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From Tapping to Cutting Trees: Participation and Agency in Two Community-Based Timber Management Projects in Acre, Brazil

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From Tapping to Cutting Trees: Participation and Agency in Two Community-Based Timber Management Projects in Acre, Brazil
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STONE, SAMANTHA SARA ( Author, Primary )
Copyright Date:
2008

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Subjects / Keywords:
Community associations ( jstor )
Community forestry ( jstor )
Forest communities ( jstor )
Forest management ( jstor )
Forests ( jstor )
Logging ( jstor )
Rubber ( jstor )
Timber ( jstor )
Timber management ( jstor )
Tree felling ( jstor )

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University of Florida
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University of Florida
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Copyright Samantha Sara Stone. Permission granted to the University of Florida to digitize, archive and distribute this item for non-profit research and educational purposes. Any reuse of this item in excess of fair use or other copyright exemptions requires permission of the copyright holder.
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8/1/2004
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71213414 ( OCLC )

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FROM TAPPING TO CUTTING TREES: PARTICIPATION AND AGENCY IN TWO COMMUNITY-BASED TIMBER MANAGEMENT PROJECTS IN ACRE, BRAZIL By SAMANTHA SARA STONE A DISSERTATION PRESENTED TO THE GRADUATE SCHOOL OF THE UNIVERSITY OF FLORIDA IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY UNIVERSITY OF FLORIDA 2003

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Copyright 2003 by Samantha Sara Stone

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To the families of Porto Dias and Cachoeira

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iv ACKNOWLEDGMENTS This dissertation is a collaborative work, which involved the time, energy, and support from individuals in many parts of the world. In particular, I would like to thank the families in Porto Dias and Cachoeira who welcomed me into their homes, dirty backpack and all. Without their patience with my endless questions and broken Portuguese, and willingness to risk opening up their lives to a complete stranger, this dissertation would never have been written. I sincerely thank my chair, Dr. Marianne Schmink, for her encouragement, curiosity, patience, and constructive criticism, all of which made the journey of carrying out research and writing the dissertation rich and worth the many years it took. I also want to thank the members of my supervisory committee, Dr. Karen Kainer, Dr. Peter Hildebrand, Dr. Maxine Margolis, and Dr. An ita Spring for their support and for allowing me the freedom to explore. I express my gratitude to my Brazilian colleagues in Acre who helped me in the process of my fieldwork. I extend a special thanks to the women who accompanied me in the forest and helped me carry out my research under physically and emotionally challenging circumstances: Nazaré Macedo, Nilda Esteves, and Magna Cunha dos Santos. I also thank Nivea Marcondes for intr oducing me to the community in Porto Dias and for supporting my research there. This dissertation would be less than it is were it not for the stimulation and knowledge that I constantly received from my colleagues in the Tropical Conservation

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v and Development program at the University of Florida. I am indebted to innumerable friends for their support and encouragement during my studies, fieldwork, and the writing process of my dissertation. In particular, I would like to thank Richard Wallace, Noemi Porro, Diana Alvira, and Wendy-Lin Bartels. A special word of appreciation goes to Lainie Weiner for never failing to be there and for always believing that I could do it. I am also grateful for financial suppor t from the Hewlett Foundation, the Tropical Conservation and Development Program, the Charles Wagley Fund, the National Science Foundation, the National Security and Education Program, and the Fulbright-Brazil Program. I also benefited from opportunities to present parts of this work to CTA, the Federal University of Acre, and the University of Florida. Finally, my deepest gratitude goes to my parents and my brother Oliver for always supporting my dreams and interests, as crazy as they sometimes are, for their enthusiasm and love, and for not worrying too much. I am also grateful to Eva Kanelis for her energy and encouragement over the years. Finally, I would also like to thank Elio Jovicich for being the person that he is and for reminding me to take a moment to relax, laugh, and enjoy life.

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vi TABLE OF CONTENTS page ACKNOWLEDGMENTS.................................................................................................iv LIST OF TABLES.............................................................................................................xi LIST OF FIGURES...........................................................................................................xv ABSTRACT.....................................................................................................................xi x CHAPTER 1 INTRODUCTION........................................................................................................1 Research Objectives......................................................................................................4 Research Sites...............................................................................................................4 Research Methodology.................................................................................................6 Theoretical Framework.................................................................................................6 Organization of the Dissertation...................................................................................8 Significance of the Research......................................................................................14 2 DISENTANGLING PARTICIPATION IN DEVELOPMENT: FOR, WITH OR BY LOCAL PEOPLE?...............................................................................................16 Introduction.................................................................................................................16 Locating Participation in Devel opment: An Historical Overview.............................19 Aristotle and Political Participation.....................................................................19 1950s-1960s.........................................................................................................20 Late 1960s – Early 1980s....................................................................................21 Late 1980s – Early 1990s....................................................................................25 Late 1990s – 2000s..............................................................................................30 Understanding Local Participation: The Interplay between Social Structures and Human Agency......................................................................................................36 Constraining and Enabling Social Structures......................................................37 To Participate or Not to Participate? The Role of Choice and Human Agency..40 Participatory Forestry.................................................................................................42

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vii 3 COMMUNITY-BASED TIMBER MANAGEMENT PROJECTS IN THE BRAZILIAN AMAZON............................................................................................46 Introduction.................................................................................................................46 Constraints and Challenges to Community-Based Timber Management in the Brazilian Amazon..................................................................................................49 The Global Context.............................................................................................49 The Brazilian Amazon.........................................................................................50 Opportunities and Incentives for Community-Based Timber Management Projects in the Brazilian Amazon........................................................................................52 The Global Context.............................................................................................52 Brazil...................................................................................................................54 Initiatives by research institutions and NGOs..............................................56 Changes in national forestry policies...........................................................58 Certification..................................................................................................64 Efforts to create regional networks..............................................................64 The status of community-based timber initiatives in the Brazilian Amazon in 2003......................................................................................65 Community-Based Timber Management in Acre.......................................................66 Summary.....................................................................................................................74 Government Initiatives........................................................................................74 Contributions by Civil Organizations and Grassroots Social Movements..........75 4 FROM RUBBER TO TIMBER IN EXTRACTIVE RESERVES: THE SPECIFIC CASES OF PORTO DIAS AND CACHOEIRA.......................................................77 Introduction.................................................................................................................77 A Brief History of Rubber Tappers............................................................................80 The Seringais and Rubber Tappers of Porto Dias and Cachoeira..............................85 Porto Dias............................................................................................................85 Cachoeira.............................................................................................................86 From Seringais to Extractive Reserves: Two Decades of Violence...........................87 The Creation of PAE Porto Dias.........................................................................90 The Creation of PAE Cachoeira..........................................................................91 PAE Porto Dias (2000-2003)......................................................................................92 PAE Cachoeira (2000-2003).......................................................................................93 Why Timber?..............................................................................................................94 5 RUBBER TAPPER ASSOCIATIONS AND TIMBER: THE POLITICAL ECOLOGY OF INSTITUTIONAL RELATIONS IN PORTO DIAS AND CACHOEIRA.............................................................................................................98 Introduction.................................................................................................................98 Community-Based Associations in PAEs................................................................100 The Rubber TappersÂ’ Association of Porto Dias......................................................101 The AMPPAE-CM Association of Cachoeira..........................................................113 Discussion and Summary.........................................................................................121

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viii A History of Collective Mobilization and Action.............................................122 A Shared Cultural Identity and Experience.......................................................123 Surrounded by Seringais ...................................................................................124 Supportive Municipal and State Government...................................................125 6 A CLOSER LOOK AT “COMMUNITY” PARTICIPATION IN THE TIMBER PROJECTS IN PORTO DI AS AND CACHOEIRA................................................129 Introduction...............................................................................................................129 The Challenge of Measuring Participation...............................................................134 Methodology.............................................................................................................136 Data Collection on Participation.......................................................................139 Data Analysis.....................................................................................................142 Participation in What and by Whom? An Overview................................................144 The Timber Projects in Porto Dias and Cachoeira: Similarities and Differences.....................................................................................................144 Timber Project Activities..................................................................................147 The Dynamic Character of Pa rticipation: Porto Dias........................................154 The Dynamic Character of Pa rticipation: Cachoeira.........................................161 Summary...................................................................................................................167 7 PARTICIPATION IN WHOSE PROJECT? THE POWER OF INSTITUTIONS.......................................................................................................170 Introduction...............................................................................................................170 Outside the Reserve: A Closer L ook at Five Formal Institutions.............................172 Agroextractive Settlement Projects (PAEs)......................................................173 PMFSimples......................................................................................................174 FSC Certification Standards..............................................................................179 Donors and Funding..........................................................................................185 The Markets for Wood......................................................................................186 Inside the Reserve: The Role of the Association and Kinship Ties.........................191 Summary...................................................................................................................197 8 LOOKING INSIDE THE COMMUNI TY: HOUSEHOLD AND INDIVIDUAL LEVELS OF PARTICIPATION..............................................................................201 Introduction...............................................................................................................201 Methodology.............................................................................................................204 Data Collection..................................................................................................204 Analysis.............................................................................................................209 Understanding Household Participation...................................................................209 Membership in Local Associations...................................................................209 Household affiliation with asso ciations in the reserves.............................209 Number of household members who served on the association directorate.............................................................................................216 Number of months household aff iliated with an association.....................218

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ix Status in the Timber Pr oject and Number of Year s Involved in the Project.....220 Years of Residency in the Reserve....................................................................229 Production Systems...........................................................................................230 Rubber production......................................................................................230 Brazil nut production..................................................................................236 Agricultural production..............................................................................238 Socioeconomic Status........................................................................................240 Forest Ecology and Topography.......................................................................244 HouseholdsÂ’ Distance to Key Infrastructure.....................................................246 The main dirt road......................................................................................247 The highway...............................................................................................250 Main associationÂ’s headquarters and health post.......................................251 Summary of Household-Level Dete rminants of Participation..........................251 Understanding IndividualsÂ’ Participation.................................................................254 Age....................................................................................................................254 Porto Dias: The informal nature of childrenÂ’s participation......................254 Cachoeira: The training of paraflorestais and other young professionals.........................................................................................256 Gender...............................................................................................................263 Participation in what activities?.................................................................263 Participation in types of activities..............................................................269 Gendered spaces and places.......................................................................270 Female paraflorestais and women manejadoras .......................................277 Religion.............................................................................................................279 Membership in Local Associations...................................................................282 Association affiliation................................................................................282 Number of months in association...............................................................283 Months served on directory........................................................................284 Affiliation with Other Organizations.................................................................285 Education...........................................................................................................285 Location Where Born........................................................................................287 Years of Residency in the Reserve....................................................................289 Trips Outside the Reserve.................................................................................289 Leadership.........................................................................................................290 Power.................................................................................................................291 Summary of Individual-Level De terminants of Participation...........................292 Summary...................................................................................................................294 9 RUBBER TAPPERS AND AGEN CY: A GRADUAL PROCESS.........................297 Introduction...............................................................................................................297 Manejadores and Produtores de Madeira ................................................................298 Visible Steps Towards Greater Agency : Participation in Project DecisionMaking Processes...........................................................................................298 Porto Dias...................................................................................................300 Cachoeira....................................................................................................303

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x Broadening the Scope of Agency: Struggles for Securing and Improving a Traditional ‘Way of Life’...............................................................................307 Porto Dias: the struggle against a growing population of small-scale agricultural producers...........................................................................308 Cachoeira: a “new empate (standoff)” against deforestation.....................319 Agency of Other Local Actors: New Associations and New Challenges................327 Porto Dias: The Agricultural Pr oducers’ So Jos Association........................327 Cachoeira: The Rubber Tappers’ F em Deus Association...............................329 10 CONCLUSIONS, LESSONS, AND CHALLENGES.............................................334 Communities Vis--Vis Other Actors: A Leveling of the Playing Field?................336 The Communities of Porto Dias and Cachoeira: The Importance of Social Capital..................................................................................................................343 Households and Individuals: Heterogeneous Communities and Diverse Participation.........................................................................................................350 The Challenge: Scaling Up Participation Via Horizontal and Vertical Linkages of Co-Participation...............................................................................................353 APPENDIX A THE MAJOR PHASES OF PARTICIPATORY DEVELOPMENT: A HISTORICAL OVERVIEW................................................................................359 B CHRONOLOGY OF IMPORTANT EVENTS FOR COMMUNITY-BASED TIMBER MANAGEMENT IN BRAZIL.................................................................363 LIST OF REFERENCES.................................................................................................365 BIOGRAPHICAL SKETCH...........................................................................................394

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xi LIST OF TABLES Table page 6-1 Methods used for collecting and analyzing data on “community” participation.........................................................................................................140 6-2 Similarities and differences be tween the timber projects (2002).........................145 6-3 Operations and activit ies of reduced-impact timber management projects.........148 8-1 Household-level variables....................................................................................206 8-2 Individual-level variables.....................................................................................208 8-3 Households’ association membership a nd participation in project activities......210 8-4 Households’ association membership and participation in types of project activities...............................................................................................................213 8-5 Mean ranks of project activities by households affiliated and not affiliated with the Rubber Tappers’ Association or AMPPAE-CM....................................214 8-6 Spearman correlation coefficients for number of household members who served on directorate of an associati on and number of activ ities carried out......218 8-7 Spearman correlation coefficients for number of months affiliated with the association and number of activities carried out..................................................218 8-8 Mean number and range of project activities by household status in the timber project and types of activities...................................................................222 8-9 Kruskall-Wallis test for status in timber project a nd timber project activities....226 8-10 Spearman correlation coefficients for number of years in the project and number of project activities.................................................................................227 8-11 Household residency in colocação and PAE (Porto Dias and Cachoeira)..........229 8-12 PORTO DIAS—Spearman correlation coefficients for household years of residency (in PAE and colocação ) and number of project activities in which households had participated.................................................................................230

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xii 8-13 Rubber trails in use by househol ds in Porto Dias and Cachoeira........................231 8-14 Average number of kilos of rubber produced by households in Porto Dias and Cachoeira.......................................................................................................232 8-15 CACHOEIRA—Spearman correlation coefficients for rubber production and number of project activities households had participated in.........................233 8-16 CACHOEIRA—Spearman correlation coefficients for production of Brazil nuts ( latas ) and number of project activities households had participated in......236 8-17 CACHOEIRA—Average number of latas of Brazil nuts collected by households............................................................................................................237 8-18 CACHOEIRA—Mann-Whitney U statistics for latas of Brazil nuts collected and household status in the timber project...........................................................237 8-19 Average area (ha) under agricultural production by households in Cachoeira (2002)..................................................................................................240 8-20 Spearman correlation coefficients for hectares under agricultural production and number of project ac tivities household particip ated in Cachoeira................240 8-21 Mann-Whitney U statistics for type of house roof and household participation in project activities...............................................................................................241 8-22 Mann-Whitney U statistics for household material possessions and household participation in project activities..........................................................................243 8-23 Spearman correlation coefficients for household wealth status and project activities...............................................................................................................244 8-24 PORTO DIAS—Spearman correlation coefficients for distances (minutes walking) to key infrastructure and number of project activities in which household participated.........................................................................................246 8-25 CACHOEIRA—Spearman correlation coefficients for distances (minutes walking) to key infrastructure and number of project activities in which household participated.........................................................................................247 8-26 Mann-Whitney U statistics for gender and participation in project activities.....270 8-27 Mann-Whitney U statistics for gender and participation in project activities for only individuals formally involved in the timber project...............................270 8-28 Religious affiliation in Porto Dias and Cachoeira...............................................281 8-29 CACHOEIRA—Mann-Whitney U statistics for religious affiliation and participation in project activities..........................................................................282

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xiii 8-30 Kruskall-Wallis test for status in timber project a nd timber project activities....283 8-31 Spearman correlation coefficients for number of months affiliated with association and number of project activities........................................................284 8-32 Spearman correlation coefficients for number of months served on directorate of association and number of project activities....................................................284 8-33 CACHOEIRA—Spearman correlation coefficients for number of other organizations affiliated with, months affiliated with STR, months affiliated with CAEX, and number of project activities......................................................285 8-34 Spearman correlation coefficients for number of years of education and number of project activities.................................................................................286 8-35 Mann-Whitney U statistics for literacy and participation in project activities....287 8-36 Mann-Whitney U statistics for birthplace and household participation in project activities...................................................................................................288 8-37 PORTO DIAS—Spearman correlation coe fficients for years of residency (in PAE and the colocação ).......................................................................................289 8-38 Spearman correlation coefficients for number of trips taken out of the reserve and number of project activities...........................................................................290 8-39 Spearman correlation coefficients for leadership status and number of project activities...............................................................................................................291 8-40 Spearman correlation coefficients fo r power status and number of project activities...............................................................................................................291 9-1 Most frequent advantages of the timber project listed by all Porto Dias residents interviewed (N=47)...............................................................................316 9-2 Most frequent advantages of the timber project listed by individuals harvesting timber ( manejadores and spouses) (N=20)........................................317 9-3 Most frequent advantages of the timber project listed by individuals not harvesting timber (heads of households and spouses) (N=27)............................317 9-4 Most frequent advantages of the timber project listed by all Cachoeira residents interviewed (N=51)...............................................................................325 9-5 Most frequent advantages of the timber project listed by individuals harvesting timber ( manejadores and spouses) (N=28)........................................326 9-6 Most frequent advantages of the timber project listed by individuals not harvesting timber (heads of households and spouses) (N=23)............................326

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xiv 10-1 Socio-political processes that facilitated the emergence of community-based timber management projects in the Brazilian Amazon........................................337 A-1 The major phases of participatory development—an historical overview..........360 A-2 Chronology of important events for community-based timber management in Brazil................................................................................................................363

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xv LIST OF FIGURES Figure page 1-1 Maps of Brazil, the state of Acre, and the location of the extractive reserves Porto Dias and Cachoeira.............................................................................5 1-2 International, national, and state institutions that have influenced community participation..........................................................................................11 1-3 Institutions within the reserves that have influenc ed community participation.......11 1-4 Household-level variables........................................................................................12 1-5 Individual-level variables.........................................................................................13 2-1 Development FOR local people (1950s 1960s).....................................................21 2-2 Conditional participation BY local people (late 1960s – early 1980s)....................25 2-3 Participation BY local pe ople (1980s – early 1990s)..............................................28 2-4 Participation BY and WITH local people (late 1990s – 2000s)...............................33 2-5 Participation “scaled down” to communities...........................................................33 2-6 Co-participation........................................................................................................34 2-7 The range of participat ory development initiatives..................................................36 4-1 Map of Brazil and the loca tion of the state of Acre.................................................80 4-2 Map of the state of Acre and location of the PAEs Porto Dias and Cachoeira........85 6-1 Households interviewed in Porto Dias (N = 24)....................................................138 6-2 Households interviewe d in Cachoeira (N = 27).....................................................138 6-3 Example of a timber ha rvest area in a Cachoeira colocação .................................146 6-4 Project activities that tend to be carried out during specific seasons.....................151 6-5 The geography of project activities........................................................................152

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xvi 6-6 Types of project activities in Porto Dias and Cachoeira........................................153 6-7 Households that were participating at the beginning of the project (1996)...........154 6-8 Households that participated in 2001.....................................................................156 6-9 The creation of two groups (2000-2001)................................................................158 6-10 The creation of subgroups (2000-2001).................................................................159 6-11 Five new households (2002)..................................................................................160 6-12 Households that participat ed in Porto Dias in 2003...............................................160 6-13 Households that participated at the beginning of the project (1998).....................162 6-14 Households that participated in the timber project in 2001...................................164 6-15 The three groups of households involv ed in the timber project (2001-2002)........165 6-16 Households that had participat ed in the timber project in 2002.............................166 7-1 International, national, and state institutions..........................................................170 7-2 Institutions within the reserve................................................................................171 7-3 Institutional constrai nts at different levels.............................................................172 7-4 Map of Porto Dias..................................................................................................194 7-5 Map of Cachoeira...................................................................................................195 8-1 Levels of analysis in Chapter 8..............................................................................203 8-2 Household variables...............................................................................................205 8-3 Individual-level variables.......................................................................................205 8-4 Participation of Porto Dias households with different association affiliation in types of activities....................................................................................................215 8-5 Participation of Cachoeira households w ith different association affiliation in types of activities....................................................................................................216 8-6 Porto Dias—Types of activities by household status in the project.......................224 8-7 Cachoeira—Types of activities by household status in the project.......................225 8-8 Location of key infras tructure in Porto Dias..........................................................248

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xvii 8-9 Location of key infras tructure in Cachoeira...........................................................248 8-10 Household-level variables found in Porto Dias to be associated with household participation in timber project activities.................................................................252 8-11 Household-level variables found in Cachoeira to be associated with household participation in timber project activities.................................................................253 8-12 Women’s and men’s own views of their participation in the timber project (Porto Dias)............................................................................................................264 8-13 Women’s participation according to responses to the index of timber project activities (Porto Dias).............................................................................................265 8-14 Men’s participation according to responses to the index of timber project activities (Porto Dias).............................................................................................266 8-15 Women’s and men’s own view of their participation in the timber project (Cachoeira).............................................................................................................267 8-16 Women’s participation according to responses to the index of timber project activities (Cachoeira)..............................................................................................267 8-17 Men’s participation according to responses to the index of timber project activities (Cachoeira)..............................................................................................268 8-18 Timber project activities by ge ography and gender (Porto Dias)..........................272 8-19 Timber project activities by geography and gender (Cachoeira)...........................273 8-20 Individual-level variables found in Porto Dias to be associated with individuals’ participation in timber project activities.................................................................293 8-21 Individual-level variables found in Cachoeira to be associated with individuals’ participation in timber project activities.................................................................294 9-1 Types of timber project activities that were carried out by Porto Dias’ rubber tappers....................................................................................................................299 9-2 Types of timber project activities that were carried out by Cachoeira’s rubber tappers....................................................................................................................300 9-3 Map of Porto Dias..................................................................................................309 9-4 Map of Cachoeira...................................................................................................320 10-1 Community groups’ and smallholders’ participation in projetos de manejo florestal comunitário relative to other actors involved.........................................342

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xviii 10-2 Timber project activities carried out by community members in Porto Dias and Cachoeira................................................................................................................344 10-3 Porto DiasÂ’ and CachoeiraÂ’s level and quality of participation in their timber management project...............................................................................................345 10-4 The contribution of social capital in Cachoeira in accessing other forms of capitals....................................................................................................................346 10-5 The contribution of social capital in Porto Dias in accessing other forms of capitals....................................................................................................................348 10-6 Level and quality of participation by households with different characteristics in Porto Dias and Cachoeira...................................................................................351 10-7 Level and quality of participation by individuals with different characteristics in Porto Dias and Cachoeira...................................................................................352

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xix Abstract of Dissertation Presented to the Graduate School of the University of Florida in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy FROM TAPPING TO CUTTING TREES: PARTICIPATION AND AGENCY IN TWO COMMUNITY-BASED TIMBER MANAGEMENT PROJECTS IN ACRE, BRAZIL By Samantha Sara Stone December 2003 Chair: Dr. Marianne Schmink Major Department: Anthropology This dissertation responds to the need for greater theoretical and applied understanding of participatory approaches to development, in general, and communitybased timber management projects in Brazil, specifically. Over the past decade in the Brazilian Amazon, innovative participatory projects have been implemented for the sustained production of timber using low-impact technologies to selectively log forests. These projects are viewed as a promising strategy for empowering a politically and economically disenfranchised population by providing them with greater control over their forest resources and a means to improve their standard of living. However, these projects were conceptualized by outside actors, specifically, NGOs, government agencies, and foresters. The questions that remain to be addressed is to what extent these community-based initiatives have represented a departure from BrazilÂ’s conventional topdown forest management models and led to greater empowerment, democratization, and equity for forest populations.

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xx In this dissertation, I focus on the community-based timber management projects in the Porto Dias and Cachoeira extractive reserves in the Western Amazon state of Acre, Brazil. The results presented in this dissertation suggest that structural factors at the national-, state-, and community-levels continue to constrain the rubber tappers of Porto DiasÂ’ and CachoeiraÂ’s greater agency in the timber projects. Relative to external actors (government agencies, foresters, etc.), the communities of Porto Dias and Cachoeira have not been involved significantly in defining, pl anning, and administrating these projects. A comparison of Porto Dias and Cachoeira reveals that community membersÂ’ participation in the projects has consisted largely of contributing resources, such as information and labor. In addition, within each of these communities, participation in project activities has been concentrated among, and has benefited the most, a small group of families and individuals. Nonetheless, despite an increase in the gap between those most advantaged by the project and groups less advantaged, the latter also have had access to project resources. The dissertation also reveals that as rubber tappers have received more training and accumulated more experience, and as assisting organizations have devolved project responsibilities, rubber tappers have been participating in a greater number of project activities, particularly those pertaining to decision-making processes. In addition, rubber tappers have used the timber projects as a means to fight against deforestation from agricultural production, and in the process, to secure their livelihood system and their rights to the forests. In doing so, they have appropriated what originally was an externallydefined and planned project to fit, address, and resolve their needs, issues, and problems.

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1 CHAPTER 1 INTRODUCTION In the past two decades in Central and South America, government changes in forestry policies and practices and grassroots mobilization have opened up opportunities for community-based, also defined as participatory, development initiatives. One of the areas where this has been visible is in the management of national forests for the production of commercial timber. Along with Mexico and Bolivia, Brazil is one of the Latin American nations that has been experimenting with community-based forest management projects for the sustained production of timber. In the past seven years, at least eighteen projetos de manejo florestal comunitário have been initiated in the Brazilian Amazon in national and state forests, indigenous lands, extractive reserves, and colonization settlement areas. These small-scale, nonindustrial projects with forest populations as the main beneficiaries and participants reflect a change in Brazil’s national forest management policies and practices. Access to and control over commercial timber, one of the economically most valuable resources in the country, historically has been restricted to those with political and economic power (Bunker 1985; Hecht and Cockburn 1990). In this context, the emergence of these participatory timber projects is viewed as an effort to democratize political and economic institutions. It is the first time in the modern history of Brazil that forest populations are bei ng considered as possible key players and participants, along with private and parastatal industries, in the exploitation of timber and

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2 in the implementation of national development programs for sustainable forest management. The western Amazon state of Acre, in particular, has been one of the most active in experimenting with and promoting participatory approaches to forest management (Schmink 1999; Kainer et al. in press). Along with small-scale agricultural producers in agricultural settlement projects, rubber tappers residing in extractive reserves (federal lands where resident populations have usufru ct rights) are among the forest populations in Acre involved in community-based timber management projects. The state government, and NGOs working with these rubber tappers, view these projects as a promising strategy for simultaneously empowering and improving the standard of living of what traditionally has been an economically and politically marginalized population. Descendants of migrants from the northeast of Brazil who came in the 1940s as peon workers to tap rubber, the residents of these reserves have a long history of exploitative patron-client relationships, political marginalization and high levels of poverty, illiteracy, and mortality (Bakx 1988; Keck 1995; Ribeiro 1995; Simonian 1995; Wolff 1999). The timber projects represent an effort to ameliorate these conditions. By involving rubber tappers in the supply and management of carefully harvested, regenerating timber while at the same time gradually reversing control and accountability from government agencies and assisting organizations, the intention is to improve the standard of living in extractive reserves while simultaneously contributing to processes of democratization, empowerment, and equity. These simultaneous processes of helping meet practical needs and trying to level the playing field between rubber tappers and other more powerful social actors are seen as a means to diminish out-migration of rubber tappers to the

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3 outskirts of cities, decrease deforestation inside the reserves from illegal logging and expanding agricultural production and cattle ranching, and increase tenure security for extractive reserve residents (Kainer et al. in press). The question that stands out, which is at the center of this dissertation, is to what extent these community-based timber management initiatives have represented a shift from top-down forest management models, and led to greater control over timber exploitation by extractive reserve populations. More than two decades of participatory development projects demonstrate that there is extensive variability in the way communities, and groups within communities, participate in bottom-up initiatives. Participation in development projects range from local people contributing resources (labor, information, etc.) to projects that are conceptualized, planned, and administered by outside actors to local people defining and be ing involved in all aspects of the project, from its conceptualization and implementation to its administration. The literature suggests that this variability is the result of global, regional, and local socio-political and economic structures and structures of inequity internal to communities which constrain local people’s capacity and power, vis-à-vi s other actors (government agencies, NGOs, private businesses, and local groups), to negotiate and define their participation in development initiatives. Where along this continuum of participation do the timber projects in Acre’s extractive reserves fall? More specifically: What does “communitybased” mean in the context of these projects? What socio-political factors facilitated the emergence of these projects in Brazil? What have been the structural constraints to community participation in these timber projects? And what are the conditions that

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4 provide opportunities for greater community participation and agency? These are the central questions that I focus on in this dissertation. Research Objectives The dissertation responds to the need for greater theoretical and applied understanding of participatory approaches to development, in general, and communitybased timber management projects in Brazil, specifically, through a study of two projetos de manejo florestal comunitário in extractive reserves in Acre, Brazil. This dissertation has three main objectives: (1) to show how diverse community participation is, not only in terms of who participates but also in terms of the types of activities in which local people participate; (2) to examine how political, socio-economic, demographic, and cultural structures at multiple levels affect who in the communities participate in the timber projects and in what activities; and (3) to demonstrate that, despite social structural constraints, local people find i nnovative and unexpected ways to influence and transform project objectives, and their participation in them, according to their interests, needs, and aspirations. Research Sites Field research was carried out in two extractive reserves, Porto Dias and Cachoeira, both located in the Western Amazon state of Acre, Brazil (Figure 1-1). At the time of my field research, Porto Dias and Cachoeira were the only extractive reserves in Acre experimenting with community-based timber management. They presented particularly interesting case studies to compare because of significant differences in their histories of social mobilization, alliances with politically powerful actors, and exposure to threats posed by competing agricultural and cattle ranching interest groups.

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5 PORTO DIAS CACHOEIRA CACHOEIRA PORTO DIAS Figure 1-1: Maps of Brazil, the state of Acre, and the location of the extractive reserves Porto Dias and Cachoeira1 Porto Dias was the first extractive reserve in Acre to experiment with timber management. Initiated in 1996, the community-based timber project in Porto Dias served as the pilot project for other reserves in the state, and in an effort to build on its successes and mistakes, a second timber project was initiated in the Cachoeira extractive reserve in 1998. Both projects are the result of collaborative efforts between local residents, the majority of whom are rubber tappers, and external development organizations. While both projects followed similar timber management plans and reduced-impact technologies, different organizations had been working with the local populations. The Center for the Workers of the Amazon (CTA), a grassroots NGO, initiated the projects in both Porto Dias and Cachoeira. However, wh ile CTA continued to work in Porto Dias, Cachoeira involved the state government Department of Forests and Extractivism (SEFE), which later was replaced by the community itself, with the assistance of a second state government agency (SEATER). In 2002, the projects in Porto Dias and Cachoeira 1 Sources: http://www.geocities.com/RainForest/4735/ (map of Brazil); http://www.dholmes.com/masterlist/brasil/map-acre.html (map of Acre).

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6 distinguished themselves by receiving FSC certification to become the first small-scale, non-industrial timber projects in Brazil to receive the “green seal.” In having accomplished this, they became the model projects for a growing number of communitybased timber management initiatives in the Brazilian Amazon. Research Methodology Field research was carried out over two separate periods: July-December 2001 and May-August 2002. A total of 24 households were interviewed in Porto Dias and 27 households in Cachoeira using purposive sampling. Households were selected on the basis of their status in the timber project (w hether or not they were officially involved, i.e., had timber harvest areas demarcated on their landholdings) and their relative distance from the “center” of the extractive reserve (the politically, socially, and economically most active region). I used multiple sources of data (primary and secondary sources) and multiple methods of data gathering (semi-structured interviews, ratings, participatory research methods, and participant observation). In each household, the head of the household and his/her spouse were interviewed. Part of the interview was carried out with both members of the household present and other parts of the interviews were conducted with the head of household and his/her spouse separately. Interviews took an average of 2 ½ hours to complete, with the longest lasting 5 hours and the shortest 1 hour and 45 minutes. Theoretical Framework This dissertation builds on two theoretical bodies of literature. The existing anthropological literature on development is largely divided between studies that focus on the role of structural factors (specifically cultural, social, economic and political

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7 structures of inequality) in creating differential opportunities and constraints (e.g., Canclini 1993; Parkin 1972) and studies that look at group action, organized resistance, and individual choice as forms of human agency and strategies for social change and greater equity (e.g., Scott 1985, 1990). Social stru ctural explanations highlight the role of structures of inequity, both at the community level and between communities and other social actors, in creating constraints for socially subordinate groups to participate in development initiatives and access the benefits derived from them. Analyses have focused on cultural, socio-economic and political structures of inequity within communities (e.g., Agrawal and Gibson 1999); the persistence of bureaucratic, top-down administration by external development organizations (e.g., Murphee 1994); and (Western) neoliberal and neoclassical economic ideologies (e.g., Cleaver 1999). Other scholars argue that these social structural analyses are too simplistic and deterministic because they assume that the behavior of people is driven automatically and unconsciously by social structures (G iddens 1984; Granovetter 1992; Long 1992). Adopting an actor-oriented approach, scholars have shown that individuals and communities are not ‘passive victims’ of structural forces but, rather, they also actively use, interpret, question, appropriate, and re-work or adapt the conditions under which they find themselves to meet or serve their own interests and needs. In this dissertation, I combine and apply these two theoretical approaches within a political ecology framework. Political ecology is a conceptual framework that focuses on the inter-relationships between people, natural resources, and the surrounding sociopolitical structures (Bryant and Bailey 1997). More specifically, political ecology analyses emphasize the role of political interests and struggles and unequal relations of

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8 power in mediating resource access, control and conflict (Bryant and Bailey 1997). They also highlight the need “to understand the possibilities for action by actors operating within broader political and economic structures” (Bryant and Bailey 1997:2). In the context of this dissertation, a political ecology framework is particularly useful for understanding “the intersection between, on the one hand, the evolving strategies of a particular ‘forest manager,’ and, on the other hand, the changing social, political, and economic circumstances, or matrix, that frames their behavior” (Schmink 1994: 257). Organization of the Dissertation The chapters are interwoven around five central themes: participation, diversity, power, structure, and agency. Chapter 2 opens with a review of relevant literature on participatory (community-based) development. I begin the chapter with a historical overview of participatory approaches to development to demonstrate the diversity, complexities, ambiguities, and debates that comprise this model of development. I then look at the contributions of social structural and actor-oriented theories in explaining this diversity and highlight the challenges, constraints, and opportunities for communitybased development initiatives. I conclude the chapter with a brief overview of community forestry as a specific type of participatory development and conservation strategy. Chapters 3-5 focus on the global, national, and regional political-economic processes that have provided opportunities a nd constraints for experimentations with small-scale, nonindustrial timber management in the Brazilian Amazon and the state of Acre, in general (Chapter 3), and in the Porto Dias and Cachoeira extractive reserves, specifically (Chapters 4 and 5). In Chapter 3, I analyze the ways in which multi-tiered alliances between and within different groups (forest populations, nongovernmental

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9 organizations, multinational institutions, businesses, and the state) have been influenced by broader global socio-economic processes, including the mainstreaming of “sustainable development,” and changes in national and regional political and economic structures. I show that community-based timber management projects in the Brazilian Amazon and in Acre, arose as a result of greater government administration of public forests and interest in sustainable forest management, and civil and grassroots initiatives. In Chapter 4, I turn to the Porto Dias and Cachoeira extractive reserves where I carried out my field research. I discuss how the individual and collective histories of rubber tappers, in both Porto Dias and Cachoeira and in the Western Amazon, have played a role in the rise of community-based timber management initiatives. I show that the creation of extractive reserves, followed by the lack of sufficient government assistance in ensuring the protection of the reserves and guaranteeing an adequate standard of living for residing populations , opened up opportunities for experimentation with community-based timber management. Chapter 5 takes a closer look at the local rubber tappers’ associations in Porto Dias and Cachoeira. I describe the role of these associations, as the legal representative bodies for the reserves’ residents, in getting the timber projects initiated in the reserves. I examine how each association differed in thei r participation in decision-making processes and activities related to the timber projects. In the process, I demonstrate that these differences have been shaped by the broader institutional environment, particularly the experience of each association in interacting and negotiating with organizations at varying scales (local, regional, national, and international) and of varying types (community, regional-level grassroots, NGOs, and government).

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10 In Chapters 6, I describe the timber management projects in Porto Dias and Cachoeira. I show that “community participation” involves more actors than the handful of households formally recognized as the project participants and that it is comprised of a diverse set of activities which are differentiated by when and where they take place, as well as by the extent to which they offer rubber tappers opportunities to influence project decision-making processes. I also show that community participation is not static, but continuously changes over time as new alliances between community groups form, organizations and foresters that provide t echnical and financial assistance come and go, and mistakes are made and lessons are learnt. Chapters 7 and 8 focus on the social structural constraints that shape and limit the extent to which rubber tappers in Porto Dias and Cachoeira have been able to participate in timber project activities. In Chapter 7, I examine the role of formal and informal institutions in directly impacting community participation in the timber projects. I show how institutions with origins outside the reserves (Figure 1-2) and inside the reserve (Figure 1-3) have influenced how the timber projects were conceptualized, in terms of both the overall design and specific activities, and, consequently, have impacted the extent to which rubber tappers have been able to participate. Specifically I focus on the tenure and resource regulations governing extractive reserves (PAEs), the Brazilian government sustainable forest management plan for small producers of wood (IBAMA’s PMFSimples), donors, Forest Stewardship Counc il (FSC) certification standards, national and state markets for timber, local rubber tappers’ associations, and kinship. I show how these institutions together defined many of the technical, administrative, financial, and marketing rules and regulations for the projects in Porto Dias and Cachoeira, and in the

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11 process, greatly shaped the participation in the projects of both reserve residents and the assisting organizations and foresters FSC certification standards Donors National and state markets for timber PARTICIPATION of households and individuals in the reservesPAEs: institution of tenure and usufruct rights IBAMAÂ’s forest management policies: the PMFSimples Figure 1-2: International, national, and state institutions that have influenced community participation2 PARTICIPATION of households and individuals in the reserves KINSHIP LOCAL ASSOCIATION Figure 1-3: Institutions within the reserves that have influenced community participation The analysis of social structural constraints on rubber tappersÂ’ participation in the timber projects is further developed in Chapter 8 where I turn to householdand 2 All figures and tables were created by the author of this dissertation, unless stated otherwise.

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12 individual-level characteristics that have impacted who and how community-members participate. At the household-level, I examine a total of 11 variables: socio-economic status, distance to key infrastructure, hous ehold demographics, householdsÂ’ affiliation with the local rubber tappers association, status in the timber project, residency in the reserve, usufruct rights to the landhol ding, size of landholding, livelihood/production systems, availability of natural resources, and forest ecology and topography (Figure 14). At the level of individuals, I look at 13 variables: gender, age, religion, education, origin, location where born, generation, residency, trips outside the reserve, affiliation with the local rubber tappersÂ’ association, affiliation with other organizations, and power and leadership status (Figure 1-5). I show that households and individuals with better access to social, human, financial, physical, and natural capitals have a greater level of participation in the timber projects. DISTANCE TO INFRASTRUCTURE (main road, highway, schools, health post, association headquarters)PARTICIPATION of households in the reservesAFFILIATION WITH ASSOCIATION (name of association, # of household members affiliated, # of household members serving on directorate, # of months affiliated) STATUS IN TIMBER PROJECT (veteran, new, not officially involved; # of years in timber project) RESIDENCY (# of years lived in reserve, # of years lived in landholding) PRODUCTION SYSTEMS (# of rubber trails in use, kilos of rubber, years since last tapped rubber, latas of Brazil nuts, hectares under agricultural production, number of agricultural fields, heads of cattle) AVAILABILITY OF NATURAL RESOURCES (game animals, fish, and water; number of rubber trees and Brazil nut trees ) HOUSEHOLD DEMOGRAPHICS (size of household, number of children in household, household development stage) FOREST ECOLOGY AND TOPOGRAPHY SOCIO-ECONOMIC STATUS (house structure, house roof, household material possessions, perceived wealth status) USUFRUCT RIGHTS TO LANDHOLDING (husband, wife, other) SIZE OF LANDHOLDING Figure 1-4: Household-level variables

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13 PARTICIPATION of individuals in the reservesGENDER (Male, female) RELIGION (Catholic, Protestant, Other) EDUCATION (years of education; literate, illiterate) LOCATION WHERE BORN (Rubber estate, colonization project, city, other) GENERATION OF RUBBER TAPPERS (not a rubber tapper, 1st, 2nd, 3rdgeneration) TRIPS OUTSIDE OF THE RESERVE (average # of trips taken outside the reserve/year) AGE (years; adult, children/adolescents) ORIGIN (region where born) AFFILIATION WITH ASSOCIATION (name of association; # of months affiliated; # of months served on directorate) AFFILIATION WITH OTHER ORGANIZATIONS (# of other organizations affiliated with; # of months affiliated with STR, with CAEX) RESIDENCY (# of years lived in reserve, # of years lived in landholding) LEADERSHIP (perceived leadership status) POWER (perceived power status) Figure 1-5: Individual-level variables In Chapter 9, I discuss how Porto DiasÂ’ and CachoeiraÂ’s rubber tappersÂ’ participation in the timber project is not simply driven by the social structural factors outlined in the previous chapters, but that human agency also plays a role. This can be seen on two levels. Rubber tappers have become increasingly more involved in decisionmaking activities pertaining to the timber project. It can also be seen in the ways in which they appropriated what originally was an externallydefined and planned project to fit, address, and resolve their needs, issues, and problems. The dissertation ends with Chapter 10, where I integrate the social structural and actor-oriented analyses to assess the extent to which community-based timber management initiatives in the Brazilian Amazon, and the projects in Porto Dias and Cachoeira specifically, represent a shift from top-down forest management models and have led to greater control over timber exploitation by local people. I conclude that it

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14 depends on the level of analysis. Relative to other actors (government agencies, donors, markets, etc.), community-based timber management projects have had little bargaining power and have not been involved significan tly in defining, planning, and administrating these projects. A comparison of Porto Dias a nd Cachoeira reveals that both projects have consisted largely of community members contributing by providing resources, such as information and labor. However, Cachoeira has had more success in participating in and influencing the decision-making processes of the timber project. Looking inside each of these two communities, what becomes evident is that participation in the timber project has not been distributed equally among community members. Rather, a small group of families and individuals have been the most actively involved in, and have benefited the greatest from, the timber project. While these community members were the most advantaged—socially, politically, and economically—in the community, they also had been the most active in seeking assistance and resources from external organizations and in investing time and labor in the project. Moreover, although the gap—in terms of accumulation of material resources and empowerment—between those most advantaged by the project and groups less advantaged has increased, the latter have benefited from access to project-related resources. Significance of the Research As an ethnographically informed research on community-based timber management, this dissertation offers an em pirically grounded understanding of structural factors and individual choice in shaping people’s participation in “bottom-up” development. In doing so, it hopes to offer a more nuanced theoretical understanding of participatory development by revealing both the structural relations that give rise to variations in the way community members participate in development projects and how

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15 these social actors also interpret, negotiate, resist and transform it by their involvement in the project. From a methodological perspective, this research adds to studies that have attempted to capture the multiplicity of meanings and representations attached to the concepts of community participation. This research moves beyond the existing typologies, which tend to be deductively derived and abstract, by analyzing how community members themselves view and understand their participation. In addition to its theoretical and methodological contributions, this research has practical significance for development or ganizations involved in participatory development. By looking at the heterogeneous ways in which individuals participate, the research presented in this dissertation moves beyond community-level measures. This could contribute to practitionersÂ’ efforts to better implement and monitor participation on the ground. On a pragmatic level in Acre, this research offers a detailed description of the historically specific cultural, economic and political processes that are relevant to community timber projects; gives voice to individuals who are rarely heard in development efforts; and evaluates the effectiveness of local development organizations in promoting genuinely participatory timber management. This information is particularly significant given the interest in and increasing implementation of community-based timber projects not only in Acre and the Brazilian Amazon but in other Latin American countries.

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16 CHAPTER 2 DISENTANGLING PARTICIPATION IN DEVELOPMENT: FOR, WITH OR BY LOCAL PEOPLE? Introduction Participatory, or community-based,1 development has been lauded as an alternative model to mainstream development and a promising strategy for social change, particularly for transforming global and local relations of inequity. It is currently one of the most widely used concepts in the development arena and has penetrated other fields, including conservation (Michener 1998; Western and Wright 1994).2 Increasingly, academic studies and policy statements emphasize the benefits of local participation in development projects and multilateral and bilateral development agencies, as well as nongovernmental organizations, adopt participatory approaches as a basic development strategy. More than twenty years of experiences with participatory projects and approaches have brought both praise and criticism. Considerable challenges to implementing bottom-up development initiatives remain, which explains, in part, why what participatory development projects promise in the abstract (and on paper) often greatly differs from what actually occurs on the ground (see Long and van der Ploeg 1989). 1 Also alternatively referred to as local , people-centered , people-led , peopleÂ’s self-development, bottom-up , from-below , equitable , appropriate, autonomous, holistic, human-in-scale , human , and beneficiary approaches to development. 2 The popularity and mainstreaming of participati on in development and conservation initiatives is reflected in the increasing requirement among countries and organizations, including the World Bank, that local people be actively involved in the planning and implementation of projects and programs. In addition, the Inter-Agency Learning Group on Particip ation was recently created comprised of major multilateral and bilateral donors, agencies, and NGOs.

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17 Community-based projects and programs demonstrate that local participation is not an inherently democratic or equitable process nor does it necessarily ensure a greater number and more equitable distribution of benefits to participants (Cleaver 1999; Little 1994). The problem is that, although participatory development approaches and projects attempt to address and challenge global and local relations of power and subordination, they remain embedded and constrained by these structures of inequity. Some critics go as far as to argue that participatory development has been hopelessly co-opted, absorbed as merely a technical fix that leaves unchallenged the global and local relations of inequality in which poverty and powerlessness remain (IDS 2000; Pieterse 1998). However, despite ongoing problems and challenges, compared to the technocratic, centrally planned, large-scale, and capital-intensive development projects and programs of the 1960s, participatory approaches to development have tended to contribute to greater equity, self-reliance, and/or empowerment for politically and economically disenfranchised people. In the 1960s, participation of local people in development initiatives was not simply overlooked but explicitly discouraged. Rural populations were argued to be “backward,” “irrational,” and “incapable,” and even viewed as threats to the success of development projects and programs. Four decades later, bottom-up approaches to development have made local participation in project decisions and actions a basic and necessary development strategy. Consequently, local populations today have more opportunities and a greater capacity and power to influence development initiatives. However, local participation in development initiatives varies greatly. On the one hand, participation can mean the mobilization of local people’s labor to implement project activities, leaving existing power structures and corresponding inequities little altered. At

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18 the other extreme, it can also mean local people defining, implementing, and administrating all aspects of a project according to their aspirations, problems and needs. In this chapter, I present an historical overview of participatory development, highlighting the ways in which participatory approaches to development have changed over time. Local participation in development initiatives was first seen as a means to help local people meet practical needs—specifically material resources (e.g., income, material assets) and social services (e.g., health care, education). It has since evolved to be seen as an important tool for helping local people meet not only practical needs but also for attaining strategic ends, notably local empowerment, self-reliance, and equity. The shift in emphasis in participatory approaches to development from practical needs to strategic ends (alongside practical needs) represents the most significant way in which participatory development has changed over the years. However, three decades of experimentations with participatory projects and programs, and changing perspectives regarding development, have produced a breadth of community-based projects that are as diverse as they are similar. I then look at the contributions of social structural and actororiented theories in explaining why local participation in development is so diverse. Social structural analyses focus on the role of global and local structures of inequity and corresponding social relations of power in differentially impacting the ability of communities, and groups within communities, to participate in development initiatives. Actor-oriented theories emphasize the role of human agency in shaping the dynamics of local participation in development initiatives, including people questioning, appropriating, and adapting projects and their participation in them to respond to their interests and needs. I end the chapter with a brief discussion of a specific sector within

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19 participatory development, that of community forestry and community-based timber management, the focus of analysis in this dissertation. Locating Participation in Development: An Historical Overview Aristotle and Political Participation The concept of popular participation is deeply embedded in theories of political participation and democracy dating back to Aristotle (Cohen and Uphoff 1980). Aristotle concluded that participation in politics helped individuals develop a faculty of reason, a sense of responsibility for others’ welfare, and a disposition toward balanced judgment (Aristotle 1946). Taken up in the 1950s by political scientists, notably Arnold Kaufman and Carole Pateman, participation in democratic politics was argued to improve only citizens’ character (Mansbridge 1995). This was epitomized by Arnold Kaufman’s coining, in 1960, of the term “participatory democracy,” arguing that the "main justifying function of (participatory democracy) is and always has been . . . the contribution it can make to the development of human powers of thought, feelings and action" (Kaufman 1960: 192-193 cited in Mansbridge 1995). This premise that citizens’ participation is not essential to a society’s development was an influential strain of thought in development theories and practices up until the 1980s. The impact, over the past 50 years, of this view and other theoretical perspectives on the role of popular participa tion in development is discussed in the sections that follow and is summarized in Appendix A and Figures 2-1 to 2-7. The main theoretical approaches to participatory development and their practical applications are discussed, and differences as well as similarities are highlighted.3 3 For the purpose of this chapter, I focus on the theories and conceptual frameworks that have had the most influence on the field of participatory development. This gives the impression that the field has

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20 1950s-1960s Rooted in classical and neoclassical theo ries of growth emphasizing technological transfer and capital formation, the modernization/diffusion theories underlying the development paradigms of the 1950s and 1960s echoed Aristotle’s and political scientists’ conclusion that the participation of citizens was not essential to the “development” of “Third World” societies (Cohen and Uphoff 1980). Embedded in these modernization/diffusion theories was an evolu tionary model of culture, originating from the Enlightenment, which placed Europe (the West) as the center of reason and knowledge and the rest of the world at the periphery. From this perspective, only one model of development existed, one expressed in developed countries and synonymous with, among other things, political democracy, rising levels of productivity and industrialization, and high literacy rates. Entrenched was the belief that the diffusion of technology and culture from the West would lead to rapid progress in other parts of the world through industrialization and GNP grow th. The economic prosperity enjoyed by the West in the early 1960s further boosted this conviction that “Third World” countries needed to adopt the capitalist system of the Western world, and all of its attached cultural and social traits, in order to overcome their problems of “underdevelopment” (Kearney 1996; Veltmeyer 1997; Waisbord 2000). As such, development was seen as something the West did for or to people of “lesser developed” nations (IISD 1999). The participation of a nation’s citizens in the development process was considered, at best, in terms of their participation in the sharing experienced a unilinear evolution in which new theories, approaches, and practices have superseded and replaced old ones. However, in rea lity, a great diversity of theoretical and applied approaches, originating from a variety of disciplines and institutions, have co-existed and have been used simultaneously to guide participatory development initiatives.

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21 of the benefits of accrued capital, through a trickle-down effect (Black 1999). However, the prevailing view went even as far as to claim that if not kept under vigilance and control, popular participation could actually lead to political instability and deter economic growth (see, for example, Huntington 1968).4 Thus, in this context, the role of development agencies and practitioners was “to facilitate the diffusion of new technologies by overcoming resistance to change arising out of traditional values and institutions ” (Escobar 1995: 662, emphasis added). Consequently, the majority of development projects were technocratic, centrally planned, large-scale, and capitalintensive and were planned and implemented in a top-down fashion, primarily by professionals from the West (Figure 2-1). LEVEL OF PARTICIPATION IN DEVELOPMENT PROGRAMS/PROJECTSQUALITY OF PARTICIPATION IN DEVELOPMENT PROGRAMS/PROJECTS Less participatory More participatory Passive/ less power (recipient) Active/ more power (agent) ‘THIRD WORLD’ COUNTRIES ‘DEVELOPED’ COUNTRIES Development done by the West FOR (or TO) people of “lesser developed’nationsCOMMUNITIES FOCUS OF DEVELOPMENT : Economic growth HOW? DIFFUSION of technology & Western culture BY WHOM? Western professionals PARTICIPATION OF LOCAL PEOPLE? DISCOURAGED because thought to lead to political instability and to hamper economic growth. Development done FOR/TO local people by outsiders. Figure 2-1: Development FOR local people (1950s 1960s) Late 1960s – Early 1980s By the mid-1960s it was clear that the optimistic postwar modernization/diffusion models of development were not meeting their expectations. In intellectual circles, 4 In a 1964 study, the UN Economic Commission of Latin America did argue that participation was a necessary condition for development but was largely ignored (Veltmeyer 1997).

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22 theories of underdevelopment (e.g., Frank 1979) and Marxist and neo-Marxist theories, including dependency theory (e.g., Cardoso and Faletto 1979) and world-systems theory (e.g., Wallerstein 1974), emerged in the late 1960s as powerful critiques. The problems of underdevelopment were argued to be not internal to “Third World” countries but, rather, reflections of the general dynamics of capitalist development in the Western world. “Third World” countries became underdeveloped as a consequence of the Western world’s development, which was predicated on the extraction of economic resources and labor from “periphery” (“Third World”) countries (and, hence, their “dedevelopment”) to “core” (Western) countries. Scholars also began to question the notion that modern society, economy and culture were universally progressive and desirable (Kearney 1996). This was vocalized by grassroots socio-political movements around the world in their protests against colonial occupation, growing disparities in resource distribution, and decreasing standards of living, among other things. The global economic downturn, set in motion by the 1973 oil embargo, only further exacerbated the problems that development policies and programs were supposed to have mitigated in “Third World” countries, such as unemployment and poverty (Veltmeyer 1997). This resulted in the broadening of the concept of development from its focus on economic growth to include social dimensions and the recognition of the need for a more equitable distribution of the world’s resource and benefits derived from economic growth (Pieterse 1998; Veltmeyer 1997). In the late 1970s, both the World Bank and USAID, two of the major international development agencies, turned their attention to “povertyoriented” and “basic-needs” programs centered on rural development, health, nutrition,

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23 and education, and emphasized the need for direct beneficiaries themselves to participate more actively in these programs (Escobar 1995).5 However, prevailing political science theories that dominated the development discourse continued to echo the Enlightenment belief in an evolutionary path from “barbarism” to “modernity” and emphasized that traditional societies became more participatory as they became more modernized (i.e. more Western). As such, development policies and programs during this period sought the “modernization” of “traditional societies,” understood in terms of their incorporation into national and world economies (Escobar 1995; Kearney 1996). Popular participation was understood, in the minds of development consultants and planners and the governments and organizations that employed them or contracted their services, to mean “the incorporation of the intended beneficiaries into the development process . . . by remov(ing) any barriers to their equal access or opportunity” (Veltmeyer 1997: 306). In other words, (capitalist) development was not the problem; rather, the problem was that populations were not sufficiently incorporated into the development process because of limited access to its economic benefits (Kearney 1996; Veltmeyer 1997). In response, governments and development agencies, notably the World Bank, pushed for development programs “concerned with the modernization and monetization of rural society, and with its transition from traditional isolation to integration with the national economy” (World Bank 1975: 3). In the end, even the poverty-oriented and basic-needs development programs reproduced, according to Escobar 5 USAID’s New Directions mandate (1973-1975) called for a more beneficiary-oriented, communitycentered approach designed to meet the basic human needs of the poor (Escobar 1995). Similarly, the World Bank announced in 1973 its plan to address the needs of the rural poor by designing and implementing programs directly targeting the rural and urban poor (see McNamara 1975).

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24 the world of postwar development: a world organized around production and markets, divided between developed and underdeveloped, ‘traditional’ and ‘modern’ . . . anchored in a faith in material progress through technology and the exploitation of nature (1995: 664). Thus, despite increasing support for popular participation in development, the first of these “participatory” projects were largely “superficially or cosmetically” participatory (e.g., membership on boards without decision-making power) (Cohen and Uphoff 1980: 218). The discourse around popular participation remained largely confined within existing conceptualizations of political participation that viewed peasants, and thus the majority of a nation’s population, as inherently incompetent to make any decisions (Cohen and Uphoff 1980). The need for political order, authoritarian if necessary, remained entrenched in development thought and practice (Higgott and Robison 1985). Consequently, people-centered and -directed development initiatives were still largely considered unnecessary unless controlled by the governing elite and shown to contribute to project effectiveness and, ultimately, economic growth (Cohen and Uphoff 1980). As such, development projects continued to be defined and implemented by outsiders (Westerners) and remained large-scale, top-down, technocratic, centrally-planned, and capital-intensive. Even methods for collecting information and development planning that encouraged greater involvement of inte nded beneficiaries of projects, notably RRA (Rapid Rural Appraisal), largely confined local people’s participation to providing information to and for practitioners from the West (Figure 2-2).6 6 Although RRA initially was carried out by Western professionals, it became a widely used tool among non-Western development practitioners.

