghong Farm,
and as a result, farmers organized annual technology workshops and insect infestation semi-
nars in ManDian by the No. 14 division of Jinghong Farm. Short distances between homes
within villages also allow for more frequent and informal communication networks without
the need to be identified as agriculturally relevant knowledge. TANG (2013) and the study
group found that in many villages, the style of porches in the traditional architectural con-
struction lends to easier communications.
Public space is another venue for informal and formal knowledge dissemination about rub-
ber. At the village shops, community leaders’ homes, and in the fields villagers share infor-
mation about rubber. A result of the research was that village shops can be a place for shar-
ing knowledge, as long as they sell food or alcohol. TANG (2013) found that during the rubber
tapping, most conversations were about the daily lives of villagers including rubber, and in
the off season more joke telling occurred. Shops or visiting fruit vendors could be recognized
as a main meeting point for villagers. A shop owner from Naban village said that her village
store is a community gathering point where she discusses rubber yield information with her
girlfriends.
At the community leaders’ homes, consulting on new rural policies, land contracting, rubber
planting, pests, and problems were topics of discussion heard by TANG. Another field obser-
vation was that there were many visitors at the homes of community leaders. One group had
the opportunity to stay in the home of the village leader in Pabin. Many visitors coming to
visit many times per day could be observed. In ChaChang, most interactions took place while

105
drinking or gambling, and discussions did not seem to reflect topics related to rubber. Ac-
cording to Tang, the agricultural fields were also sites of discussion on new varieties and
production systems. Her findings on the different formats and information types are shown
in table 15.

Table 15: Comparison of different formats of special places

Frequency of Characteristics of knowledge Process of knowledge
knowledge flow flow flow for villagers
Village shop Almost every day Mostly about agricultural inputs Active and positive
Village meeting During village Determined by the meeting con- Passive
room meetings tent
Community Primarily post- Problems the villagers face Active and positive
leader’s house harvest
Field Primarily during Centered around cultivation Random
cultivation technology
Source: Tang 2013: p.201

Village events are another site where information can be shared. There are two types of vil-
lage meetings found in villages according to Tang: public meetings affecting all farmers and
those only open to village representatives. Public meetings can include technology training
workshops, for example the NRWNNR organized a financial management and husbandry
and technology training in December 2009. Other types of meetings are where government
policies can be publicly made about seed subsidies, reforestation policies, collective public
affairs like road building, or land contract signings. The deputy village head of BanQianDi,
said that he participates in village meetings up to ten times a year, but these meetings are
mainly not about rubber, rather they concern new government regulations and policies. The
village head of the same village reported that most information is shared through informal
means like chats, or at festivals.

9.3.2 Communication Tools

TANG characterizes knowledge dissemination dependent on a variety of tools that lead to
communication. Motorcycles, mass media, and telecommunication are forms used by villag-
ers to share information about rubber. In the villages she visited in the NRWNNR, 80% of
households have motorcycles and 30% of villagers even have more than two. These forms of
transportation are very effective in receiving market information from Jinghong, especially
for villages like ManDian, Naban, and Pabin, which are located half an hour away. Most men
in the villages have at least one motorcycle.

106
 
Picture 28: Farmer in ChaChang

Mass media could also be a form of rubber knowledge dissemination, but in the two weeks
we visited the villages, we observed that mass media is used for private use. 75% of house-
holds in ManDian and 60% in Pabin have a television, and since 2007 the number of chan-
nels amounts to 50 (TANG 2013). Most homes receive the channel CCTV-7, which has 11 pro-
grams on agricultural rural laws, new varieties, new technology, culture, agricultural busi-
ness. It was found that most households prefer soap operas and children watch the most tel-
evision. TANG’s interviews show that the villagers in the villages she studied find the tech-
nical language of the content too complicated, and because of farmers’ limited technology,
poor local markets, the content is unrelated to their lives. In her experiences, she also found
that Internet has not been adopted because of a lack of education on how to use computers in
villages. Her talks with village heads revealed that Internet use is more popular among teen-
agers who travel in to the city to go to Internet cafes.
In ChaChang one could observe the community leader’s children were using tablet PCs, but
it was not clear if they were Internet equipped. Farmers in ChaChang village reported that
they receive data messages on their cell phones with information on agriculture. Due to the
widespread use of cell phones in all villages, this seems to be a cost effective and direct way
of providing information to the farmers. The Bureau of Agriculture set up an information
center specifically to collect useful information that can be transmitted as short message ser-
vice (SMS).
At the same time, every special office and institute for agricultural development was request-
ed to submit short messages to the information center so it could send them to farmers’ mo-
biles via the SMS platform (TANG 2013). A rubber farmer from ChaChang reports that he

107
knows about the Sangnongtang information alerts, but that the technology in the messages
is not suitable for the traditional methods used in his village. He also said that the alert sys-
tem sends information daily to his mobile phone on crops not related to rubber cultivation,
but rather about banana or watermelon production. He prefers to receive information related
to rubber disease prevention and recovery. This technology is underutilized because the pri-
orities of the audience don’t match up with the official body distributing the information.

9.3.3 Social Networks

The historical dependence of villagers on one another is still present in the villages, albeit
through friendships more than necessity. These close personal relations are surely due to a
high level of homophily. Multiplicity also plays a large role in these communities. As certain
villagers fulfill multiple roles, it is easy for people to talk one another about a wide range of
topics. This tends to blur the line between formal and informal networks because there are
many combinations of subject matter and settings where information can be exchanged and
relationships can be built. Operationally this classification is not so important. There are
many possibilities for actors to communicate with one another and seemingly low barriers to
do so, which is important for a well-functioning network.
It is also evident in these communities, who the appropriate person to ask about rubber is.
Opinion leaders are well known and villagers do not hesitate to identify them. In some cases
it is the village head who disseminated the information about rubber cultivation (e.g.
BanQianDi) and in others, villagers who had direct ties to the state farm or had spent time
observing nearby rubber cultivation provided information (e.g. Huilao). Opinion leaders do
not seem to be as valued in the villages that have a long experience cultivating the crop.
However these villages are also more likely to have held more formal trainings (e.g. Naban,
ManDian).
Formal village meetings, although not regular, are frequent in the majority of the villages.
They are held normally to inform the villagers about government policy changes or to plan
community events, however it results in informal conversation, questioning and sharing
about various topics among villagers. In Huilao there was a formal meeting from the forest
ranger regarding fire safety that drew nearly the entire village including women, men and
children. Although the villagers didn’t seem to pay much attention, they spoke with one an-
other freely and a large amount celebrated after the meeting. Community meetings are im-
portant, even if they are ineffective at delivering information, because that they establish a
social forum in which people can learn from various sources.
Bridging the gap between internal and external sources is the village leader, who acts as the
intermediate node between the government policies and the village people. He or she is re-
sponsible for delivering the information to the people and in most cases was welcoming of
visitors, whether they wanted to discuss official business or not. The availability of the village
leader is surely different during the tapping season, however during field work the village
leader was available to meet with people and address any concerns they had. Village leaders
indicated that if they could not answer the questions posed, they would find a person who
could.
Now that villagers have an increased connection to income sources that stem from outside of
the boundaries of the local community, relationships are being redefined within internal