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25 LEVEL OF PARTICIPATION IN DEVELOPMENT PROGRAMS/PROJECTSQUALITY OF PARTICIPATION IN DEVELOPMENT PROGRAMS/PROJECTS Less participatory More participatory Passive/ less power (recipient) Active/ more power (agent) ‘DEVELOPED’ COUNTRIES ‘THIRD WORLD’ COUNTRIESCOMMUNITIESDevelopment still done by the West FOR people of “lesser developed’with conditional participation BY local people DEVELOPMENT MODEL ADVOCATED : Reduction of poverty and increased education, health, etc. via ECONOMIC GROWTH HOW? DIFFUSION of technology & Western culture BY WHOM? WESTERN professionals PARTICIPATION OF LOCAL PEOPLE? CONDITIONAL participation: Participation BY local people ok if controlled by elites and contribute to economic growth and project effectiveness Figure 2-2: Conditional participation BY local people (late 1960s – early 1980s) Late 1980s – Early 1990s It was not until the late 1980s and early 1990s that “bottom-up” approaches to development gained ground as a focus of substantial debate and action. In academic spheres, modernization paradigms came under increasing criticism from a growing and diverse set of disciplines and theoretical perspectives. One view, voiced by modes of production and articulation theorists (for example, Roseberry 1989; Wolf 1982), argued that capitalism hindered the development of “underdeveloped” countries not because capitalism held back development directly but because it maintained noncapitalist/traditional modes of production for its own interests. Sharp criticism also arose from poststructuralists and postmodernists (for example, Escobar 1995), who argued that development, as it was conventionally being carried out, represented a thinly veiled form of imperialism and a mechanism for the West to control the rest of the world, not only along economic but cultural and political lines. On the ground, development agencies and practitioners began to see the results of the large-scale, top-down and capital-intensive development programs of the 1960s and

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26 1970s. They became increasingly aware that “top down” approaches to project planning and implementation often resulted in indifference, alienation, and opposition to project activities by local residents (Ford et al. 1994). This resulted in an increased (and cumulative) disenchantment with the status quo of development (Agarwal 1997; Cohen and Uphoff 1980; Finsterbusch and Van Wick lin 1987; Little 1994; Pieterse 1998). At the same time, an expanding network of grassroots mobilization and opposition movements became increasingly more vocal about the failure of development in delivering its promises of improved standards of living and quality of life. The 1980s also saw a rise in the number of NGOs and ot her grassroots organizations partnering with local people (Pieterse 1998). These new actors emerged, in part, from government decentralization as a result of political democratization of highly centralized regimes and neoliberal models of structural adjustment. Backed by a neo-conservative, anti-state ideology calling for the decentralization, downsizing and privatization of government services and powers, and the deregulation and advance of market forces, these simultaneous processes of political democratization and economic liberalization opened spaces, at least symbolically, for greater grassroots participation (Long 1996; Pieterse 1998; Veltmeyer 1997). The challenges posed to modernization models of development increased interest in and the urgency for alternative models of development. Activists and intellectuals alike, notably Gordon Conway, Robert Chambers, and David Korten, pressured for greater community participation in development planning and activities (IISD 1999). This was facilitated by a gradual shift in the development arena regarding perceptions of rural populations. In contrast to previous assumptions of rural peoples as “backward,”

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27 “irrational” or simply “incapable,” more attention began to be focused on rural populations’ disenfranchisement from developm ent decisions and actions, and to not only their ability but also their right to participate. However, local participation was seen primarily as means to meet practical needs (i.e. material improvements, health care, education, etc.) (Cornwall 2001a). This understanding of participation moved away from preceding views that argued that development needed to be carried out for or to local people. Rather, it emphasized the need for projects and programs to be implemented by the actual recipients and beneficiaries of development. However, it remained entrenched in the assumption, first voiced in the 1970s, that the more actively involved people are in the implementation of development activities, the more effective the projects and, consequently, the higher and more equitable the distribution of social and economic benefits to participants (Cohen and Uphoff 1980; Hartmut and Libercier 1995; Margoluis and Salafsky 1998; for examples see Finsterbusch and Van Wicklin III 1987, 1989; Montgomery 1983). However, unlike in the 1970s, in the 1980s and early 1990s participation of local people was seen as a tool to achieve an “alternative development.” Specifically, it was viewed as means to break away from the status quo of “top-down” development approaches and practices by emphasizing bottom-up, or people-centered, practices of implementing development activities (Figure 2-3).

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28 LEVEL OF PARTICIPATION IN DEVELOPMENT PROGRAMS/PROJECTSQUALITY OF PARTICIPATION IN DEVELOPMENT PROGRAMS/PROJECTS Less participatory More participatory Passive/ less power (recipient) Active/ more power (agent) ‘DEVELOPED’ COUNTRIES ‘THIRD WORLD’ COUNTRIESCOMMUNITIESParticipation BY local people emphasized DEVELOPMENT MODEL ADVOCATED : Higher and more equitable the distribution of social and economic benefits via greater PROJECT EFFICIENCY HOW? “BOTTOM-UP” implementation of project activities; mobilization of local people’s labor and other resources using PRA tools and approaches BY WHOM? LOCAL people PARTICIPATION OF LOCAL PEOPLE? Participation BY local people emphasized Figure 2-3: Participation BY local people (1980s – early 1990s) Participation during this period thus became defined largely through the vehicle of Participatory Rural Appraisal (PRA),7 a family of tools and approaches developed by academics and NGOs in the late 1980s. The underlying assumption of PRA is that local people have knowledge, information and resources (but they need to be organized and mobilized) and that outside resources are available (but they need to be defined and invested according to community-identified priorities) (Ford et al. 1994).8 The role of western professionals was to facilitate discussions and actions, and to learn from and with local people, eliciting and using their criteria and categories to define and implement project activities. Thus, participatory development during this period emphasized not only the need for local input into project activities (in the form of labor, knowledge, and other resources) but also the decentralization of and access to decision-making processes. 7 For a comprehensive history of RRA (Rapid Rural Appraisal) and PRA, see Chambers 1994. 8 To this end, PRA adapts a wide range of techni ques of data gathering and analysis derived from Rapid Rural Appraisal (RRA) including focus group discussions , construction of diagrams and maps, trend lines, time trends, transects, seasonal calendars/daily tim etable, resource access ranking, and options assessment ranking.

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29 However, these participatory approaches to development did not adequately distinguish between “participants,” or “individuals who allocate time and/or resources to a project” (Spring 1993: 61) from “beneficiaries,” or “groups within an implementation area whose access to and control over resources (e.g., time, services, commodities, technology, credit, jobs, education, training, income, prestige, information, etc.) is actually increased or enhanced” (Spring 1993: 61). In addition, the emphasis remained on participation as a means to contribute to the efficiency and effectiveness of development initiatives (Cornwall 2001a). This focus on participation as a means to meet practical ends brought criticism, particularly for its failure to address social relations of power and corresponding structures of inequity and subor dination. A small but growing number of intellectuals and activists advocated “politicizing” participation, arguing that “the objects of the development process (should be) active subjects, involv(ed) . . . in each and every phase including initial diagnosis and the determination of the community’s problems and needs” (Veltmeyer 1997: 306). According to Korten (1990: 144), “the heart of development is institutions and politics” and “the most fundamental issues of development are, at their core, issues of pow er” (ibid: 214). Like Korten, others argued that participation needed to move beyond its application as simply an alternative tool (local, people-centered versus top-down, state-centered, etc.) for implementing development “as usual.” Rather, participation needed to be concerned with redefining the goals of development and targeting strategic ends, including local empowerment, selfreliance, and equity. First expressed in the 1970s by intellectuals advocating alternatives to development (for example, Gamer 1976), this viewpoint has steadily gained attention.

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30 Late 1990s – 2000s Since the 1990s, participation has become one of the most widely used concepts in the development arena and has penetrated other fields, including conservation (Michener 1998; Western and Wright 1994). Academics and development practitioners alike have broadened discussions and practices of development to include not only “development alternatives” (alternative ways of achieving, essentially, mainstream development)9 but “alternatives to development,” what Escobar (1991: 675) defines as the “abandonment of the whole epistemological and political field of postwar development (development-asgrowth, modernization).” Informed by postructuralism and postmodernism, “alternatives to development” perspectives include Escobar’s (1995) postdevelopment10 Pieterse’s (1998) reflexive development, and Long’s (1992) actor-oriented paradigm of development. Advocates of “alternatives to development” question the notion that the world is on a path towards a Western model of modernization (Peet 1999). Rather, they point to the pluralism, fragmentation and heterogeneity that emerges in the encounter between different cultures and social systems and emphasize the social construction of meaning and discourse, the differences in the positions from which people speak and act, and the role of power relations and agency (e.g., grassroots movements, local resistance). In doing so, they question the assumption that rural populations are incapable of taking their development into their own hands and highlight the possibility (and need) for a multiplicity of development models. 9 Pieterse (1998) argues that ‘alternative development’ does not present a paradigm break from mainstream development. Rather, it has become institutionalized as part of mainstream development which, itself, is characterized by diversity, complex ity, and adaptability. Kothari (1993: 119) presents a much stronger and pessimistic critique and argues that alternatives have been co-opted resulting in “the yawning vacuum: a world without alternatives.” 10 Also referred to as ‘anti-deve lopment’ and ‘beyond development.’

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31 The 1990s saw a rise in critiques not only in intellectual spheres but also among networks of grassroots community-based organizations and international nongovernmental organizations. Spanning across regions and countries, in part due to improved communications technologies such as the internet, these grassroots networks have become a powerful voice in the call for greater local participation not simply in executing development projects but in designing and managing them. The further withdrawal of the state and its services resu lting from structural adjustment programs and the gradual opening up of political channels (in some regions) following processes of democratization, have provided additional opportunities for these socio-political networks to become more important and effective challengers of mainstream development. At the same time that these intellectual and socio-political critiques have gained voice, project evaluations and research have increasingly demonstrated that participatory development projects have not been a panacea nor without problems of their own. With these challenges has come an increasing recognition of the challenge of defining and implementing local participation in development initiatives. So has the range of what is meant by participation. Currently, two overlapping schools of thought and practice exist (Pretty 1995). The first (discussed in the previous section) emphasizes the value of participation as a means, or a tool or method, to meet practical needs. The second focuses on participation as an end in itself, or a strategy for social change that allows local people to have greater control over their lives and resources (BorriniFeyerabend 1997; Chambers 1998; Hartmut a nd Libercier 1995). Involving local people in the supply and management of resources, services and facilities while at the same time

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32 reversing control and accountability from external authorities to the community is argued to contribute to processes of empowerment (i.e. a greater sense of ownership and related perceptions of responsibility), democratization, and equity both vertically (across hierarchical levels of social organization) and horizontally (within communities) (Borrini-Feyerabend 1997; Chambers 1998). This is argued to minimize top-down, paternalistic and dependency-creating development (Chambers 1998; Michener 1998), provide local people with a greater range of choices and opportunities for self-reliance (Friedmann 1992), and raise collective consciousness and self-mobilization, strengthening local governance in the process (Colfer and Wadley 1996; Michener 1998). Thus, for advocates of participation as an “end in itself,” local participation becomes one of the objectives, or end-goals, of development; that is, a strategy for effecting structural change, notably tran sforming existing power structures, not only economic but also social and political (Cleaver 1999; Veltmeyer 1997). While not overlooking the role of participation in helping local people meet practical needs, it emphasizes not only voice but agency, the capacity and power for local people to define development according to their aspirations, problems and needs and to negotiate, vis-àvis other actors (be they, government agencies, NGOs, private businesses, or other local groups), the conditions of their participation in all aspects of a development project. This implies a shift from externally planned and implemented, capital-intensive, and largescale development to local, small, and socially and culturally appropriate initiatives (Figure 2-4).

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33 LEVEL OF PARTICIPATION IN DEVELOPMENT PROGRAMS/PROJECTSQUALITY OF PARTICIPATION IN DEVELOPMENT PROGRAMS/PROJECTS Less participatory More participatory Passive/ less power (recipient) Active/ more power (agent) ‘DEVELOPED’ COUNTRIES ‘THIRD WORLD’ COUNTRIESCOMMUNITIESParticipation BY and WITH local people emphasized MODEL OF DEVELOPMENT ADVOCATED : LOCAL, SMALL, and SOCIALLY and CULTURALLY appropriate development initiatives HOW? “BOTTOM-UP” conceptualization, designing, and implementation of project activities BY WHOM? LOCAL people PARTICIPATION OF LOCAL PEOPLE? Participation BY and WITH local people emphasized Figure 2-4: Participation BY and WITH local people (late 1990s – 2000s) From this perspective, participation in development is decentralized, or “scaled down,” from outside actors (government agencies, development practitioners, etc.) and regions to the local community, which becomes the simultaneous beneficiary and agent of development (Figure 2-5). DECENTRALIZATION TO COMMUNITYLESS PARTICIPATION MORE PARTICIPATION STATES OF ‘DEVELOPING’ COUNTRIES ‘DEVELOPED’ COUNTRIES REGIONS MUNICIPALITIES/ DISTRICTS COMMUNITIES Figure 2-5: Participation “scaled down” to communities However, with globalization and a growing recognition of the increasing interconnection between global processes and the local, “scaling up” local participation—or providing

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34 venues for local people to engage other actors, such as the state, private businesses, etc., and impact decision-making processes at those levels—has become equally important. In response, greater attention is being given to collaborative participation (co-participation) between local communities and other actors, whereby partnerships are formed to jointly define and implement development initiatives (Figure 2-6). BUSINESSES/ MARKETS OTHER ACTORS (community civic groups, etc.) NGOs (international, national, state, local) COMMUNITY GOVERNMENTS (federal, state, municipal) OTHER COMMUNITIES COMMUNITY GOVERNMENTS SCALING UPS C A L I N G D O W N Figure 2-6: Co-participation This more recent approach to participatory development emphasizes building networks, partnerships, and alliances across different scales (local, regional, state, national, and international) and among different types (community, NGO, government, business, etc.) of social organization. Rath er than local participation being defined in terms of the extent to which communities are able to carry out and be responsible for all development activities (planning, implementation, administration, etc.), it adopts a more pluralistic approach whereby diverse actors participate and share decision-making authority and responsibility, each according to its specific skills, interests, and needs. This implies that local participation is no longer defined in opposition to the state and

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35 other actors. Instead, actors such as the state and businesses, which historically have played a role in the subordination of communities, are demystified as necessary evils. This is acknowledged, however, without losing sight of the significan t power differentials that tend to exist between such actors and local communities, and the dangers of multiple demands, competing claims, cooptation and manipulation. However, the very act of creating partnerships, based on shared roles and responsibilities, among what historically have been either adverse or incompatible groups, is argued to represent a change in, or at the very least, a challenge to existing power structures. In all of these participatory development initiatives, PRA has continued to be the main set of tools and approaches used. However, greater emphasis has been placed on the use of PRA methods by local people (with development professionals acting as facilitators) “to enable local (rural and urban) people to express, enhance, share, and analyze their knowledge of life and conditions, to plan and to act” (Chambers 1994: 1253). Redefined as “Participation, Refl ection, and Action” (Blackburn and Holland 1998), PRA focuses more on processes of reflection, flexibility, adaptability, innovation, mutual learning, and conflict management. In summary, the landscape, today, of participatory development is characterized as much by diversity as it is by shared philosophies and approaches. Nonetheless, it is possible to visualize participatory development as a continuum, one that ranges from local participation in someone else’s project to local participation in one’s own project, defined according to one’s own aspirations, pr oblems and needs (Figure 2-7). At one end of the continuum are participatory development projects that are conceptualized, planned, and administered by outside actors to wh ich local people bring resources (labor,

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36 information, etc.) while, at the other end, are projects that are locally-driven and demanddriven, with local people defining and involve d in all aspects of the project, from its conceptualization and implementation to its administration. LITTLE PARTICIPATION FULL PARTICIPATION •Externally defined and administrated project •Significant involvement of outsiders (foresters, extensionists, etc.) •Local people’s participation largely confined to providing resources (labor, information, etc.) •Little to no participation of local people in decisionmaking processes •Little capacity of local people to change or redefine project according to own needs, problems, etc. •Dependent on outside assistance, resources, etc. for project to continue •Project externally defined project but with some input from local people •Local people’s participation: providing resources and involved in some decision-making and administrative processes •Local people have some power to change or redefine project •Outside professionals provide assistance and act as facilitators •Gradual independence from outside assistance, resources, etc. •Co-participation •Multiple actors (local and external) define project and share decision-making authority and responsibility •Participation of each varies (according to skills, interest, and needs) but deemed equal or appropriate by all participants involved •Interdependency among actors involved •Locally-driven in all aspects of the project (conceptualization, planning, implementation, administration, accountability, etc.) •Minimal involvement of outside actors (only upon request of local participants) •Auto-dependent Figure 2-7: The range of participatory development initiatives Understanding Local Participation: The Interplay between Social Structures and Human Agency The diversity of community participation, among projects and within projects (presented in Figure 2-7) reflects differences in, on the one hand, the relative impact of global, regional, and local structures of inequity in shaping local people’s participation and, on the other, the multiplicity of ways in which local people react to, interpret, and respond to opportunities and constraints that come with development projects. In this next section, I present an overview of the c ontributions of social structural and actororiented theoretical approaches to understanding why local participation in development

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37 initiatives is so diverse. These two analy tical perspectives will serve as the main theoretical lens through which community-based timber management projects in Brazil, specifically the case studies of Porto Dias and Cachoeira, will be analyzed in the next chapters. Constraining and Enabling Social Structures Analyses of why communities, and groups within communities, vary in their participation in development projects have focused on the role of structural factors (specifically cultural, social, economic and political structures of inequality) in creating differential opportunities and constraints. A ssessing what specific structures encourage communities, and certain groups within commun ities, to participate while discouraging or impeding others depends on the particularities of the project and its context. However, some general social structural impacts on local participation have been highlighted in the literature. First and foremost, scholars have pointed out the limitations communities face in influencing wider structural factors (for example, Cleaver 1999; Pieterse 1998). Participatory projects are embedded in and structured by a global world system that is increasingly being driven by political and market forces concentrated in the hands of a few powerful interest groups. This disparity in power is expressed in and reinforced by bureaucratic, top-down administration by th e state and development organizations (Murphee 1994; Veltmeyer 1997); Western ideologi es of progress rooted in neoliberal and neoclassical economics (Escobar 1995); large-scale, capital-intensive development programs and policies (see Bunker 1985); patriarchy (see Boserup 1970; Kabeer 1994; Kelly n.d.); patron-client systems (see Costa et al. 1997); and cultural discrimination and marginalization (see Ribeiro 1995). In this global system, communities, compared to

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38 other actors such as corporations and the rural elite, have relatively little access or power to influence the public policies that ultimately shape the course of development in which, at some level, they are embedded (Cornwall 2001a). In addition to global and regional structures of inequality that remain entrenched in development thought and practice, structures of inequities within communities also impact local participation. The vast literature on development shows that the cultural, economic, and political position of the most socially subordinate groups, such as women, minorities, and the poor, tends to deteriorate with economic development (see Boserup 1970; Canclini 1993; Chambers 1998; Nash and Safa 1986; Tinker 1990; Wolf 1982). The least powerful groups in communities, particularly women (Akerkar 2001; Cornwall 2001b; Guijt and Shah 1999) and the poor (Chambers 1998), are more likely to be deprived access to development activities and benefits, and to incur the highest economic and social costs. The majority of particip atory projects and programs have not remained unaffected by these community-level structures of power and subordination. Increases in intra-community conflicts, growing disparitie s between the wealthy and the poor, and the exclusion of the most politically, economically, and/or culturally marginalized groups are not uncommon in community-based projects (Little 1994). At the same time, local leaders and/or powerful groups within communities have been found to sometimes use the rhetoric of participation as a means to increase their power by mobilizing local peopleÂ’s labor and other resources to meet their own agenda (Cleaver 1999). On the other hand, studies of networks and community organizations have shown that social capital can help local people (communities, community groups, households, or individuals) overcome some of these structural constraints and enhance their participation

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39 in development processes (see Collins 2000; Gittel and Vidal 1998; Grasmuck and Grosfoguel 1997). Important sources of social capital include: formal and informal social organizations and institutions; networks of reciprocity, trust, and alliance; and shared norms and values (see Berkes and Folke 1991, Coleman 1988, Ostrom 2000, Turner 2000, and Uphoff 2000).11 These forms of social capital, among others, have been shown to facilitate coordination and cooperation12 and, in the process, enable local people to collectively organize, address shared problems, pursue collaborative works, pool resources, and tap into additional sources of social capital (e.g., construct horizontal ties with other community organizations, and/or vertical linkages with regional grassroots networks, government organizations, etc.) (see Molinas 1998; O’Brien et al. 1998). Scholars and development practitioners have highlighted the role of social capital in both empowering local people and enhancing their access to other types of capital, including physical (e.g., human-made assets such as roads, schools, etc.), natural (e.g., renewable and non-renewable resources and environmental services), financial (e.g., savings, credits, cash, and other liquidable assets), and human (e.g., skills, knowledge, health) (see Ashley and Carney n.d.; Carney et al. 1999). Studies also have shown that local people—communities, community groups, households, or individuals—with higher levels of social capital tend to have greater access to other resources, material and nonmaterial, and more power to voice their interests, influence decisions, negotiate the conditions of their participation in development initiatives, and, ultimately, challenge 11 This is a broad definition of social capital. As noted by Uphoff (2000), defin itions of social capital are as numerous and contested as defi nitions of participation. 12 Social capital can also have negative impacts (see Ostrom 2000; Portes and Landolt 1996). For example, social networks can act as exclusive cliques, marginalizing certain community groups and leading to conflict (World Bank 2002).

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40 existing structures of power and inequity. This includes community leaders, innovators, and risk-takers who have been found to play an important role in accessing and securing resources for communities (see O’Brien et al. 1998). To Participate or Not to Participate? The Role of Choice and Human Agency While social structural forces play an important role in shaping the quality and dynamics of local participation, social structural analyses have been criticized for being too simplistic or deterministic. Some scholars emphasize that the behavior of people is not driven automatically and unconsciously by structures. Norman Long, for example, argues that Social actors are not simply . . . disembodi ed social categories (based on class or some other classificatory criteria) or passi ve recipients of intervention, but active participants who process information and strategize in their dealings with various local actors as well as with outside institutions and personnel (1992:22). In other words, individuals actively interpret and shape the world around them (Giddens 1984; Granovetter 1992; Long and van Ploeg 1989). Thus, communities (and groups and individuals within communities) that are either not participating or participating in a limited way in a given participatory project cannot be assumed to be simply “passive victims” of structural forces. Non-participation and limited participation may represent contesting discourses and practices for defining not only local economies but also ways of life (see Arce and Long 2000; Escobar 1995). According to Bourdieu (1977), powerful people, classes, or interests attempt to impose dominant and hegemonic discourses, or “orthodoxies.” The emergence of different interpretations and courses of action, or “heterodoxies,” symbolize efforts to resist, challenge and redefine hegemonic discourses and practices. From this perspective, nonparticipation and limited participation can be viewed as expressions of resistance to or

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41 moral ambiguity toward an encroaching capitalist market or state (see Ong 1987; Scott 1985, 1990; Taussig 1980). Individuals participating in development initiatives do not respond to development interventions in a passive way. For example, they do not always participate in the manner that is expected of them by outside assisting organizations (see Michener 1998). As noted by Long (1996: 47), local actors never simply adopt technologies and development projects but, rather, they appropriate and transform them to solve the problems they face and to advance their own particular needs. Studies informed by neoclassical economic models of human nature and action also suggest that local participation, specifically how and in what activities individuals participate, can represent a rational strategy based on a calculation of the risks and opportunity costs of participating (see Cancian 1966, 1989; Groot and Persoon 1999; Godoy n.d.). In other words, individuals choose which activities to participate in after calculating the economic and non-economic resources they will be able to secure (see Mayoux 1995; Zwarteveen and Neupane 1996). These actor-oriented perspectives do not deny the role of social structures in impacting individuals’ behavior (Giddens 1984; Long 1996). Rather, they highlight the need to look at how individuals react to, in terpret, and respond to structural opportunities and constraints. They emphasize that while local actors are “transformed by becoming part of wider ‘global’ arenas and processes… ‘global’ dimensions are made meaningful in relation to specific ‘local’ conditions and through the understandings and strategies of ‘local’ actors” (Long 1996: 47).

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42 Participatory Forestry In the next chapters, I will draw on these theoretical perspectives to analyze one sector of participatory development: participatory forestry, specifically, communitybased timber management. According to FAO (2003a), participatory forestry encompasses processes and mechanisms that enable those people who have a direct stake in forest resources to be part of decision-making in all aspects of forest management, from managing resources to formulating and implementing institutional frameworks. This includes community forestry,13 which refers to situations where local people are involved in forestry activities and derive benefits from them (FAO 1978). Over the past two decades, forestry projects with participatory, local or community components have increased significantly (FAO 2003a). The reasons for this trend include: a growing awareness of the global cons equences of deforestation, processes of decentralization of government authority and services stemming from neoliberal economic policies, grassroots pressures for the democratization of political and economic institutions, and a growing recognition of the need for participatory forestry strategies to alleviate poverty (Castro 1997; DFID 1999; FAO 2003a). In the late 1970s, the failure of large-scale forestry operations, notably plantations, coupled with bilateral and multilateral agencies’ shift from industrial towards “basic needs” development strategies and its emphasis on assisting local populations meet practical needs (i.e., material improvements, education, health care, etc.), led to an awareness of the necessity for community-based approaches to forestry (Arnold 1991). In response, international donors funded village woodlots and initiatives to produce fuelwood (Arnold 1991; 13 Also known as social forestry .

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43 Thomson and Freudenberger 1997). However, reflecting the majority of participatory development programs and projects at the time, local peoples’ involvement in these forestry activities consisted largely of implementing activities, with little to no say in the design or decision-making processes of the projects (Thomson and Freudenberger 1997). In the end, many of these projects failed, in part due to the disproportionate emphasis placed on technical over social and economic issues (Thomson and Freudenberger 1997). Since the 1980s, community forestry initiatives have emphasized the need to address non-technical aspects and to involve local people in all phases of project development and implementation. Most recently, there has been an increased effort to “scale up” participatory processes of forest management, and move from an exclusive focus on communities to incorporate a broader range of stakeholders, government and private, as well as institutional and policy issues (see Dragun 2001; FAO 2003b). Today’s community forestry projects are diverse, ranging from small-scale, communityfocused activities related to non-timber forest products to industrial-scale partnerships between communities and private or parastatal companies for commercial timber production (see CIFOR 2003; Mayers and Vermeulen 2002; Wollenberg et al. 2001a, 2001b). The remainder of this dissertation looks at one model of community forestry that recently has emerged in the Brazilian Amazon: timber management projects initiated in forest communities and smallholder properties for the sustained production of commercial timber using low-impact technologies and practices to selectively log forests. These “initiatives of forest management involving communities” (Amaral 1999: 3), referred to as projetos de manejo florestal comunitário (community forest management

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44 projects), are small in scale, use relatively simple technologies, and have as their main beneficiaries and participants small groups of forest populations. These projects also are diverse, in term of the types of forest tenure regimes in which they are implemented (national and state forests, extractive and indigenous reserves, and agricultural colonization areas), local populations participating (indigenous peoples, rubber tappers, small-scale agriculturalists, and riverine popula tions), and organizations involved (federal and state government agencies, nongovernmental organizations, and community associations). In addition, while some of these community-based timber projects involve small groups of families with close social ties harvesting timber from collectively owned forests, others are comprised of individuals working in individual parcels of privately owned forest. These community-based timber management initiatives represent a departure from conventional logging policies and practices in the Brazilian Amazon, which historically have given preference to companies and individuals with political and economic power (Bunker 1985; Hecht and Cockburn 1990). In general, these projects have attempted to integrate the social and economic development objectives of community forestry with the ecologically-grounded silvicultural techniques and management principles of natural forest management.14 They have been influenced by international experiences with and literature on community-based natural resource management (CBNRM) that have highlighted the contribution of local knowledge, norms, and institutions of natural 14 Natural forest management (NFM) refers to “the management of primary or secondary forests for the sustained production of timber or other products or both in which forest cover is maintained indefinitely” (Putz 1993 cited in Dickinson et al. 1996: 310). It represents a shift from the “irrational” exploitation of forest resources, such as conventional machine-ba sed clear-cutting and unplanne d selective logging, to their “rational management.” This includes the in corporation of reduced-impact logging (RIL) planning and extraction techniques which aim to reduce harvesti ng impact on felled and standing trees, forest soils and vegetation, and ecological functions (Boltz et al . 1999; Bruenig 1996).

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45 resource use to the sustainable management and conservation of natural resources (see Uphoff 1998; Agrawal and Gibson 1999). The community-based timber projects in Brazil are viewed as a promising strategy for contributing to the conservation of forests by involving (in some cases) forest community groups that have rich forest-based cultural and economic traditions based on the sustainable use of forest resources. In addition, providing these forest groups, and smallholders , with greater control over their forest resources and a means to improve their standard of living through the production of an economically valuable product is seen as a way to reduce deforestation rates (Amaral 1999). The specific case studies that I focus on, the community-based timber management projects in Porto Dias and Cachoeira, also share similarities with joint forest management (JFM), a model of community forestry that emphasizes collaborative management (usually between national forestry departments and local stakeholders) wherein local communities are participants in and beneficiaries of public forest management (see Aumeeruddy-Thomas et al. 1999; Hill and Shields 1998; Sundar 2000). Like JFM, the projects in Porto Dias and Cachoeira have been implemented in federally-owned forests and rest on the principle that decision-making and administrative authority over the technical and financial components of forest management, and access to benefits are, at least in part, decentralized to the local communities. In the next chapter, I look at how and why these projetos de manejo florestal comunitário, including Porto Dias and Cachoeira, emerged in the Brazilian Amazon at the particular moment that they did.

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46 CHAPTER 3 COMMUNITY-BASED TIMBER MANAGEMENT PROJECTS IN THE BRAZILIAN AMAZON Introduction Brazil possesses almost one-third of the worldÂ’s tropical forests and remains the largest source of timber (Macqueen 2003; Uhl et al. 1997).1 Access to and control over these forests and the production of commercial timber, one of the economically most valuable resources in the country, historically has been restricted to those with political and economic power (Bunker 1985; Hecht and Cockburn 1990). According to Blate (2001), over 90 percent of forestry activities in Brazil are carried out on individually owned land. While indigenous populations, traditional river-dwelling inhabitants (caboclos or riberinhos), and small-scale agriculturalists (colonos) have not been absent from the trade of wood, their involvement in the commercial production of timber has been confined largely to providing cheap, often illegally harvested, timber to intermediaries, large landowners, and mill agents (Amaral and Neto 2000; Barros and Uhl 1995). Others, particularly forest popul ations living in indigenous lands, national forests, and other conservation units, have had to wrestle with incursions of illegal loggers and logging operations on their la nd (Amigos da Terra 1995; Smeraldi 2003). Although federal development policies for the Amazon continue to promote unsustainable logging practices, since the mid-1990s, the Brazilian government has made 1 In 2000, approximately 65% (543 million hectares) of Brazil's total land area was covered by forests (natural forests and plantations) (FAO 2001).

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47 efforts to encourage sustainable forest management initiatives. This has included experimentations with community-based, small-scale, non-industrial timber projects using low-impact technologies and practices to selectively log forests. These projetos de manejo florestal comunitário initially encountered resistance from a variety of groups, including forest populations, grassroots organizations, and politicians.2 However, over the past four years, community-based timber management initiatives have gained more vocal support from NGOs, and state and municipal governments across the Amazon (Manuel Amaral Neto, pers.comm.). In the western Amazon state of Acre, timber management by smallholders and forest community groups has been identified by the state’s government as one of several forest-based development and conservation strategies (Kainer et al. in press). Besides the state government, community-based timber management also has become part of the political discourse of local leaders and grassroots social movements (Santos 2002). The main objective of this chapter is to identify the macro-level socio-political and economic processes that opened the door for a hi storically disenfranchised sector of the country’s population—smallholders and forest communities—to participate in the (legal) production of commercial timber. The aim is also to present an overview of the projetos de manejo florestal comunitário to date in the Brazilian Amazon, in general, and in the state of Acre, specifically. 2 For example, rubber tappers in the Chico Mendes extractive reserve in the state of Acre were strongly opposed to any timber harvesting for commercial purposes in extractive reserves. They argued that it would lead to uncontrolled logging and vast deforestation, the very things extractive reserves were created to protect its residents from. Some politicians also reacted negatively to th e idea of community-based timber projects. This included st ate and municipal governors allied w ith agriculture and cattle ranching interest groups who saw these projects as empowering poor rural populations and creating potential economic competitors.

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48 In order to have a comprehensive understanding of the socio-political context within which these projects arose, I begin this chapter with a discussion of some of the major global and national forestry policies and practices that constrained, up until the 1990s, Amazonian forest populations’ participation in (legal) logging activities. These included, a tropical forestry industry dr iven by economic growth and technological efficiency, with little regard to ecological or so cial impacts. In Brazil, twenty years of military dictatorship and nationalist programs to modernize the Amazon prioritized large landowners and intensive land-use production sy stems (agriculture, clear-cut logging, and cattle ranching). Economic competition from these intensive land-use systems, reduced access and rights to forests and forest resources, illegal logging and lax environmental laws, and uncontrolled forest fires are some of the legacies of the military’s attempt to develop the Amazon. These constrained smallholders and forest populations in the Amazon from experimenting with timber management using reduced-impact technologies. I then turn to examine socio-political and economic factors that opened the door for Amazonia’s forest populations to manage their forests for timber. At an international level, the emergence of the concept of “sustainable development” and the UNCED 1992 Rio conference resulted in well-funded programs to promote environmentally friendly and socially just forms of forest management. In Brazil, the end of the military regime and the subsequent democratization of political and economic institutions, opened up opportunities for an array of civil groups, including nongovernmental organizations, private research institutions, and forest populations, to work with government agencies and experiment with community-based models of timber management. At the same time,

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49 increasing rates of deforestation, and nati onal and foreign consumption of Amazonian wood in the 1990s prompted the Brazilian government to change forestry policies and practices in an effort to improve forest management in the Amazon region. Although federal and state agencies retain forest management authority, they have opened up venues for Amazonian community groups and smallholders to increase their participation, vis-à-vis other actors, in the management and supply of commercial timber. This includes the creation of the federal “simple forest management plan” (PMFSimples) and the opening of credit lines and funds specifically for timber management initiatives. Finally, this chapter closes with an analysis of community-based timber management projects in the state of Acre, focusing on the impact of the state “Forest Government’s” sustainable forest-based development policies and strategies. Constraints and Challenges to Community-Based Timber Management in the Brazilian Amazon The Global Context For much of the second half of the 20th century, the exploitation of tropical forests for timber was greatly influenced by the prevailing modernization development models that focused on economic growth and the diffusion of technology from the West. In the 1950s, the expansion of urbanization and industrialization in Western nations, accompanied by an increasing demand for natural resources, created a global tropical timber industry and market for tropical wood (Schmink 1994; Tucker 1990). This contrasted to previous patterns of tropical forest exploitation, where trade in large volumes of tropical timber was restricted to a few species of hardwood, the majority of

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50 which were selectively cut (Tucker 1990; Sayer et al. 1997).3 With the globalization of the tropical timber industry and market for tropical woods in the 1950s, a new era was ushered in, that of large-scale clear-cutting and highly efficient tec hnologies and practices such as bulldozers, gas-powered logging trucks, high-powered sawmills, the timber concessions system, and large forest plantations (Tucker 1990). As a result, previously remote forests in the tropics were opened up for the production of large quantities of forest products (Sayer et al. 1997; Tucker 1990).4 As in the majority of development efforts up until 1970s, tropical timber exploitation was carried out in the name of modernization, with little regard to involving or taking into consideration the ecological and socio-economic impacts on populations living in the forests. The Brazilian Amazon The Brazilian military regime (1964-1984) followed in the footsteps of the global march towards modernization. Viewed as an empty space to be occupied (Bakx 1986), the Amazon became the target, beginning in the 1970s, of vast development programs and projects aimed at attracting investors and settlers (see Binswanger 1991; Mahar 1989; Revkin 1990; Schmink and Wood 1987). Prior to the militaryÂ’s national integration program, the Amazon rainforests had been relatively intact, with the exception of some 3 The exploitation of tropical forests dates back to the late fifteenth century with the emergence of an economic world system and political world order during the expansion of colonial commercial capitalism (Prance 1990; Tucker 1990). Starting in the 1500s, tr opical forests became important sources of raw materials for commodity production a nd infrastructure (notably railroads ) and, in the process, became a means to increase the political and economic pow er of European nation states (Tucker 1990). 4 The tropical forests of the Brazilian Amazon had become a source of commodities as far back as 1500 with the arrival of the Portuguese. However, up until the 1800s, wood was a product of relatively low value compared to non-timber forest products, notab ly rubber, Brazil nuts, cacao, and vanilla (Tucker 1990). Timber emerged as an important commodity with the substitution of synthetic products and the decline of the markets in these products (Santos and Salgado n.d.).

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51 logging along the margins of the main rivers (Sember et al. 2001).5 The move to develop the Amazon, however, quickly changed that when the Brazilian state began selling huge extensions of rainforest to foreign and national companies, cattle ranchers and small-scale agriculturalists at the expense of reside nt Amazonian populations, both indigenous and rural populations of mixed ethnicities. The military regime’s twenty year effort to privatize the Amazon left a long legacy, which includes: economic incentives for conver ting forested lands to intensive production systems (clear-cut logging, agricultural production, and cattle ranching); reduced access and rights to forest resources and land for traditional Amazonian forest populations;6 uncontrolled illegal logging and lax environmental laws; and out of control forest fires (see Browder 1985; Bunker 1985; Foresta 1991; Schmink and Wood 1987, 1992). According to Amaral and Neto (2000) and Vi ana et al. (2002b), these together seriously impeded (and continue to pose challenges to) the implementation of timber management projects with Amazonian rural community groups and smallholders. 5 By contrast, the establishment of sugar cane plantations, starting in the 1530s, led to massive deforestation of Brazil’s Atlantic rainforest (Tucker 1990). 6 The Brazilian government has been slow to pass le gislative measures to improve Amazonian forest populations’ access to and ri ghts over forest resources and to break logging companies’ monopoly over timber exploitation. The government continues to limit ownership of forested lands in the Amazon to private property rights. This includes government-owned “public” forests (such as national and state forests) and forested lands owned by individuals and companies (Forests Forever 2001). As of March 2003, Brazil had yet to recognize private group property rights. In 2002, 13% of Brazil’s public forests (74.5 million hectares) had been placed under commun ity administration but pr ivate group ownership had not been given to any community or indigenous group (White and Martin 2002: 13). This contrasts to Bolivia, Peru, and Columbia that have recently introduced land te nure reforms recognizing private community-based ownership of forests (see White and Martin 2002).

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52 Opportunities and Incentives for Community-Based Timber Management Projects in the Brazilian Amazon The Global Context Beginning in the 1970s, the problems of environmental degradation, including deforestation, provoked by previous decades of unrestrained economic expansion began to be seen as global problems (Schmink 1994; Viola 1987) and discussed in political and social terms (Altvater 1998; Nygren 2000).7 This paralleled a shift in the development arena from an exclusive focus on economic growth to the recognition of the need for a more equitable distribution of the worldÂ’s resource and benefits (Pieterse 1998; Veltmeyer 1997). More specifically, development agencies and practitioners began to emphasize the need for greater participation of local people in forestry policies and programs, pointing to the link between povert y and forest degradation (Arnold 2001). On the ground, grassroots socio-political m ovements and forest communities throughout the tropics began to mobilize and resist the incursions of logging contractors and government forest departments (Rich 1990). Ot her grassroots efforts, headed largely by NGOs, targeted the multilateral development banks8 responsible for financing environmentally destructive and socially negligent development programs and projects (Rich 1990).9 This pressured large funding agencies, such as the World Bank, to increase 7 The first international focus on the issue of the conservation of the environment occurred in 1972, at a meeting of the Club of Rome, an international associ ation of scientists, politicians, and industrialists (see Meadows et al. 1972). 8 The World Bank and the three regional multilateral banks [the Inter-American Development Bank (IDB), the Asian Development Bank (ADB), and the African Development Bank (AFDB)]. 9 Historically, over half of multila teral development bank loans have gone to support projects in sectors that seriously affect tropical forests (agriculture, ca ttle projects, colonization projects, hydroelectric dams, and roadbuilding) (Rich 1990).

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53 financial and technical assistance for sust ainable development projects (APCOB/CICOL 2000). It is against this backdrop of increased awareness of deforestation as a global problem, with ecological and social conseque nces, and pressure from grassroots actors, that the concept of “sustainably managing” tropical forests emerged (Tucker 1990). Forest management, based on sound scientific principles, became seen as a tool not only for reducing ecological degradation but also for combating the economic and social problems of the Third World (Tucker 1990). Major international organizations soon adopted sustainable forest management as a central development strategy. This included the United Nation’s Food and Agricultural Organization (FAO), which instituted a global forestry program, and the World Bank, wh ich began subsidizing sustainable logging initiatives. However, it was not until June 1992, at the United Nations Conference on Environment and Development (UNCED) conference in Rio de Janeiro, Brazil, that sustainable forest management became a cornerstone of global forestry policies and practices.10 At that meeting, the Rio Declaration on Environment and Development, the Non-Legally Binding Authoritative Statement of Principles for a Global Consensus on the Management, Conservation and Sustainable Development of all Types of Forests, and Agenda 21 put sustainable forestry at the fo refront of global development efforts. The Program for the Conservation of the Brazilian Rain Forest, or PPG7, was one of the most ambitious outcomes of the UNCED conference. Funded by the Brazilian government 10 According to Becker and Jahn (1998: 72), the 1992 UNCED Rio Conference marked the first time international environmental and development policies became “discursively linked and placed in symbolic relation to political power.”

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54 and the world’s seven richest economies (G7), the overall objective of the program (which is currently on-going) was to promote the adoption of sustainable forest management systems in the Brazilian Amazon through strategic actions and pilot experiments, including community-based pr ojects and certification (IBAMA n.d; IIED 2000; MMA 1996). Two sub-programs in partic ular, the Support for Forest Management in the Amazon, and the Demonstrative Projects (PDA), would become significant sources of financial and technical support for sustainable forest management initiatives in the Brazilian Amazon, including community-based models (IIED 2000; MMA 1996).11 Since the Rio UNCED conference in 1992, other major global efforts have emerged to address the challenges faced in implementi ng sustainable forest management initiatives and to facilitate community involvement in resource management (Poffenberger 1996; see, for example, Kirmse et al. 1993). This includes the World Bank’s pledge, made in the spring of 1998, to help establish 500 million acres of “sustainable” forestry projects (Tangley 1998). In addition, the Internati onal Tropical Timber Organization (ITTO), a nongovernmental organization which views market access for tropical timber as critical to sustainable forest management, has been at the forefront of establishing the international trade in tropical timber from sustainably managed forests (ITTO 2003). The Brazil By the late 1970s, the military regime’s development policies and fiscal incentives had produced the first extensive colonization programs and massive private landholdings in the Brazilian Amazon. The opening of forested lands for cattle ranches and small11 As of 2000, 57 percent of the community-based timber projects had received financial support from PPG7 (Amaral and Neto 2000). Additional sources of funding came from national and international NGOs and foundations (including the Worldwide Fund for Na ture Brazil, Ford Foundation, the European Economic Community, Conservation International, and the International Tropical Timber Organization) (Amaral and Neto 2000).

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55 scale agricultural production by the thousands resulted in unprecedented environmental destruction in the Amazon, raising for the first time significant international and national concern (Foresta 1991; Schmink and Wood 1987). One of the Brazilian government’s responses was to place, with the assistance of foreign conservation organizations, millions of hectares of rainforest under public protection, creating the first national forests (Foresta 1991). Indigenous peoples and populations of mixed ethnicities living in the Amazon also responded to the environmental destruction and ensuing increases in land conflicts, levels of poverty, violence, and death by mobilizing and protesting. However, it was the military regime’s transition to democratic rule (late 1970s-1980s) that created the political and social conditions for formal civil organizations, including political parties, community-based organizations, and NGOs to emerge (Keck 1995; Schmink and Wood 1992; White and Martin 2002). One of these organizations was the leftist political party, the Worker’s Party (PT), which emerged from church and union movements in Acre (Keck 1995). These grassroots efforts led to the creation of additional state and national parks, and later, extractive and indigenous reserves (Schmink and Wood 1987). In addition, many of the civil organizations that emerged during this period would later provide significant political, financial, and/or technical assistance to community-based timber management initiatives. However, it was the 1992 UNCED Rio conference that really turned the world’s attention to the destruction of the Amazon, which became dubbed the “lungs of the world.” Along with the rest of the world, the Brazilian government took serious notice of the rapid deforestation of the Amazon, particularly in the eastern state of Pará. At the

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56 same time, there was a growing awareness of the rapid depletion of tropical timber stocks in Asia and increases in national and foreign consumption of Amazonian wood (Amaral and Neto 2000).12 Faced with difficulties in enforcing and monitoring environmental regulations in public forests (Viana et al. 2002b), and mounting international and national concern over deforestation and the depletion of timber stocks, the Brazilian government was pressured to look for alternative policy instruments for improving forest management in the Amazon region (Macqueen 2003). This was facilitated by significant increases in international funds available for sustainable forest management initiatives in the Amazon. Initiatives by research institutions and NGOs The first efforts in the Brazilian Amazon to promote sustainable forest management using reduced-impact harvesting technologies were initiated in the early 1990s and targeted large-scale logging companies extracting timber from forest plantations and natural forest estates in terra firme (upland) regions (Barros and Uhl 1995). In 1992, the Institute for Man and Environment in the Amazon (IMAZON), a private Brazilian research institution, began working with logging companies in the eastern Amazon state of Pará.13 With financial assistance from the World Wide Fund for Nature (WWF), the primary objective of the project was to assess the ecological and economic viability of industrial-level reduced-impact logging. 12 Production of timber in the Amazon has skyrocketed in the past 40 years. In the 1960s, only a handful of sawmills operated in the Amazon and produced only a small fraction of the total national production of timber (Smeraldi and Veríssimo 1999). By the la te 1990s, the Amazon was producing approximately 75 percent of the national production, most of which wa s being consumed by southern Brazil (IIED 2000). Of this, approximately 80 percent was estimated to be extracted illegally (WRM 2000c) and less than 1 percent was thought to have originated from effectiv ely managed areas (Amigos da Terra 1997). Over the next decade, timber extracted from Brazil’s natural forests (not plan tations) is expected to increase significantly (Macqueen 2003). 13 An earlier project using low-impact harvesting tec hnologies and practices to selectively log forests had been planned in 1988 in the Antimari State Forest in Acre. However, project operations have been at a virtual standstill for the past 10 years (see discussion later in this chapter).

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57 With the creation of the Program for the Conservation of the Brazilian Rain Forest (PPG7), also in 1992, the first significant sources of funding for sustainable forest management initiatives became available, thus opening the door for timber management experimentation with small rural smallholders and community groups. The first projects were established in privately-owned forested lands (see Amaral and Neto 2000). This included the timber management project in Marabá (state of Pará), initiated in 1993 on individual private landholdings in agricultural colonization settlement areas (Amaral 1999). The primary focus of this project was the commercialization of timber extracted from privately-owned patches of forests destined to be burned by small-scale agriculturalists for agricultural production (Amaral and Neto 2000). With financial support from PPG7 and technical assi stance from IMAZON and EMBRAPA, the Brazilian Organization for Agro-pastoral Research, the project evolved into a community-based initiative with a total of 340 hectares of forest in three communities being placed under reduced-impact timber management (Amaral and Neto 2000). In 1994, the Tropical Forest Foundation (TFF) and its Brazilian subsidiary, Fundação Floresta Tropical (FFT), launched a program in the Eastern Amazon on sustainable forest management principl es and methods (see Blate 1997; TFF 2003).14 IMAZON and TFF/FFT began field testing reduced-impact logging (RIL) methods. TFF/FFT also started training professional fo resters, many of whom would later organize technical workshops for communities involved in timber management projects. 14 Until 2001, TFF/FFT was the only organization that trained field personnel in Brazil in reduced-impact logging methods. TFF/FFT was rest ructured recently and named the Instituto Floresta Tropical (IFT) (see TFF 2003).

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58 In the mid-1990s, NGOs and research institutions across the Amazon, with the help of a variety of grassroots groups (e.g., rubbe r tapping associations and associations of small-scale agricultural producers), initiated additional community-based timber management projects (Amaral and Neto 2000). The majority of these initiatives received funding from PPG7 and technical exper tise from nongovernmental organizations. Changes in national forestry policies These efforts by NGOs and research institutions to promote and strengthen community-based initiatives in the Amazon overlapped with changes in national forestry policies and legislation that helped facilitate the implementation of community-based timber projects. Starting in the mid-1990s, the Brazilian government started to take an interest in sustainable forest management, including community-based models, as a possible instrument for conserving the Amazon rainforest (Amaral and Neto 2000).15 In 1995, the Brazilian Institute for the Environment and Natural Renewable Resources (IBAMA), responsible for the co-ordination and execution of Brazilian national forest policy, required all logging industries to submit a sustainable forest management plan (Plano de Manejo Forestal Sustentável—PMFS).16 This provided research institutions, such as IMAZON and EMBRAPA, with a template with which to work (Santos and Salgado n.d.), despite the fact that PMFS was not adapted for small-scale producers of timber. 15 Macqueen (2003) notes that the first government efforts to incorporate sustainable management practices in the forest sector were made in 1986, when a law was created (Law 7511) stipulating sustainable management. However, it did not specify what “sustainable management” meant. 16 In 1980, it became a legal requirement for all timber companies to fill in a guia florestal , a registration record of its monthly production (For ests Forever 2001). In 1989, forest management plans became a legal requirement for forestry enterprises consuming 12, 000 m3 or more of logs and had to be approved by IBAMA (Forests Forever 2001; Vi ana et al. 2002b: 17). However, it was not until 1995 that IBAMA drafted a specific management plan to be followed (the PMFS).

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59 In 1996, Brazil amended its outdated 1965 Forestry Code for the first time in its twenty-year existence.17 The major change introduced by the Brazilian president at the time, Fernando Henrique Cardoso, was an increase from 50 to 80 percent in the proportion of forest to be conserved on large rural properties in the Amazon and from 20 to 50 percent in the rest of the country (Osava 1999). The new Forestry Code not only decreased the total area of forest for future logging but also mandated that any logging in these conservation areas could be carried out only using sustainable management techniques subject to the approval of IBAMA and state environmental agencies. However, the proposed amendments were stopped from being turned into a permanent law by the National Congress. Nonetheless, the amendments were actually passed by means of a Provisional Measure, a presidential decree that must be reissued on a monthly basis. Since 1996, the Forestry Code has been at the center of debate and power struggles between BrazilÂ’s lobby of large rural landowne rs and the Ministry of the Environment (WRM 1999). Two additional drafts of a revised Forestry Code were presented to the National Congress. The first draft was submitted in 1998 by the committee of the Chamber of Deputies, which represented the interests of large landowners, particularly the powerful National Agricultural Council (C NA) (WRM 1999). The draft called for the reduction in the area of protected forest arguing that it blocked agricultural competitiveness and economic forest exploitation to the detriment of the countryÂ’s 17 According to Osava (1999), worldwide protests in 1995 in response to the announcement that over 29,000 square kilometers of the Amazon rain fore st had been destroyed, pressured the Brazilian government to amend its 1965 Forest Code.

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60 economic growth (Gonçalves 2001a; WRM 2000a).18 In March 2000, the National Environmental Council of the Ministry of the Environment (CONAMA) submitted its own proposal for a new Forestry Code. The process of defining the draft involved the participation of smallholders and social and environmental Brazilian organizations as well as the CNA (WRM 1999; 2000a; WWF 2000).19 It called for maintaining the amendments passed by the President in 1996 and also established links with the other national environmental laws, including the Conservation Law, and with international treaties, such as CITES (Convention for the Conservation of Endangered Species) and the Convention on Biological Diversity (WRM 2000b). Widespread opposition from and campaigning by national and international environmental groups and the threat of a presidential veto eventually forced congressional leaders, in May 2000, to drop the Chamber of Deputies’ draft (ENS 2000; WRM 1999).20 CONOMA’s proposal is now effective, but as of March 2003, it remains 18 The draft submitted by the committee proposed the following: (1) agricultural plots of less than 20 hectares would not be obligated to maintain a forest reserve area, (2) eucalyptus and pine plantations in small plots in the Amazon and the Pantanal regions would be considered ‘fo rest reserves’ and (3) woodlands could be converted to agriculture without previous permission of the environmental authority (WRM 1999). The draft also called for reducing the conservation areas in the Amazon from 80 percent to 50 percent, outside the Amazon region from 50 percent to 20 percent, and in surrounding riverbanks and lagoons from 100 meters to 30 meters. For details of the draft see Gonçalves (2001b). 19 The final document resulted from a round of 30 meetings, where a total of 370 organizations from civil society and the industrial sector, as well as delega tions from the federal and municipal governments took part (WRM 2000b). However, Gonçal ves (2001a) argues that these effort s to decentralize the process and promote greater public-sector participation in the defi nition of the new Forestry Law were only cosmetic because environmental groups were not invited to participate in meetings were revisions of the law were made. Instead, the National Confederation of Industry (CNI) and the National Confederation of Workers in Agriculture (CONTAG) participated in those meetings (Gonçalves 2001a). 20 For example, the World Wide Fund for Nature (WWF), along with other NGOs launched a campaign which resulted in over 100,000 e-mail messages being se nt to congressmen as well as intensive media coverage (WWF 2000).

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61 to be voted on and passed into a permanent law by the Congress.21 While this provisional new Forestry Code does not explicitly address or provide venues for community-based timber management initiatives, it represents the first time national and international NGOs and foundations, many of which have been working with community-based timber projects in Brazil, prevailed over the ranchersÂ’ and large landownersÂ’ special interest groups (ENS 2000).22 The revised Forestry Code represents only one of many recent changes to environmental legislation that reflect govern ment efforts to involve forest populations (via NGOs, research institutions, or private industries working in partnership with them) in managing public forests and have facilitated community-based timber management initiatives. In 1998, IBAMA approved a simplified sustainable forest management plan (PMFSimples) for rural populations in the Amazon region. According to IBAMA, this new management plan was introduced to permit smallholders and populations with communal land regimes, such as indigenous peoples and rubber tapper populations, to legally manage forests for timber (ISA 1999).23 The PMFSimples gives smallholders and community groups, the latter through formal associations, the right to explore an area of forest up to 500 hectares (ISA 1999). For the first time, communities could present one single plan for all properties within a community rather than having to submit separate 21 In the present forest legislation (Provisional M easure 2.166), effective legal reserve requirements for rural properties are 80% in the Amazon region, 35% in the Amazonian Cerrado (savannas) and 20% in all other regions. 22 However, Muchagata and Neto (1998 cited in Amaral and Neto 2000) argue that within the timber industry, economic and political power has been, and continues to be, con centrated in the hands of large companies. To protect their inte rests, they serve on the boards of local and national executive and legislative branches of the government and have pr evented small producers, from whom they depend on for logs, from independently participating in sustainable forest management. 23 However, IBAMA was criticized for drafting the PFSimples measure in meetings held behind closed doors with no representatives from trad itional Amazonian populations (ISA 1999).

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62 management plans for each individual property within the community as previously required.24 Other significant changes in national forestry policy and legislation include the creation, in April 2000, of the National Forest Program (PNF) that calls for increasing the total area of forests under management (IIED 2000; see MMA 2000).25 Among the priorities set under this program are the expansion and consolidation of forest management in national forests (FLONAS) and the improvement of management of “natural” (i.e. non-plantations) forests on private properties (see Macqueen 2003; Viana et al. 2002b). Although the PNF does not address specifically community-based models of forest management, it lays out basic step s for the development of specific sustainable forest management instruments, such as the creation of concessions for reduced-impact timber management in FLONAS (MMA 2000; Viana et al. 2002b). Moreover, according to Viana et al. (2002b), the PNF has improved dialogue between the government and different interest groups within the forestry sector and other sectors. Finally, the Brazilian government also has initiated several collaborative forest management projects, including the Sustainabl e Management of Production Forests at the Commercial Scale in the Brazilian Amazon with ITTO, and channeled efforts to increase bilateral and multilateral sources of funding for forest management and preservation 24 Both the association represen ting the community and each individua l landowner within the community are held responsible for fulfilling th e obligations assumed in the mana gement plans (ISA 1999). According to IIED (2000), since the PMFSimples was promulgated in 1999, changes in the regulation on simplified management for community-based forestry have had positive impacts on forestry (specific impacts were not mentioned) but bureaucratic red-tape and lack of technical capacity of IBAMA’ s technicians have made it difficult for communities to have their mana gement plans approved (Amaral and Neto 2000). 25 The Forest Program is comprised of three main sub-programs aimed at: (1) increasing the forest area through reforestation/plantation, (2) increasing the ar eas under management for natural forests, and (3) prevention, control and reduction of de forestation and forest fires (IIED 2000).

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63 programs and projects. In March 2003, a bilateral accord between Brazil and the German Development Bank (KfW) was signed with 5 million euros destined for the Brazilian Ministry of Environment’s Program to Assi st Sustainable Forest Management (PróManejo), a program which has been a significant source of technical and financial support for existing community-based timber management projects (MMA 2003). Similar federal programs have been established to provide community groups and smallholders assistance, ranging from trai ning in forest management techniques to funding for equipment (chainsaws, trucks, etc.). These include the Brazilian Fund for Biodiversity (FUNBIO) and the National Fund for the Environment (FNMA)26 and, most recently, the opening of the first credit line, through the Brazilian Amazon Bank (BASA), for sustainable timber management initiatives. Communities and smallholders seeking to selectively log forests for commercial timber may see increased government technical and financial support in the coming years. In 2003, the Workers’ Party (PT), hi storically a strong ally of labor groups and poor rural populations, consolidated a substantial political niche with the election to the presidency of Luis Inácio Lula da Silva, a co -founder of the PT. In the first three months after he took office in January 2003, he appointed to key positions in the Ministry of the Environment (MMA) individuals with long hist ories of fighting for the rights of forest populations. Marina da Silva, the daughter of rubber tappers and a former senator from Acre, was selected to head MMA. She also was appointed as the president of CONOMA and asked to serve on the executive board of FNMA. Mary Helena Allegretti, an anthropologist who helped the rubber tappers in their struggles to establish extractive 26 For a more comprehensive list of policy measures, programs, and sources of funding for forest management initiatives in the Brazilian Amazon, see EC and FAO (n.d.).

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64 reserves, has continued as the head of the Secretariat for the Coordination of Amazônia (SCA) and, in addition, was asked to administrate the National Council of the Legal Amazon (CONAMAZ). In addition, Carlos Antônio Rocha Vicente, the former head of the Secretariat of Forests and Extractivis m (SEFE) under the PT state government of Acre who spearheaded unprecedented projects and programs aimed at improving the livelihoods of Acre’s forest populations, was a ppointed as the director of the Secretariat of Biodiversity and Forests (SBF). And Mâncio Lima Cordeiro, Acre’s Finance Secretary, was appointed national head of the Amazon Bank (BASA). Certification During the 1990s, efforts were also made to promote forest certification. Certification of sustainably harvested timber was seen as a means to complement weak legal government structures and strategies for monitoring logging activities (Viana et al 2002). Two parallel initiatives were started, one aimed at building a national certification body and the other within the international Forest Stewardship Council (FSC) (Forests Forever 2001). In 1996, Friends of the Earth (Amigos da Terra-Amazônia Brasileira), an international NGO, joined IMAZON and IMAFLORA, a civil non-profit association, to establish a Brazilian certification body (see Amigos da Terra 2001; Azevedo and Freitas n.d.; Smeraldi and Veríssimo 1999). As of November 2003, two community-based timber projects had been certified.27 Efforts to create regional networks There were also attempts (that are ongoing) to consolidate and build Amazon-based regional networks of community-based forestry projects. The most notable effort was the 27 These are Cachoeira (Acre) and Porto Dias (Acre) . A small number of natural forests and plantations owned by industries have also been certified (see FSC 2001).

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65 organization of yearly workshops on community-based forest management. Coordinated by WWF/SUNY (later IIEB and IMAZON) Program on Nature and Society and USAID, in collaboration with local organizations, at least six workshops have been held since 1998.28 These workshops brought together not only pilot projects for community-based timber management from across the Brazilian Amazon but also government organization (e.g., IBAMA and the Ministry for the Environment, MMA), banks (e.g., BASA), and potential timber buyers. Another initiative, spearheaded by the Acre-based NGO CTA (Center for Amazonian Workers), was the formation of a Group of Community Forestry Producers. The objective of this group was to bring together the community-based timber management projects in Acre and Rondônia to form an organization for the purpose of facilitating the marketing of forest products, particularly timber. The status of community-based timber initiatives in the Brazilian Amazon in 2003 Since 1995, at least eighteen such timber management experiments have been initiated in the Brazilian Amazon, including in public forests designated for sustainable “direct use”29 (extractive reserves, and national and state forests), indigenous reserves, and privately owned forested lands (agricultural colonization projects).30 Of these projects, the majority were located in Pará, the state which along with Mato Grosso produces three-fourths of the total Amazon timber (Smeraldi and Veríssimo 1999). In Rondônia, the third largest producer of Amazonian timber (Smeraldi and Veríssimo 28 Workshops have been held in Porto Dias, Ac re (April 20-25,1998) (see Amaral 1999); Marabá, Pará (Sept. 27Oct.1 1999) (see Armelin 2000); Rio Branco , Acre (July 17-21, 2000) (see Macedo n.d.), and Boa Vista do Romas, Amazonas (2000). 29 Protected areas designated as “d irect use” include National Forests ( Florestas Nacionais ), extractive reserves ( Reservas Extrativistas ), Areas of Environmental Protection ( Áreas de Proteção Ambiental ) and Areas of Relevant Ecological Interest ( Áreas de Relevante Interesse Ecológico ) (IBAMA 2002). 30 For an excellent summary and discussion of these projects, see Amaral and Neto (2000).

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66 1999), there were an additional two projects. By contrast, Acre and Amazonas, the Amazon states with the lowest levels of timber production (Smeraldi and Veríssimo 1999), had four and two projects, respectively. However, only a small number of the eighteen projects had actually harvested timber.31 Community-Based Timber Management in Acre Acre was one of the first Amazonian states to experiment with reduced-impact timber harvesting technologies and practices. The state’s first community-based timber management project was initiated in the Antimari State Forest.32 With funding from ITTO, the State of Acre Technology Foundation (FUNTAC) launched the first phase of the project in 1988, beginning with a series of socio-economic and environmental studies and preliminary forest management guides (ITTC 2001). In the early 1990s, a partnership between FUNTAC and the first community organization to be formed in the area, the Antimari State Forest Rubber Tappers Cooperative, was established to elaborate a natural resource utilization plan that would include timber extraction (ITTC 2001). Other institutions were subsequently invited to assist in implementing project activities. These included the NGO, Center for Amazonian Workers (CTA), and government agencies such as the Micro and Small Companies Support Service of Acre (SEBRAE), the Educational National Service (SENAI), the Brazilian Institute for the Environment and Natural Renewable Resources (IBAMA), the Acre State Industries Federation (FIEAC) and the Brazilian Organization for Agro-pastoral Research (EMBRAPA) (EMBRAPA 1997, 1999; ITTC 2001). Industrial processing of timber and non-timber 31 Porto Dias-CTA (Acre), Cachoeira (Acre), PedroPeixoto (Acre), Marabá-Las at (Pará), Rio CautárioOSR (Rondônia), and Aquariquara-OSR (Rondônia) had harv ested timber as of the end of the year 2001. 32 Antimari State Forest covers an area of 66, 000 hect ares in the northwestern m unicipality of Bujuri in Acre.

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67 products and the training of local communities in forest inventory and reduced impact logging activities were supposed to have begun in 1993. By 1999, however, only some of the forest plots had been inventoried and auctioned to Madeira Santa Cruz to initiate harvesting activities. The contract was cancelled when the company failed to implement activities and LIMAZON, another industrial company, was contracted as well as a small handicraft enterprise to assist families in the production of wooden crafts (ITTC 2002). However, as of August 2002, timber had yet to be extracted from Antimari.33 In contrast to the Antimari project, a very different model of community-based timber management project was initiated in 1995 by the Brazilian Organization for Agropastoral Research (EMBRAPA) in the colonization settlement project (PDA) Pedro Peixoto.34 With the assistance of SINPASA, a regional rural workers’ union, EMBRAPA selected 12 families interested in extracting timber from the legal forest reserve areas (approximately 40 ha) on their individual private landholdings. In 1996, a training program and an inventory of the selected areas were carried out. This was followed, in 1997, by the first extraction of timber resulting in three trucks of timber planks. To date, EMBRAPA remains the primary organization working with the families, assisting heads of households in the selective harvesting and processing of small volumes of timber from their individual forest reserves.35 33 For more information on the communities residing in Antimari, see Shaeff 1998. For information on the timber project, see Braz and Oliveira 1996; EMBRAPA 1999; ITTC 2001, 2002; and SECO and Intercooperation 2003. 34 PDA Pedro Peixoto was created by the National Colonization and Land Reform Institute (INCRA) in 1977 and occupies 375,000 hectares in the municipalities of Acrelândia, Senador Guiomar, and Plácido de Castro (Araujo 1999). Approximately 4,000 families from the states of Pa raná, Espírito Santo, Amazonas, São Paulo, and Acre live in Pedro Peixoto in i ndividual plots of approximately 80 hectares. 35 For more information on the timber project in Pedro Peixoto, see Araujo 1999, Araujo and Oliveira 1996, Braz and Oliveira n.d., Miranda and Araujo 1999, Oliveira et al. 1998, Sá et al. 1998, and Silva 2001.

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68 A year after the project in Pedro Peixoto was initiated, the residents of the Agroextractive Settlement Project (PAE) Porto Dias became the first extractive reserve population in Acre to experiment with the sustained production of commercial timber. The project, which fell under a larger proposal to implement a “multiple-use” (i.e. nontimber and timber products) forest management project, was proposed in 1995 to the Rubber Tappers’ Association of Porto Dias by the Center for Amazonian Workers (CTA). CTA had intended to implement the project in the PAE São Luis de Remanso but found the area in much need of assistance with social organization and capacity building. In Porto Dias, 10 families pertaining to the Rubber Tappers’ Association of Porto Dias were selected to experiment with reduced-imp act technologies in forest plots in each of the families’ rubber tapping landholding. Infrastructural problems as well as technical and social complications delayed the first extraction of timber until 2000. These first three pilot community-based timber projects in Acre were initiated at a time when timber extraction from forests under protection (state forest in the case of Antimari, legal forest reserves in the case of Pedro Peixoto, and extractive reserve in the case of Porto Dias), was a highly contentious issue in the Brazilian Amazon. In Acre, the state government at the time, allied with the political party Democratic Movement of Acre (MDA) which supported development policies promoting cattle ranching and agricultural production, had little interest in community-based projects, much less projects aimed at preserving the forest. Moreover, despite the application of reducedimpact technologies and practices in these projects, many local NGOs, development practitioners, and individuals affiliated with the rubber tapper movement, all of whom had fought hard to preserve the forests, were vehemently against commercial production

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69 of timber in protected areas. Consequently, the projects in Antimari, Pedro Peixoto and Porto Dias were implemented in relative isolation from each other and the larger sociopolitical arena of Acre. Each project was largely limited to a partnership established between a specific organization (FUNTAC, EMBRAPA, or CTA) and local community groups or families. Little political, technical or financial support from additional local organizations, particularly state agencies a nd other NGOs, was invested in these projects in the early stages of their implementation. The election in 1999 (and re-election in 2002) of Jorge Viana, a forester by training and an ally of the rubber tappers,36 as the governor of the state of Acre signaled a significant departure from the previous state government’s development policies and strategies and opened the door for community-based forest management initiatives (see Duarte 2003; Kainer et al. in press; Wito shynsky 2002). Viana’s “Forest government,” as it is popularly referred to, set out to “demonstrate to present and future generations that development does not depend on the destruction of the forest, but rather on its survival” (Governo do Estado do Acre 1999: 31). As part of its forestry policies, the state government declared that it would strive to maintain the state’s total deforested area at 18 percent and to place 25% of the state’s forests (approximately 4 million hectares) under sustainable forest management (Caminoto 2000). One of several instruments identified 36 The rubber tappers’ social moveme nt had an important role in st rengthening an oppositi on front against the MDA (Santos 2002; Kainer et al. in press). This front, denominated the Democratic Popular Front (FPD), brought together opposition par ties including the Workers’ Party (P T). The Frente Popular (FPD), as this party coalition became known, gained its firs t political victory in 1994 w ith the election of Jorge Viana as the mayor of the city of Rio Branco. During his office as mayor, Jorge Viana implemented sustainable development st rategies to strengthen the political econom y and land rights of forest populations (Santos 2002). His commitment to sustainable forest development is best captured by a statement he made during an interview: “I am inspired by (Chico) Mendes' ideas and want to achieve what, in the past decade or so, were only possibilities. Now that we are in gove rnment, we are turning those ideas into policies” (WWF n.d.).

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70 for accomplishing this was low-impact timber harvesting, including community-based projects (MMA/Governo do Estado do Acre 1999; Witoshynsky 2002). The governor also declared that Acre would be the first state in the Amazon to offer certified wood (Caminoto 2000). In addition to placing sustainable forest ma nagement at the forefront of the state’s policies and strategies, the election of Jorge Viana also served as an important juncture for Acre’s NGOs, many of which had evolved with and have been politically committed to the same social movements as Jorge Viana (Santos 2002). Many NGO and university people were given key positions in Jorge Viana’s administration (Schmink 1999; Kainer et al. in press) and other professionals, in cluding foresters, from other parts of Brazil were invited to join the administration to help design and implement the state’s new forest development strategies (Santos 2002). One project proposal that drew the attention of the “Forest Government” was a community-based timber management project in the PAE Cachoeira (also referred to as PAE Chico Mendes). Proposed in 1999 by political representatives from the municipality of Xapuri, the project was accepted, on a trial basis, by the Association of Residents and Producers of the PAE Chico Mendes (AMPPAE-CM). In 2000, CTA was asked to carry out forest inventories in 10 rubber tapping landholdings, and the state government’s Secretariat of Extractivism and Forests (SEFE) to help plan and implement reduced-impact harvesting techniques and activities. With financial incentives from and political ties to the municipality of Xapuri, AVER, a company which produces high-end furniture and wooden crafts, was invited to jo in and be one of two buyers of Cachoeira’s wood. For the “Forest Government,” the project in Cachoeira represented an opportunity

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71 for the state to put into practice one of the policy instrument that it had identified as promising for simultaneously developing and pres erving the state’s forests. However, in 2001, during the first harvesting cycle, SEFE withdrew from the project due to irreconcilable differences between SEFE’s fo resters and individuals in Cachoeira. Despite SEFE’s withdrawal from the project in Cachoeira, the state government has continued to politically support and provide assistance to community-based initiatives to selectively log timber. The State Secr etariat of Technology and Production (SEATER) recently has contracted 5 extensionists to wo rk on forest management issues (Silva 2001). SEATER also pays the salary of the forester currently working in the Cachoeira timber project. Other state agencies provided financ ial and technical assistance to improve the access roads in the Antimari State Forest, PAE Porto Dias, and PAE Cachoeira to facilitate the extraction of harvested timber. In Antimari, SEFE (now divided into two Secretariats – the Secretariat of Forests, a nd the Secretariat of Extractivism and Family Production) has been working with FUNTAC to help strengthen community cooperatives’ capacity to administer project activities and market timber and non-timber products (ITTC 2002). In addition, SEFE has been actively involved in designing forest management plans (mostly for NTFPs) and market strategies for both wooden and nonwooden forest products. Finally, in 2001, SEFE in partnership with FUNTAC and A.F.G. Oliveira, an industrial company, initiated the PROMATEC pilot project in a private landholding in the Municipality of Sena Madureira. The objective of PROMATEC is to serve as a demonstrative area to train company employees, rural workers, extensionists and students in the logging sector in reduced impact harvesting technologies and practices specifically for mahogany (Governo do Acre 2002).

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72 The state government’s prioritization of strategies, including reduced-impact logging, for the sustainable development of its forests has contributed to a local sociopolitical environment that has become significantly more receptive of and willing to experiment with community-based models for selective timber harvesting. Since the election of the “Forest Government” in 1999, an additional two community-based timber management projects have been initiated in Acre, all currently in the early stages of implementation. In 2001, CTA returned to PAE São Luis de Remanso with a project proposal similar to that of PAE Porto Dias. Some community members had begun technical training, at times co-taught by rubber tappers from Porto Dias, in timber harvesting activities. In 2002, the community project coordinator from PAE Cachoeira was invited by the Dois Irmãos community in the RESEX (extractive reserve) Chico Mendes to discuss the pros and cons of reduced-impact logging. A handful of rubber tapper families showed an interest in implementing a community-based timber management in the area and, in February 2003, IBAMA legalized selective logging in RESEX (subject to the approval by IBAMA of management plans) (Aquino 2003). If implemented, RESEX Chico Mendes would be the first extractive reserve in the Amazon to selectively log its forests for commercial purposes. Although there has been a rise in the number of community-based timber management projects in Acre, the extent to which the various community groups or families have participated, particularly as a “community,” in these initiatives varies greatly. In Antimari, FUNTAC has been reported to have had significant difficulties incorporating local community groups into the planning and implementation of project activities (FUNTAC employee, pers. comm.). Internal community conflicts,

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73 compounded by the absence of strong local governance by community associations, and FUNTAC’s lack of experience working with communities have been reported as major stumbling blocks (FUNTAC employee, pers. comm.). However, despite difficulties and delays, the technical staff of FUNTAC ha s recently placed more emphasis on involving families in the project. Local communities were trained in the design and production of wooden handicrafts by the National Servi ce for Industrial Learning (SENAI) (ITTC 2002). In Pedro Peixoto, the 12 families initially had been working on an individual basis with the EMBRAPA field technical staff. However, in the late 1990s, they decided to organize themselves into the Association of Rural Producers of Forest Management and Agriculture (Apruma). Since it was created, approximately 15 additional families joined Apruma in the hope of initiating timber management activities in their landholdings (EMBRAPA 2002; Silva 2001). In both Porto Dias and Cachoeira, only a small percentage of the members belonging to the local rubber tappers’ associations were actually directly involved in the projects and harvesting timber. In each of these reserves, families worked on an individual basis as well as in groups, depending on the activity being carried out. These projects continued to work in relative isolation from each other but networks between them were slowly being built. In 2001, EMBRAPA, IBAMA and Apruma organized a workshop bringing together the community-based timber management projects in Acre and Rondônia to exchange experiences and discuss strategies for transferring technologies and improving the commercialization of timber (EMBRAPA 2002). The project in São Luis de Remanso included a number of visits to Porto Dias (and vice versa), organized by CTA to increase rubber tappers’ involvement in training

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74 and capacitating other rubber tappers in timber harvesting activities. In the case of the project under consideration in RESEX Chico Mendes, the community coordinator from Cachoeira will probably assist them in the first stages of the project. Larger network capacity-building initiatives were also underway in Acre. For example, in 2000 and 2001, community members and organizations involved in community-based timber projects in Acre as well as municipality and state government representatives visited community forestry initiatives in Mexico and in Bolivia. Another initiative, discussed above, was the creation of a Group of Community Forestry Producers for communitybased projects in Acre and Rondônia. Summary The above historical overview of community-based timber management projects in the Brazilian Amazon, in general, and Acre, specifically, clearly shows that both government agencies and civil organizations played an instrumental role in creating opportunities for forest community groups and smallholders to participate in the legal production of timber. These are summarized below. Government Initiatives At the level of the national government, the transition to democratic rule allowed for the emergence of civil organizations, many of which later became important sources of political, financial, and technical assistance to community-based timber management initiatives. In addition, the government’s control over large areas of forested lands and forest resources in the Amazon, through the establishment of a national system of parks, indigenous and extractive reserves, and forest reserves on private lands, provided an opportunity for the government to experiment with sustainable forest management. Many of the recent government forestry policies promoting sustainable forest

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75 management initiatives, including the revision to the 1965 Forestry Code, the creation of a National Forest Program (PNF), and the approval of simplified sustainable forest management plans (PMFSimples) for smallholders and community groups, have had the greatest impact on the management of these public forests. While these new forestry policies and regulations have weakened logging restrictions in these areas, they also have created legal venues and incentives for experimenting with reduced-impact logging. In Acre, the “Forest Government” has not only embraced changes made to forestry policies at the national level but has proactively sought to strengthen forest-based development and conservation initiatives in the state, including community-based timber management projects. Starting with the projeto de manejo florestal comunitário in Cachoeira, since 1999 the Acre government has provided substantial political, technical, and financial support for community-based timber projects. Contributions by Civil Organizations and Grassroots Social Movements NGOs and other civil organizations have had a significant role in spearheaded initiatives to implement community-based timber management projects in the Brazilian Amazon. Not only did they lead the first experimentations with small-scale, reduced impact logging, but they also have been the greatest advocates of and sources of assistance for smallholders and community groups experimenting with timber management. This has included technical expertise in reduced-impact logging methods (IMAZON, TFF/FFT, and EMBRAPA), financia l support and training by foresters (CTA, SEFE, EMBRAPA), venues to receive FSC certif ication (Friends of the Earth, IMAZON and IMAFLORA), and workshops for the exchange of experiences and ideas, and discussions with government agencies (IIEB and IMAZON, initially SUNY/WWF).

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76 Although less visible, grassroots social movements in the Brazilian Amazon also have played a role in the emergence of community-based timber management projects. Initially, social movements such as the rubber tappersÂ’ movement and indigenous peoplesÂ’ movements, had nothing to do with efforts to promote timber management. However, their success in pressuring the government to create indigenous and extractive reserves, and parks, indirectly facilitated community-based timber management efforts by creating legally recognized communal land regimes and community organizations. In the next chapter, I focus on extractive reserves and discuss how rubber tappersÂ’ history of hardships, struggles, and social mobilization, and the transformation of their lands into reserves have offered distinct conditions and opportunities for community-based, reduced-impact logging.

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77 CHAPTER 4 FROM RUBBER TO TIMBER IN EXTRACTIVE RESERVES: THE SPECIFIC CASES OF PORTO DIAS AND CACHOEIRA Introduction Along with national and state forests and government stipulated forest reserves on smallholders’ privately-owned lots, extractive reserves are one of the areas in the Brazilian Amazon where small-scale, nonindustrial timber management projects are being implemented. As of July 2003, there were five extractive reserves in the Brazilian Amazon that had initiated community-based, reduced-impact timber harvesting projects. Three (Porto Dias, Cachoeira, and São Luis de Remanso) are located in Acre and two (Rio Cautário and Aquariquara) in Rondônia, the state neighboring Acre. In addition, the Chico Mendes extractive reserve in Acre, the nation’s first and largest extractive reserve, was considering experimenting with reduced-impact timber management. Extractive reserves were created by the Brazilian government in the late 1980s in response to increasing pressure from and mobilization of rubber tappers in Acre after being subjected to more than a decade of land conflicts, violence and death. In this context, extractive reserves presented rubber tappers with a means to protect their forests, and with them, their cultural traditions and forest-based livelihood systems, from an expanding frontier of agricultural production, cattle ranching, and logging. Given this socio-political history and the reserves’ status as conservation units, it is in some ways surprising that timber harvesting is being experimented with in these areas. However,

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78 extractive reserves offer distinct conditions and opportunities for community-based, reduced-impact logging. First, reserves are one of the few land use models in Brazil whose definition and tenure regulations are founded on the simultaneous goals of forest conservation and improved socio-economic well-being, based on the sustainable extraction of forest products. Along with other “direct-use” conservation areas, including indigenous reserves and national forests, extractive reserves also restrict intensive land-use systems, such agricultural production and cattle ranching. This has helped maintain, compared to areas where agriculture and cattle ranching are permitted, large areas of relatively intact forest. At the same time, however, that reserves’ land-use restrictions have helped preserve the forest, the comparatively weak markets for non-timber forest products, combined with a general lack of basic infrastructure, government credits and technical assistance within reserves, have left residents of reserves extremely poor. This situation has attracted the attention of NGOs and other organizations. These organizations, primarily technical assistance organizations and political grassroots groups, have been instrumental not only in providing local popul ations with greater access to material resources but, in some cases, politically powerful groups. In addition, they have been involved in, and have bee interested in, efforts to identify forest products that may help improve the standard of living of extractive reserve populations.1 Residents of extractive reserves also are required by law to establish local organizations, most commonly associations, to serve as legal representatives of those 1 The presence of NGOs, grassroots groups, research ins titutions, and other organiza tions varies greatly by reserve and, within reserves, by communities.

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79 living in the reserve. This means that most extractive reserves have local organizations and its residents have some, albeit limited, experience with social organization and working in formal groups. Prior experiences in Acre of trying to implement communitybased timber projects in other “direct-use” conservation areas, notably the Antimari State Forest and the São Luis de Remanso extractive reserve (discussed in Chapter 3), highlighted the importance of having populations that were relatively well organized. With the exception of the Chico Mendes reserve, which was approached to implement a timber project but refused, Porto Dias and Cachoeira were the only extractive reserves in Acre that were considered to have relatively well organized rubber tappers’ associations. Finally, residents of extractive reserves are typically rubber tappers or descendents of rubber tappers. As such, most have not only a tradition of knowledge and practice of extracting forest products (predominantly, non-timber) but, attached to these, forest-based cultural traditions and identities. Lack of economic options based on forest extractivism have rendered agricultural production and cattle increasingly attractive land-use alternatives for rubber tappers (see Gomes 2001). However, many would prefer to maintain extractivist-based livelihood systems that keep the forest intact, on the condition that they help improve the standard of living. In this chapter, I trace the historical socio-political, economic, and cultural conditions that led to the creation of extractive reserves, in general, and to the Porto Dias and Cachoeira extractive reserves, in particular. The purpose is to show how the conditions and opportunities extractive reserves currently present for community-based timber management initiatives are tied to rubber tappers’ history of hardships, struggles, and mobilization. This chapter also serves as an introduction to Porto Dias and

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80 Cachoeira, the focus of the remaining chapters, and to some of the reasons (discussed in further detail in Chapters 5 and 9) as to why the rubber tappers of these reserves decided to experiment with timber management. A Brief History of Rubber Tappers The reasons behind Porto Dias’ and Cachoeira’s rubber tappers’ choice to implement a timber management project are intrinsically tied to their personal and collective histories and identities as descendents of migrants who, in the early 1900s, made the long voyage from the northeast of Brazil to the Western Amazon, primarily to the states of Acre and Amazonas (Figure 4-1). These histories and identities are marked, most profoundly, by a century of exploitative patron-client relationships, extreme poverty, political marginalization and discrimination. Figure 4-1: Map of Brazil and the location of the state of Acre (http://www.geocities.com/RainForest/4735/) Starting in the late 1880s, the present-day Brazilian states of Amazonas, Acre, and Rondônia became the center of the world’s rubber boom.2 This region, which is rich in rubber tree groves, attracted rubber barons, or seringalistas (also called patrões), many of 2 By the 1880s, Acre was considered one of the most commercially valuable lands because of its rich rubber groves (Hecht and Cockburn 1990), attracting more than 60,000 Brazilia ns by 1900 (Baxk 1986: 36). In 1887, a total of 500,000 kilos of rubber were extracted from the Purus watershed in Acre (Labre 1887 cited in Hecht and Cockburn 1990) and by 1908, the states of Acre and Amazonas were each exporting twenty million dollars worth of rubber annually (Hecht and Cockburn 1990: 90).

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81 them educated noblemen and modest merchants and businessmen mostly from Brazil, Bolivia, and Peru (Hecht and Cockburn 1990; Serier 2000). Huge territories were possessed, some up to 12 million acres, under the principle of utis possedis (Bakx 1988; Hecht and Cockburn 1990). Since land itself was of little value, the majority did not bother to seek juridical titles to these seringais, or rubber estates (Ribeiro 1995).3 However, what was needed and scarce was labor to tap the rubber trees (Bakx 1986). At first, seringalistas turned to Amerindian labor but high death rates and incidences of fleeing prevented the seringalistas from securing a stable labor force (Hecht and Cockburn 1990). In response, seringalistas turned to labor from outside the region, initially from the Eastern Amazon and, later, from the northeast of Brazil. By the late 1870s, a massive migration of individuals from the Northeast, commonly referred to as nordestinos (northeasterners), to Acre and Amazonas was underway. The largest number of these immigrants came from the northeastern state of Ceará (Barham and Coomes 1996; Benchimol 1977; Paula 1982). By the end of the rubber boom in the 1920s, a total of approximately 500,000 nordestinos had migrated to the Western Amazon to tap rubber (Furtado 1971: 129).4 Although the majority of rubber tappers were Brazilian, tappers from Bolivia and Peru also crossed into the Brazilian Amazon (Barham and Coomes 1996; Hecht and Cockburn 1990). According to 3 The absence of legal titles to the land had seve re repercussions for rubber tappers down the line, particularly for those who fought ag ricultural and cattle interest groups for land in Acre during the 1970s. 4 The majority of nordestino rubber tappers traveled to the Amaz on as unaccompanied men (Benchimol 1992; Wolff 1999; Yungjohann n.d.). According to Ribeiro (1995) and Benchimol (1992), they did not come with the intention of settling in the Amazon. Rather, once rubber trees were tapped dry they moved on either to nearby areas rich in rubber trees or back to the Northeast (Ribeiro 1995). In general, seringalistas discouraged, if not forbade, rubber tappers from bringing their wives and other family members (Simonian 1995; Wolff 1999). According to Wolff (1999), this gave seringalistas greater control over rubber tappers by ensuring that they could not engage in extensive subsistence production (which they, alone, did not have the time to undertak e) and, thus, remained dependent on the seringalista for necessary merchandise (soap, oil, etc.).

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82 Esteves (n.d.), this mix of Brazilian and foreign migrants who turned into experienced rubber tappers, or seringueiro mansos, marked the establishment of rubber tappers as a new and distinct population in the Amazon, one with its own myths, beliefs, and customs. In addition to attracting new populations, the growing market for “white gold,” as rubber became known, diminished the little autonomy rubber tappers had previously exercised in the Eastern Amazon in relation to seringalistas and traders. The transfer of rubber production to the remote Western Amazon seringais decreased newly recruited tappers’ social ties and their ability to escape (Weinstein 1985). Each seringal (rubber estate), which consisted of isolated huts housing several male rubber tappers and rubber tree trails (estradas de seringa), was usually located at a considerable distance from any urban center. In addition, increased cooperation and consolidation among seringalistas (Cunha 1967) and minimal state intervention in the rubber trade (Hecht and Cockburn 1990) permitted seringalistas to enforce stricter mechanisms of control and exploitation (Weinstein 1983). This was accomplished primarily through the aviamento system, a hierarchical patron-client system based on credit and unequal exchange from which there was little chance of escape (Bakx 1988; Hecht and Cockburn 1990). Restricted or forbidden to carry out subsistence activities, rubber tappers were forced to sell their rubber at the seringalista’s trading post (barracão) in exchange for commercial supplies provided on credit at inflated prices.5 5 The seringalistas purchased the supplies, usually also on credit and/or in exchange for rubber, from dealers ( aviadores ) in Manaus and Belém who, in turn, sold rubber to exporters directly linked to American and European merchant banks (Bakx 1988; Dean 1987).

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83 With the collapse of the rubber boom in Brazil in the 1920s,6 the economic marginality of rubber tappers was accentuated. Many seringalistas abandoned their rubber estates, leaving behind rubber tappers to fend for themselves (Wolff 1999). While this relieved many rubber tappers from debt peonage, it also cut off their access to markets and essential commercial goods. The adoption of subsistence activities emerged not simply out of necessity but also because, with the exodus of seringalistas, previously imposed restrictions on these activities were lifted. So were the restrictions on having a family. Wolff (1999) notes that during th e post-boom era in the state of Acre, many rubber tappers formed families by either joining the few women who had migrated to the region or by snatching indigenous women from the forest or women who had previously “belonged” to seringalistas. The period between the two World Wars, thus, brought significant changes to the social organization of the seringais. Huts previously housing several male rubber tappers gave way to households comprised of a rubber tapper and his “wife.” It is during this period that the household and the colocação,7 the typical rubber tapping landholding found today, emerged as the primary units of production and reproduction.8 In regions where seringalistas continued to maintain some control, 6 The collapse was precipitated by the transportation of seeds of Amazonian rubber ( Hevea brasiliensis ) to Southeast Asia in the late 1800s and the subsequent esta blishment of low-cost rubber plantations in Asia in the early 1900s (Barham and Coomes 1996; Dean 1987). This was compounded by the outbreak of the First World War in Europe, which significantly reduced the amount of capital flowing into the Amazon (Dean 1987). These two factors soon left Brazil producing only five percent of the global rubber output (Hecht and Cockburn 1990). 7 A colocação is usually around 300 hectares and it includes a rubber tapper’s hut, homegarden ( quintal ), agricultural plots ( roçado ), and rubber trees organized in trails in the forest ( estradas de seringa ). The estradas de seringa define the boundaries of the rubber tapper’s colocação . 8 According to Wolff (1999: 19-20), the rubber ta pper household “constitutes the unit of cohabitation, production, solidarity, survival…(and) sustainable coexistence with the forest” (my translation).

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84 colocações usually remained linked to the seringalista’s trading post in the traditional web of exchanges and growing debts (Hecht and Cockburn 1990). The outbreak of the Second World War in Europe revived the wild rubber economy in Brazil, at least for a short period of time. The U.S. and Brazilian governments, with the help of private investors, launched a massive effort to increase production of Amazonian wild rubber called the batalha da borracha (the battle for rubber). This included the first government-financed mass migration scheme in Brazil, which, for a second time, targeted nordestinos (Hecht and Cockburn 1990). An estimated 150,000 nordestinos migrated to the Western Amazon during this period (Benchimol 1992: 117). Otherwise known as the soldados da borracha9 or seringueiros arigós (Benchimol 1992), these newly recruited rubber tappers faced similar exploitative conditions that rubber tappers had during the rubber boom period (Hecht and Cockburn 1990). However, with the end of the war in 1945 and the subsequent shrinking of the rubber economy, rubber tappers once again disappeared from the national and international economic radars. In the interim years, from the late 1940s until the eruption of violent land tenure conflicts in the 1970s in which rubber tappers found themselves in the middle, rubber tappers continued to tap rubber but at much reduced scales and increasingly for itinerant merchants. 9 For an excellent account of the soldados da borracha see Benchimol (1992) who interviewed 56 rubber tappers from Ceará in the years 1942-43.

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85 The Seringais and Rubber Tappers of Porto Dias and Cachoeira Porto Dias According to Bolivian land registration documents, the region where Porto Dias is currently located, in the southwestern corner of Acre in what is now the municipality of Acrelândia (Figure 4-2), was first “owned” by the Bolivian Francisco Coimbra. PORTO DIAS CACHOEIRA Figure 4-2: Map of the state of Acre and lo cation of the PAEs Porto Dias and Cachoeira (http://www.dholmes.com/masterlist/brasil/map-acre.html) Upon discovering the rich groves of native rubber trees on both banks of the Abunã River (which now serves as the border between Brazil and Bolivia), in 1900 Coimbra established a partnership with the Bolivian industrialist Abel Taborga “to dominate the natives” living in the area10 and to demarcate the land [INCRA n.d.(a)]. With the signing of the Treaty of Petropolis in 1903, the lands on the left bank of the Abunã River became 10 It is not known which indigenous groups inhabited this particular area of Acre at the time.

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86 the territory of Brazil although Bolivian owners maintained land tenure rights to the area.11 Originally, Porto Dias was comprised of two rubber estates, Boa Esperança and Perpétua Socorro. However, as far back as current residents of Porto Dias can remember, the area had always gone by “Porto Dias,” the name given to the main trading post located on the margins of the Abunã River. In the mid 20th century, Francisco Coimbra sold the rubber estates to Geraldo Perez. He, in turn, passed the properties on to his son, Renato Perez. His son, however, soon left and handed Porto Dias over to his sister, Elza Perez, who remained the owner of Porto Dias until 1989 when it was appropriated by the government and decreed a reserve. Cachoeira The early history of Cachoeira is not known. Land registry documents, however, indicate that present-day Cachoeira (see Figure 4-2), located in the municipality of Epitaciolândia, has been occupied by rubber tappers since at least the 1940s (COOPEAGRO 2001). The current municipality of Epitaciolândia originally was comprised of several rubber estates, including one by the name of Bela Flor. Owned by Sr. Antônio Mansour Bartha and the Brazilian Center of Extractivism, Brazil Nuts and Rubber,12 Bela Flor attracted rubber tappers and other populations in search of a better life (COOPEAGRO 2001). By 1958, a small store, church, and a school were built in Bela Flor. It soon became known as the vila, or town, of “Epitacio Pessoa” and 11 Acre officially became a federal territory of Brazil on February 25, 1904 a nd a federal state in 1962. 12 Centro Brasileiro do Extrativismo Vegetal,Castanha e Borracha .

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87 developed into an active socio-political and economic center leading, in 1992, to its establishment as the municipality of “Epitaciolandia” (COOPEAGRO 2001). “Cachoeira,” originally the name of a trading post, was officially registered as the seringal Mucuripi. According to residents of Cachoeira, in 1954 the seringalista of Mucuripi died when a Brazil nut fell from a tree onto his head. He was replaced by Francisco Vieira who, as an absentee la ndowner, placed Alfredo Zaire and his son, Guillerme Zaire, as tenants to administer the rubber estate. According to veteran residents of Cachoeira, the relationship between these men and the rubber tappers was a good one. Zaire and his son were replaced by a man by the name of Lamberto Ribeiro who oversaw Cachoeira for 12 years. Vieira sold the rubber estate to a man known as Dr. Julio who, in 1987, sold part of Cachoeira to a cattle rancher by the name of Darly Alves. From Seringais to Extractive Reserves: Two Decades of Violence When the Brazilian military regime came into power in 1964, it paved the way for foreign and national companies to purchase huge extensions of land. The completion of the Transamazon highway was quickly followed by huge resettlement (colonization) schemes and cattle ranching projects (see Schmink and Wood 1992). Backed by national government policies and subsidies, cattle ranching and agriculture quickly spread into the forests of the Amazonian states of Pará, Rondônia, and Acre. Many seringalistas sold “their” land to businessmen and small-scale agriculturalists from the south of Brazil in hopes of making a profit from their otherwise economically stagnant seringais. This resulted in a mass exodus of forest populations, many of whom were rubber tappers, to cities, as well as in increased levels of poverty, violence, death and environmental destruction. By the 1970s, many rubber tapping populations in the Western Amazon

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88 found themselves in the midst of violent land conflicts (Bakx 1988; Schmink and Wood 1992). In altering patterns of tropical forest use, however, the government fueled the growth of local popular resistance. Rubber tappers in Acre mobilized against ranchers, largely in the form of empates (peaceful demonstrations) (see Keck 1995; Souza 2002). In 1975, the first rural workers’ syndicate was created which in 1976 helped organize the first empate, in the rubber estate Carmen in the municipality of Brasiléia (COOPEAGRO 2001). Increasing violent confrontations with ranchers culminated in the rubber tapper movement headed by Chico Mendes and, in 1985, led to the creation of the National Council of Rubber Tappers (CNS), a regional organization with representatives of all rubber-producing Amazonian states. Beginning in 1985, a small number of rubber tappers, mostly in the states of Rondônia, Acre, and Amapá, began petitioning federal and state governments to declare their lands extractive reserves. That same year, the first National Rubber Tappers’ Meeting took place in the nation’s capital, Brasília, bringing national attention to the concept of extractive reserves (Allegretti 1990, 1994). At the same time, ongoing land conflicts and rubber tapper resistance and mobilization placed the National Institute of Colonization and Agrarian Reform (INCRA),13 which had been in charge of overseeing agrarian reform policies, under increasing pressure to legitimate land traditionally occupied by rubber tappers and to create a forest-based settlement model. 13 INCRA was created in July 1970. The main objective of the institution at the tim e was to “promote the occupation of empty spaces of the national territory, pr incipally in the Amazon, by means of processes of regularization of tenure” [INCRA n.d.(b)]. One of the objectives of INCRA, under the Directorate of Settlement, is to “provide access to families to lands a ppropriated by the Federal Government. And, in this way, oversee the actions for the creation, implementati on, development, consolidation, in proportion to or favoring the socio-economic organization of the bene ficiaries and the provision of basic services of technical assistance, rural credit and economic and social infrastructure” (INCRA 1998a).

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89 Two years later, Chico Mendes attended an InterAmerican Development Bank (IDB) meeting in Miami and successfully got IDB to suspend its loans for the pavement of the BR-364 highway connecting Acre to the south of Brazil (Castelo 2003; Keck 1995). In response to these pressures, in 1987 INCRA decreed a new land settlement category, the extractive settlement project (projeto de assentamento extrativista, or PAE).14 PAEs differed from INCRA’s conventiona l projects, the Directed Settlement Projects (PDAs), which permit inhabitants to deforest up to 50 % of the area conceded (now reduced to 20% in the Amazon).15 Under PAEs, the settled inhabitants were given usufruct rights to the natural resources which are regulated through a contract between INCRA and the social organization established by PAE inhabitants (Santos 2002). The first PAE, São Luis do Remanso, a former rubber estate located in Acre, was established in 1987 (MDA et al. 2001). During this same period, rubber tappers, through CNS, continued to push the federal government to recognize their rights to the forests by creating extractive reserves. After nearly a decade of violence and deaths, including those of syndicate leaders Wilson Pinheiro, Jesus André Matias, Raimundo Calado and finally, in 1988, Chico Mendes, in 1989 the national congress finally approved a law permitting the establishment of extractive reserves, or reservas extrativistas (RESEX),16 to be overseen by the Brazilian 14 PAEs were created under Law 627 (July 30, 1987) . In 1996, PAEs became re-categorized as agroextractive settlement projects ( projetos de assentamento agroextrativista ) under Law 268 (October 23 1996) (see Silva et al. 1999). 15 INCRA defines PAEs as “settlement projects that aim to promote ecological-agrarian reform, or in other words, regulating/legalizing the tenure situation of traditional extrativist populations, providing them with technical and infrastructural support that permits the sustainable development (of the PAE)” (INCRA 1998a). 16 Law 7.804 (July 8, 1989), Article 9.VI.

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90 Institute for the Environment and Natural Resources (IBAMA). The first extractive reserve, RESEX Chico Mendes, was created a year later in the municipality of Xapuri, Acre in homage to the rubber tapper leader who had been pivotal in the fight for the creation of extractive reserves, paying for it with his life (Allegretti 1990). Similar to PAEs, extractive reserves (RESEX) are federal lands designated for sustainable forest product extraction and conservation of natural renewable resources by the resident populations.17 RESEX and PAEs adhere to many of the same natural resource management regulations.18 In both cases, local populations are given secure usufruct rights to remain on the land and to continue to extract renewable forest products at ecologically sustainable levels. These usufruct rights cannot be legally transferred (sold) and can be canceled if environmental damage is detected. The Creation of PAE Porto Dias By the mid-1970s, Porto Dias was in the hands of dozens of itinerant merchants and middle-men, some of whom continue to live in Porto Dias to this date. The owner of the seringal at the time, Elza Perez, was largely an absentee landowner. In her place, two tenants, the brothers Loritino and José Xavi er, oversaw Porto Dias. While Loritino was responsible for hiring middle-men to collect rubber from the rubber tappers, his brother oversaw the trading post. Residents recall that once the middlemen came, rubber production virtually collapsed. This made life extremely difficult for Porto Dias’ residents. Allegedly the seringalistas had been decent, providing help in cases of health problems and paying in cash rather than in merchandise. With the arrival of middle-men, 17 Although legally different land-use models, PA Es and RESEX are both commonly referred to as extractive reserves. For a comprehensive discussion of the legal differences between PAEs and RESEX, see Allegretti (1994) and Silva et al. (1999). 18 They are currently being changed for RESEXs (see John 2003).

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91 however, rubber tappers quickly became indebted. At the same time, this situation opened the door to families that were not of rubber tapping origin, colonos (small-scale agricultural producers) who originally had come to the region during the extensive colonization resettlement projects of the 1970s and 1980s. In 1985, INCRA began a series of surveys in Porto Dias to determine the possibility of turning the seringal into a colonization settlement project (PDA). Howeve r, in 1989, residents of Porto Dias voted by a slim majority to have INCRA decree the area an extractive settlement project, or PAE (Michelloti 1993).19 The Creation of PAE Cachoeira CachoeiraÂ’s transition into a reserve was marked by violence and death, set off by the cattle rancher Darly Alves when he attempted, in 1988, to burn down a section of CachoeiraÂ’s forests. In an effort to stop him, CachoeiraÂ’s rubber tappers mobilized, with the help of Chico Mendes, and held an empate in April of that year blocking DarlyÂ’s men from entering the seringal. A second standoff soon followed when Darly attempted to deforest part of Ecuador, a neighboring seringal. When Darly came back with a license from the municipality authorizing him to go ahead with the burning, rubber tappers from Cachoeira and neighboring seringais in May 1988 occupied the offices of the entity responsible in Xapuri, claiming that the license had been given illegally. As a result of these confrontations, two rubber tappers we re seriously wounded by DarlyÂ’s son, Olaci Alves. In June 1988, the syndicate leader Ivair Higino was murdered, allegedly, by DarlyÂ’s gunmen (COOPEAGRO 2001). This was soon followed, in December 1988, by the assassination of Chico Mendes by Olaci. The following year, the government 19 As of 2001, INCRA had yet to pay Elza Perez and the matter remained in the courts.

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92 (INCRA) appropriated Cachoeira and turned it into an extractive settlement project. Officially registered as PAE Chico Mende s but more commonly referred to as PAE Cachoeira, the creation of the reserve was an attempt to decrease the mounting violence and death. PAE Porto Dias (2000-2003) PAE Porto Dias covers an area of 22,145 ha in the municipality of Acrelândia. It shares its borders with three rubber estates (Triunfo, Santo Antônio do Peixoto, and Porto Luiz), a cattle ranch (parts of the rubber estate Porto Luiz), two colonization settlement projects (PDAs) (São João do Balanceio and Nova California), and Bolivia, across the Abunã River. The closest cities are Plácido de Castro and Rio Branco, which can be accessed by the main highway (BR 364). In 2001, approximately 97% of Porto Dias remained forested (CTA 2001). The forests found in the reserve were ambrophilous forests of four types: (1) lowland open forest with bamboo mixed with dense forest with emergent trees (17.36%) (2) lowland open forest dominated by bamboo (17.65%) (3) dense forest with emergent trees (6.54%), and (4) dense forest with emergent trees mixed with open forest dominated by bamboo (55.48%) (CTA 2001). Maps of forest typologies created by CTA (n.d.) show that the majority of Porto Dias’ open forest dominated by bamboo run along the southeastern stretch of the reserve along the seasonally inundated Abuña River. Residents recalled mahogany being selectively cut by outside loggers and transported by water along the Abuña River. In addition, there are old remnants of dirt roads in the reserve that had been opened up by loggers. In 1998, there were a total of 88 families living in Porto Dias, dispersed in colocações each averaging 295 hectares (CTA 1999). In addition to permanent residents,

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93 workers who were either contracted or paid by the day lived in the reserve. In total, 298 people lived in the reserve, of which 35% were women and 65% were men (COOPEAGRO 1999). The majority of Porto Dias’ population was born in Acre, with a small group originating from other states, including Maranhão, Ceará, Rondônia, and Paraná (COOPEAGRO 1999). Most considered themselves to be rubber tappers and engaged in rubber tapping, Brazil nut collection, and the production of rice, beans, and manioc primarily for subsistence purposes. There were also small-scale agriculturalists (colonos), the majority of whom originally came to Acre during the extensive colonization resettlement projects of the 1970s and 1980s. Compared to the rubber tappers, the latter group had larger agricultural plots and lands under pasture. Porto Dias established its first formal community organization in 1987. The Association of Rubber Tappers of Porto Dias wa s formed in response to internal conflicts over the proposal to convert the area into a colonization settlement project. The number of rubber tappers affiliated with the association, however, was relatively low, approximately 20 to 25. In 1998, a group of colonos formed the São José Association but it fell apart in 2002. While some rubber tappers were affiliated with the Rural Workers’ Syndicate (STR), the majority had no formal affiliations with outside organizations or political parties. PAE Cachoeira (2000-2003) PAE Cachoeira shares its borders with four rubber estates (São José, Santa Fé, Porto Rico, and Nova Esperança), a PAE (Equador), a cattle ranch (part of the rubber estate Porto Rico), and Bolivia, across the Xipamano River. It covers an area of 24, 898 ha and is located in the municipality of Epitaciolândia. The entrance to the reserve is 16 km from the main highway (BR 317) and the closest city is Xapuri.

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94 CachoeraÂ’s forests, which cover approximately 90 percent of the reserve, are comprised primarily of ambrophilous forests of the following type: (1) open forest dominated by bamboo (26.6%) (2) bamboo forests mixed with forests with emergent trees (38%) (3) dense forest with emergent trees, mixed with open forest dominated by bamboo (9%) (4) open forests with emergent trees (14.5%) and (5) open flooded forests with palms (2%) (COOPEAGRO 2001: 22). There does not seem to have been any significant logging in Cachoeira. In 2000, there were 75 families residing in Cachoeira (COOPEAGRO 2001). Approximately 270 people lived in the reserve at the time, of which 72% were men and 28% women (COOPEAGRO 2001). While most families pursued a livelihood system based on forest extractivism, similar to Porto Dias, those residing nearest the main dirt road leading out of the reserve and closest to the headquarters of the local rubber tappers association had stopped tapping rubber and de pended greatly on Brazil nut production. By contrast, rubber tapping continued among families most isolated in the reserve. In contrast to Porto Dias, CachoeiraÂ’s r ubber tappers have one of the strongest and most politically active associations (AMPPAE-CM), in large part a legacy of their history of mobilization against Darly and other ranchers in the 1980s. In addition, the majority of residents are also affiliated with th e Rural WorkersÂ’ Syndicate (STR) and the Agroextractive Cooperative of Xapuri (CAEX). Why Timber? While the creation of extractive reserves (PAEs and RESEX) has provided rubber tappers with greater (but still limited and tenuous) control over their forests and other

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95 natural resources,20 a persistent problem has been the economic sustainability of these areas (Homma 1992). Traditionally, in Porto Dias and Cachoeira (and most other reserves and former rubber estates) the main sources of cash income have come from rubber tapping and Brazil nut collection. However, net returns from these extractive activities have tended to be very low as well as labor-intensive and inefficient (Arias 1996; Brown and Rosendo 2000). In addition, markets for these products have not been reliable and/or easily accessible (Brown and Rosendo 2000). Agriculture production, animal husbandry, fishing, hunting, and collec ting of fruits and medicinal plants have been complementary activities but primarily for subsistence purposes. As a result, commercial agricultural and livestock (cattle) production are becoming increasingly important (see Gomes 2001). In an effort to find solutions to this problem, various alternative forest products that have both market value and sustainable-harvest potential have been tested to complement the meager earnings from rubber and Brazil nuts. These have largely focused on the harvesting and marketing of non-timber forest products (NTFPs), including palm fruits and “vegetable leather,” as well as agroforestry crops (see Arias 1996; Assies 1997). In Acre, the election in 1999 (and re-election in 2002) of the “Forest Government” increased efforts on the part of the state government to improve and sustain livelihoods within extractive reserves. One initiative was the creation of a rubber 20 White and Martin (2002: 6) note that populations that live under models of land regimes with restricted and semi-permanent rights to access, us e, and exploit forest resources (a s in the case of reserves) have a weaker “claim to the benefits of eco system services and opportunities genera ted by their forests – as well as control over more traditional ones.” This contrasts to pr ivate owners of forested lands who have “rights to access, sell or otherwise alienate, manage, withdraw resources and exclude outsi ders” (White and Martin 2002: 6).

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96 subsidy, called the Chico Mendes Law.21 This law was passed in an effort to make rubber tapping an economically viable option, improve the standard of living in extractive reserves, and slow down migration into already congested cities (Kainer et al. in press). Despite positive results, including a 200 percent jump in rubber production in 2001 (Witoshynsky 2002), not all rubber tappers have found the increase in rubber prices worth the time and labor needed to produce rubber (see Gomes 2001; Salisbury 2002). In 2003, the Acre government was working on multiple initiatives to improve the production and marketability of 10 non timber forest products (see Kainer et al. 2003) but, to date, most non-timber forest products continue to fetch relatively low prices and/or lack substantial and reliable markets. This situation, coupled with the restrictions in reserves on the amount of forest that can be converted agricultural production and pasture, has turned timber harvested by means of reduced-impact technologies into an attractive complementary forest-based activity for many rubber tappers. This was especially true of Porto Dias and Cachoeira. When the timber management projects were first proposed to the rubber tappers of Porto Dias and Cachoeira, in 1995 and 1998, respectively, Acre’s “Forest Government” and its forest-based policies and programs (such as the rubber subsidy) did not exist at the time. In the absence of alternative options, timber was seen by many of Porto Dias’ and Cachoeira’s rubber tappers as a potential source of much needed income, as well as a means to combat the gradual expansion of agriculture in the reserves (discussed in Chapter 9). Extractive reserves’ two-pronged objective of forest conservation and improved socio-economic well-being, richness in natural resources and forest-based cultural 21 Since the Chico Mendes Law was passed, the price of one kilo of rubber has increased 154%, from R$.0.50 (US$0.21) to R$1.27 (US$0.52) (as of 2/6/02) (Kainer et al. in press: 9).

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97 traditions, and yet economic fragility, make them particularly appealing areas for experimentation with community-based, reduced-impact logging. However, the technical complexity entailed in harvesting timber and administrative capacity needed to initiate and sustain such projects also have meant that community organization is one of the essential pre-requisites for such projects to be successfully implemented. Both Porto Dias and Cachoeira were chosen as potential sites for community-based timber projects in large part due to their relatively well-organized rubber tappers’ associations.22 As will be discussed in the next chapter, the Rubber Tappers’ Association of Porto Dias and the Association of Residents and Producers of the Agroextractive Settlement Project Chico Mendes (AMPPAE-CM) in Cachoeira have had pivotal roles in the timber management projects. However, differences in the reserves’ histories of political mobilization, ties with external organizations, and livelihood traditi ons of its residents, briefly discussed in this chapter, impacted the two associations’ participation in the timber management projects in diverse ways. In the next chapter, I examine these differences in more detail. 22 Two examples demonstrate the importance that has been given to community organization for the implementation of timber management projects. The Center for Amazonian Workers (CTA) in Acre had planned initially to implement a timber project in th e PAE São Luis de Remanso but found it impossible to proceed without first investing near ly five years towards capacity-build ing, specifically towards community organization. Also, prior to Cachoeira, a community in the Chico Mendes RESEX was first approached about implementing a timber project. They happened to be one of the be st organized and politically active rubber tapping communities in Acre (Richard Wallace, pers. comm.). The project was never initiated because they rejected th e proposal (see Chapter 3).

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98 CHAPTER 5 RUBBER TAPPER ASSOCIATIONS AND TIMBER: THE POLITICAL ECOLOGY OF INSTITUTIONAL RELATIONS IN PORTO DIAS AND CACHOEIRA Introduction The community-based organizations in Porto Dias and Cachoeira, the Rubber TappersÂ’ Association of Porto Dias and AMPPAE-CM, respectively, have played a pivotal role in ensuring and legitimizing rubber tapper participation in the timber management projects. However, they differ greatly in the extent to which they have been able to define, contribute to, implement, and influence the projects. This chapter has two purposes: first, to describe how the associations in Porto Dias and Cachoeira have differed in their participation in decision-making processes and activities related to the timber projects and, secondly, to understand how these differences have been shaped by the broader institutional environment, particularly the experience of each association in interacting and negotiating with organizations at varying scales (local, regional, national, and international) and of varying types (community, regional-level grassroots, NGOs, and government). Having a better understanding of how the Rubber TappersÂ’ Association of Porto Dias and AMPPAE-CM have been involved in the timber projects, and why, is crucial to understanding the participation of individuals and groups in each of the reserves (to be discussed in Chapters 6-9). In both Porto Dias and Cachoeira, only members of the associations can officially participate in the timber projects (i.e. can harvest and sell timber). As such, the rubber tapper associations, and

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99 the larger web of inter-organizational relationships in which they operate, strongly shape individuals’, households’, and intra-reserve groups’ participation in the timber projects. The first part of this chapter offers a brief discussion of community-based associations in general in the context of Agroextractive Settlement Projects (PAEs). The second and central section of the chapter focuses on the Rubber Tappers’ Association of Porto Dias and the AMPPAE-CM association of Cachoeira. It traces the events that led to the implementation of the timber management projects in these reserves and looks at how different vested interest groups (rubber tapper associations, nongovernmental organizations, federaland state-level agencies, and businesses) at multiple scale levels (reserve, state, national, and international) have organized themselves in relation to the timber management projects in Porto Dias and Cachoeira. It examines the ways in which the Rubber Tappers’ Association of Porto Dias and AMPPAE-CM each have constructed and managed linkages to other organizations, accessed resources and services, and created spaces within the timber projects to pursue their own objectives. The purpose of this section is to reveal the nuances and dynamics of the interactions and negotiations between the rubber tapper associations and other organizations and to understand how these institutional relations have provided opportunities, as well as constraints, for the associations to access resources, services, and greater agency in timber project decisionmaking processes and activities. Finally, the chapter concludes with a discussion of AMPPAE-CM’s success, relative to that of the association in Porto Dias, in creating a “political opening” (Schmink 1992) for greater agency by rubber tappers in timber management initiatives.

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100 Community-Based Associations in PAEs According to INCRA (1998), an association in a settlement project (such as a PAE) is “a form of organization created by the residents of the settlement project to represent it before governmental and nongovernmental agencies, to discuss its process of development and to determine the paths that will be decided upon by the community in its search for citizenship.” Because reserves, such as PAEs, remain the property of the state (residents, as a community, are given usufruct rights to use the natural resources in a sustainable manner), a representative organization acting on behalf of the local inhabitants is needed to claim and legitimate usufruct rights to a given forested area (Brown and Rosendo 2000). This means that only representative organizations formed by local inhabitants are permitted to formally request to be declared a reserve (Brown and Rosendo 2000). Community-based associations in PAEs ar e endowed with juridically prescribed forms of internal political organization and external representation which sometimes operate mutually with other forms of traditional, informal community organization (e.g., kinship). It can provide inhabitants with a legally recognized space for self-governance and make available resources, services, and information.1 An association typically is comprised of a diretoria, or directorate, which includes a president, vice president, treasurer, secretary, deliberative council, and fiscal council, each of whom is elected by the community in a secret vote, and sócios, or members. The creation of a local association in a PAE has been proposed usually by rural grassroots organizations, such as the Rural Workers’ Union. Meetings are held with inhabitants of 1 For example, rubber and agricultural subsidies.