108
 
networks. Whereas villagers were formerly depending on one another for trade and everyday
living, thanks to rubber income they are becoming increasingly independent. One could find
this to be a positive aspect of modern day living. If a family in the community has a problem
or is somehow affected, a community member could choose to help or ignore others hard-
ship and continue on paving her way towards personal goals. However, because of the nearly
homogeneous labor distribution in this region, it seems likely that a perturbation that would
affect one family would certainly affect another.
Waning communication about professional life is here considered a shortcoming. Now that
villagers don’t have to be so preoccupied about an income source, they seem to prefer spend-
ing time together in a purely social context. This is an interesting phenomenon because it is
contrary to the conditions estimated in the presence of homophily. It is possible that bonds
between villagers are growing, but during the short period of time it was difficult to observe.
Nevertheless, it doesn’t seem like villagers perceive the need to communicate until there is a
pressing problem.
The poor integration of outsiders is also a shortcoming. As villagers who are not registered as
citizens in the region are not required to go to village meetings, they miss out on the oppor-
tunity to associate with the local people and to learn more about their culture. The village
meeting is only one example, there were also cases in which details about renters weren’t
fully known. In these cases there is a heightened chance that outsiders will be excluded from
relationships that bind the local community together.
In Huilao, the researchers encountered two outsiders, one who was good friends with the
village leader and another who seemed isolated from the social network. This could certainly
have to do with other variables, but the woman who was better integrated was only renting
land on which to cultivate rubber. The other outsider was not only renting land for rubber
cultivation but also had a store in the village. This difference in integration may have to do
with the competition that the second villager posed to the existing villagers’ livelihood.
Traditional dress, languages, preferences and priorities vary across this space, and even in
the face of increased connectivity the inhabitants tend to associate with countrymen who
share most baseline attributes. This is a positive aspect but could be an obstacle if the villag-
ers are forced to cooperate between villages in the future.

9.3.4 Formal Networks

External sources were also viewed as having positive aspects. The institutional support of
NRWNNR was present in most villages in the form of various programs. Poverty alleviation
(e.g. Huilao), alternative crop production workshops (e.g. ManDian, ZhongZhiChang) and
technical trainings (all villages) to enhance knowledge about rubber were all offered. The
villagers also perceived that the transaction costs in learning market information from the
factory are low due to the simplicity of using a cell phone to call and the high availability of
the workers. The improvement of roads has lead to improved access to more urban areas and
wide variety of information sources.
In Pabin village, the role of the village forest ranger was revealed. The task of the forest rang-
er is to communicate the importance of forestlands. Every forest ranger has a plot of land to
be responsible for. Two times per year, the forest ranger visits the state farm to learn about

109
protection and fire protection. The forest ranger also learned about technology of pesticides
and fertilizer, and also a tapping technique using an upper and lower cut to extract more
rubber. In Pabin, the forest ranger has good contacts with the village head and is a respecta-
ble member of the community that shares rubber cultivation information.
The Huilao fire safety meeting wasn’t held in the local language and had to be translated in
summary at the end of the meeting. Surely this leads to a loss of information.
Farmers from Naban and Pabin village also have received information on rubber cultivation
from the state farm. One farmer from Naban reports that she met with an extension officer
at the state farm. Her husband and brother worked at the state farm as well, and they taught
her how to tap. A farmer from ZhongZhiChang said: “My husband started growing rubber be-
cause people at the state farm started profiting from rubber.”
There are a number of public extension sector institutes in Xishuangbanna (table 16). Yun-
nan Tropical Plant Research Institute (YTPRI) is engaged in tropical cash-crop breeding, par-
ticularly the cultivation and dissemination of new rubber varieties. The YTPRI is located in
Jinghong and has strong linkages with the local government and farmers even though it is a
provincial institute because of its location.

Table 16: Official extension in Xishuangbanna

Type Number Institutes
Administrative 4 Bureau of Agriculture (BOA), Bureau of Forest (BOF),Bureau of Sci-
agricultural or- ence and Technology (BOST), NRWNNR Administrative Bureau
ganizations
Special agricul- 8 Animal Husbandry and Veterinary Station, Agricultural Machinery
tural extension Station, Agricultural Technology Extension Station, Fishery Station,
organizations Seed Station, Soil Fertility Station, Plant Protection, Cash Crop Sta-
tions
Agricultural 4 Yunnan Agricultural University (YAU), Yunnan Academy of Agricul-
research organi- tural Science (YAAS), Yunnan Tropical Plants Research Institute
zations (YTPRI), Xishuangbanna Agricultural Research Institute (XARI)
Agricultural 1 Xishuangbanna Vocational and Technical Institute (XVTI)
education or-
ganizations
Source: TANG 2013: p.137

Some information on cultivating rubber was obtained through formal networks in the villag-
es. Trainings from state farms were one way that villagers learned how to cultivate rubber,
but within the interviews it came out that these trainings were once and now some villagers
have little or no contact with the trainers anymore. In Huilao, a villager who has 25 mu of
rubber from 4 different households said that he learned rubber cultivation from the state
farm. Another villager in Huilao reported that training was for free seven or eight years ago.
He received sharpening tools, and a rubber knife and said that villagers only needed to cut
down one tree to receive the training.