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101 the forested area to explain the purpose of and procedures for creating an association and its importance in creating a reserve (Brown and Rosendo 2000). The Rubber Tappers’ Association of Porto Dias In 1996, the residents of the PAE Porto Dias became the first rubber tapping population in Acre to experiment with the sustained production of commercial timber in federally owned forests. The idea, which fell under a larger proposal to implement a “multiple-use” (i.e. non-timber and timber products) forest management project, originated from a local NGO, the Center for Amazonian Workers (CTA), and was presented in 1995 to the Rubber Tappers’ Association of Porto Dias, the only community-based association in the reserve at the time. At first, the proposal to extract timber was met by the association and its members with great reluctance and mistrust. Dal, the president of the association at the time and a community leader, recalls: I was called by CTA because I was the president (of the association) and, with some people that were not part of the dir ectorate (of the association), we went to a meeting in Rio Branco. We were invited to a meeting in CTA’s auditorium—three of us and there were two other indigenous communities (Apurinã and Cachuriri). And there Chico Cavalcanti, an engineer at CTA, held a three-day meeting, presenting the project . . . He also talked about seeds because the project is multiple-use. When I arrived (back to Porto Dias), I held a meeting with the community and they went against me because I was defending logging and they thought I wanted to deforest. Porto Dias residents recollect Dal having to work hard to convince association members to attend Cavalcanti’s presentation in the reserve. It was a difficult proposal to sell. Logging, up until then illegal in extractive reserves and PAEs, was a serious problem in Porto Dias. Clandestine logging by indi viduals crossing into Porto Dias and agriculturally-oriented residents within the reserve was a common occurrence and represented a significant threat to rubber tappers’ livelihood systems. Initially, Dal was

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102 one of the individuals most fervently agai nst CTA’s proposal. He changed his mind, following three days of detailed presentations and discussions with CTA in Rio Branco, when he felt completely convinced of “the security of (the forest) being managed, not all deforested.” At that point he felt that the project could represent a means for the association to gain some control over illegal logging activities and also serve as a much needed additional source of income. For CTA, it was an opportunity to try doing something that nobody else in Acre had yet attempted. CTA hoped to demonstrate that, contrary to views held by critics in state government agencies and NGOs, sustai ned logging for commercial purposes could be carried out at a community level (versus an industrial scale), by traditional extractivist populations (versus private companies) (CTA 1999). At the time, small-scale reducedimpact logging by forest populations was being discussed in the Brazilian Amazon as a potential sustainable development strategy for the region, but remained highly polemic and only one experiment was underway in the state of Pará with small farmers.2 In CTA’s view, a pilot timber management project in Porto Dias could represent “one of the solutions for the conservation of Amazonian forests” (CTA 1999: 8), particularly in a region dominated by extensive ranching, and could serve as a future model for other PAEs. Timber management was a challenge for an organization historically involved in education and health programs. Originally named the Center for Documentation and Research of Amazonia (CEDOP), CTA was founded in Xapuri in 1981 by a group of intellectuals. The consolidation of the group coincided with the rubber tappers’ empates, 2 The first community-based tim ber project initiated in Marabá, Pará on private landholdings in agricultural colonization settlement areas (see Chapter 3).

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103 or collective standoffs, against ranchers and their hired hands attempting to clear forests. During the early 1980s, CTA focused on helping rubber tappers in their struggles by providing greater access to education and hea lth care and supporting social organization efforts. It promoted literacy, cultural preservation, forest conservation, and supported initiatives to mobilize rubber tappers through its assistance of the Xapuri rural workers’ union (Cunha 1998).3 With the establishment of the first extractive reserves in the late 1980s, CTA’s institutional mission shifted towards contributing “to the consolidation of Extractive Reserves and promote them as a central concept of development based on a culture of sustainable use of the forest” (C TA 1999: 8) and the organization turned its attention to agroextractive settlement projects (PAEs). With assistance from the InterAmerican Development Bank (IDB) which provided funding for PAEs under the Protection of the Environment and Indigenous Communities (PMACI4) Program, CTA’s activities concentrated on improving the socio-economic viability of reserves, primarily PAE São Luis de Remanso and PAE Porto Dias.5 CTA began working in Porto Dias in 1994, helping rubber tappers get access to lines of credits provided under the PMACI program for building individual houses and community trading posts and for purchasing 3 During this period, CTA become best know for its role in the Projeto Seringueiro (The Rubber Tappers’ Project), a pioneering literacy project based on Paulo Freire’s education principles and conceived by the rubber tapper leader Chico Mendes with the help of Brazilian anthropologist Mary Allegretti (Keck 1995). Working in partnership with the National Council of Rubber Tappers (CNS) and the Xapuri rural workers’ syndicate (STR), under this project CTA helped launch two extensive education and health-care programs and train community health and education agents to work in the forest. 4 Proteção do Meio Ambiente e Comunidades Indigenas. 5 IDB has had a very important role in the socio-economic development of PAEs in Acre (see Silva et al. 1999; Santos 2002). IDB first heard about extractiv e reserves from Chico Mendes who brought the rubber tappers’ struggle in the Amazon to the attention of international funders, including IDB. In the early 1990s, after Chico Mendes’ death, IDB signed off on a large funding package to assist in the consolidation of PAEs in Acre.

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104 rice threshers and cargo animals for community associations. It also helped build schools and health posts, and solicit state government assistance in building a dirt road. The multiple-use forest management project, proposed a year after CTA started working in Porto Dias, was aimed specifically to modernize and increase the productive capacity of the reserve (CTA 1999). Under the IDB PMACI Program, CTA was handed the responsibility for designing and implementing multiple-use forest management plans for the state’s PAEs.6 Although CTA continued its work on education and health, its new interest in forest management, particularly on timber extraction, was the result in part of a shift in the composition of the organization’s staff (Santos 2002). Up until then, CTA’s staff had been comprised primarily of educators, health agents, historians, and agricultural extension agents. After the organization was placed under the administration of a forester, CTA started to seek funding fo r sustainable forest management initiatives and began to channel more financial and human resources into forest management activities, particularly into timber extraction activities (Santos 2002). CTA approached the Rubber Tappers’ Association of Porto Dias because it was the only formal organization that existed in Porto Dias at the time and because one of the funding agencies’ requisites was that the project be implemented through a community organization. The Rubber Tappers’ Associati on of Porto Dias already existed before Porto Dias was declared a PAE in 1989. The association originated from four veteran rubber tappers’ attempt to break away from traditional debt-peonage relationships with local middle-men. In 1986, Sr. Ireneo José de Nascimento along with his son Dal, his 6 Originally, the State of Acre Technology Foundati on (FUNTAC) was responsible for elaborating forest management plans for PAEs São Luis de Remanso and Santa Quitéria (CTA 1998). Later on, CTA took over the responsibility.

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105 son-in-law Cezário, and Cezário’s brother-in-law Sebastião, formed the first group of rubber tappers in Porto Dias to collectively attempt to by-pass the middle-men in the region. All were veteran rubber tappers, whose families had resided in seringal Porto Dias for some time. Together, they collected 700 kilos of rubber and traveled by foot and animal to Rio Branco where they sold their rubber and bought merchandise. They saw, first hand, that the middle-men in Porto Dias had been paying too low a price for rubber and asking too much for merchandise and, upon returning to Porto Dias, decided to continue to sell on their own. Although not personally familiar with the struggles of the rubber tappers nor having been involved in the empates in the municipality of Xapuri, they had heard about the successes of the Xapuri workers’ syndicate and cooperative, and believed that if they worked as a group, they also could improve their situation. They approached Jecio, a member of National Council of Rubber Tappers (CNS) and vicepresident of the rural workers’ union in the nearby municipality of Plácido de Castro, to discuss forming their own association or union. Dal recalls that Jecio suggested that they form an association, explaining that they were “too young” to administer a cooperative. Out of this meeting, the Rubber Tappers’ Association of Porto Dias was founded in 1987. In its first year, the Rubber Tappers’ Association had 21 members. The directorate of the association was comprised of five men, four of whom would later participate in the timber management project. In their first year, they managed to get the Catholic Church in Plácido de Castro to donate a motor and, soon after, a boat. However, within a year of its founding, the association was virtually at a standstill. With little incentive from the president of the association at the time, only two meetings were held that year. It only began to function once Dal’s father took over as president and, soon after that, Dal

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106 himself. And it was not until Dal took over that the association became a little more proactive in searching for outside assistance, but most of the work was carried out singlehandedly by Dal. He returned to see Jecio to ask if the Catholic Church would be willing to lend money to the association to buy animals to help transport Brazil nuts. They managed to get a loan of R$3000 to buy two mules and a bull. The creation of the association occurred at a time of great uncertainty about seringal Porto Dias’ future and the association was founded, in part, in reaction to this uncertainty. Rumors had been circulating that the seringal would be turned into a colonization project, and there was an active group of residents seeking a means to accomplish that. It is not clear whether INCRA had been invited by a group of agriculturally-oriented residents in Porto Dias to settle the issue or whether INCRA had decided to get involved in Porto Dias as part of a larger state-level effort to implement colonization projects. In 1985, INCRA initiated the first surveys in Porto Dias to study the possibility of expropriating Porto Dias and turning it into a settlement project. On December 23, 1987, the same year the Rubber Tappers’ Association was founded, INCRA decided to expropriate seringal Porto Dias from the owner at the time, Elza Perez. At the time, the concept of an Agroextractive Settlement Project (PAE) had yet to be passed into law and the initial plan under consideration was to turn Porto Dias into a Directed Settlement Project (PDA), co mmonly known as a colonization project. Over a period of two years, from 1987 to 1989, the land-use status of Porto Dias remained under heated debate. Involved in the discussions were INCRA, the Rural Workers’ Syndicate (STR) of Rio Branco and Plácido de Castro, the Rubber Tappers’ Association, and

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107 residents of Porto Dias, both rubber tappers as well as agriculturally-oriented families. Part of seringal Porto Dias, a region that had already been significantly deforested, was immediately decreed by INCRA a colonization area. As for the rest of Porto Dias, INCRA officials were reported to favor the id ea of a colonization project while the STR, particularly Jecio, was said to have persuaded people in Porto Dias to form a PAE. The proposal to have Porto Dias transformed into a PAE appears to have been initially proposed by the National Council of Rubber Tappers (CNS) jointly with the Rural Workers’ Syndicate (STR) of the nearby muni cipality of Plácido de Castro. However, the Rubber Tappers’ Association was vital to Porto Dias’ consolidation as a PAE. By law, the petition to declare an area a reserve or PAE must be submitted to the agency responsible (INCRA for PAEs and IBAMA for RESEX) by a local community-based association. Members of the Rubber Tappers’ Association had heard about the creation, in 1988, of the Cachoeira PAE in Xapuri and pushed INCRA to declare Porto Dias a similar land use model. However, the Rubber Tappers’ association was not a united front on the issue; two of its members supported the idea of a colonization project. Moreover, at the first of three meetings held with INCRA officials in Porto Dias, few of Porto Dias’ residents showed up. The third meeting, held in 1989, called for a vote. At first, votes indicated that residents had chosen a col onization project. However, it was discovered that individuals living outside the area, and thus who were not entitled to vote, had cast votes in favor of a colonization project. Vo tes were recounted and by a slim margin on October 20, 1989 Porto Dias was declared a PAE. According to Dal, despite the opposition by individuals who wanted a colonization project, the implementation of the PAE was carried out with few problems. Three

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108 additional meetings between INCRA and the Rubber TappersÂ’ Association were held to define the Natural Resource Utilization Plan7 for the reserve. Dal recalls, however, that few members of the Rubber TappersÂ’ Association actively participated in the discussions regarding the Utilization Plan and how frustrated he felt by the lack of organization and mobilization of the association. Nonethele ss, the Plan was finally defined and approved in 1995, when the timber management project was already in the process of being discussed between CTA and the Rubber TappersÂ’ Association. INCRA was only indirectly involved in the timber project. It established the legal venue by permitting a clause within the Utilization Plan that would allow for timber management in the reserve. However, once the Rubber TappersÂ’ Association accepted CTAÂ’s proposal to sustainably manage timber and INCRA approved it, the responsibilities of overseeing and implementing the project were left to CTA and the association. CTA has provided the bulk of financial, technical, administrative, and operational support for the timber project. Most notably, CTA has brought in an impressive amount of financial resources from a variety of national and international funding agencies including the World Bank, the Program for the Conservation of the Brazilian Rain Forest (PPG-7), the International Tropical Timber Organization (ITTO),8 the Common Fund for Commodities (CFC), the Rainforest Action Network (RAN), Comunidade Solidaria, The 7 The Natural Resource Utilization Plan outlines the natural resource management and tenure rules and regulations that residents of a PAE must abide by. Although a template exists for all PAEs, the specific details are supposed to be discussed and define d jointly by INCRA and the local association. 8 A budget of $462,090 was approved by ITTO in 1997 to be used in the timber project to pay for personnel (field personnel, ma rketing consultants); equipment (truck , tractor, sawmill); training courses on logging, timber preservation and drying, and proce ssing; and an advertising agency to design and implement a strategy and promotional campaign to commercialize the value-added products (ITTO 2001).

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109 National Fund for the Environment (MMA), NOVIB, CONANDA, and IDB.9 Among the assets that CTA has helped finance are the associationÂ’s headquarters, schools, health posts, a church, a small shop where residents can buy basic necessities such as oil and soap, and a boat. With respect to the timber project, CTA has invested in a headquarters office, a tractor, a truck, a sawmill, and chainsaws. CTA also has directly provided administrativ e and technical services. It acts as an intermediary between the community and IBAMA10 and has been assisting community participants in the timber project to fill out the appropriate paperwork and accompany IBAMA officials on field inventories, among other activities. CTA also advertises, publishes, and disseminates information about the project as a means to seek additional sources of funding and technical support. In both the reserve and the city of Rio Branco, CTA has offered courses and training workshops for community participants on timber harvesting and processing activities. It has also helped with the logistics of transporting the wood out of the reserve by locating additional trucks and truck drivers. CTA has also had a pivotal role in assisting community participants find markets for their wood and carry out business negotiations, including spearheading an initiative to form a state-level Group of Forest Producers to assist in the marketing of wood products from communitybased managed forests. In addition, CTA wa s successful in getting the Porto Dias project FSC certified in December 2002, with the help of funding from WWF-Brazil. 9 A number of these sources of funding are also being applied to complementary projects on infrastructure, health, education, and community organization, all of which are tied to the timber project. 10 Permission to cut trees in PAEs for commercial purposes can only be obtained with a management plan approved by IBAMA. IBAM A is responsible for auditing the forest ed areas under management to ensure that timber harvesting is carried out in compliance with the management plan and for providing a license (called an ATPF) to transport the wood to buyer located outside the reserve.

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110 Aside from directly providing financial, administrative, and technical support, CTA also has been essential in attracting other state and federal organizations to the reserve. After much persistence, it succeeded in getti ng the state agency, DEACRE, to rebuild the main road, essential for the transportation of the wood out of the reserve. FUNTAC, another local state agency, has been working with members of the Rubber Tappers’ association to complement timber harvesting with the collection of seeds from timber tree species. Training workshops in Porto Dias on how to use chainsaws and cut down trees were provided by FUNTAC and TFF/FFT, a priv ate organization in Pará with expertise on reduced impact logging technologies. Indirectly, CTA has also had a role in defining policies regarding certification and small-producer forest management. In December 1998, CTA participated in a meeting organized by IBAMA in Brasília to discuss the Revisions to Forest Management Norms and the creation of forest management plans for small producers (PFSimples). CTA’s role in the timber project has not been limited to formal interactions and activities. A long history of working in the reserve has led to the creation of informal ties between the organization and individuals in Porto Dias. On occasions, CTA has lent small amounts of money to individuals, paid for medical bills, and helped transport produce and family members to the city of Rio Branco.11 By contrast, the Rubber Tappers’ Association in the timber project has been largely limited to carrying out timber harvesting activities and administrative tasks. The 11 After almost a decade of working in Porto Dias, CT A has helped improve considerably the standard of living in the reserve. One of CTA’s agricultural extensionists r ecalls the primitive conditions he encountered in Porto Dias when he first started working there in the early 1990s. The only road into the reserve, one that had been opened by hand by loggers , was overgrown with vegetation and the majority of residents lived in extreme pove rty in traditional rubber tappe r houses covered by straw ( paixubal ).

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111 residents of Porto Dias recognized by CTA and the Rubber Tappers’ Association as participants in the timber project (i.e. individuals who harvest and sell timber from their colocações) are all members of the association, as stated in the rules and regulations of the project defined by CTA and the association. These individuals are involved in most of the activities carried out by the association as well as in harvesting activities in their forest plots. With the assistance of CTA, the association oversees part of the budget and takes care of the paperwork that must be submitted to IBAMA prior to each annual harvesting cycle. Decisions regarding the project are jointly made by CTA and the association at monthly meetings in the reserve. In general, however, the association has had a minimal proactive role in seeking out additional sources of funding and technical assistance. The plan is for the association to eventually assume full responsibility for supplying and administering all resources, services and facilities associated with the timber project as well as take over control and accountability of the project from CTA. In the past two years, greater emphasis has been placed by CTA on capacity-building. In 2002, training began of community members to oversee sawmill operations. The hope is that the community will administrate and pa rticipate in wood processing activities and the production of value-added small wooden handicr afts. While the CTA project coordinator in 2001 had placed capacity building as a priority, devolving authority and accountability of the timber project to the association has been a slow and difficult process. In part, the problem has been the Rubber Tappers’ Association’s weak organizational structure which has been maintained, if not exacerbated, by its lack of capacity to enforce the Natural Resource Utilization Plan in the reserve. This has been the result of many years of indifference on the part of INCRA to help enforce the

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112 Utilization Plan, coupled with the lack of a strong presence of pro-rubber tapper grassroots organizations in the reserve, such as the STR and CNS, and the location of Porto Dias in a politically conservative (pro-agriculture and ranching) municipality. The problem has been accentuated by the absence of a history of rubber tapper mobilization in Porto Dias, the presence of a high number of agriculturally-oriented families living in the reserve, frequent invasions into the reserve by land-squatters, and internal divisions within the association (discussed in greater detail in Chapter 9). All of these factors have resulted in a community association with a relatively weak political voice and organizational capacity to assume responsibility for a technically and financially complex project such as the timber management project. Another factor that has made it harder for CTA to devolve timber management activities and responsibilities to the association has been internal divisions, sometimes conflicting, within CTA on how to implement the project. Whether it has been because of the association’s weak organizational structure or because of CTA’s internal differences, as of 2002 CTA continued to carry out the majority of activities and responsibilities related to the timber project. The implementation, starting in 2000, of an adaptive co-management (ACM) program in Porto Dias by PESACRE,12 an Acre-based NGO, in partnership with the University of Florida, CIFOR,13 and CTA and the association has helped the association take on a stronger role in defining, contri buting to, implementing, and modifying the timber project. This has been accomplished primarily as a result of PESACRE’s 12 The Research and Extension Group on Agroforestry Systems of Acre (Grupo de Pesquisa e Extensão em Sistemas Agroflorestais do Acre) 13 Center for International Forestry Research, based in Bogor, Indonesia.

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113 mediation and facilitation of communication between the association and CTA, and between members in CTA. The AMPPAE-CM Association of Cachoeira The multiple-use forest management implemented in PAE Porto Dias served, initially, as a model for PAE Cachoeira. CTA, under the Inter-American Development Bank (IDB) PMACI Program, was responsible for designing a multiple-use forest management project in PAE Cachoeira (CTA 1998). However, unlike in the case of Porto Dias, the idea to manage the forest for commercial timber in Cachoeira emerged from an earlier initiative in the nearby city of Xapuri to set up a small-scale industry for the production of high-end furniture and other wooden handicrafts. Behind this initiative were an Italian Roman Catholic priest in Xapuri (Padre Luiz Ceppi), the mayor of Xapuri (Julio Barbosa), and a Workers’ Party (PT) state deputy (Ronaldo Polanco). In 1996, Padre Luiz visited his hometown of Como, a small city in northern Italy renowned for its long history of wood craftsmanship and small, family-based furniture industries. He returned to Xapuri with a proposal to mayor Julio Barbosa and deputy Polanco to set up a small training school whereby residents of Xapuri could be trained in the art of woodworking. Julio Barbosa and Deputy Polanco, interested in the idea, invited the government of the state of Acre to participat e in the initiative which helped fund a visit to Acre by a group of retired woodworkers from Como to help think through the logistics of setting up the school. Finally, in 1997, the Pole (Center) for Forest Industries of Xapuri (Piflox),14 commonly referred to simply as the Pólo Moveleiro, was set up in the city of Xapuri. This was made possible by a partnership between three levels of government: 14 Pólo de Indústrias Florestais de Xapuri.

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114 the municipality of Xapuri provided the location (land), the federal government (via the Bureau of the Duty-Free Zone of Mana us—SUFRAMA) funded the infrastructure (buildings, etc.), and the state government of Acre agreed to pave the road to Xapuri (Camelo 2002). Italy, through the Catholic Church in Como, donated equipment and sent professional woodworkers to help train locals. Apart from giving individuals in Xapuri an opportunity to learn a new skill and a potential source of income, the objective of the Pólo was to also contribute to the conservation and development of nearby reserves by implementing a timber management project that would also serve to supply the Pólo with wood. The idea was first introduced to the Chico Mendes extractive reserve (RESEX) but was quickly rejected by its rubber tapping residents who strongly opposed any fo rm of logging. Finally, in 1999, deputy Polanco and mayor Julio Barbosa decided to approach Cachoeira. They, along with Padre Luiz, shared a long history of political as well as personal ties with families living in the reserve. Padre Luiz, a resident of Xapuri for over two decades had been involved, as a supporter of the liberation theology movement, in the rubber tappers’ struggles in the 1970s and 1980s. Over the past couple of decades, he traveled inside Cachoeira on a yearly basis, performing baptisms and marriages. A strong political base for the PT that also dates back to the empates, Julio Barbosa and Polanco (both of the PT party) have also paid frequent visits to Cachoeira. In addition, Julio Barbosa and Polanco were instrumental in the creation of Cachoeira’s first community-based association, the Association of Residents and Producers of the Agroextractive Settlement Project Chico Mendes (AMPPAE-CM).

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115 Founded on August 4, 1995, AMPPAE-CM was created following a meeting in June of that year involving Julio Barbosa (then president of the Agroextractive Cooperative of Xapuri, CAEX) and Polanco. According to one of the original members of AMPPAE-CM, the idea of creating an association originated from Polanco who argued that it was a “necessity for the poor.” INCRA had expropriated seringal Cachoeira and decreed the area a PAE in 1989 in response to the empates. Contrary to the situation in Porto Dias, the decision to transform Cachoeira into a reserve was not met by any significant internal opposition. The majority of Cachoeira’s residents had jointly fought during the empates to preserve the rubber tapper livelihood system and welcomed the decision to transform the seringal into a reserve. However, in spite of the area’s status as a PAE and, with it, greater tenure s ecurity, Cachoeira remained in much need of assistance from outside organizations, includi ng INCRA. One of the main objectives of creating AMPPAE-CM was to help attract much needed services and resources from external agencies, in addition to strengthening community organization. Compared to the Rubber Tappers’ Association of Porto Dias, AMPPAE-CM emerged to be a relatively well-organized and politically vocal community-based organization. As briefly discussed in the pr evious chapter, in contrast to Porto Dias, Cachoeira had a long history of social mobilization, with the majority of its residents having participated in the rubber tapper movement. The empates provided initial leadership experience for many of the residents of Cachoeira, in particular members of the Chico Mendes’ family. In addition, many of Cachoeira’s close political ties to Xapuri were forged during the empates when rubber tappers such as Julio Barbosa fought side by side rubber tappers from Cachoeira and neighboring seringais. Thus, in the years since it

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116 was founded, AMPPAE-CM has provided rubber tappers in Cachoeira with an impressive political voice as well as access to resources and services. As expressed by members of the association, they decided to join AMPPAE-CM because “they (members of AMPPAE-CM) bring projects” and because “they are well known, tied to the municipalities, well established…(and) they accomplished a lot, for example, the rubber subsidy.” Among some of the projects that AMPPAE-CM succeeded in attracting to Cachoeira are an ecotourism project and a wildlife breeding project called Mãe da Mata (Mother of the Forest). Julio Barbosa and Polanco approached Cachoeira, specifically AMPPAE-CM, in part because of its history of strong organi zation and success with projects. However, it was not easy to convince them to consider implementing a timber management project. Nilson Mendes, then the president of AMPPAE-CM, took his time before inviting Julio Barbosa to present the idea to the community. This was preceded by a meeting at the Rural Workers’ Syndicate (STR) office in Xapuri with CTA and Virgilio Viana, a forester by training and a professor at the Univ ersity of São Paulo at Piracicaba. It took three additional meetings in Cachoeira, where CTA presented its work in Porto Dias, for a majority (18) to vote in favor of carrying out an ecological inventory of forest plots. However, they made it clear that they would not promise anything beyond that. They agreed only that once the inventories were completed, CTA would be allowed to hold another meeting with AMPPAE-CM to discuss the possibility of implementing a timber management project. The municipal governme nt of Xapuri signed a contract with CTA to complete forest inventories in Cachoeira, and 10 families in Cachoeira volunteered to have plots on their colocações inventoried. This entire initial process was accompanied

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117 by Polanco, Julio Barbosa, CTA, and Virgilio Viana. The municipality of Xapuri, with the help of AMPPAE-CM, helped bank the costs of the meetings, and CTA covered the costs associated with carrying out the inventories. CTA left in 2000 before any logging operations were started. Cachoeira residents gave conflicting opinions as to why CTA left. According to one of the participants currently involved in the timber project, CTA had accomplished what it had come to Cachoeira to do (to carry out inventories). According to another project participant, they had not liked CTA’s timber management proposal, particularly the lack of attention paid to the question of seedling regeneration, and were not convinced that it was ecologically sustainable. And another resident, one not involved in timber project, seemed to think that the project proposed by CTA was usurped by Virgilio Viana. With CTA gone, in 2000 SEFE (the Secretariat of Extractivism and Forests of the State of Acre) took over the technical responsibility of defining and implementing the timber project. SEFE provided financial support as well as technical assistance. Two foresters from SEFE, one of whom lived in Cachoeira and the other in Rio Branco, helped coordinate and implement the project alongside Nilson Mendes, the community coordinator, and Virgilio Viana. SEFE paid the salaries of the foresters as well as the daily wages of community foresters helping in the project. With the help of WWFBrazil, SEFE also bought protective equipment (hardhats, gloves, boots, etc.). In addition, SEFE offered several training workshops and field courses, often jointly with other organizations or individuals. Thes e included workshops on forest “gardening” (taught by Virgilio Viana), land-use (taught by SEFE and consisting of an analysis of land-use practices in colocações), accounting (offered by an accountant hired by SEFE

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118 for 3 months), and chainsaw operation and maintenance (taught by EMBRAPA and FUNTAC). However, in 2002, SEFE pulled out of the timber project. The stories surrounding SEFE’s withdrawal are contradictory. On e Cachoeira resident had heard that it was SEFE that decided to leave after allegedly discovering that the president at the time of AMPPAE-CM was embezzling money from the timber project. According to others, SEFE was asked by AMPPAE-CM to leave because it had refused to replace its foresters. Apparently, AMPPAE-CM blamed the foresters for delaying the release of the IBAMA license authorizing the transportation of the w ood out of the reserve. In the end, one of the forester’s angry interference in discussions between AMPPAE-CM and buyers in Xapuri over the issue is, according to some, the real reason AMPPAE-CM wanted SEFE to dismiss its foresters. “It was a fight about values,” said one Cachoeira resident. Yet others felt that SEFE decided to withdr aw from the project because AMPPAE-CM showed a general lack of respect for SEFE. Since SEFE’s withdrawal from Cachoeira, AMPPAE-CM has contracted foresters with financial assistance from SEATER, another state agency. Throughout the project, Virgilio Viana’s has acted as the “scientific coordinator” of the timber project. Viana’s history in Xapuri dates back to 1986 when he helped CAEX establish links to national and international markets. In 1991, Polanco invited him back to Acre to help implement a Brazil nut harvesting and processing project in Cachoeira (1991-95). One Cachoeira resident admitted that they never would have accepted his participation in the timber project had it not been for his work with CAEX and the Brazil nut project, and his personal connections to Polanco and Julio Barbosa. According to

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119 another resident of Cachoeira, Viana’s role in the timber project is “to find a way to do sustainable management and to survive from timber.” Jointly with the SEFE foresters, he helped design the timber management plan for Cachoeira and taught field courses and workshops on timber harvesting and processing activities for community participants in the project. In addition, AMPPAE-CM, SEFE and Viana co-defined and published the rules and regulations defining Cachoeira residents’ participation in the timber project. Most Cachoeira residents involved in the pr oject view him as having “a lot of knowledge but not power” while others feel that he sometimes “gets in the way.” AMPPAE-CM is largely responsible for the administrative, marketing and decision-making activities related to the timber project, even more so since the departure of SEFE. It is accountable for all activities carried out under the timber project, from making sure that timber is harvested according to the management plan to getting the authorization from IBAMA to transport th e wood to Xapuri. AMPPAE-CM has also helped cover the costs of transportation (gas for the truck) and pay community foresters’ wages. In addition, the association oversees and helps mediate the business transactions between the Cachoeira residents harvesting timber and buyers. The transportation of wood out of the reserv e is carried out with the help of the municipal government of Xapuri which supplies Cachoeira with a truck (individuals whose wood is being transported are usually responsible for covering the costs of diesel and oil). The Xapuri government has also been instrumental in securing buyers for Cachoeira’s wood. The initial plan was for the Pólo to buy the wood harvested in the reserve, alongside private companies specialized in the production of high-end furniture and wooden handicrafts. However, up until 2002, the Pólo had only enough financial

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120 and human resources to buy the large branches and roots of trees cut in Cachoeira.15 In an effort to ensure a buyer for the rest of the wood (especially the highly valued trunks) logged in Cachoeira, the municipal government of Xapuri made available fiscal incentives, including low rents for land and infrastructure, to attract other companies to Xapuri. With Virgilio Viana as one of the five owners, in 2000 AVER Amazônia built an office and production center in Xapuri. AVER, whose owners include Etel Carmona, a producer of high-end furniture with stores in Rio de Janeiro, Bahia, and New York, has become a highly prestigious and sought after company, much to the benefit of Cachoeira. FSC certified, AVER was contracted by the Acre state government to build the furniture for the government’s newly-remodeled Rio Branco palace, inaugurated in 2002. According to Nilson Mendes, the partnership with AVER has been a fair one: “Together we discovered 20 species to market. We depend on her (Etel) for money and she depends on us for raw materials.” Others feel that AVER has become a monopoly and is actively preventing other companies fr om buying wood from Cachoeira. However, in December 2002, with the assistance of SEFE and the Pólo, companies from Rio Branco, São Paulo and Rio de Janeiro began negotiating with AMPPAE-CM for contracts to buy wood. The existence of AVER and the Pólo in Xapuri have ensured that AMPPAE-CM had buyers for wood harvested from the reserve, something which the Rubber Tappers’ Association of Porto Dias had the greatest diffi culty securing. It also helped Cachoeira get FSC certification in February of 2002. However, later, the relationship between AVER and AMPPAE-CM became strained, largely due to Viana’s double role as 15 In addition, as of 2002, the woodworking equipment donated by Italy remained tied up in customs in the city of Manaus.

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121 scientific coordinator and partial owner of AVER. Some of Cachoeira’s residents felt that he changed after he became a partner of AVER, and that it resulted in a serious conflict of interest. One participant in the timber project stated that Viana had become too controlling. Cited as an example was Viana’s reputed anger at one of Cachoeira’s rubber tappers for having voiced, at conferences and on trips in the Amazon, that small producers of sustainably managed timber continue to be “screwed” by national and international markets. “I talked a lot and for this (reason) he got pissed at me,” said the rubber tapper. Exasperated, he added that “nobody is daddy” and that “we are small but we are producers of primary material.” Others have reported that Viana has attempted to pit members of the directorate of AMPPAE-CM and the community coordinator against each other. Discussion and Summary Despite being founded almost 10 years earlier than AMPPAE-CM and having a reputation as one of Acre’s most organized communities, the Rubber Tappers’ Association of Porto Dias has had, relative to AMPPAE-CM, a small role in the timber project decision-making processes and activities. I asked Dal, one of Porto Dias’ community leaders, if he could explain why. He had this to say: Some complain that it (the situation in Porto Dias) is bad but I know that it isn’t. Here, what a guy wants to buy, he buys. Everything here, there is a way (to get it). It is bad for some who don’t want to work, principally who think only about Brazil nuts or rubber or timber. We (his family) work with Brazil nuts, crafts, copaíba, honey because I see what the forest has and it (each product) is a little more money that enters. Here we have assistance. CTA invested a lot. There is FUNTAC. What is lacking is community organization . . . This is because of illiteracy and a lack of knowledge. Cachoeira has political power and is organized. They also get assistance from the government because Xapuri is the heart of Brazil. AMPPAE-CM’s advantage lies, on the one hand, in Cachoeira’s distinct history of social mobilization and its relatively culturally homogeneous population and, on the other

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122 hand, the reserveÂ’s location in a region under little pressure from colonization projects and its support from municipal and state governments that have been longstanding allies of rubber tappers. A History of Collective Mobilization and Action CachoeiraÂ’s and Porto DiasÂ’ experience of collective mobilization and action greatly differ. Although rubber tappers in both reserves experienced similar threats in the 1970s and 80s by ranchers, loggers, and/or colonos, only residents of Cachoeira participated in empates against their aggressors. The success of the empates in preventing ranchers from deforesting the seringais in the region proved to CachoeiraÂ’s rubber tappers that collective mobilization and action, coupled with strategic alliances with outside organizations, were effective means to defend their rights. Besides highlighting the importance of community organization and action, the empates provided families, particularly the extended Mendes family, with leadership experience and exposed them to the complexities of interacting and negotiating with and coordinating actions with other organizations and institutions. A strong web of informal and personal ties was built during this period between rubber tappers of Cachoeira and other rubber tappers such as Julio Barbosa and Chico Mendes, as well as organizations and institutions, including the Rural WorkersÂ’ Syndicate and the Catholic Church. Thus, when AMPPAE-CM was founded in the 1990s, it had almost 20 years of collective action and alliances, both formal and informal, to build on. By contrast, the experience of collective action in Porto Dias was very different. While not entirely absent, as demonstrated by DalÂ’s familyÂ’s joint effort to by-pass middle-men, collective mobilization by rubber tappers in Porto Dias never reached the level of organization or involved the number of individuals that it did in Cachoeira.

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123 Despite being located in the moving path of Acre’s ranching and colonization project frontier, Porto Dias never organized empates, or similar stand-offs, to stop the illegal loggers and agriculturally-oriented families (colonos) who were (and, in the case of the latter, continue) invading Porto Dias. The cr eation of the Rubber Tappers' Association of Porto Dias represented, in itself, an effort to organize the rubber tapping population in the seringal in order to strengthen their capacity to defend Porto Dias against these aggressors. Thus, when the Rubber Tappers' Association of Porto Dias was founded in the late 1980s, it constituted a small, newly organized group of rubber tappers, many of whom had never substantially interacted with, or even met, each other before. A Shared Cultural Identity and Experience Residents of Cachoeira were able to organize themselves into a unified front, in part, because of their shared cultural identity, experiences and values as rubber tappers. While some differences certainly must have existed, the rubber tappers of Cachoeira as a group did (and continue to) share an interest in preserving forest, on which they all depended for subsistence purposes and market production. This strong sense of common identity as rubber tappers facilitated Cachoeira’s efforts to “empatar.” It also has strengthened AMPPAE-CM’s political and administrative control over the entire area of Cachoeira. The majority of the reserve’s residents joined AMPPAE-CM when it was founded, partially out of this shared sense of group identity as well as their history of social mobilization. By contrast, in Porto Dias, rubber tappers constituted an increasingly shrinking percentage of the reserve’s residents. Since the 1970s, colonos have been settling in the region, some by legal means (buying the usufruct rights to a colocação) and others by illegal means (clandestinely land squatting). From completely different ethnic and

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124 cultural backgrounds and with disparate land-use practices and values, rubber tappers and agriculturally-oriented colonos in Porto Dias barely interact with one another, much less agree on anything to do with the land-use stat us (PAE versus colonization project) and natural resource use regulations (extractivism versus agriculture) of Porto Dias. The Rubber Tappers' Association of Porto Dias, rest ricted to rubber tappers, is thus comprised of only a small percentage of the residents in Porto Dias, all of whom are geographically concentrated in the middle of the reserve. This has limited the Rubber Tappers' Association’s political control and enforcement capacity to a small and isolated region of the reserve. Surrounded by Seringais Cachoeira has not faced pressures from colonos. Bordered by only one ranch and five seringais, one of which recently was decreed a PAE, the majority of families living near the borders with Cachoeira are also rubber tappers, many of whom have kinship and other informal ties with families residing in Cachoeira. As such, there does not exist, as in the case of Porto Dias, a group outside the reserve actively challenging Cachoeira’s status as a PAE and AMPPAE-CM’s role as the official representative of the reserve’s residents. By contrast, Porto Dias is located in Acre’s ranching and colonization project frontier and next to the state of Rondônia, home to extensive colonization projects. Bordered, on one side, by the Nova Californi a colonization project, one of the most extensive projects of its kind in the region, and by an abandoned seringal, another colonization project, and a cattle ranch on other sides, the rubber tappers in Porto Dias are increasingly being pressured by colonos living in these areas. Fearing that the colonos will eventually pressure INCRA to turn the PAE into a colonization project, the

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125 Rubber Tappers' Association of Porto Dias has spent much of its time and energy fighting a losing battle to keep the colonos from settling in the reserve. Supportive Municipal and State Government The Xapuri municipality’s decision to approach Cachoeira to implement the timber management project was rooted, in part, in the mayor’s and other key political figures’ longstanding ties with Cachoeira. Propitiously, the implementation of the timber management project coincided with the newl y elected Acre “Forest government’s” effort to promote sustainable forest management. Invited by a political ally (both Xapuri and the state government belong to the Workers’ Party) and attracted by Cachoeira’s national and international recognition (earned after the assassination of Chico Mendes),16 the state government adopted the project in Cachoeira as the state’s pilot project and, subsequently, poured in technical and financial assistance. The timber project in Cachoeira suited powerful political interests within the state and the municipality, giving AMPPAE-CM, as the community organization administrating the project, access to technical expertise (including a professional forester with a PhD and substantial experience) and other human resources (e.g., knowledge and skills related to forestry), as well as financial and physical resources (including an office in the reserve with internet access). In the case of Porto Dias, the timber project was implemented prior to the election of the “Forest government” and its policy shifts towards forest management. At the time, the political environment in Acre (and in Brazil) was not receptive, if not downright against, timber management, particularly in reserves. When CTA first proposed the 16 For example, in 1998 Cachoeira was visited by Br azilian president Fernando Henrique Cardoso and the Ministry of Agriculture.

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126 timber management project in Porto Dias, it created various disputes among NGOs and government agencies. Some foresters and agronomists from other NGOs in Acre even became outraged and angry. These disputes emerged, in part, because of the heritage left behind by irrational timber exploitation by logging companies (Santos 2002). Adding fuel to the situation was CTA’s top-down, industrial approach to implementing the project in Porto Dias and its financial suppor t from ITTO, an international organization viewed by many as serving the interests of powerful logging companies. Thus, in the early years of the project, CTA lost potential sources of local political, financial, and technical support and, in some cases, even made enemies, some of who currently occupy powerful state positions. In addition, Porto Dias’ location in the politically conservative (pro-agriculture and ranching) municipality of Acrelândia limited the extent of political and financial support extended to rubber tapping populations in the region. Moreover, organizations traditionally supportive of rubber tapper causes, such as the STR, with a strong base in Xapuri were relatively inactive in the municipality. Thus, in contrast to Cachoeira, Porto Dias and its rubber tapper association received little to no support and assistance from the most politically powerful institutions (municipal and state governments). The Rubber Tappers’ Association of Porto Dias’ isolation from the wider political arena and the lack of significant support from organizations other than CTA have limited the association’s access to resources and services and its capacity to have a more proactive role in the timber management project. While CTA has provided considerable funds for technical assistance and material assets, the absence of significant institutional networks for providing resources towards capacity-building and political empowerment

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127 has resulted in an association that remains relatively weak and dependent on CTA. The political prominence of several of the diverse organizations involved in the timber management project in Cachoeira stands in contrast to the situation in Porto Dias. In Cachoeira, the bringing together of these actor s has created a powerful vested interest in ensuring a successful project. As a result, an impressive amount of political, technical and financial support has been invested in the project and AMPPAE-CM. In the chapters thus far, I discussed the community-based timber management projects in Porto Dias and Cachoeira in broad terms. In Chapter 3, I outlined some of the macro socio-political processes that facilitated the emergence of community-based timber management initiatives, including Porto Dias and Cachoeira, in the Brazilian Amazon. In Chapter 4, I looked at the particular case of extractive reserves, one of several models of land regimes in which community-based timber initiatives have been implemented, and traced the history of rubber tappers and key socio-political events that led to the creation of PAEs and RESEX. I focused on the specific cases of the PAEs Porto Dias and Cachoeira, presenting a brief introduction to the history and current situation of these reserves. In this chapter (Chapter 5), I took a closer look at Porto Dias and Cachoeira, specifically at the organizational and institutional linkages between the reservesÂ’ main associations and outside organizations and individuals, and their impact on the associationsÂ’ participation in the timber projects. In doing so, I highlighted some of the key differences between Porto Dias and Cachoeira. In the chapters that follow, I narrow my analysis to the details of the timber projects in these reserves, emphasizing the heterogeneity and complexity of Porto DiasÂ’ and CachoeiraÂ’s communitiesÂ’ participation in these projects. I start, in Chapter 6, with a detailed description of the timber project

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128 activities and the ways in which the participation of households and individuals in the reserves, and the organizations and foresters that have provided technical assistance, has changed over time. I then examine the ways in which local participation in the timber project in Porto Dias and Cachoeira has been structured by key institutions, inside and outside the reserves (Chapter 7), and by diffe rent social characteristics of households and individuals (Chapter 8). This is followed by Chapter 9, where I look at the role of human agency and demonstrate that despite social structural constraints (those discussed in Chapters 7 and 8), rubber tappers in Porto Dias and Cachoeira have found ways to get more involved in decision-making activities pertaining to the timber project and to appropriate what originally was an externallydefined and planned project to fit, address, and resolve their needs, issues, and problems.

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129 CHAPTER 6 A CLOSER LOOK AT “COMMUNITY” PARTICIPATION IN THE TIMBER PROJECTS IN PORTO DIAS AND CACHOEIRA The owner (of the colocação ) participates in everything. That’s why it’s called participatory management. The head of the household mu st do everything: from accompanying the first demarcation (of the harvest area) to the extraction of the wood. Adilton, produtor de madeira ,1 Cachoeira, July 2002 It doesn’t reach the entire community. Th ey hire only people from the project. Judson, former produtor de madeira , Cachoeira, June 2002 Introduction In the past two years, the timber projects in Porto Dias and Cachoeira have become the emblems for other community-based timber management initiatives in the Brazilian Amazon. These projects have distinguished themselves primarily by receiving FSC certification and becoming the first small-scale, nonindustrial timber projects in Brazil to receive the “green seal.”2 But what is meant exactly by the term “community-based,” which distinguishes them from other reduced-impact logging initiatives, remains somewhat unclear. 1 Produtores de madeira (producers of wood) or manejadores (managers) are the terms that were used most commonly by residents of Porto Dias and Cachoi era to refer to households and individuals (usually male heads of households) harvesting timber. While produtor was used more often in Cachoeira (and hardly ever in Porto Dias), manejador was applied in both reserves but less frequently in Cachoeira. Throughout this and other chapters, I use both terms ( produtor in Cachoeira and manejador in Porto Dias). 2 Cachoeira was the first to receive FSC certifica tion in February 2002. Port o Dias soon followed in December 2002.

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130 The label manejo florestal comunitário, or MFC for short, made popular during the WWF/SUNY and USAID (later IIEB and IM AZON) sponsored annual workshops on community forest management,3 has come to be understood as “initiatives of forest (primarily timber) management involving communities” (Amaral 1999: 3). In defining these communities, Amaral and Neto (2002: 20) state that they are characterized by “an extensive network of kinship relationships, comradeship and mutual assistance, as well as a shared acceptance of social norms and values that emphasize intra-group solidarity.” However, a closer look at the group of MFC projects, including Porto Dias and Cachoeira (see table 1 in Amaral and Neto 2000: 24), reveals some significant variations. The forest populations involved in these project s—rubber tappers, indigenous peoples, smallscale agriculturalists, and riverine populations—greatly vary amongst each other as well as internally, along social, economic, ethnic, cultural, and political lines. Also varied are the types of groups within each of these populations that constitute the (formally recognized) participants of the timber projects. While some MFC projects involve small groups of families with close social ties harvesting timber from collectively owned forests, others focus on individuals worki ng in individual parcels of privately owned forest. Moreover, not all of these groups are necessarily characterized by solidarity, homogeneity, shared norms or any of the other characteristics listed by Amaral and Neto (2002:20). Finally, these diverse groups may not necessarily view themselves, or be viewed by others living in their areas, as constituting a “community.” This ambiguity of what is meant by “community-based” (and, by extension, “participatory”) extends to the projects in Porto Dias and Cachoeira. Although they share 3 See Chapter 3.

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131 many similarities – agroextractive settlement projects, rubber tapping populations, and timber harvesting organized around small groups of households – there are multiple, sometimes even contradictory but more often overlapping, understandings of how these projects are (or are not) “community-based.” Opinions vary between, on the one hand, the assisting organizations (CTA and SEFE) and professionals (foresters) involved and, on the other hand, the residents of the reserves. They also vary among the residents in each reserve and between the populations of the two reserves. Yet technical documents, the popular media and residents of the reserves alike widely and liberally use the terms “community-based” and “participatory,” at most making references to the involvement of the main association and the dozen or so households formally registered with the projects.4 There are two assumptions, both problematic and unexplored in the context of these projects, associated with applying these terms to Porto Dias and Cachoeira. The first connotation is that the projects involve a “small homogeneous group using locally evolved norms to live with nature harmoniously, managing resources sustainably and equitably” or a “mythic community” (Agrawal1997: vii). What is problematic about this image is that it masks the divergent interests, roles and relations of multiple actors within communities (Agrawal 1997; Cleaver 1999). Detailed case studies around the world have shown that most communities are in fact internally differentiated, marked by power relations, and dynamic, all of which influence who has access to and control over different natural, social, and economic res ources (see Western and Wright 1994). Porto 4 As of June 2003, there were 10 households in Port o Dias and 17 in Cachoeira that were harvesting (or planning to harvest) timber and were formally r ecognized by outside organizations (NGOs, government agencies, funding organizations, and FSC certifying agencies) as participants in the projects.

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132 Dias and Cachoeira are not exceptions. As in the case of most rural communities, rubber tappers are characterized, both as a group and as individuals, by heterogeneity (Stone 2002). This is true not only of the populations dispersed throughout the reserves of Porto Dias and Cachoeira (which, in the former, are not all rubber tappers by tradition) but also of the specific households that were identified—by the organizations, foresters, and residents—as the primary participants in the timber projects. Like the term “community,” the concept of “household” is equally problematic because there is an implicit assumption that households are a un itary, undifferentiated unit (Bruce and Dwyer 1988; Folbre 1988; Wolf 1997). This understanding of the household has been heavily criticized and extensively reconceptualized (see Benería 1997; Bosen 1989; Henderson 1995; Kabeer 1994; Moore 1988). What is rev ealed, when one takes a closer look at households and focuses on who actually carries out project activities and receives benefits from participating, is that it is usually specific individuals, often times male heads of household. The second connotation associated with “community-based” and “participatory” is that the “communities” (comprised of these “households”) in Porto Dias and Cachoeira “participate” in, or at least have equal opportunity to “participate” in, most, if not all, aspects of the project – from its conceptualization, to its planning and its implementation. However, little is actually understood about the specifics of their participation, about the ways in which they participated and to what extent. Thus, the terms “community-based” and “participatory” not only say little about who participated but equally little about how they participated and why.

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133 The main objective of this chapter, along with Chapter 8, is to demonstrate how heterogeneous and complex the “communities” and “households” in Porto Dias and Cachoeira are in terms of their participation (or lack thereof) in the timber projects. In doing so, this chapter and the following chapter seek to highlight how “community participation” has involved more actors than the handful of households formally recognized as the project participants. It also aims to give visibility to those who have contributed to the projects but remain largely hidden or overlooked. The second objective of this chapter is to provide the reader with an overview of the technical dimensions of the timber project and an introduction to the array of local actors—both residents of the reserves and foresters and other professionals—that have been involved in the timber projects. The specific timber pr oject activities and actors that I will describe in this chapter will be revisited in following chapters. I begin this chapter with a discussion of the advances researchers have made in measuring participation and the challenges that remain. While there exist a number of typologies of participation, analyses of local participation have focused largely on broad, community-level measures of participation rather than on the participation of individuals and groups within communities. I then turn to the case studies of the community-based timber management projects in Porto Dias and Cachoeira and discuss the methods that were used to collect and analyze the data on rubber tappers’ participation in these timber projects. This is followed by an overview of the timber projects in each reserve. I discuss the multitude and complex set of technical activities that comprise these reducedimpact timber management projects, specifically the long list of timber project activities Porto Dias and Cachoeira residents mentioned as having participated in. I also discuss

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134 how the majority of these activities (1) took place in specific geographical regions of the reserve, (2) occurred during specific moments of the year, and (3) differed in terms of the purpose they serve and impact they potentially can have on the timber projects. This is followed by an overview of the ways in which local actors, along with foresters, organized themselves into both formal “har vesting teams” and informal groups, dividing roles and tasks amongst themselves. In the process, I highlight the dynamic nature of these groups and their participation. The Challenge of Measuring Participation As pointed out by development practitioners and academics alike, a considerable degree of confusion prevails as to what participation actually means and is comprised of (Blackburn 1998; Cleaver 1999; Cohen and U phoff 1980; Finsterbusch and Van Wicklin III 1987; Kelly and Van Vlaenderen 1996; Shephe rd 1998). Pieterse (1998) argues that part of the challenge of measuring participa tion is rooted in participatory development’s long and complex genealogy, which has left the concept of participation surrounded by ambiguity and little consensus. Others, such as Little (1994: 348), point to the simplicity of understandings of participation: “so long as communities are consulted about a certain activity or are employed by particular project, then the activity qualifies as local participation.” All too often, main participants and beneficiaries of development are defined as the community and/or households, both of which are assumed to be homogeneous, egalitarian and cooperative (Agrawal and Gibson 1999; Bruce and Dwyer 1988; Cleaver 1999; Folbre 1988; Wolf 1997).5 Consequently, not only is the 5 Cleaver (1999) disagrees, stating that participation is often reduced to the individual; in other words, that the individual is expected to take the opportunity offe red by development projects and to better themselves in order to, in the process, better the group or the community.

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135 heterogeneity of actors within communities, and the households within these communities (not to mention, other actors located outside the community, such as NGOs, government agencies, etc.) overlooked but also the variability in the types of activities they participate in. As pointed out by Cornwall (2001a), questions need to be asked about who participates, in what and on what basis, as well as who benefits and who loses out. Many scholars and practitioners have attempted to “tie down” participation by developing classification systems of types of participation. This includes Cohen and Uphoff (1977, 1980), Deshler and Sock (1985), Finsterbusch and Van Wicklin III (1987, 1989), White et al. (1994), Colfer (1995); ODA (1995), Pretty (1995), Colfer and Wadley (1996) and White (1996). These typologies were developed for the purpose of better comprehending, applying, and monitoring participation. Notable are Deshler and Sock’s (1985 cited in Michener 1998) typology of diffe rent levels of participation based on a scale measuring the extent of local control or power. The scale ranges from “pseudoparticipation” (or the manipulation of participants by development professionals to meet the needs of elites) to “genuine participation” in which participants are empowered by having control over program policy and management. White (1996) breaks down participation into four categories (nominal, instrumental, representative and transformative), each of which is defined by the quality of the interaction between planners and project participants. Only with transformative participation are both groups of stakeholders interested in the empowerment of community participants. Pretty (1995) also distinguishes between different levels of participation (self-mobilization, interactive participation, functional participation, participation for material incentives, participation

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136 by consultation, passive participation, and manipulative participation). However, by far, Cohen and UphoffÂ’s (1980) typology is the most comprehensive. They include not only kinds of participation (participation in decision-making, implementation, benefits, and evaluation) but distinguish between several groups of participants (local residents, local leaders, government personnel, and foreign personnel) and look at the basis, form, extent, and effect of participation. To date, howev er, these types of classification systems and other analyses of local participation have focused largely on broad, community-level measures of participation rather than on the participation of individuals and groups within communities. This research builds on and moves beyond the existing typologies, which tend to be deductively derived and abstract, by analyzing how residents of Port o Dias and Cachoeira themselves viewed and understood their participation in the timber projects. In addition, by uncovering the multiple and diverse ways in which households, and individuals within households, in Porto Dias and Cachoeira participated, this research moves beyond community-level measures of participation. Thus, this research not only documents the diversity of actors within communities (e.g., young, old; women, men; rich, poor, etc.) who participated in community-based projects but the heterogeneous ways in which people participated (e.g., provide labor , vote on project decisions, etc.). Methodology The research was conducted over two separate periods: July-December 2001 and May-August 2002. Research in Porto Dias was carried out in 2001 and 2002 and in Cachoeira in 2002. Visits to the reserves ranged from 4 to 10 days, one to three times a month. Half a day to a whole day was spent at each household, which depended on the availability of household members and distances between households.

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137 A total of 24 households were interviewed in Porto Dias (27% of all households in the reserve) and 27 (36%) households in Cachoeira. Households were selected using nonprobability, purposive sampling to maximize variation (see Bernard 1995).6 Specifically, households were selected to sample variance on the basis of their status in the timber project (officially involved—i.e. had timber harvest areas demarcated on their landholdings; not officially involved—i.e. without harvest areas) as well as their relative distance from the “center” of the reserve (the area of the reserve considered by residents as the most active – politically, socially, and economically; also where the headquarters of the main association is located). These criteria were selected to ensure that my sample would include a diversity of families, including families that were not officially considered as participating in the project and families with fewer political ties, lower socio-economic status, and less access to education and other sources of human capital. The reason for wanting such a diversity of families was to see if families with different levels of social, human, physical, financial, and natural capitals differed in their level and quality of participation in the timber project (discussed in Chapter 8). In Porto Dias, 10 households that were o fficially involved in the timber project were interviewed, which corresponded to 77% of the total households (13) that were officially recognized (had forest areas demarcated for timber harvesting) in 2002 as project participants.7 An additional 14 households that were not participating in the project, or 19% of the reserve’s colocações, were also interviewed. Of these 24 6 Attempts were made to randomly select represen tative samples of households. However, complete and accurate censuses of the population in the rese rves were not available and maps of the colocações drawn by informants were not consistent with each other. In addition, logistical considerations, primarily the great distances between households, the inab ility to determine if households woul d be available for an interview when I arrived, and time constraints, resu lted in nonrandom samples being carried out. 7 In 2003, 3 households of the 13 households involved in 2002 withdrew from the project.

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138 households, two households were interviewed twice: once in 2001, when they were not involved in the timber project and a second time, in 2002, after they had joined the project (Figure 6-1). HIGHWAY ABUNA RIVER AREA II AREA I AREA III = households officially involved in the timber project (N=10) = households without harvest areas (not official participants in project) (N=14) = households interviewed twice (when not officially involved, in 2001, and after became involved, in 2002) TOTAL HOUSEHOLDS INTERVIEWED = 24 Figure 6-1: Households interviewed in Porto Dias (N = 24) In Cachoeira, out of the 27 households interviewed, 14 were households officially involved in the timber project (82% of the 17 official households that were participating in 2002). An additional 11 households that had never officially participated in the timber project were interviewed, as well as 2 households that had been involved but had withdrawn from the project (Figure 6-2). XIPAMANO RIVER = households officially involved in the timber project (N=14) = households without harvest areas (not official participants in project) (N=11) = households that had been officially involved but had withdrawn from the project (N = 2) TOTAL HOUSEHOLDS INTERVIEWED = 27 Figure 6-2: Households interviewed in Cachoeira (N = 27)

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139 In each household, the head of the household and his/her spouse were interviewed.8 Part of the interview was carried out with both members of the household present and other parts of the interviews were conducted with the head of household and his/her spouse separately. In a few cases, (female) spouses declined to be interviewed or provided answers to only some sections of the interview. Interviews took an average of 2 ½ hours to complete, with some interviews lasting as long as 5 hours and others as little as 1 hour and 45 minutes. Brazilian part-time research assistants were hired from the Federal University of Acre and a local NGO, PESACRE, to assist me with the process of data collection in the reserve. They helped minimize errors due to language misunderstandings and to build rapport with residents, and made it possible to conduct parts of the interviews with heads of households and spouses separately. Data Collection on Participation Data on residents’ participation in the timber project were collected using multiple methods of data gathering (semi-structured interviews, ratings, and participant observation). These methods are summarized in Table 6-1. I decided to use multiple methods to enhance understanding by uncovering different aspects of the same phenomenon and adding layers of information (Reinharz 1992; Tashakkori and Teddlie 1998). Multiple methods also strengthen the validity of the data collected by allowing the researcher to use one type of data to validate or refine another (Denzin 1978). Semistructured interviews and ratings were conducte d at the homes of households visited, with 8 In one case in Cachoeira, the head of household was a widow and her oldest son was also interviewed. In another case, also in Cachoeira, two unmarried brothers shared a house (both were interviewed).

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140 heads of households and spouses. Participant observation of timber management activities was carried out in meetings and during hikes through the forest. Table 6-1: Methods used for collecting and analyzing data on “community” participation VARIABLES (operationalized) UNITS OF ANALYSIS METHODS OF DATA COLLECTION METHODS OF DATA ANALYSIS Total number of project activities Number of decision-making, operational, supporting project activities Individuals Households SEMI-STRUCTURED INTERVIEWS (Levy and Hollan 1998) Open-ended question: “How have you participated or been involved in the timber project?” Open-ended questions regarding other reserve residents’ and foresters’ participation in the timber project Coded for emerging themes (Glaser and Strauss 1967; Lincoln and Guba 1985) regarding how informants saw themselves (and others) participating in the project. RATINGS (Flinn 1998) Informants rated themselves (yes/no) on an index of timber management activities For each informant, recorded the activities (in the index) they had participated in. PARTICIPANT OBSERVATION AND ‘THICK DESCRIPTION’ (Geertz 1983; Dewalt and Dewalt 1998) Observed timber project activities Observed and kept detailed fieldnotes of residents’ participation in timber project activities. Informants were first asked to discuss their participation in the timber project. Specifically, each informant was asked “how have you participated or been involved in the timber project?” For the purpose of clarification, this question was immediately followed by “what do you do in the timber project?”9 With the help of field assistants, heads of household and spouses were asked these questions separately (the questions were asked of each, simultaneously, in separate rooms). In both Porto Dias and Cachoeira, after interviewing around 15 households, I found that I was not eliciting new 9 The framing of this question was difficult. The term “participation” ( participação ) in Portuguese did not come across very well (it seemed to be associated with specific types activities, notably going to meetings) and the choice was made to also use the verb “involved” (está envolvido ) and “do” ( fazer ). In retrospect, this also was problematic because of the verbs’ c onnotation of doing an action which may have implicitly framed people’s answers.

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141 activities, which suggested that I was exhausting the list of ways in which people possibly saw themselves involved in the project. Informants were then asked (again independently) to rate themselves (yes/no) on an index of participation in timber management activities. The approximately 40 activities (they differed in each reserve) listed in the index were derived from informal interviews I had carried out with foresters working in the reserves and key informants from the reserve, secondary materials on reduced-impact timber management, and my own observations. Additional information was also solicited during the interview. Questions were asked about other residents’ and foresters’ participation in the project and about the structure of the project in general, and timber management activities, specifically. Similar questions were asked of the foresters working in the communities (more so in the case of Porto Dias than Cachoeira). Interviews were not tape-recorded; instead, copious fieldnotes were written both during and following the interviews.10 Finally, in addition to the semi-structured interviews and ratings, I also observed and took detailed notes on activities related to the timber project.11 These three combined methods resulted in a list of 41 and 42 timber project activities, in Porto Dias and Cachoeira, respectively, in which residents had participated. The objective of using three methods was to incorporate both local and “expert” definitions of what constitutes participation. Definitions of participation are subjective 10 Originally, I had planned to tape record interviews but due to the polemic and political nature of the topic (timber), I felt that tape recording would only further inhibit people from talking openly about the timber project. 11 In the end, I was able to observe only a few ac tivities in the harvest areas because of the difficulty encountered in coordinating my visits to the reserve with specific days when activities were being carried out. Most of my observations were restricted to meetings.

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142 and change depending on the individual asked, be it a resident of the reserve, a forester, or myself. Thus, the purpose of asking the open-ended question “how have you participated or been involved in the timber project?” was to capture how residents themselves perceived their own participation (or lack thereof) in the project and, in the process, to have an understanding of other ways in which residents had been involved in the project that might not have been included in the index.12 The index was not an objective measurement of participation because it included only what I, and others (foresters in Acre and in secondary sources), defined as timber management activities. However, I was able to triangulate responses from the open-ended question, the index, and participant observation (as well as from additional questions regarding other residents’ and foresters’ participation in the timber project), to get a comprehensive and more valid measure of participation. Moreover, I was able to capture additional information about individuals who were not interviewed such as, for example, children and adolescents.13 Thus, these three methods complemented each other to produce a clearer picture of the variation in not only actors involved in the timber project but also project activities. Data Analysis Responses to open-ended questions were analyzed by iteratively coding and categorizing data to uncover thematic categor ies (Glaser and Strauss 1967). For example, 12 The open-ended question always wa s asked before the index in order to prevent informants’ answers from being influenced by the latter. 13 Children and young adolescents were not intervie wed for several reasons: they were busy working; parents seemed uncomfortable when I talked to their children about the timber project and I felt that it would be pushing the limits of what was acceptable to do so; and I did not have IRB approval (for those under 16 and legally considered as minors under th e Brazilian law) not having anticipated their participation in the project.

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143 similar responses such as: “no,” “I didn’t help,” “I don’t do anything,” and “nothing” were coded into the category “do not participate.” On the index of timber management activities, informants were given a “yes” if they had been involved in the activity or a “no” if they had not. Responses to the open-ended question and index were combined for each individual interviewed so that for each individual, I had a list of project activities in which he/she had participated. Lists of activities of heads of households and their spouses were also combined so that for each household, I also had a list of activities in which they (the head of household and his/he r spouse) had been involved. Finally, one collective list of activities was combined for each reserve. Besides the number of activities in which individuals and households had participated, I was also interested in the types of activities they had been involved in. Loosely based on Cohen and Uphoff’s (1980) typology of participation, along with my knowledge of the activities and their meaning in the context of the timber projects, I coded the activities (generated from the open-ended questions and index items to which residents responded “yes”) according to whether they were “decision-making,” “operational,” or “complementary” activities. I defined “decision-making” activities as activities related to the decision-making processes of the project. These included project planning, designing, and redesigning. By vi rtue of participating in “decision-making” activities, individuals have the potential power of changing the way the project is designed, what activities are implemented, who carries out those activities, for what benefits, etc. “Operational” activities were defined as activities in which individuals participate by providing or receiving vital inform ation, labor, and/or material resources. Most of these activities are related to the implementation stage of the project, such as

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144 felling trees, measuring logs, providing the fore ster with information about tree species, etc. These activities are indispensable and, thus, participation in them does confer some power to the individuals involved (i.e. the refusal to carry out these activities can place the project at a standstill, result in failure, or require the project to be adapted, etc.). However, participation in these types of activities is “passive” in the sense that it is essentially providing resources (labor, information, equipment, etc.) and not necessarily having a direct impact on the decisions behind the project. “Complementary” activities were defined as those that are neither essential for the project nor usually have any significant impact on the decision-making pro cesses or structure of the project (e.g., washed clothes). Thus, participation was measured in terms of the (1) total number of activities and the (2) number of a) decision-making, b) operational, and c) supporting activities in which individuals and households had participated. Participation in What and by Whom? An Overview The Timber Projects in Porto Dias and Ca choeira: Similarities and Differences As small-scale timber management projects implemented with the participation of rubber tappers and based on reduced-impact harvesting techniques, the projects in Porto Dias and Cachoeira shared many similarities as well as some key differences (Table 6-2). In each reserve, a small number of households extracted timber from forested areas in their colocações.14 The total area per colocação set aside for timber harvesting differed in the two reserves (300 ha in Porto Dias and 100 ha in Cachoeira; not necessarily one 14 The colocação is the traditional rubber tapping landholding. Usually no less than 300 ha, it includes the rubber tapper’s house, homegarden, agricultural plots, a nd rubber trees organized in trails in the forest. Although rubber tappers to not own the land that comprises the c olocações they own the right to use the area and its resources. This means that if a family decides to move away from the colocação , they do not have the right to sell the colocação (but they can sell any material assets , such as the homestead and animal pen). The rights of use to that piece of land and its resources can only be transf erred to another family.

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145 continuous area) and was divided into 10 ha annual harvesting areas (Figure 6-3). This allowed for a 30-year felling cycle (10 ha per year over a 30-year-period) in Porto Dias and a 10-year felling cycle in Cachoeira.15 Table 6-2: Similarities and differences between the timber projects (2002) PORTO DIAS CACHOEIRA SIMILARITIES Principal participants and beneficiaries in the reserve 10-20 households Location of timber harvest areas Forest in households’ colocações SIMILARITIES Tree species selected for potential harvesting 20-30 Harvesting practices Reduced-impact technologies such as: identification of seedlings, saplings, and/or trees for regeneration; cutting of vines; pre-planned skid trails selective harvesting; and directional felling. DIFFERENCES Size of harvest areas per household Total harvest area: 300 ha Annual harvest area: 10 ha Total harvest area: 100 ha Annual harvest area: 10 ha Felling cycle 30 years 10 years Annual harvest intensities 1000 m3 total (all households) (10 m3/ha) 100-500 m3 total (all households) (1-5 m3/10ha) Timber extraction and transportation Taken out as logs. Ground skidding using tractor and skidder. Timber cut with portable saw into smaller pieces prior to transporting. Animal traction (oxen). 15 In Cachoeira, trees selected for harvesting are ca lled “mother” trees (tree species of commercial value over 30 cm in diameter). The idea is that ten years after these trees are harvested, households can return to the same harvest area and extract the “daughters” of these “mother” trees. After an additional 10 years have passed (20 years since the “mother” trees we re cut), the “granddaughters” can be harvested. “Daughter” and “granddaughter” trees are identified, along with the “mother” trees, when the harvest area is first demarcated, inventoried, and prepared for the felling of the “mother” trees.

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146 Boundary of the colocação Harvest area (divided into 10 ha plots) Homestead Homegardens and agricultural plots Rubber trails Pasture Figure 6-3: Example of a timber harvest area in a Cachoeira colocação In both projects, approximately 20-30 different commercial tree species were being harvested using reduced-impact techniques, including selective harvesting and directional felling. The intensity of harvest and the scale of operations, however, differed greatly in the two projects. In Porto Dias, the target ed annual harvest intensity was higher (1000 m3 in total—all households collectively—or approximately 10 m3/ha) compared to Cachoeira (100-500 m3 in total or 1-5 m3/ha).16 The larger volumes harvested in Porto Dias required that transportation of the timber from the harvest area to the dirt road in the reserve be done by ground skidding using tractors and skidders. As of 2003, timber was transported out in the form of logs, cut to match the length of the trucks transporting the 16 This was the targeted volume. In reality, much lower volumes were harvested in Porto Dias (approximately 260 m3 in 2000, 600 m3 in 2001, and 730 m3 in 2002). In 2003, the intention was to reduce the total volume to 150 m3. Similar to Porto Dias, actual volumes harvested in Cachoeira per year have been much smaller than planned. In 2001, Cachoeira harvested only 71m3 (2002 figures were not available at the time of the research).

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147 timber out of the reserve. By contrast, in Cachoeira, where 2 to 3 trees per colocação were typically felled, logs were cut by means of a portable saw into much smaller pieces (smaller logs, blocks, and large branches) that were transported to the dirt road on a cart pulled by oxen. Timber Project Activities In both Porto Dias and Cachoeira, the majority of timber project operations and activities in which residents were involved were carried out by a small group of households harvesting timber from their colocação. The male heads of these households (self-identified as manejadores in Porto Dias and produtores de madeira in Cachoeira) participated most actively and worked most closely with outside professionals, principally foresters. In addition, other residents of the reserve provided labor and other services. Jointly, this small group of households, individuals, and professionals carried out a wide range of project activities associated with pre-harvesting,17 harvesting, and post-harvesting operations typical of reduced-impact timber management projects as well as other complementary activities. Table 6-3 shows the major operations and general activities commonly carried out in such projects and the specific activities that Porto Dias and Cachoeira residents listed during the interviews.18 All together, households and individuals in Porto Dias and Cachoeira mentioned having participated in a total of 50 different activities. Of these 50 activities, Porto Dias 17 Timber harvesting refers to “the aggregation of all operations, including pr e-harvest planning and postharvest assessment, related to the felling (the process or act of severing a standing tree) of trees and the extraction (the act or process of transporting logs from the felling site to a landing) of their stems or other usable parts from the forest for subsequent proce ssing into industrial products” (Dykstra and Heinrich 1996: 69). 18 In response to the open-ended question and ratings on the index of participation in timber project activities.

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148 residents participated in 42 and Cachoeira in 41. These activities are listed in Table 6-3, with some activities that occurred during multiple project operations repeated more than once. Activities that were mentioned in one reserve and not the other are presented in italics (for activities that took place in Porto Dias) or underlined (in Cachoeira). Table 6-3: Operations and activities of reduced-impact timber management projects19 Major Operations General Activities Description Specific Activities in Porto Dias & Cachoeira Pre-harvest Harvest planning Planning of long-term and short-term (annual) harvesting plans (how, where, by whom, and when will harvesting be done) Provided information about forest/trees Demarcated harvest areas/ got others to demarcate area Tagged trees Identified trees for regeneration (for next harvest) Recommended location of skid trails20 Made map of skid trails Opened up skid trails Cut vines Checked trees for defects Helped other project participants (carry out activities) Accompanied others to harvest area Visited harvest area Watched others work Took care of workers Provided food Washed clothes Road engineering Design, layout, construction and maintenance of roads and skid trails Helped with road maintenance Harvest Felling All activities undertaken to cut standing trees and prepare them for extraction Recommended trees to cut Selected trees to cut Cut trees/hired sawyer to cut trees / oversaw cutting of trees Cut logs into sections Tagged cut sections Measured logs Helped other project participants Accompanied others to harvest area Visited harvest area Watched others work Took care of workers Provided food Washed clothes 19 Adapted from CTA (2000), Dykstra and Heinrich (1996). 20 Skid trails are pathways in the forest over whic h logs are dragged from where the felled tree has landed to a cleared area (called a landing area or ramp) or ro adside where it will be prepared for transport to a sawmill or other destination (Dykstra and Heinrich 1996).

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149 Table 6-3 continued Major Operations General Activities Description Specific Activities in Porto Dias & Cachoeira Extraction Moving trees or logs (by skidder, draft animal, etc.) from the cutting site to landing or roadside Transported timber to dirt road Helped other project participants Accompanied others to harvest area Visited harvest area Watched others work Took care of workers Provided food Washed clothes Postharvest Transport operations Postharvest assessment Silvicultura l treatments Transportation (by truck) of logs from forest to a processing facility Assess effectiveness and impact of harvesting operations Planting of seedlings or saplings in gaps left behind by felled trees Helped find (buyers) & trucks Helped transport timber to highway Made recommendations to foresters on how to improve project Planted seedlings/saplings Helped transported timber to city Marketing Selling of timber Selling of timber to processing facility or other buyers Helped find buyers (& trucks) Negotiated price Sold timber Processing Processing of timber Processing of timber in a processing facility (sawmill, woodworking shop) to produce added-value wood products (e.g., planks, crafts, furniture, etc.) Oversaw processing at sawmill Visited sawmill/ woodworkers Other activities Meetings, workshops, logistics Activities that compliment other project activities and/or are required Participated in courses Attended project meetings Voted on project decisions Picked new participants Voted on selection of new participants Helped define project rules Facilitated meetings/ workshops Received wages Distributed profits to project participants Paid taxes Signed documents Activities in italics = activities mentioned only in Porto Dias Activities underlined = activities mentioned only in Cachoeira Other activities = activities mentioned in both Porto Dias and Cachoeira

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150 Differences in activities across the two reserves reflect, in part, differences in the structures of the projects, particularly with regards to the scale of operations and project assets available. A couple of differences between the projects are particularly noteworthy. In Porto Dias, each household wa s provided with chainsaws and trained in chainsaw operation and directional felling, the intention being that each could fell their own trees.21 In Cachoeira, the decision was made not to purchase chainsaws. Rather, the focus was on generating employment opportunities in the reserve by providing workshops for individuals interested in being trained as professional sawyers. Consequently, while in Porto Dias a number of households felled their own trees and those of other manejadores, in Cachoeira the majority of produtores did not fell their own trees but, instead, hired individuals (the ma jority of whom were local residents) who owned chainsaws and had experience and traini ng in felling. Differences in the volumes of timber harvested in the two reserves also impacted what activities took place and who participated in them. In Porto Dias, the extraction of timber from the harvest area to the dirt road was carried out by third parties, specifically by contracted skidder and truck drivers from nearby cities. In Cachoeira, timber was transported by oxen to the dirt road by local residents hired either by the day or by volume of wood transported. The majority of the activities mentioned by the residents of Porto Dias and Cachoeira were dispersed throughout the year, with some having occurred quasi periodically (e.g., project meetings) and others happening sporadically and often haphazardly (e.g., workshops, signing of documents). The exception was road 21 Chainsaws were purchased with project funds for the first 10 households that entered the project. Subsequent households (households that joined the pr oject in 2002) were not provided with chainsaws and had to depend on the first group of households to use the chainsaws.

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151 maintenance, which tended to be done during the dry season (mid-May to mid-October), and pre-harvesting and harvesting activities (Figure 6-4). In Porto Dias, the poor quality of the reserveÂ’s dirt road during the wet season restricted harvesting activities and the extraction and transportation of timber out of the reserve to the dry season.22 One of the consequences was that little time had been left during the dry season to take on any additional project activities and, as such, pre-harvesting activities generally were concentrated during the wet season (mid-October to mid-May). By contrast, in Cachoeira, where the road is in fairly good condition year-round, there was less of a seasonality to project activities. Nonetheless, because it was easier to work under dry conditions, pre-harvesting and harvesting activities, and the extraction of timber to the dirt road tended to be done during May through October. May June July Aug. Sept. Oct. Nov. Dec. Jan. Feb. March April Road maintenance Demarcationofforest harvest areas Tagging of trees with id. markers Identificationoftreesfor regeneration Selectionoftreesto cut Cuttingof vines Mapping and openingof skid trails Felling of trees Transportation of timber to road/city May June July Aug. Sept. Oct. Nov. Dec. Jan. Feb. March April Road maintenance Demarcationofforest harvest areas Tagging of trees with id. markers Identificationoftreesfor regeneration Selectionoftreesto cut Cuttingof vines Mapping and openingof skid trails Felling of trees Transportation of timber to road/city Road maintenance Demarcationofforest harvest areas Tagging of trees with id. markers Identificationoftreesfor regeneration Selectionoftreesto cut Cuttingof vines Mapping and openingof skid trails Felling of trees Transportation of timber to road/city Figure 6-4: Project activities that tend to be carried out during specific seasons Porto Dias Cachoeira Activity occurs but with less frequency 22 This will probably change as a result of the rec onstruction of the road in 2002, making it passable even during the rainy season.

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152 In addition to the seasonality of activities, activities occurred in distinct geographical locations: the house, the timber harvest area (the forest), the dirt road, the association’s headquarters, and the city (Figure 6-5). Out of the total of 50 activities listed, only four either had not occurred in one of these five areas or had taken place in several of the locations. These four were: provided information about the forest and its trees, made recommendations to foresters, helped other project participants, and received wages. HOUSE N=5 ASSOCIATION HEADQUARTERS N=9 TIMBER HARVEST AREA N=22 CITY N=8Demarcated harvest area Planted seedlings/saplings Helped with road maintenance Transported timber to city Bought materials for project Oversaw processing at sawmill Visited sawmill/ woodworkers Sold timber Signed documents Cut vines Recommended location of skid trails Provided foodROAD N=2Have equipment Lent materials for use in project Located buyers & trucks Negotiated price Made map of skid trails Opened up skid trails Cut trees Distributed profits Picked new participants Voted on new participants Voted on project decisions Helped define project rules Facilitated meetings & workshops Participated in courses/ workshops Attended project meetings Recommended trees to cut Selected trees to cut Identified trees for regeneration Got others to demarcate harvest area Hired sawyer Oversaw felling Checked trees for defects Tagged trees Cut logs into sections Tagged cut sections Measured logs Transported timber to dirt road Paid taxes Transported timber to highway Took care of workers Washed clothes Visited harvest area Accompanied others to harvest area Watched others work Figure 6-5: The geography of project activities Activities in italics = activities mentioned only in Porto Dias Activities underlined = activities mentioned only in Cachoeira Other activities = activities mentioned by both Porto Dias and Cachoeira Of these 50 project activities, the majority (31) were “operational” activities, or activities in which individuals had participated by providing or receiving vital information, labor, and/or material resources but with little impact on the decisions

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153 underlying the project or the project’s structur e (Figure 6-6). Eleven of the 50 activities were “decision-making” activities, or activities that were related to and could have had an impact on decision-making processes incl uding project planning, designing, and redesigning. Finally, 8 are “supporting” activities, or activities that were not essential for the project and did not have any significant impact on the decision-making processes or structure of the project. The extent to whic h households and individuals participated in these different types of participation varied by reserve. Porto Dias informants mentioned having participated in 9 “decision-making” activities compared to 11 in Cachoeira, 29 “operational” activities compared to 23, and 4 “supporting” activities compared to 7. DECISION-MAKING ACTIVITIES N = 11 OPERATIONAL ACTIVITIES N = 31 SUPPORTING ACTIVITIES N = 8 Demarcated harvest area Tagged trees Identified trees for regeneration Cut vines Mapped skid trails Opened up skid trails Cut trees Measured logs Participated in courses Paid taxes Transported timber to city Helped with road maintenance Transported timber to dirt road Sold timber Hired sawyer Helped find buyers & trucks Helped other participants Signed documents Received wages Cut logs into sections Tagged cut sections Transported timber to highway Checked trees for defects Oversaw felling Got others to demarcate harvest area Distributed profits to participants Oversaw processing at sawmill Have equipment Provided food Bought materials for project Provided information about forest/trees Selected trees to cut Acted as facilitator Helped define rules Negotiated price Picked new participants Voted on new participants Voted on project decisions Made recommendations to foresters Attended project meetings Recommended trees to cut Recommended location of skid trails Accompanied other to harvest area Visited harvest area Washed clothes Took care of workers Lent materials for use in project Visited sawmill/ woodworkers Watched others work Planted seedlings/ saplings LEGEND Activities in italics : Activities mentioned only in Porto Dias Activities underlined : Activities mentioned only in Cachoeira Figure 6-6: Types of project activities in Porto Dias and Cachoeira

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154 The Dynamic Character of Participation: Porto Dias The first few years of the timber manageme nt project in Porto Dias involved 10 out of the twelve households (heads of house hold) affiliated with the Rubber Tappers’ Association who had been invited by CTA to Ri o Branco to discuss the project. Selected in 1996, the colocações of these households are dispersed across two regions of the reserve: 6 in what is known as Area I and 4 in Area III23 (Figure 6-7). 1996 : 10 families HIGHWAY 364 AREA II AREA I AREA III ABUNA RIVER ASPOMACREBOLIVIA RUBBER TAPPERS’ ASSOCIATION OF PORTO DIASFloresta Centro Seco BomJardimI LimoeiroII São Pedro II Palestina Palhal Olho d’AguaI Olho d’AguaII Brasilia MAIN DIRT ROAD (PELɒS ROAD) S e t t l e m e n t p r o j e c t S ã o J o ã o d o B a l a n c e i oRubber estate Porto Luiz Rubber estate Santo Antônio doPeixoto Rubber estateTriunfo Settlement project California = 10 initial families (1996) = association headquarters Figure 6-7: Households that were particip ating at the beginning of the project (1996) At the time, two CTA field personnel, one a forester and the other an agronomist, were given the responsibility of implementing the timber project. Among their tasks was to provide technical assistance to the households and to assist the Rubber Tappers’ Association in planning project activities and administrating project finances. These técnicos, as they were referred to, were also put in charge of organizing meetings and 23 The reserve was divided into these three areas by CTA.

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155 setting up training workshops to capacitate the 10 households and the association in a variety of skills, from directional felling to financial administration. Two other CTA personnel were also involved in the project, the general coordinator of CTA (a forester) and the coordinator of the Porto Dias project (an agronomist). However, both participated largely from a distance—fr om the NGO’s headquarters in Rio Branco— primarily in the planning and financial administration of the project. From 1996 to 1999, delays in the construction of the main dirt road, without which equipment could not be brought in or wood transported out of the reserve, ground the project to a virtual standstill. As a result, few timber project activities, other than the construction of the dirt road, were carried out in the reserve during these three years. The exceptions were occasional meetings at the association’s headquarters at the Palhal colocação (see Figure 6-7), organized by CTA técnicos to plan future project activities. In addition, chainsawyers from the Technological Foundation of Acre (FUNTAC) and the Tropical Forest Foundation in Pará (TFF/ FFT) were brought to Porto Dias by CTA to offer training courses in chainsaw use and maintenance, and in directional felling. After three frustrating years waiting for the state to re-build the road (a few sections had been partially built years before by loggers but had since been covered up by vegetation), CTA and residents of Porto Dias set out, in mid-1999, to open up segments of the dirt road on their own. Members of some of the 10 households and other residents of Porto Dias cleared, by hand (using machetes and chainsaws) more than 30 km of the road. CTA provided a daily wage of R$12 as well as the gasoline and oil. A few women were also hired to cook and were paid a daily wage of R$10. During this 3-year period, other activities were planned outside of Porto Dias. This included, in 1996, a 40-day internship

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156 at the CETTEM woodworking shop in Rio Branco where participants were taught how to build a house and make small wooden crafts. In 1999, a visit to a nearby communitybased timber project (Pedro Peixoto) was al so organized by CTA. On both occasions, only (male) heads of the households (manejadores) involved in the timber project participated. By 2000, when the road was ready for use and the colocações had been demarcated and inventoried for timber harvesting, one of the original 10 households had already left the reserve and was followed, shortly thereafter in 2001, by a second family. This left the project with 8 participating households and 2 colocações (Centro Seco and Floresta) from which timber could no longer be harvested (Figure 6-8). AREA II AREA I AREA III ABUNA RIVER2001 : 8 families ASPOMACREBOLIVIA RUBBER TAPPERS’ ASSOCIATION OF PORTO DIAS MOSSOR"Centro Seco Floresta = 10 initial families (1996) = families that left project (1998, 2001) = association headquartersHIGHWAY 364 Figure 6-8: Households that participated in 2001 By 2001, changes had also taken place at CTA, with two new foresters taking over the positions of general coordinator and coordinator of the Porto Dias project. With the

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157 departure of one of the técnicos, two additional foresters were hired to work directly with the households and the association. Also invited by CTA in 2000 was a forester from another NGO, PESACRE, to work with the households, the association, and CTA personnel in the capacity of facilitator and researcher. With a different approach and philosophy, and assistance from the PESACRE forester, the new coordinator of the project began spending more time in Porto Dias, accompanying all the meetings and some of the fieldwork. Thus, by 2001, with the construction of the road and changes in CTA, the presence of CTA personnel in Porto Dias became more frequent as did their involvement in project activities. The finalization of the road at the end of 1999, albeit still in need of considerable maintenance, also meant that harvesting activities in the colocações could begin in the dry season of 2000. Thus, in 2000, a “harvest team” was organized, responsible for implementing harvesting activities in the forests of each colocação. Composed of the heads of the 9 (later reduced, in 2001, to 8) households and CTA técnicos, the team also included two other Porto Dias residents, Belé and Zé Pretinho. Both itinerant laborers in the reserve without colocações of their own, Belé and Zé Pretinho accompanied most of the harvesting activities, particularly those carried out in the harvest areas in the forest. Belé, in addition to having helped clear the forest for the construction of the road, demarcated harvest areas, tagged trees, felled, and helped transport the wood. Zé Pretinho helped mostly with cooking but also lent a hand whenever needed. For each day of work, they were paid a wage of R$10 by CTA Originally, the idea was to have the team work as a group in each of the colocações, in other words, harvesting trees in one colocação and then moving on to the

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158 next, etc. However, primarily because of geographic distances between households, the eight households organized themselves into 2 groups: the “lower-region” and “upperregion” (Figure 6-9). AREA III AREA II LOWER REGION GROUP AREA I São Pedro II Palestina Limoeiro II B.JardimI Palhal Olho d’AguaII Olho d’AguaI Brasilia UPPER REGION GROUP RUBBER TAPPERS’ ASSOCIATION OF PORTO DIAS ABUNA RIVER Figure 6-9: The creation of two groups (2000-2001) The “lower-region” group was comprised of 5 households all located in the lower region of the reserve, the area of easiest access to the association’s headquarters in the Palhal colocação. The “upper-region” group, named after its location in the upper eastern section of the reserve, was comprised of 3 colocações all of which are located at a considerably distance from the association’s headquarters. In the beginning, each group, joined by CTA técnicos, Belé and Zé Pretinho, focused their work in their own geographic region, carrying out activities mainly in the colocações located in their region. In turn, however, each of these 2 groups further divided into subgroups, defined again by geographical distance between colocações and, among other factors, kinship ties.

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159 AREA III AREA II AREA I Sub-group 1 Sub-group 2 Sub-group 3 UPPER REGION GROUP São Pedro II Palestina LimoeiroII B.JardimI Palhal Olho d’AguaII Olho d’AguaI Brasilia RUBBER TAPPERS’ ASSOCIATION OF PORTO DIAS LOWER REGION GROUP Figure 6-10: The creation of subgroups (2000-2001) In 2001, there were 3 subgroups: subgroup 1 which was comprised of two households (São Pedro II and Palestina), subgroup 2 of three households (Limoeiro II, Bom Jardim I, and Palhal), and subgroup 3 of 3 households (Olho D’Agua I and II, and Brasília). Thus, the original team was divided into three harv est teams, each of which worked jointly with CTA técnicos, Belé and Zé Pretinho in their own colocações (for example, subgroup 1 worked in colocações São Pedro and Palestina). Besides the households harvesting timber from their colocações and Belé and Zé, several women were employed to cook meals for training courses, meetings, and visits from organizations and consultants. Other Po rto Dias residents periodically were hired to help with activities related to the project, such as the construction of a woodworking workshop in the reserve. However, after 2001, significant changes occurred in Porto Dias that resulted in the reorganization of the harvest teams and the overall division of labor in the project. In 2002, 5 new households, all located in Area I, joined the project (Figure 6-11).

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160 AREA II AREA I AREA III ABUNA RIVER2002 :13 families ASPOMACREBOLIVIA RUBBER TAPPERS’ ASSOCIATION OF PORTO DIAS MOSSOR"Barrinha I Barrinha III Bom JardimII PachubalII PachubalI = 5 new families (2002) = 10 initial families (1996) = 10 initial families (1996) = families that left project (1998, 2001) = families that left project (1998, 2001) = association headquarters = association headquartersHIGHWAY 364 Figure 6-11: Five new households (2002) However, in 2003, a combination of mounting conflicts between households in the “lower-region” and “upper-region” groups, primarily over the distribution of profits and the scale of the project, and an accident that left one of the new manejadores (i.e. joined in 2002) with a partially paralyzed arm, reduced the number of households involved in the project to 10 again (Figure 6-12). 2003 :10 families AREA II AREA I AREA III Abuna River RUBBER TAPPERS’ ASSOCIATION OF PORTO DIAS MOSSOR" ASPOMACREBOLIVIA Olho D’Agua II Brasilia PachubalII = families that left project (2003) = 5 new families (2002) = 10 initial families (1996) = families that left project (1998, 2001) = association headquarters HIGHWAY 364 Figure 6-12: Households that participated in Porto Dias in 2003

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161 In addition, jealousies and tensions among residents regarding the selection of women responsible for cooking, sparked by the fact that most of these women were wives of manejadores, led CTA to hire Zé as the permanent cook. However, apparently his lack of housecleaning skills (most of the cooking was carried out at the CTA headquarters) and limited cooking skills led to his replacement in 2003 by Maria, a cousin of one of the manejadores from the city. The most significant change, however, was the decision to train specific individuals, both manejadores and other residents, to be responsible for specific activities in the project. Among these individuals was 12-year-old Maria who, beginning in 2002, was being trained to tag trees, annotate information gathered during the demarcation and inventories of harvest areas, and more recently, to input this data into the computer. Juscelino, one of the first 10 manejadores to enter the project, was being trained to be the woodsman (mateiro). Along the same line, other manejadores, particularly those who participated in the chainsaw training courses and felt most comfortable using a chainsaw, were to be designated as the project’s offici al sawyers. These recent changes reflect an effort to move away from the system of small harvest teams, where each carries out (with the help of CTA) all the harvest activities, to capacitating specific individuals in specific tasks who can be hired by households to work in their colocação. The Dynamic Character of Participation: Cachoeira In Cachoeira, the timber project began in 1998 with the participation of 10 households. Unlike Porto Dias, the colocações of these households are dispersed in the front region of the reserve, commonly known as “Fazendinha” after the colocação by the same name (Figure 6-13). Participation in the project allegedly was open to all but, in the end, was largely determined by the proximity of households to the main dirt road (which

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162 existed at the time). As a consequence, the 10 households that “volunteered” to have their forests demarcated and inventoried are all located near the main dirt road (Figure 613). The exception was one household, that of the colocação Fé em Deus, which is located approximately 30 minutes from the dirt road. However, at the time, the plan was to extend the road to that colocação and, eventually, down to the Xipamano river. XIPAMANO RIVERBOLIVIA 1998 : 10 households= 10 initial households (1998) main dirt road = association headquarters AMPPAE-CM ( colocação Fazendinha) FéemDeus São LuizIII São LuizI Retiro II Retiro I PontãoII Lago Cachoeira Alto Duro PontãoI Rubber estate Nova Esperança Rubber estate Santa Fé Porto Rico ranch PAE Equador Rubber estate São José Figure 6-13: Households that participated at the beginning of the project (1998) The project began with the involvement of CTA, whose purpose was, in agreement with the local association (AMPPAE-CM), only to demarcate and do inventories of the harvest areas of the 10 households. With the completion of the 10 harvest areas at the end of 1998, CTA left. Shortly thereafter, in 1999, SEFE was invited to discuss the possibility of continuing the project. From 2000 to 2001, two SEFE foresters worked directly in Cachoeira, one living in the reserve and the other providing a liaison with the SEFE office in Rio Branco. With the assistance of Dr. Viana, who was hired by SEFE to help with the scientific and

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163 technical component of the project, SEFE orga nized a series of technical workshops in the reserve. These provided venues for disc ussing and defining the division of labor and organization of the project as well as for tec hnical training in harvesting techniques. In addition to these workshops, SEFE also organized workshops in financing and bookkeeping to help capacitate AMPPAE-CM to administrate the timber project. Dr. Viana’s role in the timber project was limited largely to giving workshops once or twice a year. Responsibility for the day-to-day operations and decision-making processes of the project, however, was left to the foresters and the community project coordinator. From 2000 to 2001, SEFE foresters assisted households to implement preharvesting, harvesting, and post-harvesting activities; submit the required paperwork for permission to harvest and transport the timber out of the reserve; and negotiate the sale of timber to AVER and the Pólo, among other things. They also invited individuals with expertise from other organizations, including experienced woodsmen and sawyers with knowledge of directional felling from FUNTAC. In addition to SEFE and Dr. Viana, representatives of the Pólo and AVER, the two buyers of Cachoeira’s timber, were involved in the project but largely from their offices in Xapuri. Both Etel Carmona, part owner of AVER, and Gisele Brugnara, administrator of the Pólo, occasionally participated in meetings organized in Cachoeira. However, their participation was restricted largely to Xapuri, specifically to meetings with the president of AMPPAE-CM and the community project coordinator to negotiate prices and arrange for the transportation of the timber. Several changes occurred in 2001. One of the households involved in the project (Pontão I) traded colocações with another rubber tapper in the reserve. Although Pontão

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164 I remained one of the colocações from which timber was harvested, its new owner had not previously been involved in the timber project. In addition, changes in the construction of the dirt road resulted in the pulling out of one household (Fé em Deus). With financial and technical assistance from the state government, the intention was to extend the road all the way to the Xipamano river, a plan that had been proposed even before the creation of the reserve. However, construction stopped at the colocação São Luiz III, due to disputes among residents and lack of funds. During this time, the manejadores continued to negotiate with the state government to assist in extending the road to other regions of the reserve. In 2001, an additional 10 households joined the timber project, in part as an effort to push the state government to build the road. Thus, in 2001, the total number of households involved in the timber project was 19 (Figure 614). = household that left project (2001) XipamanoRiverBOLIVIA 2001 : 19 households PontãoI Porto AlegreI Esperaí São Raimundo I SãoJosé VitóriaII VitóriaIII Nova Vida III AltemiraI Altmira II Fazendinha FéemDeus = 10 initial households (1998) = 10 new households (2001) Figure 6-14: Households that participated in the timber project in 2001

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165 The 10 new households were selected on the basis of their interest, location in the reserve, and relative proximity to the dirt road. Five households were selected from the region known as Esperaí, four from the Ouro region, and one from the area of Fazendinha (Figure 6-15). Compared to the first group of households (in the Fazendinha area), few project activities were carried out by the new households largely because of lack of access to the road. In 2002, their harvest areas only had been demarcated and several were in the process of being inventoried. By contrast, households in the Fazendinha group (with the exception of the new household that had joined in 2001) had harvested and sold timber. FAZENDINHA GROUP ESPERAI GROUP OURO GROUP Figure 6-15: The three groups of households involved in the timber project (2001-2002) However, in 2002, two of the households (Nova Vida I and São José) that had joined the year before had to withdraw from the project because they had traded colocações with other rubber tappers in the reserve (Figure 6-16). In 2002, these two colocações were no longer considered part of the timber project.

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166 XipamanoRiverBOLIVIA 2002 : 17 households = 10 initial households (1998) = 10 new households (2001) = initial households that left project (2001) = new households that withdrew or were planning to withdraw (2002) Nova Vida III SãoJosé Figure 6-16: Households that had participated in the timber project in 2002 The pulling out of SEFE in 2001, requested by Cachoeira households, also led to significant changes. Two foresters came and quickly left. In 2002, produtores decided to hire a forester from São Paulo who had done an internship in Cachoeira the year before. Paid by the state government extension agency, SEATER, she went to live in Cachoeira, in a house located in the Fazendinha area. In contrast to Porto Dias, where groups of manejadores worked together in each other’s colocações, in Cachoeira produtores worked largely on an individual basis with the forester, the community project coordinator, and paraflorestais. Also known as agentes florestais (“forest extension agents”), paraflorestais were comprised of a group of adolescents from Cachoeira who had been trained in a variety of pre-harvesting techniques. Together with foresters and the community project coordinator, they helped produtores demarcate harvest areas, carry out inventories, and cut vines, among other activities. Produtores also hired sawyers and individuals with oxen to assist in the felling

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167 and transportation of the timber. Some of these individuals happened also to be produtores. While paraflorestais were paid a daily wage of R$10 (in 2002, by SEFE), sawyers and oxen owners negotiated their wage with each produtor. Typically, sawyers got paid a daily wage of R$30 to R$50 or by the volume of wood cut and type of cut (log versus block) which ranged from R$25/m for block to R$10/m for logs. Not all services were paid, however, and the traditional system of mutirões (work groups) still existed. Neighbors, for example, have helped each other transport the timber out by oxen. Some households had meeiros24 to assist them to carry out timber project activities. However, in general, there was a push to hire individuals trained for these services as a way of providing employment inside the reserve. As in the case of Porto Dias, the intention was for all households interested in timber harvesting to be given the opportunity to participate in the project. At least 6 more households were interested in entering in 2003. These households were all relatives (brothers and sons) of households already i nvolved in the project. One was a household that had pulled out of the project as a result of trading colocações. In 2003, SEATER had been planning to hire additional foresters to work in Cachoeira, recent graduates of the state’s new forestry school, the first and only of its kind in Acre. Summary Critics have pointed out repeatedly that one of the challenges and problems with the concept of “community participation” is its ambiguity (see Colfer and Wadley 1996; Cornwall 2001a). Cohen and Uphoff (1980) and Pretty (1995), among others, have emphasized the need to distinguish between diffe rent kinds of participation (for example, 24 Laborers who work and live in the colocação in return for part of (usually half) of the produce they have helped harvest (rubber, Brazil nuts, crops, etc.).

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168 participation in decision-making, implementation, etc.) and different participants (local residents, local leaders, government personnel, and foreign personnel). Focusing primarily at the level of the community, this chapter demonstrated the diversity of ways in which Porto Dias and Cachoeira communities had participated in the timber projects. The timber management activities in which rubber tappers had been involved, not only were numerous (42 and 41 activities in Porto Dias and Cachoeira, respectively) but also were differentiated by when and where they took place, as well as by the extent to which they offered rubber tappers opportunities to influence project decision-making processes. In addition, although the primary participants in the projects were a handful of households that had harvest areas demarcated in their forests, a number of other community members also participated. This included women (and men) who cooked for the harvesting teams and visitors, and adolescents who helped with activ ities in the forest. Finally, this chapter also showed that community participation is not static but, on the contrary, changes continuously over time as new alliances between community groups are formed, organizations and foresters that provide technical and financial assistance come and go, and mistakes are made and lessons learnt. This chapter provided a descriptive analysis of community participation: specifically, who had participated in the timber projects and in what types of activities. In the next two chapters, I attempt to explain this diversity of participation and participants. In Chapters 7 and 8, I focus on the role of social, cultural, economic, and political structures in shaping or constraining Porto Dias’ and Cachoeira’s rubber tappers’ participation in the timber project. The purpose is to explain why “community participation” in Porto Dias and Cachoe ira involves those specific households and

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169 individuals that it does and to shed light on the factors and processes that affect who participates and how.

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170 CHAPTER 7 PARTICIPATION IN WHOSE PROJECT? THE POWER OF INSTITUTIONS Introduction One of the implicit (and politically correct) assumptions made about participatory development initiatives is that the more local people participate, the better. The reality, however, shows that most community-based projects do not involve all members of the community nor do community members participate in all project activities. Understanding why this is the case has become a focus of considerable discussion and research in the development arena. As noted in Chapter 2, analyses of why local people do not participate or have minimal participation in decision-making activities have focused on social structural constraints. In this chapter, I examine the impact of institutions outside and inside the reserves in shaping rubber tappersÂ’ participation in the timber projects. Specifically, I look at five formal institutions enforced by organizations outside the reserves that have directly impacted the timber projects in Porto Dias and Cachoeira (Figure 7-1). FSC certification standards Donors National and state markets for timber PARTICIPATION of households and individuals in the reservesPAEs: institution of tenure and usufruct rights IBAMAÂ’s forest management policies: the PMFSimples Figure 7-1: International, national, and state institutions

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171 For each of these institutions, I examine how they have affected the way in which the projects in Porto Dias and Cachoeira have been conceptualized, in terms of both the overall design and the specific activities planned and implemented. I show how these macro-level institutions ultimately have shaped the participation in the projects of both residents of the reserves and the assisting organizations and foresters. This is followed by a discussion of two key institutions inside the reserves that have played a prominent role in shaping and defining the timber projects, who participates in them and how. I discuss how the main rubber tappersÂ’ associations, comprised of formal and informal institutions, are interlocked with kinship relations and mediate access to and control over physical, financial and human resources and, in the process, reproduce social exclusions in the timber projects, marginalizing certain households and individuals while privileging others (Figure 7-2). PARTICIPATION of households and individuals in the reserves KINSHIP LOCAL ASSOCIATION Access to and control over physical, financial, and human capital (resources) Figure 7-2: Institutions within the reserve In all, I look at seven institutions at multiple levels and the ways in which each of these institutions affect the participation of households and individuals in the timber projects in Porto Dias and Cachoeira (Figure 7-3).

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172 RESERVE INTERNATIONAL HOUSEHOLD INDIVIDUALS STATE Donors, FSC NATIONAL Donors, FSC, PAE, PMFSimples, Markets Markets Associations, Kinship Figure 7-3: Institutional constraints at different levels Outside the Reserve: A Closer Look at Five Formal Institutions Much emphasis is given to the participatory or community-based character of the timber projects in Porto Dias and Cachoeira, and sometimes it is almost forgotten that the very idea of harvesting timber originated outside the reserves, introduced to the rubber tappers in Porto Dias and Cachoeira by CTA, political representatives of the Workers’ Party (PT), and Dr. Viana (see Chapter 5). Although conceptualized and planned by external organizations and professionals, the timber projects in these two reserves (and other projetos de manejo florestal comunitário, or MFC projects) are part of, and influenced by, a larger context in Brazil of land tenure regimes, forestry and forest policies, funding, and markets. In this section, I focus on five formal institutions1— 1 Formal rules that may or may not be expressed as organizations but require “exogenous enforcement by a third party organization” (ELDIS 2000).

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173 Agroextractive settlement projects (PAEs), IBAMA’s “simplified sustainable forest management plan” (PMFSimples), national and international funding institutions, FSC certification standards, and local and national markets for timber. I examine how these externally overseen and enforced formal institutions have defined many of the technical, administrative, financial, and marketing rules and regulations for reduced-impact logging initiatives, including the projects in Porto Dias and Cachoeira, and, in the process, ultimately have greatly shaped the participation in the projects of both residents of the reserves and the assisting organizations and foresters. Agroextractive Settlement Projects (PAEs) First and foremost, the overall design, as well as the specific activities, of the timber management projects in Porto Dias and Cachoeira are greatly confined within the official land tenure arrangements in which they find themselves. As previously noted, Porto Dias and Cachoeira do not legally belong to the populations that reside there. Rather, as PAEs, they are federally owned lands that fall under the supervision of INCRA. Local populations are given only usufruct rights to remain on the land and extract renewable forest products at ecologica lly sustainable levels. As defined in the Natural Resource Utilization Plans of PAEs, these usufruct rights cannot be legally transferred (sold) and can be canceled if environmental damage is detected (see INCRA 1997a, 1997b). Porto Dias was the first PAE in Brazil to be given permission by INCRA and IBAMA, the government institution responsible for the coordination and execution of Brazilian national forest policy, to carry out logging. However, logging is permitted only under the condition that it is carried out by means of reduced-impact technologies that

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174 minimize the impacts on the environment. Failure to do so in Porto Dias and Cachoeira could lead to the loss of the status of PAE. PMFSimples The timber management projects in Porto Dias and Cachoeira (and other MFC projects) are also greatly confined within the regulations and guidelines set by IBAMA. As PAEs, Porto Dias and Cachoeira are required to submit to IBAMA a “simplified sustainable forest management plan” called PMFSimples. Without this management plan, timber cannot be legally extracted from the reserves nor, by extension, can a timber management project be implemented. The PMFSimples, and other IBAMA forest regulations and policies, are part and parcel of a wider national (and international) effort to decrease deforestation rates and provide alternatives to “irrational” logging, primarily to conventional machine-based clear-cutting and unplanned selective logging.2 In this effort, reduced-impact logging (RIL) techniques and practices have become the focus and cornerstone of forest management initiatives, including the MFC projects in Brazil. However, forest management for timber aimed at minimizing forest destruction is very complex and riddled with uncertainties. This is due, in part, to the complexity of forest ecosystems and the relative lack of knowledge regarding the ecological and biophysical impact of these reduced-impact logging practices. As such, in the best effort to address these uncertainties, RIL-based forest management initiatives rely heavily on (western) scientific knowledge and often entail a long list of specific harvesting activities the sum of which is hoped to minimize the impact on the environment. Among the essential 2 As of 2002, IBAMA had approved fo rest management plans for 3 milli on hectares in the Amazon (Viana et al. 2002b: 26).

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175 technical elements of RIL are: (1) pre-felli ng survey and mapping of topography, site and timber stocks; (2) technical planning of access and extraction, including roads and drainage; (3) pre-felling cutting of climbers (vines); (4) directional felling towards planned skid trails; (5) low stumps; (6) efficient utilization of the felled trunks; (7) roads and skid trails with optimum width; (8) winching with arch, fairlead or pan; (9) no crisscrossing by tractors; and (10) slash management to reduce fire hazards and water pollution (Bruenig 1996). IBAMA requires that foresters submitting PMFSimples incorporate RIL practices.3 These include a pre-felling 100% inventory of the number and location of tree species with commercial value and “mother trees” (seed-bearing trees that will be kept for regeneration), the position of the skidding trails and the direction for felling of each tree, and silvicultural treatments (see IBAMA 1998c: 3). The complexity of these RIL-based harvesting activities has meant effectively that residents of Porto Dias and Cachoeira have had to depend on outside help. With higher levels of education, experience dealing with the bureaucracy of government agencies, and a technical background in forestry, the foresters in the projects have assumed the responsibility of planning, writing and submitting the PMFSimples. The process is extremely complicated, rendered even more difficult by bureaucratic hurdles and inconsistencies. IBAMA requires at least 17 different documents, many of which are comprised of several sub-documents, to be submitted along with the PMFSimples.4 The majority of these documents are so highly t echnical that even foresters have difficulty filling them out. In addition, IBAMA requests yearly operational plans and reports 3 In addition, RIL is used by IBAMA as an evaluation standard for auditing the projects. 4 See IBAMA 1998b: 5 (annex III); 1998c: 3-4 (annexes I, II).

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176 detailing activities that have been and will be carried out (IBAMA 1998c). Moreover, trees cannot be felled without an “Explora tion Authorization” from IBAMA and wood cannot be transported out of the reserves without a “Transportation Authorization,” a component of the annual operations plan submitted on a yearly basis.5 Not surprisingly, the rubber tappers in Porto Dias and Cachoeira have not come even close to being able to carry out these activities. In the forest, planning and implementing these highly technical harvesting activities have not been any less difficult. The foresters have had to dedicate much of their time and energy to training the rubber tappers. Themselves in the process of learning these techniques, the foresters have had to call upon other professionals. They have hired chainsawyers with expertise in directional felling and woodsmen (mateiros) with extensive knowledge about the tree species in the region. Many of the harvesting activities are complex and require a certain amount of knowledge and/or skill.6 This varies from knowing how to use a compass to being able to do mathematical calculations to assess timber stock volumes. Essentially, these are not activities that can be learned overnight but, rather, require time and experience. For the first few years of the projects, rubber tappers participated in these activities only with the guidance and supervision of foresters and other professionals. The intention, in both Porto Dias and Cachoeira, is for rubber tappers to eventually assume full control of submitting the PMFSimples and related documents to IBAMA and 5 The PMFSimples refers to the ordering of forest activities in the management unit as a whole, and the annual operation plan refers to th e specific activities for each year. 6 To just give an example of the complexity: In order to optimize the amount of usable timber, avoid accidents and minimize damage to the remaining trees , tree felling entails assessing the correct angle, height and size of notch opening, size of the hinge, slant of the cut, and height of the felling cut.

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177 planning and implementing the RIL-based harvesting activities. Each year, one or two manejadores or produtores, usually members of the main association’s directorate, accompany the forester to IBAMA’s office in the city. Similarly, rubber tappers participate in technical training workshops and, each year, are carrying out more and more of the harvesting activities in their colocações. Besides specifying timber harvesting practices and activities, the PMFSimples also defines who in the reserves can participate and how. First, in the case of forests that are not privately owned by individuals (such as PAEs), the executor of the timber project is a local organization (such as an association) (IBAMA 1998a).7 These associations are required to submit a “Statute and Internal Regulations” as proof of legally recognized status (IBAMA 1998a). The licenses provided by IBAMA (or, the state environmental agency IMAC) allowing timber harvesting in the reserves are given in the name of the associations.8 Secondly, a forester or qualified agronomist must be hired to assist the association in the “technical elaboration, execu tion, supervision, and orientation” of the project (IBAMA 1998c: 2). Finally, households within the reserves can get permission from IBAMA to extract timber from their colocações only if they demonstrate, among other things, that they: (1) are members of the association registered with IBAMA, (2) hold the usufruct rights to their colocação, and (3) have paid Rural Territory Taxes (ITR). Moreover, the colocações where these families reside must also meet certain ecological criteria, including adequate numbers of seedlings/saplings for tree species selected for potential harvesting, and forest areas free of streams so as to not interfere with water 7 Both the association and each househol d that is harvesting timber from their colocação are held responsible for fulfilling the ob ligations under the PMFSimples. 8 See, for example, A Gazeta (Sept 22, 2000).

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178 sources and quality. Households that do not meet the minimum stipulations required under the PMFSimples are not permitted to harvest timber from their colocações. They can, however, participate in other ways such as by providing labor to carry out certain services such as cooking, felling, etc. The PMFSimples defines not only the harvesting activities that need to be carried out and the prerequisites that households need to meet to be able to harvest timber from their colocação, but also determines geographically where these activities can be carried out. According to the PMFSimples, timber can be extracted only from harvest areas that have been approved by IBAMA (in the case of Porto Dias and Cachoeira, 10 ha/per colocação/year). Timber harvested in other areas can result in stiff penalties and potential expulsion from the project. Finally, there is also seasonality to the implementation of activities. Because of distinct seasons, differentiated by the presence or absence of rain, the majority of harvesting activities are easiest if done during the dry season. There is a relatively strict sequence in the activities, which coincides with seasons. One of the persistent problems encountered in the projects has had to do with delays in the release of the Harvesting Authorization by IBAMA, even when foresters submit the PMFSimples months in advance.9 In Porto Dias, where this has been a serious problem, this delay has resulted in the postponement of activities in the forest (which are not permitted to begin until authorization is given) and even delay of activities until the following dry season. In Porto Dias, where harvesting activities were being completed in one colocação before moving to the next, delays in receiving the Harvesting Authorization in 2000 meant that 9 Amaral and Neto (2000) note that bureaucratic red tape and lack of technical knowledge in IBAMA have prevented community-plans from being approved.

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179 timber was not harvested from all colocações. This led not only to the conflict and split between the “lower-region” and “upper-region” groups, discussed in the previous section, but to some households getting more experience in (and, some alternatively argued, greater burden of) carrying out harvesting activities. In spite of these regulations, the PMFSimples allows a certain amount of flexibility. Thus, CTA, SEFE, and the foresters have had a degree of freedom in designing the timber project as well as in adapting it each year. This explains many of the differences between the projects discussed in the previous section (for example, extraction by skidders versus oxen, differences in volumes harvested, etc.). FSC Certification Standards Acquiring the internationally recognized Forest Stewardship Council’s (FSC) “green seal” of approval was one of the central objectives of both timber projects.10 This was motivated by the prestige of FSC certifica tion (and the fact that none of the other MFC projects in Brazil had yet succeeded in receiving the “green seal”) and access to the niche market for certified wood provided by certification.11 Eventually, in February and December 2002, Cachoeira and Porto Dias, respectively, were certified by IMAFLORA, an FSC-accredited Brazilian organization.12 But FSC certification standards affected project activities before actual certification was received. 10 Organizations and community gr oups or individuals interested in getting certified must initiate the process of certification. 11 Certification is currently bei ng promoted and supported by the Braz ilian Ministry of the Environment, now under the direction of Marina da Silva, originally a rubber tapper from Acre. In 2003, the first seminar on Forest Certification in the Amazon was organized in Belém, bringing together more than 600 individuals (Campanili 2003b). 12 FSC is an international organization that accr edits national organizations (such as the Brazilian IMAFLORA) to certify forest (almost exclusively timber) management projects in natural forests and plantations as well as chains of custody – the ch annels through which a forest product passes, from its origin in the forest to its sale as a commodity of certified products (SmartWood 2002b). IMAFLORA, the

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180 To receive certification and to remain certified, the projects in Porto Dias and Cachoeira have had to meet sets of pre-conditions and conditions based on a long list of ecological, economic, and social “Principles and Criteria” aimed at ensuring that forest management is carried out in an environmentally responsible, socially beneficial and economically viable fashion (FSC 2002).13 It is beyond the scope of this dissertation to discuss all the ways in which the seven FSC principles and the more than 100 criteria are changing the timber projects in Porto Dias a nd Cachoeira and foresters’ and residents’ participation. Only a few examples will be highlighted based on observations made during my fieldwork. Suffice it to say that FSC’s definition of “forest stewardship,” spelled out in this long list of principles and criteria, has had a significant and direct influence in structuring the timber projects in Porto Dias and Cachoeira. The FSC principles and criteria are designed to complement and not replace other forest management guidelines and regulati ons, such as those put forth by IBAMA and spelled out in the PMFSimples requirements.14 As such, many of the harvesting activities in Porto Dias and Cachoeira included in the PMFSimples were initially based on those outlined in the FSC certification standards. RIL-based techniques guide much of FSC’s Brazilian Institute for Agricultural and Forest Management and Certification, is a member of FSC-Brazil and the international FSC-certified SmartWood Progr am, coordinated by the Rainforest Alliance. 13 FSC-Brazil was not officia lly founded and acknowledged by FSC until September 2001, but the initiative to form an FSC group in Brazil began in 1997. From 1997 until its founding in 2001, a group of organizations and individuals from ecological, economic, and social sectors adapted and tested FSC’s Principles and Criteria for management of Amazonian terra firme (upland or non-flooding) forests (see FSC-Brazil 2002 for complete list of participants and description of the process). The objective of the FSC-Brazil group was to promote FSC certification throughout the country and to create national standards for the Amazon upland dry forests and for plantations (FSC 2003a). In 2002, a document was produced detailing the FSC Principles and Criteria adapted for Brazil (see FSC 2002). As of 2002, FSC-Brazil was comprised of 18 members, equally divided among the e nvironmental, economic and social sectors, and 4 non-voting observers (FSC 2003a). 14 FSC-Brazil Principle # 1, Criteria #1 stipulates th at “forest management shall respect all national and local laws and administrative requirements” (FSC 2002:15).

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181 standards regarding management plans and environmental impact. For example, similar to requirements set by IBAMA, FSC certification standards require the “existence of inventories, with data on productivity which justify the cutting rotation and the intensity of extraction”(Principle 5.c6.1) (FSC 2002: 28) . Another FSC principle (P5.c3.i1) states that there needs to be “little evidence of high stumps, topping with excessive waste, splits in trunks caused by poor felling technique or of felled logs left behind in the forest” (FSC 2002: 27).15 As in the PMFSimples, FSC certification standards also require highly technical practices and knowledge that rubber tappers have not been able to carry out on their own, without guidance from foresters and considerable training. However, in contrast to IBAMA and the PMFSimples, FSC’s principles and criteria move beyond the technical and ecological aspects of timber harvesting. Included are standards regarding compliance with laws, tenure and use rights, community relations and workers’ rights, benefits derived from the forest, monitoring and assessment of ecological and social impacts, and conservation (see FSC 2002, 2003c). Porto Dias had two pre-conditions and Cachoeira eleven (see Smartwood 2002a: 14; 2002b: 18-19) prior to being re-evaluated fo r certification. One of the pre-conditions in Porto Dias was to present a cost-benefit analysis of selling logs versus planks (Smartwood 2002a: 14). Requiring expertise in economics, not even the foresters of CTA were adequately prepared to do this analysis and, obviously, nor were the rubber tappers. As a result, an economist from the University of Acre (UFAC) was hired as a consultant to do this study. In Cachoeira, one of the FSC pre-conditions was to define the roles and responsibilities of each of the actors involved in the forest management project 15 See Principles # 6 (Environmental Impact) and Pr inciple # 7 (Management Pl an) for all technical and ecological requirements (FSC 2002:28-36).