110
 
In BanQianDi, there was training in 2011. The deputy of that village said that it was the only
training he received, and if there were more, he did not hear about them, as there is no fixed
schedule for trainings. His brother said that this free training was not effective because many
villagers' rubber trees were not mature enough to tap at this time, and most villagers were
busy paving roads that were being constructed in the nearby village GuoMenShan.
The interviews also revealed that in most villages, extension officers visited once or twice eve-
ry year, every two years, or on special request. In Kemu village, a farmer reported that he
learned about pesticide technology from an extension officer who came to his village to teach
specifically about pesticides. He said that he liked the service and would even pay for
extensionists to bring experts to promote good management. Another farmer in Kemu vil-
lage, LuoZhongPing, said that when fallen leaf disease occurred last year, extension workers
reacted quickly and visited the community to implement a control strategy.
The last and most complicated shortcoming in communication networks is the difficult posi-
tion of the NRWNNR with relation to the villages. The reserve administration supports the
villagers’ improved livelihoods, but it is not their policy to regulate the actions of the farmers.
This has so far led to the problematic administration of projects for alternatives, However the
inhabitants of most villages continue to express interest in additional revenue sources and
trainings that would enable them to successfully realize a more risk diverse livelihood.

111
10 Conclusions
As many people are involved in the rubber cultivation and processing business it will take
time until manners and thinking will become more sustainable and ecologically friendly. It
seems that a gradual change has been introduced but much work still needs to be done.
From this research it appears that there is an existing lack of knowledge as well as problems
with the communication among the stakeholders.
On the one hand, very experienced farmers are an important target group for implementing
further SURUMER projects as they see environmental changes and have a better knowledge
about rubber cultivation. Thus, their cultivation techniques and skills can be further en-
hanced. On the other hand, there are many farmers willing to intercrop but do not have
enough knowledge or have never heard of the possibilities for alternative farming practices.
In most cases farmers are eager to learn and exchange their knowledge, especially when it is
about to increase yields.
The main obstacle to change is still the high price for rubber coupled with too few alternative
income sources. However, this situation is also likely to change and farmers need to have a
clear understanding what a dependency on only one cash crop could mean when prices are
dropping. While some farmers already realize the difficulties that come with monoculture,
others just have started cultivating and only see the positive short-term effects on their in-
come. Overall, it is very important that farmers have a better network among each other, with
the NRWNNR as well as with outsiders to get a broader input of possibilities for their in-
come. Additionally, they need further understanding of the ecological consequences for their
environment. Education and improvement of their skills are the only possibilities so far to
change the farmers’ mindset towards a sustainable livelihood system. Sources of power of
most influential rubber farmers can be described along eight aspects:
1) Land ownership: Land ownership implies the possibility to grow crops for food or for the
market. Besides, it can be leased to other farmers as it is already happening in many villages
in the NRWNNR. Here, rubber farmers cannot afford the time and effort to cultivate staple
crops, land renting becoming an income source as well. Furthermore, land ownership pro-
vides membership to the community and the participation in decision-making of public af-
fairs, a capacity that is restricted to outsiders.
2) Tapping skills and management knowledge: Farmers’ expertise in tapping rubber trees is
widely appreciated by other rubber farmers who constantly turn to the experts to ask for ad-
vice, thus enhancing their legitimacy.
3) Connection to extension services: Currently or in the past having connection to extension
trainers either in a formal or informal way is definitely a strength of rubber farmer. Infor-
mation and knowledge coming from extension officials help rubber famers to be up-to-date
on tree management, especially regarding pests, fertilizer and tapping methods.
4) Financial capital: Having monetary resources gives rubber farmers a broader capacity to
make long-term decisions and take more risks than those farmers whose income is low and
irregular. Training, new technologies or new cash crops are only some examples of the in-
vestments that can be afforded by those who have enough resources.
5) Different options to sell liquid latex: This fact increases the bargaining power of rubber
farmers in the NRWNNR villages. They perceive positively the fact that they do not depend

112
 
on prices fixed by one village trader, but can negotiate with different traders and factories
about the offered price.
6) Capacity to store solid latex: In case of low latex prices, rubber farmers process and keep it
until the price rises. Farmers whose financial solvency is limited cannot afford to follow this
strategy and are forced to sell latex at lower prices.
7) Information exchange with other farmers: This fact refers to the networking of the rubber
farmers; the larger it is, the better the possibilities to deal with pests, improve tapping meth-
ods, find new latex buyers or even new cash crops.
8) Legitimacy and social prestige: Due to the fact that rubber cultivation has substantially
improved the living conditions of the villages in the NRWNNR, rubber farmers possess a
high level of social prestige and legitimacy among villagers; indeed, it has been a common
phenomenon that early adopters of rubber cultivation have become also village heads.
Figure 19 illustrates the twofold influences of rubber farmers as key stakeholders in rubber
cultivation within the NRWNNR villages.

Figure 19: Influences of rubber farmers in NRWNNR

113
11 Literature
AALTONEN, Kirsi (2011): Project stakeholder analysis as an environmental interpretation pro-
cess. In: TURNER, Rodney (ed.): International Journal of Project Management 29. Lille, pp. 165–
183.
AHLHEIM, Michael, Tobias BÖRGER and Oliver FRÖR (2012): The ecological price of getting rich
in a green desert: A contingent valuation study in rural Southwest China, FZID discussion pa-
pers, No. 55-2012. University Hohenheim. Online: http://opus.ub.uni-
hohenheim.de/volltexte/2012/751/ (12.04.13)
ALLMARK, Tim (1997): Environment and society in Latin America. In: Michael REDCLIFT (ed.):
The international handbook of environmental sociology. Cheltenham, Northampton, pp. 390–
399.
APEL, Ulrich (1997): Traditionelle Dorfwaldbewirtschaftung. Der Dorfwald von Moxie, Südwest-
China. Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ). Eschborn.
BARLOW, Colin (1997): Growth, Structural change and Plantation Tree Crops: The case of Rub-
ber. In World Development 25 (10), pp. 1589-1607.
BARRETT, Christopher B., Thomas REARDON and Patrick WEBB (2001): Nonfarm Income Diversi-
fication and Household Livelihood Strategies in Rural Africa: Concepts, Dynamics, and Policy
Implications. In Food Policy 26 (4), pp. 315-331.
BOER, E. and ELLA, A. B. (2000): Plant Resources of South-East Asia (PROSEA) No. 18. Plants
producing exudates. In: Larsen, Kai (ed.): Nordic Journal of Botany 20 (5). Leiden, pp. 74-82.
BRYSON, John, Michael PATTON and Ruth BOWMAN (2011): Working with evaluation stakehold-
ers: A rationale, step-wise approach and toolkit. In: Evaluation and Program Planning 34, pp.
1–12.

CAMPBELL, Heather and Robert MARSHALL (2002): Utilitarianism's Bad Breath? A Re-evaluation
of the Public Interest. Justification for Planning. In: Planning Theory, 1(2), pp. 163-87.

CARLETTO, Gero, Katia COVARRUBIAS, Benjamin DAVIS, Marika KRAUSOVA and Paul WINTERS
(2007): Rural income generating activities study: Methodological note on the construction of
income aggregates. In: Journal of Agricultural and development economics 4 (1), pp 146-193.
CHAMBERS, Robert (1994): The origins and practice of participatory rural appraisal. In World
Development 22 (7), pp. 953-964.
CHAN, Cecilia. (2008): Problem Based Learning Assessment. In: Assessment resource centre
University of Hong Kong. Online: http://arc.caut.hku.hk/assMethod.html (28 April 2013).
CHAPMAN, Edward Charles (1991): The Expansion of Rubber in Southern Yunnan, China. In:
The Geographical Journal 157 (1), pp. 36–44.
CHEVALIER, Jacques M. and Daniel BUCKLES (1999): Conflict Management: A heterocultural per-
spective. In: BUCKLES, Daniel (ed.): Conflict and collaboration in Natural Resource Manage-
ment. Washington, pp. 15–46.

114
 
CHRISTOPHER, M.G., 1992. Logistics and Supply Chain Management. Pitman Publishing, Lon-
don, UK.
CONLEY, Timothy and Christopher UDRY (2001): Social Learning Through Networks: The Adop-
tion of New Agricultural Technologies in Ghana. In: American Journal of Agricultural Econom-
ics. 83 (3), pp. 668–673.
COOLEY, Charles H. 1956. Human Nature and the Social Order. Glencoe, Ill: Free Press. Origi-
nal Edition, Scribner, 1922
DAVID, Matthew and Caroline D. SUTTON (2004): Social Research the Basics. London.
DEWALT, Kathleen and Billie DEWALT (1998): Participant observation. In: BERNARD, H. Russell
(ed.): Handbook of methods in cultural anthropology. Walnut Creek, pp.259-300.
DFID (Department for International Development) (2003): Tools for development: A hand-
book for those engaged in development activity. London.
ENGEL, Charles (1991): Not just a method but a way of learning. In: D. BOUD & G. FELLETI
(eds.): The challenge of Problem-Based Learning. New York, St. Martin Press: pp 23-33:
ENGEL, Paul and Monique SALOMON (1994): RAAKS: A participatory action-research approach
to facilitating social learning for sustainable development. In: Systems-Oriented Research in
Agriculture and Rural Development. Papers of the International Symposium, Montpellier,
France 21-25 November, 1994.
FAN, Shenggen; Keming QIAN and Xiaobo ZHANG (2006): China: An Unfinished Reform Agen-
da. In: PARDEY, Philip; Julian M. ALSTON and Roley R. PIGGOTT (eds.): Agricultural R&D in the
developing world: too little, too late. Washington D.C, pp. 29-64.
FARRINGTON, John; Diana CARNEY; Caroline ASHLEY and Cathryn TURTON (1999): Sustainable
livelihoods in practice: early applications of concepts in rural areas. In Overseas Development
Institute (ODI) 42 (3), pp. 1-17.
FEDER, Gershon (1993): Adoption of Agricultural Innovations. In Technological Forecasting
and Social Change 43 (3-4), pp. 215-239.
FRIEDMAN, Andrew L. and Samantha MILES (2002): Developing Stakeholder Theory. In: Andrew
C. Corbett; Andrew Delios and Bill Harley (eds.): Journal of Management Studies 39 (1). Ho-
boken, pp. 1–21.
GHORBANI, Abdolbaset; Gerhard LANGENBERGER and Joachim SAUERBORN (2012): A comparison
of the wild food plant knowledge of ethnic minorities in Naban River Watershed National Na-
ture Reserve, SW China. In Journal of Ethnobiology and Ethnomedicine (8):17.
GLAVIC, Peter and Rebeka LUKMAN (2007): Review of sustainability terms and their definitions.
In Journal of Cleaner Production 15 (18), pp. 1875-1885.
GOSLING, Louisa (2006): Toolkits. A practical guide to planning, monitoring and impact as-
sessment. In: Save the Children (ed.): Development Manual 5. London.
GRAY, David (2004):Doing Research in the Real World. London.
GRIMBLE, Robin (1998): Stakeholder methodologies in natural resource management. Socioec-
onomic Methodologies. Best Practices Guidelines. Chatham, UK.