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182 (Smartwood 2002b: 18). Several meetings were held between AMPPAE-CM, the produtores and foresters and a document was written up. In July 2000, the produtores of Cachoeira, with the help of SEFE foresters and Dr. Viana, defined and wrote up the project’s “Terms of Agreements,” a set of rules and regulations required by FSC to address, among other things, the sale of wood, permissible forest areas to harvest, and participation in meetings and workshop (see Viana et al. 2002a). In Porto Dias, a similar “Terms of Agreement” was being prepared in 2003. Other FSC requirements include the “existence of minutes of meetings, which are proof of a dialogue between the interested parties” (FSC 2002: 25) and “an effective program of training of workers and local community members in the management unit” (Principle 4.c1.i3) (FSC 2002: 22). Both Po rto Dias and Cachoeira have placed emphasis on these two principles. The main associations in each reserve elected as their Secretariat individuals who are literate and can write, and the training of manejadores and produtores and other residents of the reserve has become a priority. Other FSC certification standards have affect ed the projects’ marketing of its wood. Not only should “forest management and marketing operations encourage the optimal use and local processing of the forest's diversity of products” but “the forest manager (should) promote and value the use of less well-known commercial species” (Principle 5.c2. and Principle 5.c4.i1) (FSC 2002: 27). On e of results of these stipulations has been the effort on the part of manejadores and produtores to pressure buyers to buy timber species of little to no commercial value. In Cachoeira, produtores quickly determined how to negotiate with AVER to experiment with such types of wood (they succeeded). In Porto

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183 Dias, manejadores and other residents, that as of 2003 had yet to be selected, will be trained in the recently built woodworking shop to make wooden objects using less wellknown species. FSC standards have also pushed residents in Porto Dias and Cachoeira to consider (and foresters to plan and implement) “programs in partnership with local government and with entities which represent the local community, as well as projects of social interest in collaboration with research institutions and universities” (Principle 4.c4.i3) (FSC 2002: 26). In the case of Cachoeira, produtores have sought assistance from SEATER, the state government extension agency, for technical assistance. Patricia, the principal forester working with the produtores, is employed by SEATER and she soon will be joined by additional foresters that have recently graduated from the state government funded Forestry School. Porto Dias and Cachoeira have both been collaborating with PESACRE, University of Fl orida, and CIFOR on a research and action program called “adaptive co-management” (see Santos 2002). As in the case of the PMFSimples, FSC-Brazil certification standards have also defined the principal participants in the proj ect. A “forest manager,” according to FSC, is “the owner(s) of the land, the party who retains the rights to the use of the land, and to the party legally responsible for the forest management unit, any of which could be either a corporation or a community organization” (FSC 2002:11). This “community organization” must have “the appropriate licenses, documentation, and professional accounting in accord with legal standards” (Principle 1.c2.i2) (FSC 2002: 16). In addition, FSC requires that “the forest management unit (be) registered with the competent environmental agencies, with the required documentation approved and

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184 available for the certifier” (Principle c1.i4) (FSC 2002: 15). In other words, in the eyes of FSC, project participants in the timber projects in Porto Dias and Cachoeira are rubber tappers with legal usufruct rights to their colocações and forest harvest areas registered with IBAMA, as well as the Rubber Tappers’ Association of Porto Dias and AMPPAECM of Cachoeira. Finally, FSC certification standards stipulate that a “legally licensed professional” be contracted to execute the management plan (Principle 1.c1.i5) (FSC 2002: 15). In Porto Dias and Cachoeira, two fo resters in particular had a pivotal role in making certain that FSC principles and criteria guide timber project activities: Dr. Viana, the “scientific coordinator” of the Cachoeir a project and a partial owner of AVER, and Renato Magalhães de Sousa, one of the first CTA foresters to work in Porto Dias. Both were members of the FSC-Brazil group that adapted the generic template of FSC principles and criteria for terra firme (upland) forest management in the Amazon (see FSC 2002). After they received certification, Porto Dias had 31 conditions they had to meet and 24 that were recommended (see Smartwood 2002a: 14-17). Cachoeira had 32 conditions they had to comply with (Smartwood 2002b: 18-19). There was also a time frame for each condition within which they had to be met. This varied from immediate, 6 months, 1 year, to 2 years. For sure, this will drastically change the projects. In a brief visit in July 2003 in Porto Dias, there already were changes underway. One of the conditions (condition 7) is to elaborate a program to train and capacitate the community in the long term. Beginning in 2002, at least four reside nts were being trained to carry out specific project activities, including sawing, identifying tree species, and registering information gathered at the time of inventories.

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185 Donors and Funding The timber projects in Porto Dias and Cachoeira have required a considerable amount of investment, primarily because of the technical complexity of harvesting timber using reduced-impact practices and the need for qualified foresters and other “experts” such as woodsmen and chainsawyers, as well as heavy equipment. Additional taxes and costs associated with compliance of the PM FSimples and FSC certification standards also increased the total cost of the projects. Unlike other production systems in the Amazon, notably agriculture and ranching, timber extracted by means of reduced-impact practices and FSC certified forest management projects have not had access to credit programs. This was changed in July 2003, when the Development Bank of the Amazon (BASA) provided the first credit package for forest management initiatives (Campanili 2003a). Increasingly, donors and credit programs are opening their doors to forest management and “community-based” projects of this type. Porto Dias and Cachoeira have successfully acquired financial assistance from a variety of prominent government and multilateral funding sources, including ITTO, the Inter-American Development Bank, PPG-7, ProManejo,16 WWF, SEFE, and SUFRAMA. These agencies differ, however, in terms of what they fund (training, equipment, personnel, etc.), which can significantly impact the activities and the overall structure of the projects. Cachoeira, for example, did not have Pro-Manejo funds, a major source of funding for equipment. This was one of the reasons (although, allegedly not the decisive reason) why chainsaws were not bought in Cachoe ira. As previously discussed, this has had a great impact on the division of labor in the reserve. 16 ProManejo, an initiative of MMA and IBAMA with support from PPG7, is directed towards forest management initiatives that apply RIL (IBAMA 2003).

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186 There are also legal stipulations defini ng who can receive and administer project funds. In most cases, project funds can be dispersed only to legally recognized groups, such as local associations. This has meant that the Rubber Tappers’ Association of Porto Dias and AMPPAE-CM of Cachoeira have had to take on the responsibility of administering project funds. However, as in the case with the technical aspect of timber harvesting, rubber tappers have had limited experience dealing with financial administration, especially with budgets as high as those of the projects. With little to no experience in writing budgets, administering m oney, writing receipts, and the slew of other complex financial tasks, the rubber tappers in Porto Dias and Cachoeira have had to depend on outside help to do this. In Cachoeira, SEFE hired a small business consultant to provide training. Likewise, in Porto Di as, CTA has provided a number of workshops. In both cases, the foresters continue to help significantly with financial administrative issues. Finally, funding agencies usually require that activities be completed within specific time frames, sometimes withdrawing or canceling funding if this is not met. This has resulted in some activities being carried out faster than desired, at times before manejadores or produtores have been adequately trained. The Markets for Wood The local and national markets also have had a great impact on the timber projects in Porto Dias and Cachoeira, but in a differe nt way and for very different reasons. In stark contrast to IBAMA’s forest manageme nt policies and FSC certification standards, the markets for timber in Brazil do not distinguish between “irrationally” logged timber and timber extracted by means of reduced-impact logging methods (ENS 2000). The primary interest of the market has been, and continues to be, to secure the cheapest

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187 sources of timber. Most of this wood comes from illegally (and, to a smaller extent, legally) extracted timber by small and medium landholders clearing their forests for land uses, such as agricultural production and pasture expansion, that have higher fiscal incentives and provide access to credit support, and/or for the building of roads (Viana et al. 2002b). This wood is sold at low prices to sawmills and other buyers of wood. And, because many of the areas from which the timber is extracted are located relatively near roads, the cost of transporting this wood is not high (Viana et al. 2002b). In comparison, timber from the Porto Dias and Cachoeira projects has been expensive, due to high operation, administrative, and transportati on costs. The application of RIL-based practices has required investment in equipment (for example, skidders, safety equipment17) and human capital (foresters, sawyers, etc.). As legally extracted timber, mandatory payment of taxes and costs associated with writing and submitting the PMFSimples and related paperwork have added additional costs. Moreover, the projects’ distances from the highway and the city also have meant that transportation costs have been relatively high. Consequently, the timber from Porto Dias and Cachoeira has not been able to compete with the much cheaper timber originating largely from small and medium landholders. Another challenge posed by the market has to do with the volume of timber. It is difficult to get buyers to buy small quantities of wood, such as those produced by Porto Dias and Cachoeira. As noted by Amaral and Neto (2000), buyers want large quantities (usually to cut costs), as well as wood originating from specific tree 17 This has differed greatly between the two reserves. In the case of Porto Dias , investment costs were high because of the decision made to buy a truck, a tractor, processing equipment for small wooden objects, and a sawmill, and to rent skidders and trucks. By comparison, Cachoeira had much lower investment costs because timber was extracted to the dirt road using oxen, the m unicipality of Xapuri provided a truck to transport the wood out of the reserves, and a porta ble sawmill was used to process some of the wood in the forest while the rest was processed in Xapuri (at AVER and the Pólo).

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188 species and of certain qualities (certain dimensions and humidity levels), which are often not compatible with community-based projects. The markets have not, per say, mandated that certain activities be carried out in the timber projects in Porto Dias or Cachoeira, as in the case of the PMFSimples and FSC certification. But, because of the particular dynamics of the market, it has forced the projects to seek other forms in which to sell their wood other than the more conventional logs (for example, as smaller pieces of the trunk, square blocks, and planks) and other types of markets, specifically niche markets for certified wood and high-end wooden furniture and crafts. The specific impacts of the market greatly differ in the two projects, mainly because of Cachoeira’s uniqueness in having secured two buyers (AVER and the Pólo in Xapuri). In the case of the Porto Dias, CTA has tried to enter both local (Rio Branco) and national (Curitiba and São Paulo) markets but has met limited success and, in a couple of situations, bitter outcomes.18 These negative experiences and the reality of the timber market have repeatedly forced CTA and Porto Dias residents to rethink and readjust the project, particularly the scale of the project as related to the total yearly volumes of timber extracted and means used to transport the wood. The intended annual volume of timber harvested initially was set at 1000 m3. However, financial losses suffered in 2000, in part because of the small volume of trees harvested as a consequence of delays in the release of the Harvesting Authorization, led CTA foresters and the manejadores to aim for a higher volume in 2001 (1500 m3). After three years of 18 In one case, a sawmill in Rio Branco rescinded their contract with Porto Dias and did not buy the entire stock of wood. The following year, a sawmill in Curitib a refused to pay for the timber received, allegedly stating that the quality and dimensi ons of the wood provided did not meet the standards they had agreed upon.

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189 difficulties encountered in selling the wood, and losses due to high operation costs as a result of the large scale of the project, in 2003 they decided to reduce the volume of timber harvested to 150 m3. They also decided to invest in building and equipping a sawmill and a woodworking shop in the reserve, as a means to add value to their wood by processing it into planks, and to make maximum use of the wood harvested by transforming otherwise unmarketable small pieces of wood (e.g., leftovers from milling, branches) into small pieces of furniture a nd other wooden crafts. This will introduce a whole new set of project activities in which manejadores, and other residents of the reserve, will be able to participate. In the case of Cachoeira, the conventional market for timber has had less of an impact because problems with the market had been, in a sense, anticipated and alternative markets were sought (the markets for certified wood and high-end furniture and crafts). Unlike in Porto Dias, buyers for Cachoeira’s timber were secured before Cachoeira even committed itself to harvest timber (see Chapter 5). In fact, the timber project in Cachoeira was designed to provide raw materials for AVER and the Poló in Xapuri, the objective being not simply to attract and strengthen industries and generate much needed employment in Xapuri (although both were key) but also to generate a complementary (and high) source of income for the residents of Cachoeira to complement other production systems, and to diminish deforestation. The market has impinged on the timber projects in other ways. Only a very small number of tree species are actually valued by the market, not all of which are abundant in the reserves or equally distributed within the forest harvest areas of the individual colocações. In Porto Dias, the tendency has been to harvest marketable species (from a

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190 selection of 30 or so that are available in the reserve) while, at the same time, searching for buyers, as opposed to securing buyers for specific tree species and quantities of wood before actually harvesting. This has been largely due to the difficulty encountered in finding buyers ahead of time, despite efforts on the part of CTA. In Cachoeira, produtores wait for orders to be placed by either AVER or the Poló. Which of the produtores harvests timber depends not only on the types and volumes of wood requested and whether they are available from his harvest area but also on who harvested timber for previous orders.19 Despite the price and selection of species being largely determined by the laws of market supply-and-demand and by AVER and the Poló, produtores have had success in convincing their buyers to experiment with timber species not previously sold on the market. In addition, the market gives preference to either logs (which are the cheapest) or planks (more expensive because of costs related to processing them). There is virtually no market for large branches, and the markets for small, leftover pieces of wood fetch such low prices that transportation costs usually offset any profits that could otherwise be made. The manejadores of Porto Dias tried to sell their trees as logs, for which they received returns so low that they did not compensate for the high operation and transportation costs. They also tried to sell their wood in the form of planks by hiring a sawmill in Rio Branco to process their logs and then selling them to third parties. This forced manejadores to take on yet an additional activity, that of supervising the 19 AVER and the Poló were not allowed to negotiate on an individual basis with produtores ; rather, they were required to submit orders for timber to AMPPAE-CM. Produtores , on the other hand, were not permitted to harvest trees unless an order had been placed and the produtores , as a group, had decided who would harvest and how much. The price of the timber and the selection of the colocações from which the timber would be harvested were negotiated in meetings among the produtores . The community project coordinator and the forester helped facilitate this process of negotiation.

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191 processing of the wood in Rio Branco, a task many did not have the time to do. In 2003, manejadores and the foresters in Porto Dias were planning to process the wood in their recently refurbished sawmill to produce their own value-added timber products as a way to secure a better price. In Cachoeira the situation was different. Produtores have had some, although limited, power to determine the pr ice per cubic meter, the species of trees, and what parts of the tree (trunk, branches, roots) to be harvested and sold to AVER and the Pólo. Up until 2002, the Poló, still small in scale and experimenting, was buying only large branches. However, in 2002, it made its first request for larger pieces (which capture a higher price per cubic meter for the produtores). AVER has been buying branches and trunks. In summary, while there are other formal institutions that certainly impact the timber projects in Porto Dias and Cachoeira, the five discussed above have had the greatest and most direct impacts. The areas’ status as PAEs, the PMFSimples, FSC certification standards, and funding have direc tly affected the structure of the projects, particularly in terms of specifying activities that must be included. The market has not stipulated activities but has forced the foresters and residents to adapt the project in response to market forces. Inside the Reserve: The Role of the Association and Kinship Ties The main local associations—the Rubber Tappers’ Association and AMPPAECM—have played a key role in determining who in the reserve participates and how. Membership in the associations was, above all else, a non-negotiable requirement for households to harvest timber from their colocações. In addition, these associations have affected households’ and individuals’ participation through their power to mediate access to and control over physical, financial and human resources that came into the reserve. In

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192 particular, the associations’ role in determining the location of the dirt road in their respective reserve has had a tremendous impact on the dynamics of local participation in the timber projects. The Rubber Tappers’ Association’s and AMPPAE-CM’s decision-making power is based on a number of factors. As formal institutions with legal status in the eyes of the state, the associations have the authority to define and enforce rules and regulations regarding access and use of natural resources in the reserves. However, these associations also have significant informal , “behind-the-scenes” decision-making power. Comprised of members embedded in a complex network of social relations of power and authority shaped by kinship ties, friendships, cultural identity, history of shared experiences and livelihood practices, political party affiliation, and religion, the associations’ power extends beyond formal rules to unwritten norms and understandings. Kinship ties, in particular, have been power ful underlying influences in the associations and, by extension, in determining who partic ipates in the timber projects. Founded by the collective effort of one or two extended families, the Rubber Tappers’ Association and AMPPAE-CM remained strongly linked to these families. So, even though in both reserves elected members constitute the association’s directorate, the majority of these decision-making positions were held by members of the families that had played a key role in the creation of the association. Not surprisingly, these individuals were also among those harvesting timber from their colocações, and had kinship ties, by blood or marriage, with the majority of other households involved in the projects. In the end, in each reserve, the association, a select number of families, and the households harvesting timber were virtually one and the same group. As such, the Rubber Tappers’ Association

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193 and AMPPAE-CM and their constituents, have re produced social exclusions in the timber projects, marginalizing certain households and individuals while privileging others. In Porto Dias, whose population includes both rubber tappers and agriculturally oriented families, the Rubber Tappers’ Association’s power has been confined geographically. The majority of rubber tapping households are concentrated in Area I with others scattered throughout the largely agricultural Areas II and III (see Figure 7-4). Consequently, the approximately 21 households affiliated with the association, including the households harvesting timber, were all located in these rubber tapping areas of the reserve. By requiring that members of the association be rubber tappers by tradition, the association’s power ultimately has been in its ability to exclude all those who do not fit this category.20 In addition, the location of the association’s headquarters near the former rubber baron’s commerce center in Area I and, hence, at a great distance from Areas II and III, has been an effective physical barrier for potentially interested agriculturallyoriented households in the other areas to join the association.21 Along with its close ties to certain rubber tapping families as well as its history of working with CTA, these 20 The line between “rubber tapping” and “agriculturally-o riented” families is one that is not always easy to draw, especially for the Rubber Tappers’ Association. While there are households, particularly those located in Area II, that the association clearly distinguishes as colonos (agriculturally-oriented colonists) and would not be permitted to join the association, there are a gr eat number of households that fall somewhere in the middle, tapping rubbe r but also investing in agriculture and cattle. For the association, the decision to include or exclude these families has been a difficult one, one that has been influenced by the knowledge that the association’ s power in the reserve lies in its ability to increase the number of members it has. For households, even those that do not really consider themselves to be rubber tappers, membership in the Rubber Tappers’ association has b een a way to get greater access to benefits. This includes access to the local small commercial shop, better prices for Brazil nuts, and the benefits associated with the timber project such as the road, truck, and tractor. This has sometimes caused problems with some households accused by the association of joining for the sake of getting benefits without having contributed in return, or adhered to the rules and regulations of th e association. Consequently, the association has been weary of admitting new households but ha s done so to ensure its survival. 21 While any rubber tapping household that wished to join the Rubber Tappers’ Association could do so, few in Area II actually had been able to. A few households I visited in this region expressed a desire to join the Rubber Tappers’ associati on but had been unable to because of th e great distance to the association’s headquarters .

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194 factors have permitted the association to exclude agriculturally oriented households from participating in the timber project and associated benefits. They have accomplished this most directly by having the dirt road constructed along the side of the colocações of each of the 10 households (in 1996) that planned to harvest timber. AREA II AREA I AREA III ABUNA RIVER BOLIVIA RUBBER TAPPERS’ ASSOCIATION OF PORTO DIAS HIGHWAY 364( colocação Palhal) Figure 7-4: Map of Porto Dias The situation in Cachoeira was different primarily because, unlike Porto Dias, the population in the reserve is comprised of households that consider themselves either rubber tappers or descendents of rubber tappers, the majority of whom also have shared a long history of mobilization (see Chapter 5). As such, AMPPAE-CM’s members were not only greater in number (approximately 94) than in Porto Dias but were dispersed throughout the reserve, from the more accessible front area of Fazendinha to the remote Esperaí and Brasilzinho regions bordering the Xipamano River (see Figure 7-5).22 22 With the founding of a second association (Fé em Deus) in 2002, the number dropped significantly with several former AMPPAE-CM members joining the new association. This is discussed in further detail in Chapter 9.

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195 XIPAMANO RIVERBOLIVIA AMPPAE-CM ( colocação Fazendinha) Brasilzinhoregion Esperairegion Figure 7-5: Map of Cachoeira However, not all members of the association have had equal access to resources, including the timber project, brought in by AMPPAE-CM. Located up to eight and a half hours walk away from the association’s headquarters at the front of the reserve (in the Fazendinha colocação, also near the former rubber baron’s commerce center), households in the back regions have had, at best, limited opportunities to participate in the timber project compared to households located near the association’s headquarters. This disparity has been blamed, by many in Cachoeira, on one family (the Mendes) and their control of the decision-making processe s (including the decision of where the dirt road was constructed) and administration of resources of AMPPAE-CM. The associations also have influenced the participation in the project of other residents, particularly individuals hired to provide labor and specific skills such as demarcating harvest areas, directional felling, accounting, and cooking. For example, AMPPAE-CM along with SEFE foresters selected who could participate in a series of

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196 financial accounting workshops.23 Both decided that among the most important criteria for selection would be adolescence and the ability to read and write. At the end of the workshops, AMPPAE-CM and SEFE hired the16-year-old daughter of one of the produtores to do the accounting for the project and the association. In Porto Dias, decisions to hire cooks for special project meetings and workshops are made during the association’s meetings. With the exception of one woman who happened to live the closest to the association’s headquarters and had an older daughter who can help take care of her younger children, wives of manejadores (most recently, a cousin) typically have been selected for this position. Besides having been an influential force in determining which households and individuals could participate in the timber project, the associations also have had significant decision-making power in project meetings,24 including in defining the rules and regulations that guide the timber projects (also known as the “terms of agreement”25). 23 In both reserves, decisions regarding who could participate in workshops depended on the type of workshop and the skills wanted. In Cachoeira, in c ontrast to the accounting wo rkshops where a selected few had been invited, workshops on chainsaw opera tion and maintenance, and directional felling were opened to anyone who was interested. Apparently, a significant number of those who participated were members of households harvesting timber or their relatives. On the other hand, in Porto Dias, manejadores’ sons and other young male relativ es allegedly were given prio rity to receive training as woodworkers (to make small wooden objects such as furniture and crafts). 24 In Porto Dias, the asso ciation meetings and the manejadores’ meetings often overlapped although, technically, they were supposed to be held separate ly. Both meetings typically occurred on the first Saturday of each month and additional manejadores’ meetings were scheduled as necessary. In Cachoeira, there was a stronger distinction made between the meetings of the association and the produtores’ meetings (also called oficinas ). This was due, in part, to AMPPAECM meetings taking place once every two months. Project meetings had to be held more often, particularly at the peak of harvesting activities during the dry season. In addition, unlike the Rubber Tappers ’ Association, which opened its meetings to CTA, AMPPAE-CM meetings, and some of the project meetings, often were closed to outsiders, including the foresters. 25 For example, in Cachoeira, households harv esting timber were required to participate in oficinas , or a combination of training workshops and meetings . If the head of the household could not go, he was permitted to send someone in his place. Typically, th is was his spouse but other adult members of his household and siblings were permitte d to represent him. If a household missed more than 3 of these meetings/workshops, they got a red card indicating that they were expelled from the project.

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197 This was because, in both reserves, the majority of the members of the associationÂ’s directorate were also the heads of households that were extracting timber. In addition, there was an unwritten rule, also in both reserves, that the president of association was required to attend project meetings even if he was not involved in the project (although, there was an additional informal understanding that the president had to be a manejador/produtor). However, given the associationsÂ’ directoratesÂ’ relative lack of knowledge and experience implementing timber projects, much less ones based on reduced-impact techniques, many of the decisions made have been ultimately influenced by the foresters of CTA, SEFE (later SEATER) and Dr. Viana. Summary Together, these seven institutions (PAE tenure and resource use rules and regulations, IBAMAÂ’s PMFSimples, donors, FSC certification standards, national and state markets for timber, local associations, and kinship) have had a significant role in structuring the participation of Porto DiasÂ’ and CachoeiraÂ’s rubber tappers in the timber management projects. In varying degrees, each has affected the overall design of the projects and specific timber management activities, as well as who in the communities participate and how. PAE tenure and natural resources use rules and regulations, PMFSimples forest management requirements, and FSC certifi cation standards have restricted logging activities to timber harvested by means of reduced-impact logging (RIL) techniques and practices. The complexity of RIL-based timber management activities, coupled with the red tape bureaucracy involved in submitting the necessary paperwork, have limited Porto DiasÂ’ and CachoeiraÂ’s rubber tappersÂ’ ability to participate in the timber project. With limited education and experience dealing with government agencies, rubber tappers have

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198 had to leave the majority of decision-making activities, including the designing of specific activities to be carried out in the timber harvesting areas, to foresters. The technical complexity of RIL practices also has meant that rubber tappers have had to depend significantly on the assistance of foresters to carry out even basic operational activities, such as inventories of the harvest areas and the skidding of felled trees. In addition, by stipulating that only households with legal usufruct rights to colocações can harvest timber, these three institutions have excluded households that, for whatever reason, did not have their paperwork in order. This was not uncommon in Porto Dias and Cachoeira, in part due to the bureaucracy entailed in submitting and getting back residency documents from INCRA. The high cost of RIL-based forestry opera tions also has obliged Porto Dias and Cachoeira to obtain financial assistan ce from donors and other organizations. Differences among donors in terms of what they are willing to fund (training, equipment, personnel, etc.) have impacted the types of timber management activities made available to Porto Dias’ and Cachoeira’s rubber tappers. For example, in Cachoeira, lack of ProManejo funding for equipment resulted in chainsaws not being bought. While manejadores in Porto Dias (which received ProManejo funds) have been felling their own trees, produtores in Cachoeira have been hiring chainsawyers to fell their trees. While the markets for timber have not directly impacted the specific activities carried out in the timber projects, competition from illegally harvested timber has forced rubber tappers to seek specialized niche markets, such as the market for certified wood. In addition, buyers’ narrow specifications on how much, and what types and quality of wood they are willing to purchase, has restricted the types and parts of trees rubber

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199 tappers have been harvesting. For example, rubber tappers in Porto Dias wanted to sell large branches and roots of felled trees but the absence of interested buyers has prevented from doing so. The local associations have privileged certain households and individuals over others. Kinship ties among members of the a ssociations’ directorate influenced where the road was constructed and, by extension, which households could harvest timber. Kinship ties also resulted in relatives being privileged for paid services. The impact of kinship ties was less visible in Porto Dias perhaps due to the smaller number of association members and the fact that the majority of them belonged to two extended and interrelated families. In the case of Cachoeira, however, where AMPPAE-CM has a larger constituency comprised of several extended families, the Mendes family’s power in determining who participates in the timber project has been more noticeable, especially for residents in the back regions of Cachoeira. The associations’ role in determining who in the reserve participates and how, has increased each year, as project activities – from highly technical forest management practices to administrative tasks – have been decentralized from the organizations and foresters, and the associations and the manejadores/produtores have become better capacitated to take on these activities. For example, in the first year of the projects in both Porto Dias and Cachoeira, CTA selected and paid for a woodsman (from FUNTAC). In 2003, the reserves each had their own woodsmen, residents selected by the associations and the manejadores/produtores with recommendations from the foresters. In Cachoeira, in September 2002 AMPPAE-CM took over the responsibility from state.

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200 government agencies (SEFE and SEATER) for paying the wages of these communitybased woodsmen (using the forest project fund financed by taxes paid by the produtores).

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201 CHAPTER 8 LOOKING INSIDE THE COMMUNITY: HOUSEHOLD AND INDIVIDUAL LEVELS OF PARTICIPATION Introduction In the previous two chapters, I drew attention to the multiple and diverse ways in which Porto Dias’ and Cachoeira’s residents, and the foresters assisting them, have participated in the timber projects, and the role of key institutions in defining or shaping their participation. In 2001-2002, community participation in the timber projects was comprised of numerous activities (42 and 41 in Porto Dias and Cachoeira, respectively). The activities in which rubber tappers had participated covered all major operations typical of reduced-impact projects, includi ng pre-harvesting and harvesting activities, marketing, and timber processing. The majority of these activities took place in the harvest areas of the colocações from which timber was being harvested. These included demarcating the harvest areas, cutting vines, felling trees, and transporting felled trees to the dirt road. Rubber tappers also had been involved in activities that had taken place in the homestead (e.g., cooked meals and washed clothes), at the headquarters of the association (e.g., voted on project decisions, helped facilitate meetings), on the dirt road leading out of the reserve (e.g. helped with the maintenance of the road), and in the city (e.g., bought oil and gasoline for the project). However, the majority of activities in which rubber tappers had participated were operational activities, or activities in which individuals participated by providing or recei ving information, labor, and/or material

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202 resources. In general, rubber tappers had been involved in few decision-making activities, such as in the designing of the timber management plan. This array of activities in which Porto DiasÂ’ and CachoeiraÂ’s rubber tappers had participated was directly determined or shaped by a number of institutions, notably the tenure and resource regulations governing PAEs, IBAMAÂ’s PMFSimples, donors, FSC certification standards, national and state markets for timber, local associations, and kinship. Together, these institutions defined many of the technical, administrative, financial, and marketing rules and regulations for the projects in Porto Dias and Cachoeira, and, in the process, greatly shaped the participation in the projects of both residents of the reserves and the assisting organizations and foresters. While this institutional-level analysis revealed that rubber tappers, as a group, where limited compared to foresters in the extent to which they had been able to participate in the timber project, it revealed little about who within the communities had participated and why. Responding to critics who have pointed out the need to not treat communities as homogeneous, harmonious groups (see Agrawal 1997) and households as unitary, undifferentiated units (see Bruce and Dwyer 1988; Folbre 1988), in this chapter I focus on households and individuals in the reserves and their participation in the timber projects (Figure 8-1).

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203 RESERVE INTERNATIONAL HOUSEHOLDS INDIVIDUALS STATE NATIONAL Figure 8-1: Levels of analysis in Chapter 8 One of the objectives of this chapter is to demonstrate that “community participation” in Porto Dias and Cachoeira has involved a greater diversity and number of community members than the handful of households formally recognized as project participants. The second objective of this chapter is to show that households and individuals with better access to social, human, physical, financial, and natural capitals have had a greater level of participation in the timber projects. In the first section of this chapter, I discuss the methods that were used and specific variables analyzed. I then look at the relationship between different characteristics of households, such as affiliation with the association and distance to key infrastructure (among other socio-economic, demographic, political, and ecological factors) and households’ level and quality of participation in the timber projects. In the third section, I focus on characteristics of individuals (gender, age, etc.) and their relationship with individuals’ participation in the timber projects. I discuss only the variables that were found to be significant.

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204 Methodology Data Collection Data for this chapter were collected from heads of household and spouses of the 24 and 27 households interviewed in Porto Dias and Cachoeira, respectively. These were the same households and individuals from which data were collected regarding participation in timber project activities (see Chapter 6). In total, I collected information on eleven household variables (Figure 8-2), and thirteen individual-level variables (Figure 8-3). These variables were chosen specifically to capture the variation in householdsÂ’ and individualsÂ’ levels of social, physical, human, financial, and natural capitals. Studies have shown that when local people (communities, community groups, households, or individuals) have higher levels of capitals, they tend to have greater access to other resources, material and non-material, and more power to voice their interests, influence decisions, and negotiate the conditions of their participation in development initiatives (see discussion in Chapter 2).

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205 DISTANCE TO INFRASTRUCTURE (main road, highway, schools, health post, association headquarters)PARTICIPATION of households in the reservesAFFILIATION WITH ASSOCIATION (name of association, # of household members affiliated, # of household members serving on directorate, # of months affiliated) STATUS IN TIMBER PROJECT (veteran, new, not officially involved; # of years in timber project) RESIDENCY (# of years lived in reserve, # of years lived in landholding) PRODUCTION SYSTEMS (# of rubber trails in use, kilos of rubber, years since last tapped rubber, latas of Brazil nuts, hectares under agricultural production, number of agricultural fields, heads of cattle) AVAILABILITY OF NATURAL RESOURCES (game animals, fish, and water; number of rubber trees and Brazil nut trees ) HOUSEHOLD DEMOGRAPHICS (size of household, number of children in household, household development stage) FOREST ECOLOGY AND TOPOGRAPHY SOCIO-ECONOMIC STATUS (house structure, house roof, household material possessions, perceived wealth status) USUFRUCT RIGHTS TO LANDHOLDING (husband, wife, other) SIZE OF LANDHOLDING Figure 8-2: Household variables PARTICIPATION of individuals in the reservesGENDER (Male, female) RELIGION (Catholic, Protestant, Other) EDUCATION (years of education; literate, illiterate) LOCATION WHERE BORN (Rubber estate, colonization project, city, other) GENERATION OF RUBBER TAPPERS (not a rubber tapper, 1st, 2nd, 3rdgeneration) TRIPS OUTSIDE OF THE RESERVE (average # of trips taken outside the reserve/year) AGE (years; adult, children/adolescents) ORIGIN (region where born) AFFILIATION WITH ASSOCIATION (name of association; # of months affiliated; # of months served on directorate) AFFILIATION WITH OTHER ORGANIZATIONS (# of other organizations affiliated with; # of months affiliated with STR, with CAEX) RESIDENCY (# of years lived in reserve, # of years lived in landholding) LEADERSHIP (perceived leadership status) POWER (perceived power status) Figure 8-3: Individual-level variables

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206 Data on householdand individuallevel data were collected using semi-structured interviews, questionnaires, and participant observation. Information was gathered from heads of household and spouses jointly. The variables and methods of data collection are summarized in Tables 8-1 and 8-2. Table 8-1: Household-level variables CONCEPTUAL VARIABLES OPERATIONAL VARIABLES METHODS OF DATA COLLECTION AFFILIATION WITH ASSOCIATION Membership in local association (main association, recent association, no association) Number of household members affiliated with: 1. MAIN association 2. RECENT association Number of household members in directorate of: 1. MAIN association 2. RECENT association Number of months household affiliated with: 1. MAIN association 2. RECENT association Questionnaire STATUS IN THE TIMBER PROJECT Household’s status in the timber project “Veteran” household (first group of households to participate in project) “New” household (second group of households to join project) Households not officially involved (without harvest areas) Number of years involved in the timber project Open-ended questions Questionnaire RESIDENCY Number of years have lived in PAE (household member who has lived in PAE longest) Number of years have lived in colocação (household member who has lived in colocação longest) Questionnaire USUFRUCT RIGHTS TO LANDHOLDING (colocação) Owner of the usufruct right to the colocação Husband, Wife, Other Questionnaire SIZE OF LANDHOLDING (colocação) Size of colocação (hectares) Questionnaire MAIN PRODUCTION SYSTEMS NON-TIMBER FOREST PRODUCTS: Number of rubber trails Number of rubber trails in use Rubber produced (kilos) Years since last tapped rubber Brazil nut production (latas) AGRICULTURAL PRODUCTION: Number of agricultural plots Area under agricultural cultivation (hectares) LIVESTOCK: Heads of cattle Questionnaire

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207 Table 8-1 continued CONCEPTUAL VARIABLES OPERATIONAL VARIABLES METHODS OF DATA COLLECTION AVAILABILITY OF KEY NATURAL RESOURCES Game animal (very good, ok, poor) Fish (very good, ok, poor) Water (very good, ok, poor) Number of rubber trees Number of Brazil nut trees Questionnaire FOREST ECOLOGY AND TOPOGRAPHY (qualitative data) Open-ended questions SOCIO-ECONOMIC STATUS House structure “Modern” metal (sawn timber boards, brasilite or aluminum) “Modern” wood (sawn timber boards, timber shingles) Mix of “modern” and “traditional” (palm trunk slats, timber shingles) “Traditional” (palm trunk slats, palm leaf thatching) House roof Brasilite, Aluminum, Timber shingles, Palm leaf thatching Household material possessions (factory manufactured furniture , kitchen appliances, etc.) Many, Some, Few Wealth status Frequency of times household listed by informants as being wealthy Questionnaire Participant observation DISTANCE TO KEY INFRASTRUCTURE Distance to main dirt road (minutes walking) Distance to highway (minutes walking) Distance to schools (minutes walking) Distance to health post (minutes walking) Distance to main association’s headquarters (minutes walking) Questionnaire Participantobservation DEMOGRAPHIC VARIABLES Size of household (number of household members living in colocação) Number of children in household (number of children living in colocação) Development cycle of household “Young” household (just started and no children or with children under 10) “Middle-aged” household (with adolescents or grown children) “Old” household (with grown children out of the house) Questionnaire Participantobservation

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208 Table 8-2: Individual-level variables CONCEPTUAL VARIABLES OPERATIONAL VARIABLES METHODS OF DATA COLLECTION GENDER Gender male, female Questionnaire AGE Age years Age adult, adolescents and children (qualitative data) Questionnaire Open-ended questions Participant observation ORIGIN Region where born Western Amazon (including Bolivia) Eastern Amazon Southern Brazil Questionnaire LOCATION WHERE BORN Location where born Rubber estate, colonization project, city Questionnaire GENERATION OF RUBBER TAPPERS Generation of rubber tappers Not a rubber tapper 1st generation 2nd generation 3rd generation Questionnaire EDUCATION Number of years of school Literacy level Illiterate, literate Questionnaire RELIGION Religious affiliation Catholic, Protestant, Other Questionnaire RESIDENCY Number of years have lived in PAE Number of years have lived in colocação Questionnaire AFFILIATION WITH ASSOCIATION Membership in local association (main association, recent a ssociation, no association) Number of months affiliated with: MAIN association RECENT association Number of months served on directorate of: MAIN association RECENT association Questionnaire AFFLIATION WITH OTHER ORGANIZATIONS Number of other organizations affiliated with Number of months affiliated with the Rural Workers’ Syndicate (STR) Number of months affiliated with the Agroextractive Cooperative of Xapuri (CAEX) Questionnaire LEADERSHIP Leadership status Frequency of times individual listed by informants as being a leader Questionnaire

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209 Table 8-2 continued CONCEPTUAL VARIABLES OPERATIONAL VARIABLES METHODS OF DATA COLLECTION POWER Power status Frequency of times individual listed by informants as having power Questionnaire TRIPS OUTSIDE OF THE RESERVE Average number of trips outside the reserve/year Questionnaire Analysis Bivariate analyses were carried out of householdand individual-level variables with the participation variables. Because the data on participation data violated assumptions of parametric data, non-parametric tests were used: SpearmanÂ’s Rho correlations (for continuous and ordinal data ), Kruskal-Wallis U (for categorical data with more than 2 categories) and Mann-Whitney (for categorical data with 2 categories) measures of association. Some variables, such as information about the forest, were qualitative, and only qualitative analysis was carried out. Understanding Household Participation Membership in Local Associations Household affiliation with associations in the reserves In Chapters 5 and 7, I discussed in general terms the role of the local associations in Porto Dias and Cachoeira in shaping residentsÂ’ participation in the timber projects. I found that the Rubber TappersÂ’ Association and AMPPAE-CM and their constituents, have reproduced social exclusions in the timber projects, marginalizing certain households and individuals while privileging others. In this section, I analyze the responses to the open-ended question and the index of participation in timber project activities (described earlier, in Chapter 6), which revealed that in both reserves, as

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210 expected household affiliation with an association significantly affected the number and types of activities in which households had participated. In both Porto Dias and Cachoeira, households affiliated with an association had participated in a greater number of project activities compared to households that were not members of an association.1 However, which association households were affiliated with did make a difference. Those affiliated with the main association (the Rubber Tappers’ Association and AMPPAE-CM) participated in a greater number of activities than those affiliated with more recently estab lished associations (São José Association in Porto Dias and Fé em Deus Association in Cachoeira).2 Table 8-3 shows the number of households by association membership (affiliated with main association, or with recent association) and the number of activities in which they had participated. Table 8-3: Households’ association membership and participation in project activities HOUSEHOLD ASSOCIATION MEMBERSHIP PORTO DIAS CACHOEIRA HOUSEHOLDS AFFILIATED WITH MAIN ASSOCIATIONa Households that participated in at least one activity 17 (100%)b (71%)c 18 (90%) (67%) Porto Dias N=17 Cachoeira N=20 Total number of activities 42 (100%)d 41 (100%) Average number of activities 12 13 Range 1 (min.) 30 (max.) 1 (min.) 27 (max.) 1 Out of the total of 24 households interviewed in Po rto Dias, 23 (96%) were aff iliated with an association and, in Cachoeira, 26 (96%) of the 27 households interviewed were members of an association. Households were considered as being affiliated if th ey had at least one member of the household affiliated with, in Porto Dias, the Rubber Tappers’ Association or São José Association, and, in Cachoeira, with AMPPAE-CM or Fé em Deus Association. In Porto Dias, the majority of households interviewed (22 or 92%) had only one member registered with an association. This greatly contrasted to Cachoeira, where out of the 27 households interviewed, 14 households ( 52%) had 2 members (head of household and spouse) affiliated with an association, 12 (44%) households had 1 member a ffiliated (usually male head of household), and 1 household (4%) di d not have any members affiliated with any association. 2 These associations are discusse d in greater detail in Chapter 9.

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211 Table 8-3 continued HOUSEHOLD ASSOCIATION MEMBERSHIP PORTO DIAS CACHOEIRA HOUSEHOLDS AFFILIATED WITH RECENT ASSOCIATIONe Households that participated in at least one activity 1 (17%) (4%) 4 (67%) (15%) Porto Dias N=6 Cachoeira N=6 Total number of activities 3 (7%) 10 (24%) Average number of activities 1 3 a The Rubber Tappers’ Association (Porto Dias); AMPPAE-CM (Cachoeira). b Percent of households within each cate gory (affiliated with main association, with recent association) interviewed. c Percent of all households interviewed. d Percent of total number of activities listed by informants in each reserve (Porto Dias N = 42; Cachoeira N = 41) e Fé em Deus Association (Cachoeira); São José Association (Porto Dias). As indicated in Table 8-3, in Porto Dias, all 17 (100%) households interviewed that were affiliated with the Rubber Tappers’ Association had participated in at least one project activity. Collectively, these 17 households had participated in 42 project activities, or 100% of all project activities that informants had listed.3 By contrast, only 1 out of the 6 households interviewed that were affiliated with the São José Association had participated in any activities at all. This household had been involved in only 3 activities, or 7% of all activities listed. One household not affiliated with any association was interviewed and found not to have participated in any activities. A similar trend was found in Cachoeira. Eighteen (90%) of the 20 households interviewed that were affiliated with AMPPAE-CM collectively had participated in all 41 (100%) project activities listed by informants.4 Of the 6 households interviewed that 3 However, the number of activities these households had participated in vari ed greatly among households with some households having participat ed in as few as 1 activity and othe rs in as many as 30 activities (the average per household was 12). 4 However, similar to the Rubber Tappers’ Associati on households in Porto Dias, these households varied in the number of activities they had b een involved in with some households having participated in 1 activity while others in as many as 27 activitie s (the average per household was 13).

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212 belonged to the Fé em Deus Association, 4 (67%) had participated in 10 activities (24% of activities listed).5 Similar to Porto Dias, only one household not affiliated with any association was interviewed and they too were found not to have participated in any activities. In both Porto Dias and Cachoeira, similar trends were found when project activities were broken down by type (decision-making, operational, and supporting). The results are shown in Table 8-4. Of the 17 households in Porto Dias affiliated with the Rubber Tappers’ Association, the majority had participated in most of the different types of activities. Collectively, 14 households (82% of households affiliated with the Rubber Tappers’ Association) had participated in all 9 decision-making activities; 15 (88%) in all 29 operational activities; and 4 (24%) in all 4 supporting activities. However, households greatly varied in the number of activities in which they each had been involved.6 Among São José-affiliated households, only 1 household had participated in 3 operational activities, or only 12% of operational activities or 7% of all activities. In Cachoeira, of the 20 households associated with AMPPAE-CM, 18 (90%) households collectively had participated in 11 decision-making, 23 operational, and 7 supporting activities, or 100% of each type of activities listed by informants. Similar to Rubber Tappers’ Association households in Port o Dias, the number of different types of activities AMPPAE-CM households had participated in varied greatly. Among the 6 5 The number of activities these households had been i nvolved in ranged from 5 to 7, with an average of only 3 per household. 6 Some households participated in only 1 activity (i n one or in each of the categories of activities) and others in as many 7 deci sion-making, 24 operational, a nd/or 2 supporting activities.

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213 households affiliated with Fé em Deus, 3 (50%) households had been involved in only 3 decision-making (50% of these activities) and 4 (67%) operational activities. Table 8-4: Households’ association membership and participation in types of project activities PORTO DIAS CACHOEIRA HOUSEHOLD ASSOCIATION MEMBERSHIP Decision making activities (N=9) Operational activities (N=29) Supporting activities (N=4) Decisionmaking activities (N=11) Operational activities (N=23) Supporting activities (N=7) HOUSEHOLDS AFFILIATED WITH MAIN ASSOCIATIONa Households that participated in at least one activity 14 (82%) b (58%) c 15 (88%) (63%) 4 (24%) (17%) 18 (90%) (67%) 15 (75%) (56%) 11 (55%) (41%) Porto Dias N=17 Cachoeira N=20 Total number of activities 9 (100%)d 29 (100%) 4 (100%) 11 (100%) 23 (100%) 7 (100%) Average number of activities 3 9 less than 1 4 8 1 Range 1 (min.) 7 (max.) 1(min.) 24(max.) 1(min.) 2(max.) 1 (min.) 9 (max.) 4 (min.) 18 (max.) 1 (min.) 3 (max.) HOUSEHOLDS AFFILIATED WITH RECENT ASSOCIATIONe Households that participated in at least one activity 0 (0%) (0%) 1 (17%) (4%) 0 (0%) (0%) 3 (50%) (11%) 4 (67%) (15%) 0 (0%) (0%) Porto Dias N=6 Cachoeira N=6 Total number of activities 0 (0%) 3 (12%) 0 (0%) 5 (45%) 5 (25%) 0 (0%) Average number of activities 0 1 0 1 2 0 Range --3 (min., max) --2 (min.) 4 (max.) 1 (min.) 5 (max.) --a The Rubber Tappers’ Association (Porto Dias); AMPPAE-CM (Cachoeira) b Percent of households within each cate gory (affiliated with main association or with recent association) interviewed. c Percent of all households interviewed. d Percent of total number of activities within each category (decision-making, operational, supportive) listed by informants in e ach reserve. e Fé em Deus Association (Cachoeira); São José Association (Porto Dias) Table 8-5 shows the rank means for number of activities in which households participated, distinguished by type of activities. Lower mean ranks indicate that households participated in a fewer number of project activities, and vice versa.7 As Table 7 The rank means are produced by ranking the raw data, summing the ranks, and dividing the sum of ranks by the sample size.

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214 8-5 shows, in both reserves, the effect of household membership in the main association (the Rubber Tappers’ Association and AMPPAE-CM) on households’ participation in (1) all project activities, and (2) types of project activities (decision-making, operational, and supporting) was statistically significant beyond the five percent level of confidence.8 With the exception of supporting activities in Porto Dias, households in both reserves that were affiliated with the main associations participated in more activities of all kinds compared to households that were not affiliated with these associations. Table 8-5: Mean ranks of project activities by households affiliated and not affiliated with the Rubber Tappers’ Association or AMPPAE-CM PORTO DIAS CACHOEIRA TYPES OF ACTIVITIES TYPES OF ACTIVITIES HOUSEHOLD ASSOCIATION All activities Decision making activities Operational activities Supporting activities All activities Decision making activities Operational activities Supporting activities MEMBERSHIP Mean Rank Mean Rank Mean Rank Mean Rank N Mean Rank Mean Rank Mean Rank Mean Rank N Households affiliated with main associationa 15.59 15.38 15.24 13.32 17 16.35 16.18 16.00 15.93 20 Households NOT affiliated with main associationb 5.00 5.50 5.86 10.50 7 7.29 7.79 8.29 8.50 7 Mann-Whitney U 7.0** 10.5** 13.0** 45.5 23.0** 26.5** 30.0* 31.5* a The Rubber Tappers’ Association (Porto Dias); AMPPAE-CM (Cachoeira). b Households affiliated with Fé em Deus Asso ciation (Cachoeira) or São José Associati on (Porto Dias), or not affiliated with any association. * Significant at p < .05 (1-tailed) ** Significant at p < .01 (1-tailed) These findings are summarized in Figures 8-4 and 8-5. These figures show that in both reserves, households affiliated with the main associations (Rubber Tappers’ Association and AMPPAE-CM) had participated, overwhelmingly, in the majority of activities, across all types of activities. They also show that, irrespective of which 8 Due to the small sample of non-affiliated households (1 household in each reserve), it was not possible to statistically test whether there was a significant difference among the three groups of households (those affiliated with the main association, those affiliated with another, and those not affiliated) in their level of participation in the timber project.

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215 association (main or other) households were affiliated with, households had participated in a greater number of operational activities, compared to decision-making or supporting activities. OPERATIONAL ACTIVITIES (N = 29) RubberTappers’Association = 29 SãoJoséAssociation = 3 Not affiliated = 0 DECISION-MAKING ACTIVITIES (N=9) Rubber Tappers’Association = 9 SãoJoséAssociation = 0 Not affiliated = 0 SUPPORTING ACTIVITIES (N=4) RubberTappers’Association = 4 SãoJoséAssociation = 0 Not affiliated = 0Demarcated harvest area Tagged trees Identified trees for regeneration Cut vines Mapped skid trails Opened up skid trails Cut trees Measured logs Participated in courses Transported timber to city Helped with road maintenance Transported timber to dirt road Sold timber Helped find buyers & trucks Helped other participants Signed documents Received wages Cut logs into sections Tagged cut sections Transported timber to highway Checked trees for defects Oversaw felling Got others to demarcate harvest area Distributed profits to participants Oversaw processing at sawmill Have equipment Provided food Bought materials for project Provided information about forest/trees Selected trees to cut Negotiated price Picked new participants Voted on new participants Voted on project decisions Made recommendations to foresters Attended project meetings Recommended trees to cut Recommended location of skid trails Washed clothes Lent materials for use in project Watched others work Planted seedlings/ saplings LEGEND Activities underlined : Activities carried out by households affiliated withSãoJoséAssociation Other activities: Activities carried out by households affiliated with the Rubber Tappers’ AssociationPORTO DIAS Figure 8-4: Participation of Porto Dias households with different association affiliation in types of activities

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216 Demarcated harvest area Tagged trees Identified trees for regeneration Cut vines Mapped skid trails Opened up skid trails Cut treesMeasured logs Participated in courses Paid taxes Transported timber to city Helped with road maintenance Transported timber to dirt road Sold timber Hired sawyer Helped find buyers & trucks Helped other participants Signed documents Received wages Have equipment Provided food Bought materials for project Provided information about forest/trees Selected trees to cut Acted as facilitator Helped define rules Negotiated price Picked new participants Voted on new participants Voted on project decisions Made recommendations to foresters Attended project meetings Recommended trees to cut Recommended location of skid trails Accompanied other to harvest area Visited harvest area Washed clothes Took care of workers Lent materials for use in project Visited sawmill/ woodworkers Planted seedlings/ saplingsDECISION-MAKING ACTIVITIES (N=11) AMPPAE-CM = 11 FéemDeus Association = 5 Not affiliated = 0CACHOEIRAOPERATIONAL ACTIVITIES (N=23) AMPPAE-CM = 23 FéemDeus Association = 5 Not affiliated = 0 SUPPORTING ACTIVITIES (N=7) AMPPAE-CM = 7 FéemDeus Association = 0 Not affiliated = 0 LEGEND Activities underlined : Activities carried out by households affiliated with FéemDeus Association Other activities: Activities carried out by households affiliated with AMPPAE-CM Figure 8-5: Participation of Cachoeira households with different association affiliation in types of activities Number of household members who served on the association directorate In Porto Dias, only 8 of the 24 households interviewed had a member who had, at some point in the past or at the time of the interview, served in the directorate of an association. All 8 were members of the Rubber Tappers’ Association. Compared to the other 16 households interviewed, none of which had any members in the directorate of any association (in either the Rubber Tappers’ Association or the São José Association), these 8 households had participated in a statistically significantly greater number of project activities (overall, decision-making, and operational) (Table 8-6). This is because 7 of these 8 households were official participants in the timber project (i.e. had forest areas demarcated for timber extraction). The number of project activities (overall) these

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217 households had participated in ranged from 2 to 30, the average being 20. Collectively, they had been involved in an average of 5 decision-making activities, 15 operational activities, and 1 support activity. By comparison, of the 16 households that did not have any members serving in a directorate, only 1 household was an official participant of the project dating back to 1996. These families had participated in an average of only 3 project activities (overall), 1 decision-making activity, 2 operational activities, and 1 supporting activity. In Cachoeira, more than half (15) of the 27 households I interviewed had at least 1 member who was serving (or had served at some point) in the directorate of either AMPPAE-CM and/or the Fé em Deus Association. Of these 15 households, 12 had members (9 had 1 household member and 3 had 2 members) that were or had been involved in the directorate of AMPPAE-CM. However, unlike in Porto Dias, serving in the main association’s directorate was not found to be statistically significant in Cachoeira (Table 8-6). Households with members serving in the AMPPAE-CM directorate had not participated in more activities than households that did not have any members serving in the directorate. The reas on for this is that out of these 12 households, only 5 were households that joined the timber project in 1998, the households that have participated the most in the timber project. Another 3 are new households (entered in 2001), households that have yet to carry out many of the harvesting and post-harvesting activities, and 4 are households that are not officially involved in the project and, therefore, have participated in very few activities. However, the 6 households that had members serving on the Fé em Deus Associ ation’s directorate were found to have

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218 participated in significantly fewer activities than households that did not have any members involved in this association’s directorate (Table 8-6). Table 8-6: Spearman correlation coefficients for number of household members who served on directorate of an association and number of activities carried out PORTO DIAS CACHOEIRA # OF HOUSEHOLD MEMBERS SERVED IN DIRECTORATE: All activities Decision making activities Operational activities Supporting activities All activities Decision making activities Operational activities Supporting activities Main association a .724** .721** .719** NS NS NS NS NS Recent association b (none of these households had any members serving in the directorate) -.414* -.381* -.354* -.427* a The Rubber Tappers’ Association (Porto Dias); AMPPAE-CM (Cachoeira). b São José Association (Porto Dias); Fé em Deus Association (Cachoeira). * Significant at p < .05 (1-tailed) ** Significant at p < .01 (1-tailed) Number of months household affiliated with an association In both reserves, the greater the number of months a household had been affiliated with the main association, the greater the household’s participation in all, decisionmaking, operational, and supporting (the latter, not in Porto Dias) project activities (Table 8-7). However, the opposite was true for households affiliated with the recent associations. The longer these households had been members of the São José Association or Fé em Deus Association, the fewer project activities they had participated in. Table 8-7: Spearman correlation coefficients for number of months affiliated with the association and number of activities carried out PORTO DIAS CACHOEIRA # OF MONTHS HOUSEHOLD AFFILIATED WITH: All activities Decision making activities Operational activities Supporting activities All activities Decision making activities Operational activities Supporting activities Main association a .875** .863** .866** .392* .432* .454** .368* NS Recent association b -.623** -.586** -.609** NS -.414* -.381* -.354* -.427* a The Rubber Tappers’ Association (Porto Dias); AMPPAE-CM (Cachoeira). b São José Association (Porto Dias); Fé em Deus Association (Cachoeira). * Significant at p < .05 (1-tailed) ** Significant at p < .01 (1-tailed)

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219 All of the above statistical analyses highli ght that in both Porto Dias and Cachoeira, households that are affiliated with the main association, for long periods of time, and have household members serving in the directorate of these associations, generally had participated the most in the timber project. Given the importance of being affiliated with these associations, it is not surprising that in Porto Dias, households who had been considering joining the project were first thinking about becoming a member of the association. When I first visited Barrinha I in 2001, the head of household had joined the association 5 months prior for the specific goal of joining the project the following year (which he did).9 Two other households (Morada Nova and Canadá) were also contemplating joining for the same purpose. Becoming a member of the Porto Dias association, however, is not an easy feat. Francisco, a rubber tapper who had recently become a member had known of several others who had been rejected. He felt that it had been relatively easy for him to join because, according to his words, the association had “confidence in him producing rubber.” Having a tradition of rubber tapping is one of the main criteria for membership, along with the ability to pay 25 kilos of rubber per year and monthly dues.10 Once a member, the general rule is that one has to wait 3 years before being able to join the timber project, but this rule seems largely to be ignored. Households in Porto Dias who want to participate in the project, specifically to harvest timber from their colocação, must be not only affiliated with the Rubber Tappers’ Association but must also meet 9 They were other reasons for jo ining, including getting access to the r ubber subsidy (in 2001, the price in Porto Dias for 1 kilo of rubber was R$1.25 with the subsidy, versus R$.80 without the subsidy) and a higher price for Brazil nuts (up to R$4 per lata, or can, for members versus R$3.50 for non-members). 10 According to one rubber tapper, members end up paying approximately R$42 per year (25 kilos of rubber and monthly dues combined).