115
GRIMBLE, Robin; Man-Kwun CHAN; Julia AGLIONBY and Julian QUAN (1995): Trees and Trade-
offs: A stakeholder approach to natural resource management. In: International Institute for
Environment and Development, Gatekeeper Series 52, pp. 1–17.
HOFMANN-SOUKI, Susanne (2012): Lecture about Problem-Based Learning. Internal presenta-
tion, unpublished (26 April 2013).
ISGUT, Alberto E. (2002): Nonfarm Income and Employment in Rural Honduras: Assessing the
Role of Locational Factors. In: Journal of Development Studies. Online:
http://aisgut.web.wesleyan.edu/papers/Hnd98.v5.pdf (14.05.2013).
KADUSHIN, Charles (2004): Introduction to Social Network Theory. Boston.
KAHNEMAN, Daniel, Alan B. KRUEGER, David A. SCHKADE, Norbert SCHWARZ and Arthur A. STONE
(2006): “Would You Be Happier If You Were Richer? A Focusing Illusion”. In Science, 312
(5782), pp. 1908-1910.
KVALE, Steinar(1996). Interviews. London.
LA LONDE, Bernard J. and James M. MASTERS (1994): Emerging logistics strategies: blueprints
for the next century. International Journal of Physical Distribution and Logistics Management
24 (7), pp. 35-47.
LAMBERT, Douglas M., James R. STOCK and Lisa M. ELLRAM (1998): Fundamentals of Logistics
Management. Irwin, McGraw-Hill, Homewood, IL, New York.
LANGENBERGER, Gerhard, Jinxin LIU, Abdolbased GHORBANI and Jan GRENZ (2008): Rubber
boom in Xishuangbanna. Where will it end? Online: https://www.uni-
hohenheim.de/sfb564/uplands2008/presentations/5-3_d-Langenberger.pdf (24.04.2013).
LANZING, Jan (1996): Everything you always wanted to know about...concept mapping. Online:
http://utto1031.to.utwente.nl/artikel1 (08.04.2013).
LAZARSFELD, Paul and Robert MERTON (1954): Friendship as a social process: a substantive and
methodological analysis. In: BERGER, Morroe (ed.):Freedom and Control in Modern Society.
New York. pp. 18-66.
LÉLÉ, Sharachchandra M. (1991) Sustainable development: A critical review. In: World Devel-
opment 19 (6), pp. 607-621.
Li Hongmei, T. Mitchell Aide, Youxin Ma, Wenjun Liu & Min Cao (2007): Demand for rubber
is causing the loss of high diversity rain forest in SW China. Biodivers Conserv 16:1731–1745.
DOI 10.1007/s10531-006-9052-7
LI, Hongmei, Ma YOUXIN, Aide MITCHELL and Liu WENJUN (2008): Past, present and future
land-use in Xishuangbanna, China and the implications for carbon dynamics. In BINKLEY, Dan
(ed.): Forest Ecology and Management, Volume 255, Issue 1. Fort Collins. pp. 16–24.
LI, Z. H., SONG, G. B., GAO, J. X., BAO, Y. J., PENG, H., WANG, H. M., JIANG Y. & LV, H.Y. (2006):
Study on the relationship between land use change and pattern and channel effect in Longitu-
dinal Range-Gorge Region. Chin Science Bull, 51(B07): 90–99. (in Chinese)
LIN, Justin Yifu (1997): Institutional reforms and dynamics of agricultural growth in China. In:
Food Policy 22 (3), S. 201–212.

116
 
LIU Feng, Fan Guo SHENG, Tao Guo DA (2010): Study on wild medicinal plant resources in
Nabanhe National Nature Reserve. In: Environmental Science Survey 2010, 29(4). pp. 21–24.
LIU Y. (2008). Community-based rural communication network research. PHD dissertation,
China Agricultural University, Beijing.
MARSHALL, Catherine and Gretchen ROSSMAN (1989): Designing qualitative research. Newbury
Park, CA.
MASCARENHAS, James (1991): Participatory Rural Appraisal: Proceedings of the February 1991.
Bangalore PRA Trainers Workshop, RRA Notes, No. 13. London.
MCPHERSON Miller, Lynn SMITH-LOVIN and James COOK (2001): Birds of a Feather: Homophily
in Social Networks. In Annual Review of Sociology, Vol. 27, (2001), pp. 415-444.
MILLER, Brian (2011): The purpose of project management and setting objectives. Online:
http://projectsmart.co.uk/purpose-of-project-management-and-setting-objectives.html
(12.06.2013).
MOHR, Lawrence (1996): The qualitative method of impact analysis. In: American Journal of
Evaluation 20 (1) pp 69-84.
NRWNNR (2006): Naban River Watershed National Nature Reserve in
XishuangbannaNabanhe National Natural Reserve, edited by: YUNNAN PROVINCINAL
ENVIRONMENTAL PROTECTION BUREAU. Online:
http://www.nbh.gov.cn/ReadNews.Asp?ID=84&BigClassID=3&SmallClassID=3 (23.04.2013)
OVERSEAS DEVELOPMENT INSTITUTE ODI (2005): Successful communication. A Toolkit for re-
searchers and civil society organisations In: HOVLAND, Ingie (ed.): Research and Policy in De-
velopment, pp 1-78.
OXFORD DICTIONARY, URL: http://oxforddictionaries.com/definition/english/alternative
(14.06.2013)
OXFORD DICTIONARY, URL: http://oxforddictionaries.com/definition/english/ambition
(14.06.2013)

PITKIN, Hanna F. (1967): The Concept of Representation. Berkeley/Los Angeles.

PRABHAKARAN, Nair K.P. (2010): The Agronomy and Economy of important tree crops of the
Developing World. New Delhi
PRELL, Christina, Klaus HUBACEK and Mark S. REED (2009): Stakeholder Analysis and Social
Network Analysis in Natural Resource Management. In Society and Natural Resource 22, pp.
501–518.
RAMIREZ, Ricardo (1997): Understanding farmers' communication networks: combining PRA
with agricultural knowledge systems analysis. London.
RASTOGI, Archi, Ruchi BADOLA, Syed A. HUSSAIN and Gordon HICKEY (2010): Assessing the utili-
ty of stakeholder analysis to Protected Areas management: The case of Corbett National Park,
India. In Biological Conservation 143, pp. 2956–2964.