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220 certain requirements (in particular, a history of rubber tapping and the ability to pay fees) in order to be considered for membership. An added obstacle for a number of households is the distance to the association’s headquarters. A number of families I talked to were interested in joining the association and potentially getting involved in the timber project but cited the distance to the association’s headquarters (located in the colocação Palhal, near the river) as a serious impediment. The situation in Cachoeira has been complicated by the founding, in 2002, of the Fé em Deus association. Established by former AMPPAE-CM members who felt that the association had been monopolizing resources for the Fazendinha region at the expense of the more remote regions of the reserve, the Fé em Deus association has come to represent an adversary of AMPPAE-CM. Thus, while a num ber of families expressed an interest in participating in the timber project, they did not want to be affiliated with AMPPAE-CM. In 2002, discussions were underway to see if Fé em Deus could implement a second timber management project. Status in the Timber Project and Number of Years Involved in the Project In both Porto Dias and Cachoeira, households whose colocações are designated for timber harvesting are considered the main “par ticipants” and “beneficiaries” of the timber projects. However, there exists a marked distinction between the households that first joined the timber project (in 1996 and 1998 in Porto Dias and Cachoeira, respectively) and more recent participants (in 2002 and 2001, respectively). The distinction is one that is made among residents of the reserves, vocalized in everyday conversations, by both participants and non-participants of the timber project. The common terms applied to the 10 families that initially became involved are “os veteranos” (the veterans) and the “os antigos” (the old ones) while those who joined more recently are known as “os novos”

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221 (the new ones). In Cachoeira, the veteranos are also commonly called the “Fazendinha group,” a reference to the geographical concentration of the households around the front of the reserve, near the Fazendinha colocação, as well as to their close kinship ties to the Mendes family (the matriarch and oldest surviving member of the extended family resides in the Fazendinha colocação). But the distinction between the veteranos and novos goes beyond simply a label; each group of households differs greatly in the extent to which they have participated in the project and in the quality of their participation. At the time of the interviews, the biggest distinction between the veteranos and the novos was that while the former had harvested timber from their colocações, the latter had not. Consequently, “new” households had been involved in far fewer project activities than the “veteran” households. And households whose colocações were not officially demarcated for timber harvesting had participated in even fewer activities. In Porto Dias, I interviewed 7 of the 8 veteranos who at the time had harvested timber.11 The number of activities these households had participated in ranged from 16 to 30, with an average of 24 activities per household (Table 8-8). Collectively they had participated in an average of 6 decision-making activities, 18 operational activities, and 1 supporting activity. By comparison, the 3 out of the 5 novos12 I interviewed that had just joined the timber project in 2002 had participated in an average of only 9 activities. On average, they had participated in 2 decision-making, 6 operational, and 1 supporting activity. Among the 14 households intervie wed without harvest areas in their colocações, the average number of activities they had been involved in was only 1. 11 The eighth veteran household declined to be interviewed. 12 One declined to be interviewed and the othe r was unavailable due to sickness in the family.

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222 In Cachoeira, I interviewed all 9 “veteran” households involved in the timber project at the time. In addition, I also interviewed 1 household that had been among the initial 10 veteranos to join the project but had withdrawn from the project in the first year. These 10 veteranos had participated, on average, in 20 activities (Table 8-8). The mean number of decision-making activities they had been involved in was 5, 13 operational activities, and 2 supporting activities. Although still high, these numbers reflect the fact that 1 household had withdrawn before having actually harvested timber. By contrast, the 6 novos13 (out of the 9 that were involved in the project at the time of the interviews) I interviewed had participated in an average of 11 activities (4 decisionmaking, 7 operational, and 1 supporting). Finally, the 11 households interviewed that were not harvesting timber had participated, on average, in only 1 activity. Table 8-8: Mean number and range of project activities by household status in the timber project and types of activities PORTO DIAS CACHOEIRA TIMBER PROJECT ACTIVITIES VETERA N (N=7) NEW (N=3) WITHOUT HARVEST AREAS (N=14) VETERAN (N=10) NEW (N=6) WITHOUT HARVEST AREAS (N=11) ALL ACTIVITIES P. Dias N=42; Cach.N=41 24 a (16-30) b 9 (8-10) 1 (1-3) 20 (7-27) 11 (6-16) 1 (1-6) DECISION-MAKING ACTIVITIES P. Dias N=9; Cach. N= 11 6 (5-7) 2 (1-3) 1 (1) 5 (2-9) 4 (1-7) 1 (1-4) OPERATIONAL ACTIVITIES P. Dias N=29; Cach. N=23 18 (11-24) 6 (4-9) 1 (1-3) 13 (4-19) 7 (4-9) 1 (1-3) SUPPORTING ACTIVITIES P. Dias N=4; Cach. N=7 1 (1-2) 1 (1) 0 2 (1-3) 1 (1-2) 0 a Mean number of activities households had participated in. b Range of number of activities hous eholds had participated in. 13 At the time of the interviews, one of these new households had just “bought” another colocação in Cachoeira and, as a consequence, was goi ng to have to withdraw from the project.

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223 As is shown in Table 8-8, in both reserves, there were no households that had been involved in 100% of the project activities, whether decision-making, operational, or supporting. For example, among the veterans, the maximum number of activities (overall) carried out, in Porto Dias, was 30 out of 42 total activities and, in Cachoeira, 27 out of 41 total activities. However, collectively, or as a group, veterans in both reserves had been involved in almost all of the activities (see Figures 8-6 and 8-7). In Porto Dias, out of the 41 total activities, only 1 supporting activity was not mentioned by veteran households interviewed: watched others working (Figure 8-6). However, despite not having explicitly stated it, veterans regularly watch (and work with) their colleagues carry out project activities. By comparison, new households collectively had participated in approximately half of the decision-making activities that veterans had been involved in, one third of the operational activities, and one fourth of the supporting activities. The number of activities of households not officially involved in the project was considerably lower (1 decision-making and 5 operational) than veteranos and novos.

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224 OPERATIONAL ACTIVITIES (N = 29) Veteran households = 29 New households = 10 Households not officially involved = 5 DECISION-MAKING ACTIVITIES (N=9) Veteran households = 9 New households = 5 Households not officially involved = 1 SUPPORTING ACTIVITIES (N=4) Veteran households = 3 New households = 1 Households not involved = 0 +Demarcated harvest area +Tagged trees +Identified trees for regeneration +Cut vines +Mapped skid trails +Opened up skid trails +Cut trees +Measured logs +Participated in courses +Transported timber to city + Helped with road maintenance +Transported timber to dirt road +Sold timber +Helped find buyers & trucks + Helped other participants + Signed documents + Received wages +Cut logs into sections +Tagged cut sections +Transported timber to highway +Checked trees for defects +Oversaw felling +Got others to demarcate harvest area +Distributed profits to participants +Oversaw processing at sawmill +Have equipment + Provided food +Bought materials for project +Provided information about forest/trees +Selected trees to cut +Negotiated price +Picked new participants +Voted on new participants +Voted on project decisions +Made recommendations to foresters + Attended project meetings +Recommended trees to cut +Recommended location of skid trails +Washed clothes +Lent materials for use in project Watched others work +Planted seedlings LEGEND Activities with + sign: Activities carried out by veteran households Activities underlined : Activities carried out by new households Activities in italics : Activities carried out by households not officially involvedPORTO DIAS Figure 8-6: Porto Dias—Types of activitie s by household status in the project In Cachoeira, veterans interviewed stated that they had not picked the new participants (households), one of the 11 decision-making activities mentioned (Figure 87). Veterans also did not mention washing cl othes of individuals who had worked in the harvest areas (a supporting activity). Other than these 2 activities, veterans interviewed in Cachoeira had participated in 39 of the total of 41 activities. By comparison, new households collectively had participated in 22 activities (7 decision-making, 12 operational, and 3 supporting), or a little over half of the number of activities veterans had been involved in. Households not officia lly involved had participated in, as a group, in 4 decision-making activities and 5 operational activities. Among these households is a family that is generally very actively involved in whatever is happening in the reserve

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225 (projects, road construction, politics, etc.) and this explains why such a relatively high number of decision-making activities (compared to the same group in Porto Dias) was found to have involved this group of households. +Demarcated harvest area +Tagged trees +Identified trees for regeneration +Cut vines +Mapped skid trails +Opened up skid trails +Cut trees+Measured logs + Participated in courses +Paid taxes +Transported timber to city +Helped with road maintenance + Transported timber to dirt road +Sold timber +Hired sawyer +Helped find buyers & trucks + Helped other participants +Signed documents + Received wages +Have equipment +Provided food +Bought materials for project + Provided information about forest/trees +Selected trees to cut +Acted as facilitator + Helped define rules +Negotiated price Picked new participants +Voted on new participants + Voted on project decisions + Made recommendations to foresters +Attended project meetings + Recommended trees to cut +Recommended location of skid trails +Accompanied other to harvest area +Visited harvest area Washed clothes +Took care of workers +Lent materials for use in project +Visited sawmill/ woodworkers +Planted seedlings DECISION-MAKING ACTIVITIES (N=11) Veteran households = 10 New households = 7 Households not officially involved = 4CACHOEIRAOPERATIONAL ACTIVITIES (N=23) Veteran households = 23 New households = 12 Households not officially involved = 5 SUPPORTING ACTIVITIES (N=7) Veteran households = 6 New households = 3 Households not involved = 0 LEGEND Activities with + sign: Activities carried out by veteran households Activities underlined : Activities carried out by new households Activities in italics : Activities carried out by households not officially involved Figure 8-7: Cachoeira—Types of activities by household status in the project The relationship between household status in the timber project and number of project activities carried out was found to be statistically significant, as was the number of years households had been involved in the timber project (which is highly correlated to status in the timber project) and the number of project activities in which they had participated. Table 8-9 shows the rank means for number of activities in which veteranos, novos, and households not officially invol ved participated, distinguished by type of activities. Lower mean ranks indicate that households participated in a fewer

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226 number of project activities, and vice versa. As Table 8-9 shows, in both reserves, household status in the timber project and households’ participation in (1) all project activities, and (2) types of project activities (decision-making, operational, and supportive) was statistically significant beyond the five percent level of confidence. Table 8-9: Kruskall-Wallis test for status in timber project and timber project activities PORTO DIAS CACHOEIRA TYPES OF ACTIVITIES TYPES OF ACTIVITIES STATUS IN TIMBER PROJECT All activities Decision making activities Operational activities Supporting activities All activities Decision making activities Operational activities Supporting activities Mean Rank Mean Rank Mean Rank Mean Rank N Mean Rank Mean Rank Mean Rank Mean Rank N VETERAN 21.00 21.00 21.00 15.71 7 21.50 20.05 21.50 20.75 10 NEW 16.00 15.33 16.00 14.33 3 16.08 17.08 16.17 12.83 6 NOT OFFICIALLY INVOLVED 7.50 7.64 7.50 10.50 14 6.05 6.82 6.00 8.50 11 Kruskall Wallis chi-square (df 2) 18.3** 18.8** 18.7** 6.6* 20.6** 16.0** 21.1** 16.2** * Significant at p < .05 (1-tailed) ** Significant at p < .01 (1-tailed) Similar findings were found when looking at the number of years households had been officially involved in the timber project (that is, years since the household had been officially registered as a colocação from which timber could be harvested).14 Table 8-10 shows that the higher the number of years a household had been involved in the timber project, the higher the number of project activities the household had done.15 14 The reason I also looked at the number years of i nvolvement was because one of the veteran households in Cachoeira had withdrawn from the timber project within one year. 15 Households whose colocações are not officially demarcated for timber harvesting were coded as 0 years; novos 1 and 2 years for Porto Dias and Cac hoeira households, respectively, and; veterans 5 and 2 years, respectively.

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227 Table 8-10: Spearman correlation coefficients for number of years in the project and number of project activities PORTO DIAS CACHOEIRA TIMBER PROJECT ACTIVITIES Number of years in timber project (0-5 years) Number of years in timber project (0-2 years) All activities .89** .91** Decision-making activities .90** .80** Operational activities .90** .92** Supporting activities .53** .83** ** Significant at p < .01 (1-tailed) Having been part of the timber project for a greater number of years—and thus having accumulated more experience, learning, and training along the way—it is not surprising that the veteranos had participated in more project activities than households that more recently joined the project and households that were not officially involved in the project. However, the differences in the level of participation among these groups had as much to do with other factors as they did with the number of years of involvement in the project. First, households whose colocações are not demarcated for timber harvesting (and, therefore, are not officially considered participants in the project) participated in few project activities largely because the majority of the project activities occur in the harvest areas of the colocações. However, as Table 8-8 demonstrated, even among households that have harvest areas (veteran and new households), household participation in project activities varied greatly, particularly between the veteranos and the novos. In Porto Dias, the “new” families I interviewed had just joined the project and, as such, were still at the stage of carrying out the pre-harvesting activities (e.g., demarcating harvest areas, tagging trees, etc.). In Cachoeira, however, all of the more

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228 recent families had already done all of the preparatory pre-harvesting work and had been ready for at least a year to harvest timber. The problem was that the road had yet to be extended to reach their colocações. Without a means to transport the timber out, all activities were at a standstill. Besides significant differences in the number of activities carried out, there is also a marked difference in how each group of households has approached and talks about the timber project. In both Porto Dias and Cachoeira, veteranos discuss the project with a mix of pride and frustration, a reflection of the limited successes and intermittent failures they have experienced, and the determination to see the project succeed. Discussions were often high on emotions, infused with technical forestry jargon and reflected personal journeys of mistakes, lessons learned, and attempts to adapt. With the exception of one or two, the novos were generally warier of the timber project and more tempered in their discussions. They, as well as households considering getting involved, talked about the project in more cautious terms, stressing that their participation was (or would be) conditional and that they would withdraw if things did not work out. Several had talked with veteranos about the problems of the project or heard about them during meetings and conversations with neighbors and family. In Porto Dias, it apparently was not easy to convince additional households to join the project in 2002. Households spoke about CTA personnel visiting them at their homes, and family members already involved in the project trying to persuade them to harvest timber. In Cachoeira, most of those contemplating par ticipating in the project starting in 2003 were households that had already been involved in the project but had withdrawn either because they had traded colocações or had been frustrated waiting for the road to pass by

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229 their homes. An additional few interested households were close relatives (sons, brothers) of veteran households. Years of Residency in the Reserve In Porto Dias, veteran households (and, thus, households that have been the most involved in the timber project) had been living in the PAE, on average, 10 years more than households that had joined the project in 2002, and 13 years more than households interviewed that were not officially involved in the timber project (Table 8-11). The average number of years they had been living in their colocação (at the time of the interview) was 18 years, or 11 years more than new households and households without timber harvest areas. Table 8-11: Household residency in colocação and PAE (Porto Dias and Cachoeira) PORTO DIAS CACHOEIRA HOUSEHOLDS’ STATUS IN PROJECT # YEARS LIVED IN PAE # YEARS LIVED IN COLOCAÇÃO # YEARS LIVED IN PAE # YEARS LIVED IN COLOCAÇÃO ALL HOUSEHOLDS Porto Dias N=24 Cachoeira N=27 16 (3 months – 42 years) 10 (3 months – 37 years) 17 (1 – 44 years) 29 (4 45 years) VETERAN HOUSEHOLDS Porto Dias N=7 Cachoeira N=10 25 (16 – 37) 18 (12 37 years) 15 (1 – 33 years) 32 (18 – 45) NEW HOUSEHOLDS Porto Dias N=3 Cachoeira N=6 15 (3 – 27 years) 7 (3 – 15 years) 20 (4 – 20 years) 29 (4 – 43 years) HOUSEHOLDS NOT OFFICIAL INVOLVED Porto Dias N=14 Cachoeira N=11 12 (3 months – 42 years) 7 (3 months – 20 years) 17 (1 – 44 years) 26 (6 – 44 years)

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230 How long households had been residing in the reserve and in the colocação (where they were living at the time of the interview) was found to be statistically significant in Porto Dias in terms of households’ level of participation in the timber project. This was not found to be the case in Cachoeira. As indicated in Table 8-12, in Porto Dias, the greater the number of years of residency in the PAE and in the colocação, the higher the number of all, decision-making, and operational activities in which households had participated. Table 8-12: PORTO DIAS—Spearman correlation coefficients for household years of residency (in PAE and colocação) and number of project activities in which households had participated TIMBER PROJECT ACTIVITIES # YEARS HOUSEHOLD HAS RESIDED IN THE PAE # YEARS HOUSEHOLD HAS RESIDED IN COLOCAÇÃO ALL ACTIVITIES Porto Dias N=42 Cachoeira N= 41 .395** .451* DECISION-MAKING ACTIVITIES Porto Dias N=9 Cachoeira N= 11 .379** .464* OPERATIONAL ACTIVITIES Porto Dias N=29 Cachoeira N= 23 .428** .492* SUPPORTING ACTIVITIES Porto Dias N=4 Cachoeira N= 7 NS NS * Significant at p < 0.05 (1-tailed) ** Significant at p < 0.01 (1-tailed) Production Systems Rubber production One of the most striking differences between Porto Dias and Cachoeira is the amount of rubber produced by veteran and new households. While in Porto Dias, the

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231 majority of households involved in the timber project tap rubber, this is not the case in Cachoeira (Tables 8-13 and 8-14). Table 8-13: Rubber trails in use by households in Porto Dias and Cachoeira HOUSEHOLDSÂ’ STATUS IN PROJECT PORTO DIAS CACHOEIRA ALL households Households with at least one rubber trail in use 21 (88%) 14 (52%) Porto Dias N=24 Cachoeira N=27 Average number of rubber trails in use 3 2 Range 0 to 6 trails 0 to 9 trails VETERAN households Porto Dias N=7 Cachoeira N=10 Households that had at least one rubber trail in use 6 (86%) 0 (0%) Average number of rubber trails in use 2 0 Range 0 to 3 trails 0 NEW households Porto Dias N=3 Cachoeira N=6 Households that had at least one rubber trail in use 3 (100%) 4 (67%) Average number of rubber trails in use 2 3 Range 0 to 4 trails 0 to 7 trails Households NOT OFFICIAL INVOLVED Porto Dias N=14 Households that had at least one rubber trail in use 12 (86%) 9 (82%) Cachoeira N=11 Average number of rubber trails in use 3 3 Range 0 to 6 trails 0 to 9 trails

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232 Table 8-14: Average number of kilos of rubber produ ced by households in Porto Dias and Cachoeira HOUSEHOLDS’ STATUS IN PROJECT PORTO DIAS (2000-2001) CACHOEIRA (2001) ALL households 560 (77-1000) 764 (80-2000) VETERAN households 667 (200-1000) 0 NEW households 460 (150-615) 783 (80-2000) Households NOT OFFICIAL INVOLVED 531 (77-1000) 755 (400-2000) As illustrated in the tables, none of the veteranos in Cachoeira tap rubber. Despite their significant involvement in the rubber tapper movement and their strong selfidentification as rubber tappers, the majority of them had stopped rubber tapping several years before the timber project was implemented. On average, 6 years had passed since they had last collected rubber but for some it had been 13-14 years since they had last rubber tapped. Interestingly, 4 of the 10 veteran households had stopped rubber tapping after the timber project had started. In Porto Dias, 6 of the 8 veteranos were still rubber tapping at the time of the interviews.16 Two had stopped after becoming involved in the timber project, one in 1997 and the other in 1999. Among the 6 “new” households interviewed in Cachoeira that had joined the timber project in 2001, the majority were still tapping rubber. Two were not tapping but approximately 15 years had passed since they had last done so. In Porto Dias, all 3 novo households interviewed were tapping rubber and, at the time, were planning to continue. 16 Although only 7 of the 8 veteran households were interviewed, I did visit the 8th household and was able to get some information.

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233 And among the 11 households interviewed in Cachoeira whose colocações were not demarcated for timber harvesting, only 1 had stopped tapping rubber. Similarly, in Porto Dias, only 2 of the 14 households interviewed that were not officially involved in the project were not rubber tapping. Thus, in Cachoeira, a highly significant negative relationship was found between number of rubber trails in use and number of project activities in which households had participated (Table 8-15). By extension, the same was found for kilos of rubber produced and household participation in the timber project (Table 8-15). In other words, households that had fewer opened rubber trails and produced fewer kilos of rubber (largely, the veteran households) were found to have participated in a significantly greater number of timber project activities (across all categories). Table 8-15: CACHOEIRA—Spearman correlation coefficients for rubber production and number of project activities households had participated in TIMBER PROJECT ACTIVITIES # OF RUBBER TRAILS CUT KILOS OF RUBBER PRODUCED YEARS SINCE LAST RUBBER TAPPED ALL ACTIVITIES (N= 41) -.667** -.602** .565** DECISION-MAKING ACTIVITIES (N= 11) -.571** -.498** .493** OPERATIONAL ACTIVITIES (N= 23) -.684** -.622** .592** SUPPORTING ACTIVITIES (N= 7) -.668** -.633** .564** ** Significant at p < 0.01 (1-tailed)

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234 In addition, the greater the number of years that had passed since the household had last tapped rubber, the higher the number of project activities that household had been involved in (Table 8-15). In Porto Dias, there was no significant difference in household participation in the timber project based on the number of rubber trails opened, kilos of rubber produced, and years since last tapped rubber. In Cachoeira, multiple and complex reasons were given for no longer engaging in what historically was one of the dominant production systems of these families. Among the veteran households, one female head of household explained that her husband spent most of his time working in the city. With an older son who, like many of his generation in the reserve, was not interested in tapping rubber, and unable to find a part time laborer, they had decided to stop rubber tapping. The low monetary return for what is an arduous and extremely time-consuming activity was one of the main reasons many had abandoned the activity. This was combined with a preference for agricultural production or employment that guaranteed a monthly salary, such as teaching. Another head of household explained that he “always has been working in the (rubber tapper) movement” and found it simply too difficult to find the time to also tap rubber. Lack of time was echoed by others involved in the project: “I have the roçado (agricultural plot), I saw wood for others, and I have to take wood out of my own colocação,” explained one of the veterans who had been cutting rubber since he was 8. Even among the households that did not intend to harvest timber, rubber tapping was considered an economically precarious activity. One resident of the reserve who had tapped rubber for most of the 44 years he had spent in Cachoeira, had stopped the year before, citing the 30-day waiting period for r eceiving the rubber subsidy from the state

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235 government and the low price of rubber. Among those who were still tapping rubber, several had stopped for a while because of the low price that rubber fetched compared to other products. Before the state government had stepped in with the subsidy, many had completely stopped rubber tapping. “Nobody wanted rubber,” said a longtime rubber tapper who stopped for 2 years before the subsidy was put into effect. But even with the help of the subsidy, many felt that the bureaucracy one had to go through to get the subsidy, coupled with financial problems facing the cooperative in Xapuri (one of the major buyers of Cachoeira’s rubber) which allegedly resulted in delays in providing the subsidy, were discouraging people from rubber tapping. Although still tapping rubber, one of the rubber tappers remarked with considerable frustration, “I go all the way to Xapuri, get paid R$.8017 per kilo and then have to return 30 days later to get the R$.70 in subsidy.” He added that more often than not, he had to make a second or even third trip before actually receiving the subsidy. In Porto Dias, the situation differs in significant ways. For many of those who are involved in the timber project (and many others living in the center of the reserve), rubber tapping is what distinguishes them from a growing population of agriculturally-oriented migrants that are settling in the reserve. Extraction of timber is viewed by most in the project as a forest activity whose purpose is to complement non-timber forest production systems, including rubber tapping and Brazil nut collection. For some, strengthening forest management activities, both timber and non-timber, represents a major bargaining tool in the fight to keep Porto Dias from being turned into a colonization settlement project. A diversified production system is also seen, by most, as the best and most 17 Approximately US$.30 (2003).

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236 reliable and secure household economic strategy. Nonetheless, not all households involved in the timber project are in agreement and there has been a considerable amount of tension over the relative importance of non-timber forest products, particularly rubber. Even with the subsidy, rubber pays little for the amount of labor invested, compared to many other forest products, particularly timber. The timber project also requires a heavy investment of time during the dry months, which overlaps with the rubber tapping season. Brazil nut production The situation is drastically different when it comes to the production of Brazil nuts, a forest product that, for the most part, has a guaranteed market and fetches better prices compared to rubber.18 In Porto Dias, households interviewed did not significantly differ in the amount of Brazil nuts they collected19 and, consequently, no association was found between household Brazil nut production and number of timber project activities in which households had participated. In Cachoe ira, however, households that had collected more Brazil nuts (latas, the unit of measurement used in the reserves) had participated in a statistically significant greater number of timber project activities (Table 8-16). Table 8-16: CACHOEIRA—Spearman correlation coefficients for production of Brazil nuts (latas) and number of project activities households had participated in TIMBER PROJECT ACTIVITIES # OF LATAS OF BRAZIL NUTS COLLECTED ALL ACTIVITIES .481** DECISION-MAKING ACTIVITIES .382* OPERATIONAL ACTIVITIES .492** SUPPORTING ACTIVITIES .449* * Significant at p < 0.05 (1-tailed) ** Significant at p < 0.01 (1-tailed) 18 Depending on the buyer and month, Brazil nuts, in 2001 and 2002 in Porto Dias and Cachoeira, typically fetched between R$2.50 to R$5.00 ($.80 to $1.60) per lata (can). 19 On average, households had collected 137 latas of Brazil nuts.

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237 However, there was a difference in the production of Brazil nuts between households not officially involved in the tim ber project and veteran and new households, but not between veteran and new households (Tables 8-17 and Table 8-18). Table 8-17: CACHOEIRA—Average number of latas of Brazil nuts collected by households HOUSEHOLDS’ STATUS IN PROJECT AVERAGE NUMBER OF LATAS OF BRAZIL NUTS (and range) (2001) ALL households 389 (15-1100) VETERAN households 564 (150-1300) NEW households 388 (20-800) Households NOT OFFICIAL INVOLVED 229 (15-1100) Table 8-18: CACHOEIRA—Mann-Whitney U statistics for latas of Brazil nuts collected and household status in the timber project LATAS OF BRAZIL NUTS COLLECTED (2001) N HOUSEHOLD STATUS IN THE TIMBER PROJECT Mean Rank Without harvest area 7.50 11 Veteran 14.85 10 Mann-Whitney U 16.5* Without harvest area 8.27 11 New 10.33 6 Mann-Whitney U 25.0 (NS) New 9.45 6 Veteran 6.92 10 Mann-Whitney U 20.5 (NS) * Significant at p < 0.05 (1-tailed)

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238 Higher Brazil nut production among households in Cachoeira involved in the timber project is due to a number of factors. Their participation in Cachoeira’s Brazil nut project back in the 1980s, membership in AMPPAE-CM (which has close historical ties with the cooperative in Xapuri and other organizations which have provided access to credits, transportation, equipment, and markets), the proximity of veteran households to the road (which facilitates the transportation of Brazil nuts out of the reserve to nearby markets), and the fact that these households have tended to produce less rubber and, therefore, may depend more on Brazil nuts as a major source of income, are perhaps some of the reasons for higher Brazil nut production among these families. Agricultural production Agricultural production among rubber tappers in Porto Dias and Cachoeira has tended to be modest, usually limited no more than 2 hectares and carried out primarily for subsistence purposes. This is the result of a combination of factors, including formal natural resource use regulations that limit, in PAEs, the total area per colocação that can be deforested; a general lack of sufficient infrastructure to transport production out of the reserve (a problem in Porto Dias); distant markets, low market prices; and a history and practice among rubber tappers of limited agricultural production.20 However, in both reserves, agricultural production is a point of considerable debate among rubber tappers, particularly among households officially involved in the timber projects. In Porto Dias, the debate is aimed largely at the agriculturally-oriented families that have settled in the reserve and are perceived as threatening the area’s status as a PAE. 20 Up until the 1920s, before the total collapse of the rubber boom, it had not been uncommon for rubber barons to prohibit rubber tappers from subsistence agri cultural production. This was used as a coercive means by rubber barons to ensure that rubber tappers remained indebted to them (Bakx 1988).

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239 The production of agricultural crops, as a dominant household production system, is seen as a threat to not only the forest-based livelihood systems of the rubber tappers residing in Porto Dias but to the future of the PAE (discussed in Chapter 9). On the other hand, limited agricultural production for subsistence purposes and limited trade within the reserve, was seen as invaluable among most of the households I interviewed. So much so, that households involved in the timber pr ojects that had reduced or stopped cultivating their roçados (agricultural plots) had been severely criticized for doing so. Having to buy staples such as beans, rice, manioc, and corn was viewed many as counterproductive to self sustenance by increasing dependency on outsiders and the cash economy. In Cachoeira, households involved in the timber project are pushing in the opposite direction, trying to move completely away from agricultural production. The argument that was presented was two-fold: not only did planting agricultural products, even small plots for subsistence purposes, increase deforestation in the reserve, but buying beans, rice, and other staples from nearby coloniza tion projects could serve as a way to support small agriculturalists in their own battle to secure a livelihood (discussed in Chapter 9). Given the different debates surrounding agricultural production in each reserve, it was not surprising to find that in Porto Dias there was no relationship between the number of agricultural plots (roçados) or total hectares under cultivation and households’ participation in the timber project. In Cachoeira, the opposite was found: households with fewer hectares under agricultural production had participated in a greater number of project activities (overall) and decision-making activities (Tables 8-19 and 8-20). However, no difference was found between the number of roçados households had and their level of participation in the timber project.

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240 Table 8-19: Average area (ha) under agricultural production by households in Cachoeira (2002) HOUSEHOLDS’ STATUS IN PROJECT AREA UNDER AGRICULTURAL PRODUCTION (HA) ALL households 1.85 (0.0-8.75) VETERAN households 1.2 (0 – 3.00) NEW households 1.34 (.75 – 1.80) Households NOT OFFICIAL INVOLVED 2.7 (.50 – 8.75) Table 8-20: Spearman correlation coefficients for hectares under agricultural production and number of project activities household participated in Cachoeira TIMBER PROJECT ACTIVITIES AREA UNDER AGRICULTURAL PRODUCTION (HA) ALL ACTIVITIES -.389* DECISION-MAKING ACTIVITIES -.486* OPERATIONAL ACTIVITIES NS SUPPORTIVE ACTIVITIES NS * Significant at p < 0.05 (1-tailed) Socioeconomic Status Households in Porto Dias and Cachoeira vary greatly in socio-economic status. Differences in wealth of households are most visible in the structure of the house (“modern” versus “traditional”) and household material possessions (notably, furniture, kitchen appliances, and decorative pieces bought in the city).21 Reflecting a general 21 Data were collected on household annual income and major source of income (rubber, Brazil nuts, timber, agricultural products, other) but found to be unreliable. In the majority of interviews, I felt that informants were not comfortable providing information about their level and sources of income and it was not uncommon to be given multiple and often contradictory information. This probably was impacted by

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241 trend among rubber tappers (see Ehringhaus et al. n.d; Neves 2003), households in Porto Dias and Cachoeira have been shifting, with increased access to income and other sources of cash and credit, from “traditional” palm houses (constructed primarily from palm trunk slats for the flooring and the walls, and palm leaf thatching) to “modern” timber houses (floors and walls made of timber boards and roofs composed of either timber shingles, aluminum, or asbestos sheets) (see Ehringhaus et al. n.d.: 7). Although differences in house structure were not found to be statistically associated with households’ level of participation, in Porto Dias, households with roofs made of brasilite, an asbestos-based sheeting that is the most expensive type of roof found in the reserve, were found to have participated in a greater number of timber project activities (overall, decision-making, and operational) compared to households with timber shingles, the most common type of roof used (Table 8-21).22 Out of all the households interviewed, only households involved in the timber project since the begi nning (i.e. veteran households) had put roofs made of brasilite. Table 8-21: Mann-Whitney U statistics for type of house roof and household participation in project activities TYPES OF ACTIVITIES TYPE OF HOUSE All activities Decisionmaking activities Operational activities Supporting activities ROOF Mean Rank Mean Rank M ean Rank Mean Rank N Brasilite 13.30 12.90 13.40 9.50 5 Sawn timber shingles 6.32 6.50 6.27 8.05 11 Mann-Whitney U 3.5** 5.5** 3.0** NS ** Significant at p < .01 (1-tailed) the fact that they did not know me (and, therefore, had no way of knowing if they could trust me) and that I was asking about timber management , a politically sensitive issue. 22 No statistically significant difference in house hold participation was found between households with aluminum, brasilite , or timber shingles and households with palm leaf thatching. One reason for this is the fact that one of the new households in the timber project, which has a relatively high participation in the timber project, has a roof made of palm leaves.

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242 In both Porto Dias and Cachoeira, households varied greatly in the types and amount of household material possessions they had in their homes. While some households had kitchen appliances brought in from the city, such as gas stoves and numerous pans and pots, other households had handmade mud stoves and a few, broken kitchen utensils. Similarly, some households I visited had factory manufactured furniture (sofas, beds, bookshelves, etc) and decorative trinkets (vases, rugs, picture frames, stuffed animals, etc.) while others had the bare minimum, usually a bench or two and a table handmade by household members themselves. Table 8-22 shows the rank means and Whitney-Mann U statistics for householdsÂ’ material possessions (many, moderate, few) and households participation (number of project activities, distinguished by type). Lower mean ranks indicate that households participated in a fewer number of project activities, and vice versa. As can be seen from Table 8-22, in Porto Dias, only households with many material possessions had participated in a significantly higher number of timber project activities (all, decision-making, and operational) compared with households with few material possessions. Households I visited that had the most appliances, pieces of furniture, etc. were always veteranos, or households that had been involved in the timber project for a number of years. Other households did have some material possessions, usually a gas-stove, but tended not to have many. By comparison, in Cachoeira, there was a much higher disparity in material possessions among households. While some had everything from decorative objects to a television set, others had practically nothing. Moreover, there was a marked difference between veteranos, with some having recently bought solar panels and televisions, and novos, a few of whom were among the poorest families I had visited. These accentuated

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243 differences in material possession between veteranos, on the one hand, and the rest of the households interviewed (novos and families not officially involved in the timber project), on the other hand, are reflected in Table 8-22. Households with many material possessions (essentially, the veteranos) participated in a significantly greater number of project activities, compared to households with moderate or few possessions (novos and families not involved). Table 8-22: Mann-Whitney U statistics for household material possessions and household participation in project activities PORTO DIAS CACHOEIRA TYPES OF ACTIVITIES TYPES OF ACTIVITIES HOUSEHOLD All activities Decision making activities Operational activities Supporting activities All activities Decision making activities Operational activities Supporting activities MATERIAL POSSESSIONS Mean Rank Mean Rank Mean Rank Mean Rank N Mean Rank Mean Rank Mean Rank Mean Rank N MANY 10.80 10.40 11.10 8.60 5 15.06 14.83 14.83 14.72 9 MODERATE 8.25 8.42 8.13 9.17 12 6.77 6.95 6.95 7.05 11 Mann-Whitney U NS NS NS NS 8.5** 10.5** 10.5** 11.5** MANY 9.00 8.90 9.00 7.20 5 11.11 10.33 11.11 10.67 9 FEW 4.71 4.79 4.71 6.00 7 5.14 6.14 5.14 5.71 7 Mann-Whitney U 5.0* 5.5* 5.0* NS 8.0* NS 8.0* 12.0* MODERATE 11.29 11.83 11.25 10.88 12 8.68 9.14 8.27 8.86 11 FEW 7.79 6.86 7.86 8.50 7 10.79 10.07 8.86 10.50 7 Mann-Whitney U NS NS NS NS NS NS NS NS * Significant at p < .05 (1-tailed) ** Significant at p < .01 (1-tailed) In both Porto Dias and Cachoeira, individuals I talked to consistently listed households with “modern” houses and the most material possessions as being the

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244 wealthiest families in the reserve.23 When I ranked households according to how frequently they were listed as being wealthy, and ran Spearman’s correlations with household participation in project activities, I found that households listed with greater frequency were also households that had higher levels of participation in the timber project (Table 8-23). Table 8-23: Spearman correlation coefficients for household wealth status and project activities PORTO DIAS CACHOEIRA All activities Decision making activities Operational activities Supporting activities All activities Decision making activities Operational activities Supporting activities WEALTH STATUS .344* .422* NS NS .508** .408* .544** .476** * Significant at p < .05 (1-tailed) ** Significant at p < .01 (1-tailed) Forest Ecology and Topography Although ecological and topographical data about the forests of households interviewed was not available24 or feasible to collect, conversations with rubber tappers revealed that these factors greatly impacted households’ ability to participate in timber project activities. In the first place, the ecological and topographical characteristics of a colocação’s forested land determine if a household can formally participate (harvest timber) in the project. In both Porto Dias and Cachoeira, there have been instances where households that have shown an interest in formally joining the timber project and, despite having met all the necessary social criteria for selection (membership in the main association, proximity to the road, etc.), have not been able to join because of ecological 23 Heads of households and their spouses were each as ked to list the families in the reserve that they thought were the wealthiest. 24 Limited ecological information is available for th e households which have harvest areas demarcated and inventoried (available from: CTA, SEFE, SEATER fore sters in Cachoeira, and the Cachoeira community project coordinator).

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245 and topographical considerations. These in clude: forests dominated by bamboo; forests that, because of either natural conditions or previous logging activities, have few commercial species; seasonally flooded forests; and forests that are sources of water springs, have many streams, and/or are on slopes. Aside from playing a role in determining whether or not a particular household can officially enter the timber project, ecological factors have also impacted the extent and quality of participation of households formally involved. For example, the presence and abundance of particular tree species impact the volume of timber that a household can harvest. None of the households involved in the timber projects in Porto Dias and Cachoeira carry, in their harvest areas, all of the commercial species available. This greatly impacts, for example, produtores in Cachoeira who harvest timber based on requests by AVER or the Pólo for specific types of wood. Depending on the request made, some households end up harvesting timber while others cannot by virtue of not having, or having too few individuals of, that particular tree species in their forest. The ecology of forests and tree species has also affected some households’ participation in specific activities. For example, in Cachoeira, the selection of trees to cut is left to the particular colocação’s owner, on the condition that one “daughter” and two “granddaughters” of the tree selected for harvesting are found in the harvest area. In addition, the “mother” (the tree selected for harvesting) must be no smaller than 40 cm in diameter. As such, in the end, the ecological characteristics of tree species (population density, abundance, etc.) have a significant impact on the extent to which a produtor can select which trees to harvest. Households’ participation in post-harvesting activities has also been impacted by the ecology of forests and tree species in their colocações. In one

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246 situation, a produtor had completed the pre-harvesting and harvesting activities (e.g., identified seedlings and saplings for regeneration, tagged trees to be harvested, etc.) but was stopped short of carrying out any post-harvesting activities (e.g., transport timber, sell, etc.) because the trees he had selected for felling were found to be rotten or hollow. Instead of harvesting the anticipated 3m3, he ended up not harvesting any timber. Households’ Distance to Key Infrastructure In Porto Dias and Cachoeira, the number of timber project activities households had participated in was found to be correlated with households’ distance from key infrastructure located inside and outside the reserve. Spearman correlation coefficients are shown in Tables 8-24 and 8-25. Table 8-24: PORTO DIAS—Spearman correlation coe fficients for distances (minutes walking) to key infrastructure and number of project activities in which household participated KEY INFRASTRUCTURE TIMBER PROJECT ACTIVITIES MAIN DIRT ROAD HIGHWAY SCHOOL ASSOCIATION HEADQUARTERS ALL ACTIVITIES (N=42) -.476** .490** NS NS DECISION-MAKING ACTIVITIES (N=9) -.490** .505** NS NS OPERATIONAL ACTIVITIES (N=29) -.494** .454* NS NS SUPPORTING ACTIVITIES (N=4) NS NS 429* NS * Significant at p < 0.05 (1-tailed) ** Significant at p < 0.01 (1-tailed)

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247 Table 8-25: CACHOEIRA—Spearman correlation coefficients for distances (minutes walking) to key infrastructure and number of project activities in which household participated KEY INFRASTRUCTURE TIMBER PROJECT ACTIVITIES MAIN DIRT ROAD HIGHWAY SCHOOL HEALTH POST ASSOCIATION HEADQUARTERS ALL ACTIVITIES (N=41) -.742** -.557** NS -.486** -.679** DECISION-MAKING ACTIVITIES (N=11) -.628** -.532* NS -.469** -.606** OPERATIONAL ACTIVITIES (N=23) -.765** -.605** NS -.512** -.695** SUPPORTING ACTIVITIES (N=7) -.716** -.427* NS -.509** -.628** * Significant at p < 0.05 (1-tailed) ** Significant at p < 0.01 (1-tailed) The main dirt road In both Porto Dias and Cachoeira, the closer households were located to the main dirt road in the reserve, the higher the number of activities (all, decision-making, operational, and supporting) they had participated in (Tables 8-24 and 8-25).25 Households’ ability to harvest timber (and carry out all of the post-harvesting activities) has been conditional on households’ location near the main dirt road that is the main route into and out of the reserve. Thus, compared to those households located far from the dirt road, households located near Pelé’s road and the Fazendinha’s road (as the main dirt road is commonly referred to in Porto Dias and Cachoeira, respectively) (see Figures 8-8 and 8-9) have carried out a greater number of project activities simply because they have had the added advantage of being able to harvest timber. Those closest to the road were typically veteran households (Cachoeir a and Porto Dias) and new households that had recently joined the project (Porto Dias) (Figures 8-8 and 8-9). 25 The exception was in Porto Dias where no association was found between distance to the dirt road and households’ participation in indirect activities.

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248 HIGHWAY ABUNA RIVER MAIN DIRT ROAD (PELɒS ROAD) AREA II AREA I AREA III = “veteran” households interviewed (N=7) = “new” households interviewed (N=3) = The Rubber Tappers’ Association’s headquarters Figure 8-8: Location of key infrastructure in Porto Dias XIPAMANO RIVER MAIN DIRT ROAD (FAZENDINHA’S ROAD) = “veteran” households interviewed (N=10) = “new” households interviewed (N=6) HIGHWAY = health post = AMPPAE-CM’s headquarters Figure 8-9: Location of key infrastructure in Cachoeira In Porto Dias, veteran and new households interviewed were all located relatively close to Pelé’s road. The distance to the dirt road for the veteranos interviewed ranged from 1 minute to 10 minutes, with the average being 4.7 minutes. Households interviewed that had just joined the timber project in 2002 lived a little further away, on average 20 minutes from the dirt road with the closest living 10 minutes away and the

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249 furthest living 30 minutes away. The other novo households that were not interviewed also lived close to the road (one is located on the road and the other is 30 minutes away). By comparison, the households not officially involved in the project were located, on average, 33 minutes away but this varied greatly with some located within five minutes of the road and others as far away as 1 hour and a half. In Cachoeira, veteran households interviewed (including the 1 household that withdrew from the project) were located with in 30 minutes of Fazendinha’s road, at an average of 9 minutes away. Unlike in Porto Dias, novo households in Cachoeira are located much further away from the road. Of those interviewed, the average distance from the road was 1 hour and 35 minutes with the closest household living half an hour away and the furthest 2 and a half hours away. Because it is impossible to transport timber by draught animal across such distances, these families have been involved in relatively few activities. At the time of the interviews, they had yet to carry out many of the harvesting and post-harvesting activities that veteranos had already done. Still, compared to households interviewed which not only did not have their colocações demarcated for timber harvesting but the majority of which also lived considerably further away from the road (on average, 2 hours and 10 minutes away, the novos had participated in considerably more project activities. Most of them had already done the majority of pre-harvesting activities such as demarcating harvest areas, tagging trees, and mapping skid trails. In both reserves, many families that were not officially involved in the timber project voiced an interest in participating in the timber project but cited the lack of access to the dirt road as a major stumbling block. In Porto Dias, the selection of new

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250 participants has largely been determined by the proximity of their colocação to Pelé’s road. Four households I interviewed in 2001 recalled unsolicited visits by CTA foresters to their home to encourage them to get involved (harvest timber) in the project. In 2002, two of these households had decided to enter the project. In Cachoeira, all of the households located by Fazendinha’s road are already involved in the timber project. Since the project started in 2000, a road was built through Cachoeira to give the neighboring rubber estate of Ecuador (which ha d just been declared a PAE) access to the highway. However, households in Cachoeira located near that road are still a considerable distance away. Additional feeder roads exist within the reserve but none are in good enough condition for trucks to pass. The highway Households’ distance from the highway was also found to be correlated with the number of activities in which households had participated (Tables 8-24 and 8-25). In Porto Dias, because the majority of households involved in the project live approximately 30 to 40 km from the highway (between 5 and 8 hours by foot), the greater the distance of households from the highway, the greater wa s their level of participation (see Figure 88). The inverse was true in Cachoeira, where households most active in the project (veteranos) are an average of 4 hours walking distance from the highway (see Figure 89). Thus, in Cachoeira, the closer the households’ distance to the highway, the greater their participation in project activities (the exception again was indirect activities). However, the distance of novo households from the highway varied greatly because of the location of one group (the Ouro group) at the front of the reserve and the other group (Esperaí group) in the middle of the reserve. On average, these households have to walk 4 ½ hours to get to the highway but some are located 3 ½ hours away while others have

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251 to walk up to 6 hours. Finally, households not officially involved in the project and, hence, with the lowest levels of participation are located the furthest from the highway.26 Main association’s headquarters and health post In Cachoeira, the closer the household was located to AMPPAE-CM’s headquarters and the health post, both of which are located in the front of the reserve in the Fazendinha colocação, the higher the number of project activities they had participated in (Table 825).27 The average distance to the Fazendinha colocação among veteran households is 1 hour and 18 minutes compared to 3 hours a nd 25 minutes for new households and 4 hours for households not officially involve d in the project (see Figure 8-9). Summary of Household-Level Determinants of Participation Figures 8-10 and 8-11 summarize the household-level variables that were found to be associated with higher levels of household participation. Those variables are underlined. In Porto Dias (Figure 8-10), households that had participated the most in the timber project were households that: (1) were affiliated with the Rubber Tappers’ Association, for many years, and had household members that had served/were serving on the association’s directorate; (2) were veteran participants in the timber project and had been involved in the project the longest; (3) had been living many years in the reserve and in their colocação; (4) had the highest socio-economic status (had house roofs made of brasilite, had many material possessions, and were perceived by others among the wealthiest in the reserve); and (5) were located the closest to the dirt road but the furthest 26 The average for these households is 6 ½ hours of walking, or between 4 and 8 ½ hours. 27 In Porto Dias, none of the health posts were in operation at the time of the interviews.

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252 away from the highway and, thus, closest to Area I where the reserve’s rubber tapping residents are concentrated. Also, based on qualitative data, households that had large forested areas that were not on slopes, importa nt sources of water, seasonally flooded, or dominated by bamboo, and were high in commercial timber species were able to participate in the timber project. Moreover, the specific harvesting and post-harvesting project activities in which households had been able to participate had been affected by the number of hollow or rotting trees, and range and number of commercial tree species available. In Porto Dias, household-level variables that were not found to be associated with household participation in the timber project were: (1) ownership of the usufruct rights to the colocação; (2) size of the colocação; (3) production variables; (4) availability of key natural resources; (5) distance to schools and the association’s headquarters; and (6) household demographic variables. DISTANCE TO INFRASTRUCTURE (main road , highway , schools, health post, association headquarters)PARTICIPATION of households PORTO DIASAFFILIATION WITH ASSOCIATION (name of association , # of household members affiliated, # of household members serving on directorate , # of months affiliated ) STATUS IN TIMBER PROJECT (veteran, new, not officially involved ; # of years in timber project ) RESIDENCY (# of years lived in reserve , # of years lived in landholding ) PRODUCTION SYSTEMS (# of rubber trails in use, kilos of rubber, years since last tapped rubber, latas of Brazil nuts, hectares under agricultural production, number of agricultural fields, heads of cattle) AVAILABILITY OF NATURAL RESOURCES (game animals, fish, and water; number of rubber trees and Brazil nut trees ) HOUSEHOLD DEMOGRAPHICS (size of household, number of children in household, household development stage) FOREST ECOLOGY AND TOPOGRAPHY SOCIO-ECONOMIC STATUS (house structure, house roof , household material possessions , perceived wealth status ) USUFRUCT RIGHTS TO LANDHOLDING (husband, wife, other) SIZE OF LANDHOLDING Figure 8-10: Household-level variables found in Porto Dias to be associated with household participation in timber project activities Underlined variable s = variables found to be statistically significant or qualitatively important

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253 In Cachoeira, higher levels of household participation in the timber project were found to be associated with the same variables as in Porto Dias but with a few significant differences (Figure 8-11). While years of residency in the reserve and in the colocação were not found to have affected household pa rticipation, households’ levels of production of rubber and Brazil nuts, and agricultural production were found to be associated. Households with the lowest production of rubber, fewer hectares under agricultural cultivation, and highest production of Brazil nuts had higher levels of participation. In addition, households that were located the closest to the association’s headquarters, the health post, and the highway had participated more timber project activities. Similar to Porto Dias, usufruct ownership, size of landholding, availability of key natural resources and household demographic variables were not found to be associated with household participation. DISTANCE TO INFRASTRUCTURE (main road , highway , schools, health post , association headquarters )PARTICIPATION of households CACHOEIRAAFFILIATION WITH ASSOCIATION (name of association , # of household members affiliated, # of household members serving on directorate , # of months affiliated ) STATUS IN TIMBER PROJECT (veteran, new, not officially involved ; # of years in timber project ) RESIDENCY # of years lived in reserve, # of years lived in landholding PRODUCTION SYSTEMS (# of rubber trails in use , kilos of rubber , years since last tapped rubber , latas of Brazil nuts , hectares under agricultural production , number of agricultural fields, heads of cattle) AVAILABILITY OF NATURAL RESOURCES (game animals, fish, and water; number of rubber trees and Brazil nut trees ) HOUSEHOD DEMOGRAPHICS (size of household, number of children in household, household development stage) FOREST ECOLOGY AND TOPOGRAPHY SOCIO-ECONOMIC STATUS (house structure, house roof, household material possessions , perceived wealth status ) USUFRUCT RIGHTS TO LANDHOLDING (husband, wife, other) SIZE OF LANDHOLDING Figure 8-11: Household-level variables found in Cachoeira to be associated with household participation in timber project activities Underlined variables = variab les found to be statistically si gnificant or qualitatively important

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254 Understanding IndividualsÂ’ Participation In this section, I look at the role of individual characteristics and their relationship with individualsÂ’ level and quality of participation in the timber projects. In Porto Dias, I interviewed 47 individuals and, in Cachoeira, 51 individuals. Age Among the 47 and 51 individuals (all adults) interviewed in Porto Dias and Cachoeira, respectively, age was not found to be statistically associated with participation in timber project activities. However, while the majority of timber project activities in Porto Dias and Cachoeira were carried out by adults, young children and adolescents (not interviewed) also had participated in a variety of activities. In Porto Dias, their involvement was, for the most part, informal: tasks done here and there to help their parents. By contrast, however, in Cachoeira a small group of adolescents received training as forest agents called paraflorestais, and were employed to assist the produtores. Porto Dias: The informal nature of childrenÂ’s participation In my visits to Porto Dias in 2001, children seemed virtually absent from the timber project. Parents never mentioned their children being involved, even when asked. But glimpses I caught of harvesting activities as I hiked through the forest, informal chats with children, and stories circulating around the reserve revealed several snapshots of childrenÂ’s involvement in the project. In one instance, a 13-year-old son of a manejador described to me how he had helped his father measure logs. Later, I saw his brother accompany his uncle in the truck, transporting his fatherÂ’s timber to the highway. And, there was also the story of several young boys nearly killed by a felled tree that had

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255 missed its intended landing site. Yet, the parents of these children stated that none of their kids had been involved in any way, either because they did not perceive these incidences as such or, for reasons of their own, did not want to discuss it. This was echoed by every parent when asked about their children and the children of others. The one exception was Edson, who proudly talked about his daughter helping demarcate and do inventories of harvest areas. When I returned in 2002, however, significant changes had taken place in Porto Dias. In a move to increase employment opportunities and community capacity-building, CTA and the manejadores had taken the decision to train a handful of individuals in specialized services for which they would be paid. These included the professions of woodsmen, sawyers, and small craft woodworkers. EdsonÂ’s 12-year-old daughter Maria, who had shown a keen interest in helping her father, was being trained to annotate information collected during demarcations and inventories of harvest area, tag trees, and use the computer. Her mother, Neide, explained to me what her daughter did: She goes to the forest with the others, takes a photo, gets the names of the trees and makes a map. She went to the city, to CTA, to study on the computer with Nivea (CTA coordinator of the timber project). She is the formal plaqueador (person who tags trees) and gets a daily wage of R$10. Bibi talked about his daughter with much pride, emphasizing that Maria loved to study and had ambitions of becoming a forester. Neide was equally proud of her daughter but also missed having her only daughter over the age of 10 in the house to help her. With the exception of Maria, other children (including adolescents) in Porto Dias did not have any formal role in the timber project. Nonetheless, children, especially boys old enough to leave their motherÂ’s side, were always in the periphery of the action, wandering in and out of meetings, and watching men tag trees, transport the logs, etc. In

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256 other production systems, such as rubber tapping and agricultural production, it is common practice for children to help their parents and siblings. National child labor laws, however, are strictly enforced with rega rds to the timber project. In addition, FSC certification regulations are very stringent about child labor and the presence of children (and adults without the proper safety equipment) in harvest areas. Thus, with the exception of pre-approved training opportunities consented by the parents, such as in the case of Maria, minors were not allowed to participate in the most of the timber project activities, particularly in harvesting and post-harvesting activities that posed the greatest physical danger. As of 2003, Maria remained the only child who was formally involved in the project. However, this is expected to change with the finalization of the construction of a small woodworking shop (for the production of small wooden crafts) and the upgrading of the sawmill. A dozen or so residents will be traine d and hired to work as woodworkers and sawmill operators, preference to be given to the children (adolescents and young adults) of manejadores. In anticipation, in 2002, two manejadores had sent their sons to the city to participate in a month-long training course on sawmill operation and maintenance. Cachoeira: The training of paraflorestais and other young professionals Cachoeira is unique in its effort to capacitate and involve the reserve’s younger generation in the timber project. This was being done primarily through the training of adolescents as “forest extension agents,” or agentes florestais, more commonly referred to as paraflorestais. As one of the produtores, whose two sons are paraflorestais, explained to me:

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257 A paraflorestal is a person who works jointly with the forester and begins to get to know the forest. The intention is that one day our association (AMPPAE-CM) will have its own foresters. Their role is to substitute the foresters when they leave. The community now doesn’t have a way to have (its own) forester. The idea of forest extension agents originated in 1990 with the “Projeto Castanha,” a Brazil nut collection and processing project that was implemented in Cachoeira and the nearby city of Xapuri. At the time, two residents of Cachoeira, Juscinei and Francisco (now produtores), received training as paraflorestais as part of a community capacitybuilding effort. When they were trained as paraflorestais 13 years ago, Juscinei and Franciscio were in their early 20s. The timber management project’s paraflorestais are also young, the majority ranging between the ages of 16 and 20. Two groups of paraflorestais were trained, one in 2000 and another in 2001. In total, eight openings were available, most likely determined by the amount of funding provided by SEFE at the time. In 2000, seven boys and one girl were selected and trained by the SEFE forester working in Cachoeira at the time. All eight paraflorestais were either children of and/or nephews/nieces of families that were already harvesting timber or were planning to join the timber project in 2001. I was told that AMPPAE-CM picked this first group of young paraflorestais but there are contradicting stories. According to a mother of one of the paraflorestais, Juscinei, Francisco (the first residents in Cachoeira to be trained as paraflorestais) and the SEFE forester organized a series of workshops that were open to anybody who showed an interest. Another parent, however, said that only the children of families involved in the project, or planning to join in 2001, were invited to participate in the workshops. Some parents, involved in the timber project, recalled Juscinei and Francisco appr oaching them about getting their sons or daughters trained as paraflorestais.

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258 After three of the paraflorestais decided to leave the reserve to study or live in nearby cities, a second group of paraflorestais was selected in 2002. Five adolescents were picked and trained, this time by the community timber project coordinator and the SEATER forester. This included two boys and three girls, three of whom were children of veteran households (households involved in the timber project since 1998) while the remaining two belonged to novo households (households that joined in 2001). As of July 2002, there were a total of eight paraflorestais (five boys and three girls), all of whom were children of households formally involved in the timber project. They were responsible for accompanying and contributing to the work done in harvest areas of all the 20 (17 in 2002) families that were officially participating in the project. Among the activities these young paraflorestais were trained in are: to demarcate the boundaries and subplots of harvest areas; carry out 100% inventories of trees in harvest areas; tag trees inventoried for identification; cut vines; select trees to be felled; measure volumes of standing and felled trees; and annotate and systematize all information (species of trees, location, measurements, etc.). The majority of the activities they were involved in took place in the forest, in the harvest areas. One paraflorestal had an additional task of helping the community project coordinator draw maps of the harvest areas, an activity which was done both in the harvest areas and at home. According to one produtor, among activities that these young adolescents were not involved in was deciding the location of the harvest areas and transporting the wood. All paraflorestais were required to participate in workshops and attend project meetings (unless it was a closed session for the produtores). In addition, they could work as a paraflorestal only

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259 on the condition that they continued their education by attending an intensive, all-day class taught by the SEATER forester on Saturdays. The paraflorestais had a designated “team captain,” an 18-year-old son of a novo produtor. Typically, they worked in two groups of 4 in order for work to be carried out in two colocações at the same time. Each team usually took one or two days to complete each of the timber management activities mentioned above. Produtores did not always work with the same group of paraflorestais but they always accompanied their work in the harvest areas. In addition to the produtor, the community project leader and/or the forester, and other professionals, such as woodsmen, worked closely with these young foresters-in-training. As they have gained experience, they are increasingly being left to work alone with produtores. In addition, they have been helping the community project coordinator and the forester train produtores in specific timber management activities. Paraflorestais received a daily wage of R$10,28 which was a little higher than the average daily wage for commonly requested services in the reserve (e.g., the preparation of agricultural plots for sowing). During the busiest months of May – September, when the majority of timber management activities take place, a paraflorestal can earn up to R$50 per month, which is a little less than half of a typical month’s salary in Brazil. For those paraflorestais who were minors (under the age of 16), parents were required to collect their paychecks. Up until August 2002, SEFE covered the cost of their wages (and training), after which AMPPAE-CM took ove r using money collected (as a 10% tax) from the sale of timber. 28 Approximately US$3.40 (2003).