117
REED, Mark S.; Anil GRAVES, Norman DANDY, Helena POSTHUMUS, Klaus HUBACEK, Joe MORRIS,
Christina PRELL, Claire H. QUINN and Lindsay C. STRINGER (2009): Who's in and why? A typol-
ogy of stakeholder analysis methods for natural resource management. In: Gill, ALISON (ed.):
Journal of Environmental Management (90), Berkeley, pp. 1933–1949.
ROELING, Niels (1990): The agricultural research-technology transfer interface: A knowledge
systems perspective. In: KAIMOWITZ, David (ed.): Making the link: Agricultural Research and
Technology Transfer in Developing Countries. Boulder, Colorado, pp. 1-42.
ROGERS, Everett (2003): Diffusion of Innovation. New York.
RUBIN, Herbert J. (1995): Qualitative interviewing: The art of hearing data. London.
SAVIN-BADEN, Maggi (2007): Facilitating Problem-Based Learning. Illuminating Perspectives
In: The society for Research into Higher Education & Open University Press Berkshire Eng-
land, pp. 1-155.
SCHMEER, Kammi (1999): Guidelines for Conducting a Stakeholder Analysis: Bethesada, MD:
Partnerships for Health Reform, Abt Associates Inc. (Health reform tools series). Online:
http://gametlibrary.worldbank.org/FILES/904_Guidelines%20for%20conducting%20a%20sta
keholder%20analysis-PHR.pdf (17.04.2013).
SEIDEL, John V (1998): Qualitative Data, Analysis and Design. In: Sage Publications Chapter
12., pp. 342-386.
SPRADLEY, James P. (1979): The Ethnographic Interview. New York.
SURUMER (2012a): SURUMER – Sustainable Rubber Cultivation in the Mekong Region: De-
velopment of an integrative land-use concept in Yunnan Province, China. Online:
https://surumer.uni-hohenheim.de/91083?L=1 (17.06.2013).
SURUMER (2012b): Knowledge transfer and interaction management: facilitation of
transdisciplinary process and communication measures. Online: https://surumer.uni-
hohenheim.de/90851?&L=1 (17.06.2013).
STURGEON, Janet C. (2012): The Cultural Politics of Ethnic Identity in Xishuangbanna, China:
Tea and Rubber as “Cash Crops” and “Commodities”. In Journal of Current Chinese Affairs, 41
(4), pp. 109–131.
SUTER, Newton W. (2012): Introduction to Educational Research. A critical thinking approach.
Thousand Oaks.
TANG, Lixia (2013): Knowledge Flows in Land-Use Change through Institutional Innovations
and Plant Breeding: Case Study from Nabanhe National Natural Reserve in South-West China,
Dissertation. Kommunikation und Beratung 111, Margraf, Weikersheim.
TANG, Lixia, Patrick A. GRÖTZ, Thomas AENIS and Uwe Jens NAGEL (2010): Farming system
changes in South-West China: Impacts of rubber cultivation, Humboldt-Universität zu Berlin
and China Agricultural University, Beijing. Social impacts of farming system shifts: 1075-1082.
Online: http://lilac.uni-hohenheim.de/de/publikationen/2010_Tang1.pdf (10.11.12).
TANG, Lixia, Patrick A. GRÖTZ, Thomas AENIS, Jens Uwe NAGEL and Volker HOFFMAN (2009):
Land use history and recent development in the Naban Watershed: The case of rubber. In:
UNESCO (ed.): Sustainable Land use and Ecosystem Conservation. ERSEC International Con-

118
 
ference Proceeding Beijing, pp. 25-38. Online:
http://unesdoc.unesco.org/images/0018/001857/185730M.pdf (12.03.2013).
TIMOTHY, Awoyemi T. (2011): Rural Non-Farm Incomes and Poverty Reduction in Nigeria.
AERC Research Paper 224. Online: http://www.aercafrica.org/documents/RP224.pdf
(12.05.2013).
UNITED NATIONS ENVIRONMENT PROGRAMME UNEP (2005): UNEP Project manual formulation,
approval, monitoring and evaluation. In: Annex II Situation analysis. w.p.
VERHEYE, Willy H. (1997): Land use planning and National soil policies. In Agricultural Systems
53 (3), pp. 161-174.
WARRINER, G. Keith (1992): Kinship and Personal Network Influences on the Adoption of Agri-
culture Conservation Technology. In: Journal of Rural Studies. Vol. 8 No. 3, pp. 279-291.
WEHNER Stefanie (2007): Villages in Nabanhe National Nature Reserve. Xishuangbanna, PR
China. Background data on land-use and the socio-economic situation. Online:
http://www.phil.uni-passau.de/fileadmin/group_upload/45/pdf/publications/WP_13.pdf
(12.11.2012).
WEHNER, Stefanie (2010): Changing landscapes and livelihoods in Xishuangbanna, SW China;
Online: http://www.pacific-news.de/pn33/pn33_sw_small.pdf (15.04.2013).
WEHNER, Stefanie (2011): Transformation of rural space from an institutional perspective. So-
cio-economic development and land use change in Xishuangbanna, Southwest China. Der
AndereVerlag, Uelvesbüll. Online: Wehner_Stefanie.pdf (15.04.13).
XBF (2001) Land Use Statistics Data of 2000 of Xishuangbanna Autonomous Prefecture.
Xishuangbanna Bureau of Forestry, Yunnan, China. (in Chinese).

YONG-NENG Fu, Hui-Jun GUO, Ai-Guo CHEN, and Jin-Yun CUI (2005): Fallow Agroecosystem
Dynamics and Socioeconomic Development in China : Two Case Studies in Xishuangbanna
Prefecture, Yunnan Province. In Mountain Research and Development. 25(4):365–371. URL:
http://pcsiheveavietcam.free.fr/recherche/Sess4_p4_fuchina.pdf (12.02.2013).
ZACCAI, Edwin (2012): Over the decades in pursuit of sustainable development: Influence,
transformations, limits. In: Environmental Development. 1(1), pp. 79-90.
ZHAO-LU, Wu (2006): From shifting cultivation and agroforestry to ecological village construct,
a case in the Nabanhe Watershed, Xishuangbanna, Southwest China. URL: www.uni-
hohenheim.de/fileadmin/einrichtungen/sfb564/events/uplands2006/PS-D-Zhao-IuWu-full.pdf
(18.05.2013).

Figures:
UNCTAD Database: URL accessed:
http://www.unctad.info/upload/Infocomm/Images/rubber/Rubber%20price%20 month-
ly%202000-2012.gif; 28.03.13
ARS Database: http://ars.els-cdn.com/content/image/1-s2.0-S0961953412005090-gr1.jpg
(dependency on crude oil); 28.03.13

119
Annex

Interview Guide for Rubber Farmers

Section I: Stakeholder Analysis

a. How and when did you get into rubber cultivation?

1 [Age, Sex, Education, Name of the village, membership in an ethnical group (o)] Just ob-
serve general characteristics before we start the interview
2 What are your duties and responsibilities in the village? (b) (leaderships, official func-
tions in rubber cultivation)
3 In which stages of the entire process do you participate? Cultivation, trading marketing,
processing (o)

b. What are the general characteristics of your farm? What are the differences with other
farms in the village?
· Hired or family labor activities
· Other crops or livestock
4 Which is the size of the farm? (i) What is the total area that is used for growing rubber?
5 What did you cultivate before rubber? (i)
6 What is the average rubber yield per year ? (i) ( hectare or mu)
0-1000 kg 1000-2000kg 2000-3000kg >3000kg unknown
7 Besides rubber which other crops do you cultivate? tea, banana, tobacco, rice, other.
8 Do you raise livestock?
9 What kind of technology (farming implements/ biotechnology) do you use for agricul-
ture?

c. What are your income sources in general?

10 What are advantages compared to other crops? (i)
11 Do you get subsidies for the cultivation of rubber? (i)
12 How much of your income is made up by rubber production?(i)(More or less than 50%?)

d. Do you experience any problems in rubber cultivation? (i)

120
 
13 Have you recognized ecological changes in your environment over the last few years?
14 Have you experienced price fluctuations for rubber in the past? If so, how did you adapt?
(i)
15 How has your daily life changed since you and your family started cultivating rubber? (i)
16 What are your perceptions regarding government regulations on cultivation of rubber?
17 Did you experience any difficulties regarding the access to market?

e. Alternatives to Rubber
18 Are there production crops besides rubber in the village? (o)
19 Can they be profitable like rubber as a cash crop? (i)
20 Are there any non-agricultural incomes accessible to you? (b)
21 Do you have access to markets for selling non rubber goods? (b)
22 Can they be profitable like rubber? (i)
23 (If growing rubber) Would you consider or have you previously used these alternative
income sources? (i)

Special Section II: Renting

f. Do you rent land?
24 Who is the owner of the land you are cultivating? (i) Do you have official title to your
land?
g. Does anyone in your community experience difficulties with land renting?
25 Are there conflicts due to land use policy in NRWNNR? (i)
Land-use right holder - Why don’t you cultivate rubber by yourself but lease the land?
26 What kind of renting payment scheme do you use? (i)
27 Why do use this renting payment scheme? (i)
Lessee - Why are you leasing land?
28 What kind of renting payment scheme do you use? (i)

Special Section III: Communication Networks

h. Where did you learn about how to grow rubber?
Relative neighbors/friends training program by state training program by rubber compa-
ny, other

121
29 How do you acquire information regarding market access, rubber prices, agricultural
extension?
30 Who do you talk to for feedback about your production?
31 How often do you talk to the extension officer?
32 How often do you have village meetings concerning rubber?
33 What do you like about the way you receive/share information?
34 (Have you ever received/shared wrong information about how to produce rubber?)
35 Have you changed your practices? Why? Increase yield, conservation, more land availa-
bility
36 Who told you about this new method? (trying to identify promoters of sustainability)

i. Who are the most important people or groups in the village regarding rubber production?
Why? (both)
37 In which stages of the entire process do you participate? Cultivation, trading marketing,
processing (o)

Closure Questions
38 What are your plans for the future of your rubber production? Growth? Higher intensity
planting? Land Renting for more production? (i)
39 What are your wishes for improvements of rubber production? (All aspects including
sustainability, social problems associated with rubber, or technical increases such as yield per
mu, income generation...) (i)
40 Do you have knowledge in local sustainability measures? (b) If not, are you interested in
gaining knowledge about sustainability measures?
41 Can you think of any future risks you might have to face?

122
 

Interview Guide for Hired Workers

Section I: Stakeholder Analysis

a. Can you please describe a bit about yourself regarding your role and duties in rubber culti-
vation?
1 [Age, Sex, Education, Name of the village, membership in an ethnical group (o)] Just
observe general characteristics before we start the interview

b. What do you think about rubber cultivation in general? – in NRWNNR, in the village?
2 Who are the most involved people or groups in the village regarding rubber production?
Why?
3 What kind of activities do you do as part of your job?
4 In which stage of rubber production do you work on? (tapping, collecting, processing,
trading)?
5 For how long have you been working on rubber cultivation?
6 What is your main interest in working in rubber production? Are any (special) skills
needed (if, where did you get them from?) (i)
7 Do you have other sources of income?

Section II: Cultivation methods

c. Have you ever been in contact with new cultivation methods or technologies?
8 What information about new technologies have you heard recently (incl. sustainable
measures)? (i)
9 Does the farm where you work have recently adapted to new technologies of land culti-
vation? Which have they adapted to? (b)
10 Does this new technology have an influence on your or on your co-workers work? Please
describe the changes from before (benefits, problems... concerning working hours, health,
income) (i)
11 Have you been part of / were you able to influence the process of new farming methods?
(i)

Section III: Conflicts

d. Has your co-worker or employer ever experienced any conflicts due to rubber production
in NRWNNR?

123
12 Compared to them have you ever had (similar) problems with rubber production?
13 Are there conflicts due to rubber production in this village? (i)
14 Is your employer facing conflicts concerning land use? (i)

e. Stakeholder’s Problems
15 How do you acquire information about rubber farming techniques? Would you like to
acquire further information about it?
16 Who do you talk to for feedback about your job?
Do you cultivate other crops in your farm? Which ones?
and future? What are your future plans regarding employment? Do you want to take of your
own rubber farm? What would be necessary to reach that goal?

Interview Guide for Village Authorities

Section I: Stakeholder Analysis
a. Can you please describe a bit about yourself regarding your role and duties as a village au-
thority?
1. Name of the village, Age, Sex, Education, membership in an ethnical group (o) This char-
acteristics can be observed before we start the interview.
2. What about rubber cultivation in the village? (i) (Heterogeneity in production?)
3. Who are the most important or influential people or groups in the village regarding rubber
production? Why? (both)

b. What problems do rubber farmers experience in the village?

4. Have you recognized ecological changes in your environment over the last few years?
5. Do you recognize any effects on the community in your village related to rubber?
price fluctuations? (i)
6. What are your perceptions regarding government regulations on cultivation of rubber?
Do you see any impacts (positive or negative) due to such regulations? (i)
Pest and diseases?

e. Besides rubber cultivation, which other crops or activities are common in the village as
means of livelihoods?

124
 
8. Can they be profitable like rubber as a cash crop? (i)
9. Are there any non-agricultural incomes accessible to the farmers? (b) Which ones?
10. How accessible is the market for selling non rubber goods? (b) *
11. Can they be profitable like rubber? (i)
12. (If growing rubber) Would you consider or have you previously used these alternative
income sources? (i) *

Special Section II: Renting

f. Do people rent land in the village? Where they are coming from?

g. Do farmers rent land for rubber cultivation in other villages?

13. Which land use right schemes for rubber cultivation do exist in this village?
14. Which renting payment schemes exist?
15. What do you think about the renting land?
16. Do you see conflicts concerning land use? (i) Which ones?
17. Do you see conflicts due to land renting schemes?

Special Section III: Communication Networks

18. How often do you have village meetings concerning rubber? *
19. What do you like about the way you receive/share information? *
In which stages of the entire process do you participate? Cultivation, trading marketing, pro-
cessing (o)

Closure Questions
22. How do you think the future of rubber production in the village is? Growth? Higher in-
tensity planting? Land Renting for more production? (i)
23. Do you think the farmers may have interests or knowledge in local sustainability
measures?
24. Is there any official plans regarding rubber cultivation?

125
Interview Guide for NRWNNR Authorities
Section I: Stakeholder Analysis
a. Can you please describe a bit about yourself regarding your role and duties in rubber culti-
vation?
1 Age, Sex, Education, Name of Village, membership in an ethnical group (b)
2 For how long have he/she been working on rubber cultivation? (i)
3 Function, position and tasks in NRWNNR (For which area are you responsible? What
are the main tasks of your job?)
4 Who are the most influential villages or farmers regarding rubber production? Why?
(both)
5 Perception of influential villages in rubber production and in sustainable cultivation.

b. How influential is the NRWNNR on rubber production?

6 Which restrictions due to rubber cultivation exist within the protection zones in
NRWNNR? (o)
7 How do conservation policies affect rubber production in the NRWNNR? (b)
8 How are those regulations planned, implemented, monitored and evaluated in the
NRWNNR? (b) answer can also be used for the network section
9 To what extent can the NRWNNR regulations influence the rubber cultivation process?
(i)
10 What mechanism/ methods do you apply to influence the process? (i)

c. Which conflicts/interests concerning rubber cultivation exist?

11 Are there conflicts due to land use in NRWNNR? (i)
12 What are the main problems the NRWNNR is experiencing in rubber cultivation? (i)
13 Have you recognized ecological changes in the reserve’s environment over the last few
years? Does it differ depending on what crops the region cultivates?
14 Do you recognize social changes within the communities since the beginning of rubber
cultivation? Differ based on region?
15 What are the main differences between `rubber- and non rubber-communities’ regard-
ing their lifestyles (socially, economically)?

126
 
Section II: Renting
d. Who owns the land within the NRWNNR?
16 Which land use right schemes for rubber cultivation do exist in the villages?
17 owner rights change after the NRWNNR was established? (lit?)
18 Are there new conflicts in the NRWNNR due to changed owner rights?

Section III: Communication Networks

e. How do NRWNNR authorities use information for rubber production?
19 Who informs you about new environmental policies? (lit?)
20 Who informs you about new technologies/application methods? (lit?)
a Maybe just: Where do you get most of the information applicable to rubber farming in
the NRWNNR?
21 How do you get information about the current situation in rubber farming?
a Mass media, government communication, research institutes, etc.
22 How do you communicate with different landowners?
23 Which villages are influential in rubber farming? How are they influential?
a Have they adopted to new technologies?
f. What kind of extension service does the NRWNNR provide for rubber cultivation?
24 What kind of extension services for sustainable cultivation exists?
25 Are farmers interested in utilizing these services?
a Difference of adapting / interest depending on farm size?
26 Are there measures being taken to promote extension services?
27 Do you have any influence on extension services offered?

Closure Questions
28 What are your wishes for improvements of rubber production? (All aspects including
sustainability, social problems associated with rubber, or technical increases such as yield per
mu, income generation...) (i)
29 Do you see sustainable and conservation oriented rubber production as feasible? (i)
30 Are you on the way to achieving those goals in the NRWNNR? (i)
31 What are the main obstacles to your conservation and sustainability with regards to rub-
ber production? (i)

127
Code List
How to use the Catalogue of codes:
a. Create a table (1 Colum for the codes, 1 Colum for the pieces of information from the
transcripts)
b. Create a copy of your transcript which you will use to cut out the pieces of infor-
mation
c. Go through this document (b) and according to the codes, select the sentences and
paste them into the table (a)
d. Always copy whole sentences. In case they fit for more than code, copy the sentences
again.
e. Make sure you add the name of the village and interviewee to the selected infor-
mation.
f. In the end your transcripts should be empty. If there is information that can’t be dedi-
cated to one of the existing codes create a new one, see 6.NN (Only if really neces-
sary).
g. Otherwise DON`T change and mess the codes and make sure you inform
EVERYONE if you create a new code.
h. Change the name of the document to:
• YYYY_MM_DD_villagename_yourname_interviewee.doc
i. Add the document to the Dropbox: ‘Findings from Field Research’ – ‘Codes’ (Folder)

Codes:
1. Villages description
1.1. Traditional customs
1.2. Livelihood (Income, health, education, employment etc.)
1.3. infrastructure

2. Stakeholders role in rubber cultivation

3. (Changes in) Land use / rubber cultivation

3.1. Changes in Land use
3.2. Present land use: Vegetation & Crops
3.3. Present land use: Size of cultivated land
3.4. History of rubber cultivation
3.5. Ecologic Impact of rubber cultivation
3.6. Economic Impact of rubber cultivation
3.7. Social Impact of rubber cultivation
3.8. Institutions influencing land use
3.8.1. Ownership / property rights
3.8.2. Lease & land renting
3.8.3. Conversion of land
3.8.4. Impact of lease/renting

4. Stakeholders’ problems and ambitions

128
 
4.1. Ecological problems
4.2. Economic problems
4.3. Changes in social life
4.3.1. Ambitions (formerly called ‘interests’)
4.3.2. Rubber
4.3.3. Alternatives
4.3.4. Livelihood & General

5. Adoption and Communication

5.1. Adoption of Rubber (Who, When, Why, How, Where)
5.2. Adoption of alternatives (Which, Who, When….)
5.3. Communication Networks internal
5.4. Communication Networks external

129
 The Research Team

About the book

This study was carried out in collaboration of Humboldt-Universität zu Berlin,
the China Agriculture University, Beijing, and the Naban River Watershed
National Nature Reserve Bureau (NRWNNR) in Xishuanbanna Dai
Autonomous Prefecture, Yunnan Province, PR China. The research group is
part of the SURUMER Project, which is concerned with sustainable rubber
cultivation in the Mekong Region.

The report provides the results of a Stakeholder Analysis in the Naban River
Watershed National Nature Reserve; case studies in eight villages on current
land use, stakeholders’ problems and interests with regard to rubber
cultivation, alternatives to rubber cultivation as well as knowledge
dissemination and communication networks.

View publication stats