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260 Opinions of parents and other adults in Cachoeira regarding training adolescents as paraflorestais varied greatly. Some were strongly opposed to children being paid, such a João, who stated: “These children roll up cigars with their notes of R$10. It’s absurd. They easily earn R$250 and they all just sit (in the forest) and only the chainsawyers work.” One of the produtores felt that “there are only benefits for the paraflorestais. They get a wage. Not the produtores.” Joana, whose husband is a produtor, felt that it was not fair that paraflorestais came from families that had other family members who were earning wages or salaries. She explained, “it isn’t right because there are many people who are much older and need money.” Others seemed uncomfortable having minors working: “There are a lot of (young) children working but I don’t know if it’s permitted,” said one of the new produtores. One young mother, whose husband harvested timber, felt that they “are very young, too young to spend the day far from home.” But not everyone was against training children as paraflorestais. The majority of those who approved emphasized the value of training the reserve’s younger generation as a means to increase adolescents’ learning, responsibility, and interest in the reserve’s political affairs, and as a strategy for the reserve to eventually gain independence from professional foresters. A mother of one of the female paraflorestais felt adolescents learned more about the activities discusse d during AMPPAE-CM meetings. Explaining that most of the adolescents usually showed very little interest in these meetings, she felt that paraflorestais are “more involved in the work (of th e project) and are more interested in participating in the (AMPPAE-CM) meeti ngs.” “They will contribute, along with the project, to the future (of the reserve),” she added. Another woman, whose son is a

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261 paraflorestal, felt that, “They will learn more. It’s a type of class (but) outside the classroom, in the forest. One day, they can become foresters.” This was echoed by the father of another paraflorestal: “It’s working well. My son never worked hard before, but now he knows (how to use) the compass. This (knowledge) is passed on to everyone. One day, my son might be a professor of foresters. It is better (to have someone) from here than there (from the university).” One of the produtores, Rogerio, felt that having paraflorestais was the best part of the project because “we are working to not depend on anybody…government, Virgílio (Dr. Viana), or foresters. We want to reach the point where we do everything. It feels better than to have others telling us what to do.” This was echoed by many, including the community project coordinator who believed that being a paraflorestal was about having “access to knowledge” which, he added, leads to “the development (of the person) and the auto-sustainability of the community.” In addition to paraflorestais, one young woman received training to work in the association as a secretary. The daughter of a veteran produtor, Carla received a monthly wage of R$130 to help fill out forms and receipts and keep track of who had personal safety equipment (hardhats, gloves, etc.) loaned out. Other than working as a paraflorestal or secretary, some adolescents and young adults (including some who worked as paraflorestais) had trained as chainsawyers. Chainsawyers got paid anywhere from R$10 to R$60 per cubic meter or from R$23 to R$62 per day, depending on what was negotiated between the produtor and the chainsawyer. Other young men also had provided their services transporting, by oxen, timber from harvest areas to the dirt road. They typically earned a daily wage, which ranged from R$30 to R$40. These young men who worked as chainsawyers and timber

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262 transporters come from families that were harvesting timber and families not officially involved in the timber project. However, because wages were negotiable and there were several individuals, including much older a nd experienced adults, who could provide these services, employment as a chainsawyer or timber transporter for these young men was not as secure as working as a paraflorestal. All of these training and employment opportunities for adolescents in Cachoeira were concentrated among families that were officially involved in the timber project. In some cases, families had more than one child working as a paraflorestal, chainsawyer, and/or timber transporter. One family, for example, had two children working as paraflorestais, and a son as a timber transporter. In addition, children also had been involved in less visible or official ways. This primarily included boys who had helped their fathers with forest management activities but had not been paid a wage or salary. One notable example was a veteran household where the son, a young man in his late teens, had been accompanying all the work of the paraflorestais in place of his father who was employed full-time in Xapuri. In another example, a produtorÂ’s three little boys had helped him transport the timber by oxen. Other produtores also have relied on their sons to accompany the paraflorestais or attend meetings (in this case, older sons) when they, themselves, have not been able to. Thus, in summary, although no association was found between any of the household demographic variables (see Figures 8-11 and 8-12), children in Cachoeira had participated in quite significant ways in the timber project. Their participation may not have increased their parentsÂ’ levels of participation (which is what was measured in the household-level analyses of participation) but they have contributed in substantial ways

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263 to households’ level of participation, albeit not in decision-making processes of the projects. This highlights the importance of looking at children, especially adolescents, when trying to measure households’ participation in timber management projects, as well as other types of development initiatives. Gender Participation in what activities? In both Porto Dias and Cachoeira, men are the primary participants, formally and informally, in the timber projects. When the projects were first planned and implemented, gender was not explicitly taken into consideration. Implicitly, however, the organizations involved, CTA and SEFE, and locally established cultural norms assumed that timber harvesting was a male activity. Consequently, the majority of the timber management activities have been carried out by men, specifically male heads of the households whose colocações have been demarcated for timber harvesting (i.e. manejadores). However, responses to the open-ended question “how have you participated or been involved in the timber project?” and the index of participation in timber project activities29 reveal that while men had participated in a far greater number and types of project-related activities, women had not been entirely absent from the project. Out of the 47 individuals I talked to in Porto Dias, 24 were men and 23 were women. The majority (83%) of these women responded to my open-ended question by saying that they had not participated in the timber project (see Figure 8-12). Only 4 (17%) women, all spouses of manejadores, told me that they had participated. Together, 29 See Chapter 6.

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264 they listed four activities: provided food, helped tag trees, participated in a course or workshop, and washed clothes (Figure 8-12). By contrast, 10 (42%) of the 24 men interviewed in Porto Dias saw themselves as having participated in the timber project. These 10 men were manejadores with the exception of one. Together, they listed 20 activities (see Figure 8-12). Did not participate Provided food Participated in courses/ workshops Tagged trees Washed clothes83%(19 women)17%( 4 women)4%(1 woman)N=23 Did not participateDemarcated harvest area Transported timber to dirt road Selected trees to cut Cut trees Opened up skid trails Measured logs Checked for defect trees Got others to demarcate area Signed documents Watched others work Attended project meetings Oversaw processing of wood at sawmill Helped with road maintenance Tagged cut sections Oversaw felling Participated in courses/ workshops Tagged trees Cut logs into sections Mapped skid trails58%(14 men)29%(7 men)21%(5 men)17%(4 men)13%(3 men)8%(2 men)4%(1 man)Cut vinesN=24 Figure 8-12: WomenÂ’s and menÂ’s own views of their participation in the timber project (Porto Dias) IndividualsÂ’ participation also was measured by questioning them with the index of activities described earlier, in Chapter 6. Responses to the index of timber project activities revealed that a greater number of women and men in Porto Dias had participated in the timber project, in a greater number and variety of activities than revealed by the open-ended question. However, fewer women had participated in fewer activities, compared to men. Thirteen (57%) of the total of 23 women interviewed marked yes on 11 of the 36 items on the index (see Figure 8-13). However, of these 13 women, 11 were officially involved in the timber project: 10 as spouses of manejadores and 1 as manejadora. The other two women had participated by receiving wages for cooking for project workshops.

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265 48%(11 women)Provided food Attended project meetings17%(4 women)9%(2 women) 4%(1 woman) Recommended trees to cut Tagged trees Cut vines Lent materials Helped other participants Helped with road maintenance Measured logs Made recommendations to forester22%(5 women)Received wagesN=23 Figure 8-13: WomenÂ’s participation according to responses to the index of timber project activities (Porto Dias) Activities underlined = activities also mentioned in responses to open-ended question Other activities = activities mentioned in responses to index of participation By comparison, 14 (58%) of the 24 men interviewed in Porto Dias stated that they had participated in 35 of the 36 items listed in the index (see Figure 8-14). However, 10 of these men were manejadores. Out of the other 4 men, 3 were members of the Rubber TappersÂ’ Association and one was a son of one of the manejadores. These 4 men had attended project meetings, helped maintain or construct the dirt road, received wages, and/or helped another project participant (manejador).

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266 38%(9 men) Attended project meetings Participated in courses/ workshops Tagged trees 33%(8 men)29%(7 men) Voted on project decisions Measured logs Helped with road maintenance Provided food Demarcated harvest areas Recommended trees to cut Identified trees for regeneration Selected trees to cut Recommended location of skid trails Made map of skid trails Opened up skid trails Have equipment25%(6 men) Cut vines 21%(5 men)50%(12 men) Signed documents Distributed profits Transported timber to dirt road Cut trees 17%(4 men) Oversaw processing of wood at sawmill Found buyers & trucks Transported timber to city Lent materials8%(2 men)13% (3 men) Transported timber to highway Picked new participants Voted on new participants 4%(1 man) Negotiated price Bought materials for project Sold timber Planted seedling/saplings Made recommendations to forester Provided information about forest/trees Received wages Helped other participantsN = 24 Figure 8-14: MenÂ’s participation according to responses to the index of timber project activities (Porto Dias) Activities underlined = activities also mentioned in responses to open-ended question Other activities = activities mentioned in responses to index of participation In Cachoeira, I talked to 27 men and 24 women. I found that there was a much smaller gap between the number of men and women who stated, in response to the openended question, that they had participated in the timber project. However, while thirteen (48%) men collectively listed 13 activities in which they had been involved, 11 (46%) women listed only 5 activities (see Figure 8-15).

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267 Did not participate Visited harvest area Washed clothes Took care of workers 54% (13 women) 8% (2 women) 38% (9 women) 4% (1 woman)Provided food Participated in courses/ workshops N=24 Did not participate Demarcated harvest areas Tagged trees Facilitated meetings/ workshops Accompanied others to harvest area Transported timber to dirt road Provided food Paid taxes Hired sawyer Cut vines Helped define rules Cut trees Demarcated harvest area Selected trees to cut52%(14 men)15%(4 men) 4%(1 man)7%(2 men)11%(3 men)Participated in courses/ workshopsN=27 Figure 8-15: WomenÂ’s and menÂ’s own view of their participation in the timber project (Cachoeira) As in the case of Porto Dias, responses to the index of participation in timber project activities showed that a greater number of men and women actually had been involved in the project, in a greater number and diversity of project activities. Out of the 24 women I talked to, 14 (58%) stated that they had participated, collectively, in 13 of the 35 activities listed in the index (see Figure 8-16). However, all 14 women were spouses of produtores. 50%(12 women)Provided food Attended project meetings25%(6 women)13%(3 women) Lent materials Helped other participantsMade recommendations to forester29%(7 women)Received wages Voted on project decisions 8%(2 women)Participated in courses/ workshops Have equipment Picked new participants Provided information about forest/trees4%(1 woman)Bought materials for project Visited sawmill/ woodworkersN=24 Figure 8-16: WomenÂ’s participation according to responses to the index of timber project activities (Cachoeira) Activities underlined = activities also mentioned in responses to open-ended question Other activities = activities mentioned in responses to index of participation

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268 By comparison, 21 (78%) of the 27 men in Cachoeira that I interviewed mentioned having participated in at least one activity in the index. Collectively, these 21 men stated that they had been involved in 32 of the 35 activities listed in the index (see Figure 8-17). The majority (16) of these men were, or had been, produtores. The other 5 men said they had participated in the following activities: made recommendations to the forester on how to improve the timber project, provided information to the forester about the forest or trees, recommended which trees to cut, attended project meetings, picked new project participants, voted on project-related decisions, helped transport timber by oxen, were paid a wage for a service provided, helped a produtor, and/or attended a course or workshop. 59%(16 men)Attended project meetings Participated in courses/ workshops Tagged trees 48% Voted on project decisions Provided food Demarcated harvest areas Recommended trees to cut Selected trees to cut 52%(14 men)Cut vines 41%(11 men)63%(17 men)37%(10 men) 30%(8 men)33%(9 men) Sold timber Made recommendations to forester Provided information about forest/trees Received wages Helped other participants44%(12 men)48%(13 men)Opened up skid trails Identified trees for regeneration Helped with road maintenance26%(7 men) 22%(6 men)Bought materials for project Visited sawmill/woodworkers Have equipment Recommended location of skid trails Transported timber to dirt road Signed documents 19%(5 men)Made map of skid trails Voted on new participants 15%(4 men)Measured logs Planted seedling/ saplings Picked new participants Located buyers & trucks Negotiated price Transported timber to city11%(3 men) 4%(1 man)Tagged trees Cut trees N=27 Figure 8-17: MenÂ’s participation according to responses to the index of timber project activities (Cachoeira) Activities underlined = activities also mentioned in responses to open-ended question Other activities = activities mentioned in responses to index of participation

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269 Participation in types of activities There were also significant differences by gender in terms of participation in different types of activities (decision-making, operational, and supporting). Table 8-26 shows the rank means for number of activities in which men and women participated, distinguished by type of activities. In both Porto Dias and Cachoeira, women had lower mean ranks across all categories of participation, indicating that they had participated in fewer project activities. However, in Porto Dias, differences in womenÂ’s and menÂ’s participation was only significant for decision-making activities. In other words, men, compared to women, had participated in a significantly greater number of activities related to decision-making processes of the project. Men and women, however, did not differ significantly in their participation in other types of activities nor in activities overall. This may have been because the majority of men who were not manejadores, in other words not officially involved in the project, had participated in few project activities, just as in the case of women as a group. Comparing the mean ranks of only manejadores and spouses, shown in Table 8-27, revealed that with the exception of supporting activities, men (manejadores), compared to women (their spouses), had been involved in a significantly higher number of project activities overall and, specifically, decision-making and operational activities. In Cachoeira, gender also was found to be highly associated with greater participation in the timber project (Tables 8-26 and 8-27). The 27 men I talked to, compared to the 24 women I interviewed, had participated in a significantly higher number of project activities, with the excepti on of supporting activities (Table 8-26). The same applied for produtores and their spouses (Table 8-27).

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270 Table 8-26: Mann-Whitney U statistics for gender and participation in project activities PORTO DIAS CACHOEIRA TYPES OF ACTIVITIES TYPES OF ACTIVITIES All activities Decision making activities Operational activities Supporting activities All activities Decision making activities Operational activities Supporting activities GENDER Mean Rank Mean Rank Mean Rank Mean Rank N Mean Rank Mean Rank Mean Rank Mean Rank N Men 26.77 28.38 25.96 24.92 24 31.56 33.17 30.83 26.70 27 Women 21.11 19.43 21.96 23.04 23 19.75 17.94 20.56 25.21 24 Mann-Whitney U NS 171.0** NS NS 174.0** 130.5** 193.5** NS ** Significant at p < .01 (1-tailed) Table 8-27: Mann-Whitney U statistics for gender and participation in project activities for only individuals formally involved in the timber project PORTO DIAS CACHOEIRA TYPES OF ACTIVITIES TYPES OF ACTIVITIES All activities Decision making activities Operational activities Supporting activities All activities Decision making activities Operational activities Supporting activities GENDER Mean Rank Mean Rank Mean Rank Mean Rank N Mean Rank Mean Rank Mean Rank Mean Rank N Men 15.25 15.40 15.25 11.50 10 21.31 21.38 21.50 16.25 16 Women 5.75 5.60 5.75 9.50 10 8.86 8.79 8.64 14.64 14 Mann-Whitney U 2.5** 1.0** 2.5** NS 19.0** 18.0** 16.00** NS ** Significant at p < .01 (1-tailed) Gendered spaces and places Gendered differences in participation in the timber project were also very striking in terms of their geography. In Porto Dias and Cachoeira, the five locations where the majority of timber project activities took place—the house, the forest, the association’s headquarters, the road, and the city—are marked by gendered patterns of use, access, control and responsibility.30 Most notably, compared to the forest, the association’s headquarters, and the city, which are defined implicitly as men’s spaces and places, the 30 See Rocheleau et al. (1995) and Rocheleau and Edmunds (1997) for a rich discussion on men’s and women’s differential access to and c ontrol over different niches in landscapes and natural resources.

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271 homestead is where women are most involved in productive and reproductive activities (cooking, raising the children, agricultural work, etc.). These traditional gendered divisions etched in the landscape are reflected, and have impacted, who participated in the timber project and in what activities. No (wo)man’s forest. Traditionally among rubber tappers, men carry out the majority of activities in the forest, predominantly rubber tapping, Brazil nut collection, and hunting. Men usually also harvest wood to build houses, chicken pens, etc. Women do go to the forest. As noted by Kainer and Duryea (1992) and Campbell (1997), they tap rubber, collect medicinal plants, and harvest Brazil nuts. Others go fishing and some, once in a while, hunt small game animals. However, it is not uncommon to hear that the forest hides many dangers for women (and children). Several women I talked to in Porto Dias and Cachoeira expressed fear of being in the forest, often making allusions to the dangers of mythical creatures. These myths, as cultural systems, bring coherence to and mediate rubber tappers’ values regarding gender relations and, ultimately, shape how women’s role in the timber project is perceived. When I asked families in Porto Dias about Maria, the only adolescent girl in the reserve who is being trained to help with timber project activities (see discussion above), many frowned and stated that a woman’s place is not in the forest. Whether because of cultural traditions, lack of physical strength, or both, few women in Porto Dias and Cachoeira had participated in the timber harvesting and related activities in the forest (see Figures 8-18 and 8-19). Of the four women in Porto Dias who stated that they had participated in the timber project (see Figure 8-18), Maria was the only woman who mentioned being involved in a timber project activity in the forest. “I

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272 helped my husband put tags on the trees,” Maria told me. Women’s responses to the index of participation revealed that women in Porto Dias had in fact also participated in three other activities in the forest (see Figure 8-13). In addition to having helped place id tags on trees, women had also made recommendations regarding which trees to cut, cut vines, and measured logs (Figure 8-18). However, only two women had been involved: Maria (tagged, cut vines and measured logs) and Francisca (recommended which trees to cut and helped measure the logs). Both are spouses of manejadores. HOUSE ASSOCIATION HEADQUARTERS TIMBER HARVEST AREA CITYDemarcated harvest area (38%) Planted seedlings/saplings (4%) Helped with road maintenance (38%) Transported timber to city (8%) Bought materials for project (4%) Signed documents (25%) Recommended location of skid trails (29%) Provided food(48%)ROADHave equipment (29%) Lent materials (8%) Found buyers & trucks (8%) Negotiated price (4%) Opened up skid trails (33%) Cut trees (21%) Picked new participants (8%) Voted on new participants (8%) Voted on project decisions (25%) Participated in courses/ workshops (38%) Attended project meetings (54%) Recommended trees to cut (29%) Selected trees to cut (33%) Identified trees for regeneration (29%) Got others to demarcate harvest area (4%) Oversaw felling (4%) Checked trees for defects (4%) Tagged trees (33%) Cut logs into sections (4%) Tagged cut sections (4%) Measured logs (25%) Transported timber to dirt road (29%) Transported timber to highway (13%) Washed clothes (4%) Watched others work (4%) Distributed profits (21%) Attended project meetings (17%) Participated in courses/ workshops (4%) Helped with road maintenance (9%) Oversaw processing at sawmill (17%) Sold timber (4%) Lent materials (4%) Provided food(33%) Cut vines (25%) Made map of skid trails (29%) Recommended trees to cut (4%) Tagged trees (4%) Cut vines (4%) Measured logs (9%) Figure 8-18: Timber project activities by geography and gender (Porto Dias) Activities in italics = activities in which women had participated Activities not in italics = activities in which women had participated In Cachoeira, only 1 of the 11 women who stated in response to the open-ended question that they had participated in the timber project (see Figure 8-15), mentioned an

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273 activity in the forest. Marilena said that she had “gone to the forest to see,” more out of curiosity than anything else (Figure 8-19). None of the 14 women who, in their responses to the index had indicated as having participated in at least 1 activity, listed any activities that took place in the timber harvest area. HOUSEProvided food (48%) ASSOCIATION HEADQUARTERS TIMBER HARVEST AREA CITY Demarcated harvest area (44%) Recommended trees to cut (41%) Selected trees to cut (37%) Identified trees for regeneration (33%) Measured logs (15%) Transported timber to dirt road (22%) Planted seedlings (15%) Accompanied others to area (4%) Helped with road maintenance (30%) Visited sawmill/ woodworkers (26%) Signed documents (22%) Attended project meetings (59%) Participated in courses/workshops (63%) Tagged trees (19%) Cut vines (37%) Recommended location of skid trails (22%) Made map of skid trails (19%) Opened up skid trails (26%) Provided food (58%) Attended project meetings (25%)ROADHave equipment (22%) Lent materials (13%) Located buyers & trucks (15%) Cut trees (7%) Hired sawyer (4%) Picked new participants (15%) Voted on new participants (19%) Voted on project decisions (44%) Visited sawmill/ woodworkers (8%) Transported timber to city (11%) Bought materials for project (26%) Sold timber (26%) Bought materials for project (8%) Participated in courses/workshops (17%) Picked new participants (4%) Voted on project decisions (13%) Visited harvest area (4%) Washed clothes (4%) Took careof those working (4%) Helped define project rules (4%) Facilitated meetings & workshops (4%) Paid taxes (4%) Negotiated price (15%) Have equipment (8%) Figure 8-19: Timber project activities by geography and gender (Cachoeira) Activities in italics = activities in which women had participated Activities not in italics = activities in which women had participated At home. During the dry season, days at a time are spent in the forest, first preparing the harvest areas and later harvesting the timber. Because of the great distances between the colocações, food for those working in the forest is prepared and served at the house where timber activities are taking place at the time. “Provided food” was the one activity, out of all the project activities listed in responses to both the openended question and the index, that was mentioned most often by women in Porto Dias

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274 and Cachoeira (see Figures 8-12, 8-13, 8-15, 8-16, 8-18, and 8-19). Some men also mentioned it (see Figures 8-12, 8-14, 8-15, 8-17, 8-18, and 8-19). However, while men did feel that this was a service that they had provided as part of the timber project’s rules and/or traditional custom (which, indeed, they had), the actual preparation of the food was at all times carried out by the women, sometimes joined by neighboring women and/or female relatives. The preparation of food was not the only activity that took place in the immediate vicinity of the homestead. In Porto Dias, both women and men mentioned lending materials, such as machetes and batteries, for use in project activities (Figure 8-18). One woman added that said that she had washed clothes of men working in the timber harvesting area in their colocação and 7 men recalled, when as ked to respond to the index of project activities, that they kept project equipment at home, mostly personal safety equipment such as hardhats, gloves, and boots. In Cachoeira, women recalled having participated in more activities in the house, compared to men (Figure 8-19). Lucileide mentioned that she had, on occasion, washed somebody’s shirt while another woman, Rosalia, stated that she had “taken good care” of those who had come to do the work in their forest. When asked to respond to the index of project activities, 2 women (8%) said they had equipment at home (protective gear, chainsaw, etc.) and 3 other women (13%) remembered having lent materials (batteries and lanterns) to be used in forest activities. Men in Cachoeira did not mention any project activities at home in response to the open-ended question. However, when asked to respond to the index, 6 (22%) men recalled having equipment at home, in addition to food (48%) (Figure 8-19).

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275 The associationÂ’s headquarters. Similar to activities carried out in the forest, project-related activities that took place at the associationÂ’s headquarters involved more men than women (see Figures 8-18 and 8-19). In Porto Dias, only 4 women (3 spouses of manejadores and 1 manejadora) said that they had attended project meetings and another woman, also a spouse of a manejador, had attended a workshop on chainsaw maintenance and operation, but this was done out of curiosity (Figure 8-18). By contrast, 14 men in Porto Dias either had attended project meetings (54%), participated in workshop or courses (38%), voted on project decisions (25%), signed documents (25%), helped distribute among the manejadores the profits from the sale of timber (21%), helped select the new manejadores (2002 participants) (8%), and/or voted on whether or not to accept the new manejadores (8%) (Figure 8-18). In Cachoeira, 6 (17%) women said they had attended project meetings. In two cases, they participated because their husbands (both produtores) had been unable to attend and one of the projectÂ’s rules stipulates that produtores cannot miss more than 2 meetings per year if they are not to lose their rights to harvest timber. Some of these same women also had participated in workshops or courses (17%) and/or helped selected the new produtores (2001 group) (4%). Interestingly, 3 women (13%) said that they had voted on project decisions. All three wome n were registered members of AMPPAE-CM, along with their spouses who were produtores. However, despite the greater number of women and greater number of project activities in which these women participated in Cachoeira, compared to Porto Dias, men had participated in more activities in the association headquarters (Figure 8-19). Out of the 27 men interviewed, 22 men had been involved in one or more of the following activities: participated in workshops or courses

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276 (63%), attended project meetings (59%), voted on project decisions (44%), signed documents (22%), voted on new produtores (19%), helped choose new produtores (15%), helped define project rules and regulations (4%), and/or facilitated meetings and workshops (4%). I asked women in Porto Dias and Cachoeira why they had not been more involved in project and association meetings, during which many of the key decisions related to the timber project are taken. Some women said that they were not interested in getting involved in the heated debates and conflicts common in these meetings, stating, in the words of one woman, that it was “too much.” Others, mostly in Porto Dias, stated that their husbands felt that having one household member affiliated with the association was enough.31 This is always the owner of the usufruct rights to the colocação who invariably is the male head of household. And for others, they simply did not have the time, consumed by productive and reproductive activities at home, notably taking care of their children, cooking, and working in the agricultural fields. The road. There were few timber project-related activities that took place on the main dirt road. Men, however, were most involved in these activities, which include having helped in either constructing (in the case of Porto Dias) or maintaining the road (filling holes with dirt, clearing overgrown vegetation, etc.), and having transported timber to the highway (see Figures 8-18 and 8-19). Other activities, especially those related to the transportation of the timber by truck, for the most part were carried out by men from nearby cities that have been hired. 31 When I asked women if they would be interested in becoming members of the association, many said yes. However, most preferred, if they had the choi ce, to become members of the rural workers’ syndicate in order to have access to the “maternal salary,” re tirement benefits, lawyers and proof of residency.

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277 The city. Men also have been the ones to take care of any business or necessities in the cities. In Porto Dias, none of the women I talked had participated in any projectrelated activities in the city (Figure 8-18). Only Maria, the adolescent being trained, had gone to CTA’s headquarters in Rio Branco to learn how to use the computer as part of her training. Cachoeira is located much closer to Xapuri and many residents of Cachoeira have relatives living in Xapuri. Nonetheless, only 2 women had visited the woodworking shops (AVER and the Pólo) and 2 other women had bought materials (diesel, oil, and food) need for the timber project (Figure 8-19). Female paraflorestais and women manejadoras In both Porto Dias and Cachoeira, women’s roles in the timber projects are showing some changes. Most notable are the three female paraflorestais in Cachoeira and, in Porto Dias, the adolescent Maria and, Iremir, the one female manejadora. Traditionally, girls in rubber tapping communities are generally expected to help their mothers with most of the domestic duties and often carry the burden of daily housework, childcare responsibilities, and agricultural work. These expectations are rooted part in traditional culture and part in necessity. In this context, Maria and the female paraflorestais represent a significant break from traditional female roles and expectations. However, the impact of these young girls’ involvement in the timber project, is perhaps hardest on the mother. Maria’s mother, an exhausted 27-year-old with 7 children under the age of 12, said: “I think it isn’t great because I am alone. She goes with her father and I am left alone with the small ones.” On the other hand, for Maria’s father, whose oldest son is a mere 5 years old, Maria brings in a small amount of money and simultaneously helps in the forest, both roles traditional carried out by adolescent boys. To what extent these young women will be expected to balance both their

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278 traditional female roles and their new roles as young foresters-in-training remains to be seen. Activities carried out by the paraflorestais are themselves gendered. Certain activities, such as the cutting of vines, seem to be done exclusively by the young men. I was told that the young women paraflorestais worked mostly in calculating measurements and annotating information. On the other hand, a mother whose daughter is a paraflorestal did not feel that there were any differences in the way male or female paraflorestais participated in the timber project. Along with increased opportunities for women to get more involved in the timber project, conflicting opinions have emerged, es pecially among women. Carla, a long-term resident of Cachoeira with a history of po litical activism, felt that “women should work in the timber project because it would help at home. It would help the husband be able to buy household necessities.” Dalia, on the other hand, also from Cachoeira, felt that “women must take care of the house and the agricultural fields when the man is working in the timber project.” Others were neither against nor in support of greater women’s participation in the project. This included Maria, from Porto Dias, who felt that she already had enough work cooking and making crafts to sell. There is also resistance, among some men, to the idea of having women more actively involved in the project. Paulo, a produtor in Cachoeira, felt that “women should not work in the project because they have to take care of the children.” Other men were not completely against their wives getting more involved but only to a certain point. For example, Sebastião, also a produtor in Cachoeira, felt that women should attend meetings but if they were married, it was their husband’s duty to attend in their place.

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279 With the exception of Iremir in Porto Dias, who is the only female manejadora in either of the reserves, women have very little impact on the decision-making processes of the timber project. In both Porto Dias and Cachoeira, the most important positions, in terms of their capacity to influence timber project decisions and activities, are occupied by men. This includes the position of community project coordinator in Cachoeira and the positions of president, vice-president, and treasurer in the associations. Religion One of the striking differences between Porto Dias and Cachoeira is religious affiliation. Although in both reserves there were more Catholics, Protestantism was rapidly on the rise, surpassing national figures.32 In Porto Dias, the 47 individuals I interviewed were almost evenly split between Catholics (55%) and Protestants (43%) (see Table 8-28). With the exception of a few good-natured jokes, differences in religious beliefs seemed to be well accepted in Porto Dias with some households having a mix of Catholics and Protestants. Among the 20 individuals who lived in colocações demarcated for timber harvesting, 11 (55%) were Catholic and 9 (45%) were Protestants (see Table 8-28). The split between Catholics and Protestants was similar among the 27 individuals interviewed who lived in colocações without harvest areas: 15 (56%) considered themselves Catholic, 11 (41%) Protestant, and 1 (4%) agnostic. In Cachoeira, the majority of the 51 individuals I talked to were Catholic (71%) (see Table 8-28). Only 15, or 29%, considered themselves to be Protestant. Unlike Porto Dias, in Cachoeira I sensed considerable religious tension between the two groups. This tension is tied to the long history of the Catholic Church in Acre, and in the municipality 32 According to the IBGE 2000 census, 73.6% of Br azilians considered themselves to be Catholic compared to 15.4% who identified themselves as Protestant (IBGE 2000).

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280 of Xapuri (see, for example, Keck 1995, Souza 2002). As followers of the theology of liberation movement, the Catholic Church in the city of Xapuri, and one priest in particular, Father Luiz Ceppi, played a signi ficant strong role in helping organize in the 1970s rural workers, including rubber tappers. These included Cachoeira’s rubber tappers who have a long and strong religious connection and political relationship with Father Luiz and the Catholic Church in Xapuri. Given this history, the majority of Cachoeira’s rubber tappers are Catholic, despite Protestant ministers visiting the reserve over the past twenty years. However, in recent years, there have been a rapidly growing number of families converting to Protestantism, the majority joining the Assembly of God church. Most of these families live in the more isolated regions of the reserve and this religious division closely mirrors the division between individuals involved in the timber project and those not involved (see Table 8-28). Out of the 30 individuals interviewed who lived in colocações demarcated for timber harvesting, 24 (80%) were Catholic and only 6 (20%) were Protestant. With the exception of 2 individuals (husband and wife) who had been among the first to join the timber project but later withdrew, the Protestants among these individuals all recently had joined the timber project and had not been harvesting timber because of their colocações’ distance to the road. The split between Catholics and Protestants was not as great among the 21 individuals I talked to who were not officially involved in the timber project. Twelve (57%) considered themselves to be Catholic and 9 (43%) Protestant (see Table 8-28).

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281 Table 8-28: Religious affiliation in Porto Dias and Cachoeira RELIGION PORTO DIAS CACHOEIRA CATHOLIC All individuals interviewed P.Dias (N=47); Cach. (N=51) 26 (55%) 36 (71%) Individuals WITH timber harvest areas P. Dias (N=20); Cach. (N=30) 11 (55%) 24 (80%) Individuals WITHOUT timber harvest areas P. Dias (N=27); Cach. (N= 21) 15 (56%) 12 (57%) PROTESTANT All individuals interviewed P. Dias (N=47); Cach. (N=51) 20 (43%) 15 (29%) Individuals WITH timber harvest areas P. Dias (N=20); Cach. (N= 21) 9 (45%) 6 (20%) Individuals WITHOUT timber harvest areas P. Dias (N=27); Cach. (N= 21) 11 (41%) 9 (43%) OTHER All individuals interviewed P. Dias (N=47); Cach. (N=51) 1 (2%) 0 (0%) In Porto Dias, religious affiliation was not found to be statistically associated with participation in the timber project. This was not a surprise, given the similarities in the distribution of Catholics and Protestants am ong individuals officially involved in the timber project and individuals not involved. In Cachoeira, religious affiliation was found to be statistically significant only for supporting activities, with Catholics having participated in a greater number of supporting activities than Protestants (see Table 8-29). Although more Catholics than Protestants were officially involved in the timber project, many of them were from households that had not been able to carry out many of the timber harvesting activities due to their distance from the road. As such, it was not a

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282 surprise to find that in Cachoeira religious affiliation was not strongly associated with participation in the timber project. Table 8-29: CACHOEIRA—Mann-Whitney U statistics for religious affiliation and participation in project activities TYPES OF ACTIVITIES RELIGIOUS All activities Decision-making activities Operational activities Supporting activities AFFILIATION Mean Rank Mean Rank M ean Rank Mean Rank N Catholic 28.25 27.9 28.06 28.29 36 Protestant 20.60 21.23 21.07 20.50 15 Mann-Whitney U NS NS NS 187.5* *Significant at p < .05 (2-tailed) Membership in Local Associations Association affiliation Affiliation in the main association also was found to be associated with individuals’ levels of participation in the timber project. Table 8-30 shows the rank means for number of activities in which members of the main association and the new association, and individuals not affiliated with any association had participated, distinguished by type of activities. In Cachoeira, individuals’ association affiliation and their participation in (1) all project activities, and (2) types of project activities (decisionmaking, operational, and supportive) was statistically significant beyond the five percent level of confidence. In Porto Dias, associa tion affiliation also was found to be associated with participation in timber project activities (all, decision-making, and operational). However, additional Mann-Whitney U tests (table not shown) revealed that for both Porto Dias and Cachoeira, individuals associated with the main association statistically (p < .05, 1-tailed) had higher levels of participation in the timber project than individuals

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283 affiliated with the new association, and individuals not affiliated.33 However, differences in participation between members of the new association and non-affiliated individuals was not statistically significant in either reserve. Table 8-30: Kruskall-Wallis test for status in timber project and timber project activities PORTO DIAS CACHOEIRA TYPES OF ACTIVITIES TYPES OF ACTIVITIES ASSOCIATION AFFILIATION All activities Decision making activities Operational activities Supporting activities All activities Decision making activities Operational activities Supporting activities Mean Rank Mean Rank Mean Rank Mean Rank N Mean Rank Mean Rank Mean Rank Mean Rank N MAIN associationa 33.47 35.15 31.38 26.53 17 32.48 32.08 31.88 29.17 30 NEW associationb 13.43 14.50 15.00 21.00 7 20.44 21.19 21.06 19.00 8 NOT affiliated 20.22 18.65 21.28 23.04 23 14.46 14.92 15.46 23.00 13 Kruskall Wallis chi-square (df 2) 15.1** 23.1** 9.9** NS 14.5** 12.7** 6.0* 15.1** a The Rubber Tappers’ Association (Porto Dias); AMPPAE-CM (Cachoeira). b São José Association (Porto Dias); Fé em Deus Association (Cachoeira). * Significant at p < .05 (1-tailed) ** Significant at p < .01 (1-tailed) Number of months in association Table 8-31 shows the Spearman correlations for months affiliated with a main or new association, and number of project activities in which individuals had participated. The higher the number of months an individual had been affiliated with the main association (the Rubber Tappers’ Association and AMPPAE-CM), the higher their participation in timber project activities (with the exception of supporting activities in Cachoeira). However, the inverse was true in Porto Dias, for individuals who were members of the São José Association. The longer they had been members of that 33 The exception was supporting activities.

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284 association, the fewer project activities they had participated in. In Cachoeira, the same was found for members of the Fé em Deus association but only for supporting activities. Table 8-31: Spearman correlation coefficients for number of months affiliated with association and number of project activities TIMBER PROJECT PORTO DIAS CACHOEIRA ACTIVITIES Rubber Tappers’ Association São José Association AMPPAE-CM Fé em Deus All activities .626** -.331* .460** NS Decision-making activities .758** -.330* .570** NS Operational activities .551** -.286* .393** NS Supporting activities .284* NS NS -.262* ** Significant at p < .01 (1-tailed) Months served on directory Table 8-32 shows the Spearman correlations for number of months individuals served on associations’ directorate and number of project activities in which they had been involved. Only individuals that had served on the directorates of the main associations (Rubber Tappers’ Association and AMPPAE-CM) had higher levels of participation in decision-making and operational activities, and activities overall. Table 8-32: Spearman correlation coefficients for number of months served on directorate of association and number of project activities TIMBER PROJECT PORTO DIAS CACHOEIRA ACTIVITIES Rubber Tappers’ Association São José Association AMPPAE-CM Fé em Deus All activities .580** NS .438** NS Decision-making activities .624** NS .519** NS Operational activities .562** NS .395** NS Supporting activities NS NS NS NS ** Significant at p < .01 (1-tailed)

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285 Affiliation with Other Organizations In Porto Dias, individuals’ participation in the timber project was not found to be associated with the number of organizations with which they were affiliated (other than the local associations within the reserve), or with the number of months they had been members of these other organizations. However, in Cachoeira, individuals affiliated with a greater number of organizations had participated in a greater number of overall, decision-making, and operational activities (Table 8-33). The organizations individuals were affiliated with were the Rural Workers’ Syndicate (STR) in Xapuri and the Agroextractive Cooperative of Xapuri (CAEX). As Table 8-33 shows, the more months individuals had been members of CAEX, the higher their participation in timber project activities (overall, decision-making, and operational). This was also found for number of months affiliated with STR, although only for decision-making activities. Table 8-33: CACHOEIRA—Spearman correlation coefficients for number of other organizations affiliated with, months affiliated with STR, months affiliated with CAEX, and number of project activities CACHOEIRA TIMBER PROJECT ACTIVITIES # of other organizations affiliated with # of months affiliated with STR # of months affiliated with CAEX All activities .482** NS .545** Decision-making activities .571** .264* .635** Operational activities .417** NS .503** Supporting activities NS NS .311* * Significant at p < .05 (1-tailed) ** Significant at p < .01 (1-tailed) Education In Porto Dias, education (number of years had attended school) was not found to be statistically associated with individuals’ level of participation in the timber project (see

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286 Table 8-34). Out of the total of 47 individuals interviewed, 47% never had any education while 53% had attended 1 to 6 years of school. Interestingly, among individuals officially involved in the timber project (20), 55% had never gone to school compared to 41% of the individuals not involved in the project (27). In Cachoeira, education was found to be associated with individuals’ participation in operational, supporting, and overall activities (see Table 8-34). Education levels in Cachoeira were higher compared to Porto Dias. Out of the total of 51 individuals interviewed, 71% had between 1 to 11 years of schooling while 29% had never studied. Among individuals officially involved in the timber project (who were living in colocações harvesting timber) (30), only 17% had never attended school, compared to 48% of those not officially involved in the timber project (21 individuals). Table 8-34: Spearman correlation coefficients for number of years of education and number of project activities TIMBER PROJECT ACTIVITIES PORTO DIAS CACHOEIRA All activities NS .314* Decision-making activities NS NS Operational activities NS .305* Supporting activities NS .302* * Significant at p < .05 (1-tailed) On the other hand, literacy (ability to either write name and/or read a little) was found to be associated with individuals’ level of participation in project activities in both Porto Dias and Cachoeira (see Table 8-35). In Porto Dias, 60% of the 47 individuals interviewed considered themselves to be literate. Of the 20 individuals who were official participants in the timber project, 65% were literate compared to 56% of the 27

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287 individuals not considered to be officia lly involved in the project. By contrast, individuals interviewed in Cachoeira had a slightly higher overall literacy rate (69%). Of those officially involved in the project, 87% we re literate compared to 47% of individuals not officially involved. Table 8-35: Mann-Whitney U statistics for literacy and participation in project activities PORTO DIAS CACHOEIRA TYPES OF ACTIVITIES TYPES OF ACTIVITIES All activities Decision making activities Operational activities Supporting activities All activities Decision making activities Operational activities Supporting activities LITERACY Mean Rank Mean Rank Mean Rank Mean Rank N Mean Rank Mean Rank Mean Rank Mean Rank N Literate 27.04 17.26 26.41 25.20 19 30.71 28.90 30.97 29.20 16 Illiterate 19.53 19.34 20.45 22.24 28 15.69 19.66 15.13 19.00 35 Mann-Whitney U 181.0* 177.5* NS NS 115.0** 178.5* 106.0** 168.0** * Significant at p < .05 (1-tailed) ** Significant at p < .01 (1-tailed) Everyone in Porto Dias and Cachoeira emphasized the importance of being able to read and write in providing opportunities for greater participation in the timber project. The father of Maria (the young girl in Porto Dias who was being trained to work in the harvest areas) felt that she had been selected because she “knows how to write and I don’t.” This was also true of paraflorestais in Cachoeira, as well as the young woman who was selected to be trained as a secretary and accountant for AMPPAE-CM. Location Where Born In both Porto Dias and Cachoeira, an individual’s place of birth—rubber estate, city/town, agricultural colonization area—made a difference in terms of their participation in the timber project. In both reserves, the majority of individuals interviewed had been born in rubber estates: 55% (26) in Porto Dias and 75% (38) in Cachoeira. In Porto Dias, 43% (20) had been born in cities or towns and 2% (1) in an

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288 agricultural colonization area. By contrast, in Cachoeira, 2% (6) had been born in a city or town and 14 (7) in an agricultural colonization area. Table 8-36 shows the mean ranks for number of project activities in which individuals born in rubber estates, cities or towns, and agricultural colonization areas had participated. In Porto Dias, individuals who had been born in a rubber estate had participated in a significantly greater number of activities (overall and operational activities) compared to individuals born in cities or towns, but not compared to individuals born in agricultural colonization areas (Table 8-36). By contrast, in Cachoeira, individuals born in rubber estates had participated in more activities than individuals born in either cities/towns or agricultural colonization areas (Table 8-36). Table 8-36: Mann-Whitney U statistics for birthplace and household participation in project activities PORTO DIAS CACHOEIRA TYPES OF ACTIVITIES TYPES OF ACTIVITIES All activities Decision making activities Operational activities Supporting activities All activities Decision making activities Operational activities Supporting activities BIRTHPLACE Mean Rank Mean Rank Mean Rank Mean Rank N Mean Rank Mean Rank Mean Rank Mean Rank N Rubber estate 26.92 26.25 27.08 24.92 26 24.01 23.79 23.97 23.53 38 City/town 19.05 19.93 18.85 21. 65 20 12.92 14.33 13.17 16.00 6 Mann-Whitney U 171.0* 188.5* 167.0* NS 56.5* 65.0* 58.0* NS Rubber estate 14.35 14.25 14.33 14.10 26 24.51 24.82 24.36 23.78 38 Agricultural colonization area 5.00 5.00 5.50 11.50 1 14.79 13.14 15.64 18.79 7 Mann-Whitney U NS NS NS NS 75.5* 64.0* NS NS City/town 11.25 11.15 11.20 11.03 20 6.42 7.50 6.17 6.50 6 Agricultural colonization area 6.00 8.00 7.00 10.50 1 7.50 6.57 7.71 7.43 7 Mann-Whitney U NS NS NS NS NS NS NS NS * Significant at p < .05 (1-tailed) ** Significant at p < .01 (1-tailed)

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289 Years of Residency in the Reserve In Porto Dias, how long individuals had been residing in the reserve and in the colocação (where they were living at the time of the interview) was found to be statistically significant in terms of individuals’ level of participation in the timber project (see Table 8-37). As indicated in Table 8-37, the greater the number of years of residency in the PAE and in the colocação, the higher the number of all, decisionmaking, and operational activities in which individuals had participated. This was not found to be the case in Cachoeira. Table 8-37: PORTO DIAS—Spearman correlation coeffi cients for years of residency (in PAE and the colocação) PORTO DIAS TIMBER PROJECT ACTIVITIES # years individual had resided in the PAE # years individual had resided in the colocação All activities .444** .324* Decision-making activities .327* .314* Operational activities .462** .338* Supporting activities NS NS * Significant at p < .05 (1-tailed) ** Significant at p < .01 (1-tailed) Trips Outside the Reserve In both reserves, the more trips an individual had taken out of the reserve in the past year (usually to a nearby city), the higher his/her participation in timber project activities (see Table 8-38). In Porto Dias, the individuals who most frequently traveled outside the reserve were individuals who served in the directorate of the association and had to make regular trips into the city on association-related business. This is reflected in the positive correlation, in Table 8-38, between number of trips taken and decisionmaking activities. These individuals were also the community members most involved in

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290 the timber project. Compared to Porto Dias, in Cachoeira a much stronger relationship was found between number of trips taken and number of activities in which individuals had participated (Table 8-38). Individuals who traveled outside the reserve often had participated in a greater number of not only decision-making activities but operational, supporting activities, and activities overall. Most of those most actively involved in the timber project in Cachoeira live in the front of the reserve and have relatively easy access to the nearby city of Xapuri. Table 8-38: Spearman correlation coefficients for number of trips taken out of the reserve and number of project activities TIMBER PROJECT ACTIVITIES PORTO DIAS CACHOEIRA All activities NS .425** Decision-making activities .392** .420** Operational activities NS .429** Supporting activities NS .241* * Significant at p < .05 (1-tailed) ** Significant at p < .01 (1-tailed) Leadership Individuals in Porto Dias and Cachoeira were asked to list the people in the reserve that they thought were community leaders. In both Porto Dias and Cachoeira, when I ranked individuals according to how frequently they were mentioned as being leaders, and ran Spearman’s correlations with individuals’ participation in project activities, I found that individuals listed with greater frequency as community leaders had higher levels of participation in the timber project (Table 8-39). In both reserves, “leaders” had participated in a greater number of activities overall, and decision-making activities. In addition, in Porto Dias, “leaders” also had been involved in a greater number of operational activities.

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291 Table 8-39: Spearman correlation coefficients for leadership status and number of project activities TIMBER PROJECT ACTIVITIES PORTO DIAS Leadership status CACHOEIRA Leadership status All activities .554** .295* Decision-making activities .617** .411** Operational activities .535** NS Supporting activities NS NS * Significant at p < .05 (1-tailed) ** Significant at p < .01 (1-tailed) Power I also asked individuals to list the people in the reserve that they thought had power.34 Spearman correlations showed that in both Porto Dias and Cachoeira, persons listed with greater frequency as powerful had higher levels of participation in timber project activities (overall, decision-making, and operational) (Table 8-40). Table 8-40: Spearman correlation coefficients for power status and number of project activities TIMBER PROJECT ACTIVITIES PORTO DIAS Power status CACHOEIRA Power status All activities .560** .368** Decision-making activities .594** .410** Operational activities .568** .379** Supporting activities NS NS * Significant at p < .05 (1-tailed) ** Significant at p < .01 (1-tailed) 34 I left individuals to decide for themselves what was meant by power. After listing the individuals, I asked them to explain why they t hought those individuals we re powerful. Mentioned most often were the personÂ’s status in the association (member of the di rectorate) and material assets they possessed (in particular, cattle).

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292 Summary of Individual-Level Determinants of Participation Figures 8-20 and 8-21 summarize the individual-level variables that were found to be associated with higher levels of individual-level participation. Those variables are underlined. In Porto Dias (Figure 8-20), individuals who had participated the most in the timber were: (1) men, (2) adults, and individuals who (3) were literate, (4) had been born in a rubber estate, (5) had been living for many years in the reserve and in their colocação, (6) traveled outside the reserve frequently, (7) were affiliated with the Rubber Tappers’ Association for many years and had served on the directorate of the association, (8) were considered by others in the reserve to be leaders, and (9) were viewed as having power. Individual-level variables that were not found to be associated with individuals’ participation in the timber projects were: (1) religion, (2) years of education (years in school), (3) origin (West Amazon, East Amazon, Southern Brazil), (4) generation of rubber tapper, (5) number of other organizations affiliated with, and (6) number of months affiliated with STR.

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293 PARTICIPATION of individuals PORTO DIASGENDER (Male, female ) RELIGION (Catholic, Protestant, Other) EDUCATION (years of education; literate, illiterate ) LOCATION WHERE BORN (Rubber estate, colonization project, city, other ) GENERATION OF RUBBER TAPPERS (not a rubber tapper, 1st, 2nd, 3rdgeneration) TRIPS OUTSIDE OF THE RESERVE (average # of trips taken outside the reserve/year ) AGE (years; adult, children/adolescents ) ORIGIN (region where born) AFFILIATION WITH ASSOCIATION (name of association; # of months affiliated; # of months served on directorate ) AFFILIATION WITH OTHER ORGANIZATIONS (# of other organizations affiliated with; # of months affiliated with STR) RESIDENCY (# of years lived in reserve, # of years lived in landholding ) LEADERSHIP (# of times listed by others as being a leader ) POWER (# of times listed by others as having power ) Figure 8-20: Individual-level variables found in Porto Dias to be associated with individuals’ participation in timber project activities In Cachoeira, higher levels of participation among individuals in the timber project were found to be associated with the same variables as in Porto Dias (Figure 8-21). The exception was number of years had been living in the reserve and in the colocação, which was not found to be statistically significant in C achoeira. Also in contrast to Porto Dias, religion and affiliation with other organizations (number of organizations affiliated with, and number of months affiliated with STR a nd CAEX) were found to be associated with participation in the timber project. Individuals who were Catholic, were affiliated with a greater number of organizations, and had been members of STR and CAEX for many years, had participated in a greater number of project activities. Similar to Porto Dias, individuals’ origin and whether they were third, second, or first generation rubber tappers were not found to be associated with individuals’ participation.

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294 PARTICIPATION of individuals CACHOEIRAGENDER (Male, female ) RELIGION (Catholic, Protestant, Other ) EDUCATION (years of education; literate, illiterate ) LOCATION WHERE BORN (Rubber estate, colonization project, city, other ) GENERATION OF RUBBER TAPPERS (not a rubber tapper, 1st, 2nd, 3rdgeneration) TRIPS OUTSIDE OF THE RESERVE (average # of trips taken outside the reserve/year ) AGE (years; adult, children/adolescents ) ORIGIN (region where born) AFFILIATION WITH ASSOCIATION (name of association ; # of months affiliated; # of months served on directorate ) AFFILIATION WITH OTHER ORGANIZATIONS (# of other organizations affiliated with; # of months affiliated with STR, with CAEX ) RESIDENCY (# of years lived in reserve, # of years lived in landholding) LEADERSHIP (# of times listed by others as being a leader ) POWER (# of times listed by others as having power ) Figure 8-21: Individual-level variables found in Cachoeira to be associated with individualsÂ’ participation in timber project activities Summary The objective of this chapter was to examine a variety of social characteristics of households and individuals and their relationship to differences in levels and qualities of participation in the timber projects among Porto DiasÂ’ and CachoeiraÂ’s households and individuals. I found that residents of the reserves had varied greatly in their participation in the timber projects and that their involvement (or lack thereof) was associated with their relative access to social, human, physical, financial, and natural capitals. In both Porto Dias and Cachoeira, househol ds and individuals that had been most actively involved in the projects were those affiliated with the main association, a significant source of social capital in both reserves. In Porto Dias, since its foundation in

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295 1987 the Rubber Tappers’ Association has provided its members, primarily through its ties to CTA, with increasing access to other types of resources, including a road, the rubber subsidy, and a mule, truck, tractor, and small merchandise store. AMPPAE-CM of Cachoeira has been even more successful, securing through its numerous institutional and organizational linkages to public and private entities, major sources of financial, physical, and human capital. This included an ecotourism project, a Brazil nut project, a road, health posts, and schools with professors who lived in the reserve. The right to participate in the timber management project, specifically, to harvest timber from one’s colocação and to derive financial benefits from the sale of timber, represents the latest way in which the associations in both Porto Dias and Cachoeira have increased its members (households and individuals) access to much need resources. Thus, as members of these main associations, these households and individuals not only have had greater opportunities to participate in the timber project but also have had greater access to financial, physical, and human capital, in comparison to households and individuals that were affiliated with more recent associations or not affiliated with any association. In Porto Dias, households and individuals affiliated with the Rubber Tappers’ Association, in general, lived closer to the main road (physical capital), had higher socioeconomic status (physical and financial capital), had been born in rubber estates and lived in the reserve and their colocação for many years (social capital—shared experiences, culture, and identity), traveled more frequently outside the reserve (human and social capital), were literate (human capital), were adults (human and social capital), men (social capital), had leaders (social capital) and individuals who were considered to be

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296 powerful (social capital), and had forests from which timber could be harvested (natural capital). In Cachoeira, AMPPAE-CM households and individuals have had access to similar types of financial, physical, human, natural, and social capital, although this has varied substantially depending on where in the reserve they live (see Chapter 6). However, compared to Porto Dias residents affiliated with the Rubber Tappers’ Association, Cachoeira households and indi viduals affiliated with AMPPAE-CM have had access to more resources, primarily because of the association’s, as well as residents’, long and close ties with politically well connected institutions and individuals. This has provided Cachoeira’s rubber tappers with power to influence the decision-making processes of the timber management project and to negotiate, vis-à-vis the foresters involved in the project, the conditions, quality, and extent of their participation. In the next chapter, I turn to look at this issue in greater detail, specifically at the ways in which rubber tappers in both reserves have been able to assume greater agency in decisionmaking activities and have appropriated what originally was an externallydefined and planned project to fit, address, and resolve their needs, issues, and problems.

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297 CHAPTER 9 RUBBER TAPPERS AND AGENCY: A GRADUAL PROCESS Local actors . . . are conscious partic ipants in the development encounter. Everett (1997: 137) Introduction Porto Dias’ and Cachoeira’s rubber tappers’ participation in the timber project has not been simply driven by the social structural factors outlined in the previous chapters. Human agency, or individual choice, also ha s played a role. As noted by Long (1996), local people never simply adopt technologies and development projects but, rather, they appropriate and transform them to solve the problems they face and to advance their own particular needs. In this chapter, I apply an actor-oriented approach to uncover the ways in which rubber tappers in Porto Dias and Cachoeira have expressed agency in the timber projects. Actor-oriented perspectives do not deny the role of social structures in impacting individuals’ behavior (Giddens 1984; Long 1996). They emphasize the need to also consider how individuals react to, interpret, and respond to the structural opportunities and constraints they encounter. As noted by Bryant and Bailey (1997:2), it is important “to understand the possibilities for action by actors operating within broader political and economic structures.” In Porto Dias and Cachoeira, this can be seen on two levels. Rubber tappers have become increasingly more involved in decision-making activities pertaining to the timber project. It can also be seen in the ways in which they have appropriated what was,

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298 originally, an externally defined and planned project to fit, address, and resolve their needs, issues, and problems. As stated by Long (1992: 22), “the notion of agency attributes to the individual actor the capacity to process social experience and to devise ways of coping with life.” Manejadores and Produtores de Madeira Visible Steps Towards Greater Agency: Part icipation in Project Decision-Making Processes Chapters 7 and 8 discussed the many ways in which social structural factors, both macro and micro, have shaped and confined the ways in which Porto Dias’ and Cachoeira’s rubber tappers have participated in the timber projects. Not only has the reserves’ residents’ participation been limited largely to operational activities (see Figures 9-1 and 9-2) but has involved cer tain groups (association members, men, households closest to the road, etc.) more than others. However, these chapters also showed that rubber tappers have not been simply “passive” participants, providing only resources, such as information and labor, to CTA, SEFE, and foresters. A small group of Porto Dias’ and Cachoeira’s rubber tappers, the majority of whom are men, members of the main rubber tappers’ association, and with timber harvesting areas in their colocações, have been involved in important decision-making activities (see Figures 9-1 and 9-2). I discuss some of these activities in more detail below.

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299 DECISION-MAKING ACTIVITIES N = 9 OPERATIONAL ACTIVITIES N = 29 SUPPORTING ACTIVITIES N = 4 Demarcated harvest area Tagged trees Identified trees for regeneration Cut vines Mapped skid trails Opened up skid trails Cut trees Measured logs Participated in courses Transported timber to city Helped with road maintenance Transported timber to dirt road Sold timber Helped find buyers & trucks Helped other participants Signed documents Received wages Cut logs into sections Tagged cut sections Transported timber to highway Checked trees for defects Oversaw felling Got others to demarcate harvest area Distributed profits to participants Oversaw processing at sawmill Have equipment Provided food Bought materials for project Provided information about forest/trees Selected trees to cut Negotiated price Picked new participants Voted on new participants Voted on project decisions Made recommendations to foresters Attended project meetings Recommended trees to cut Recommended location of skid trails Washed clothes Lent materials for use in project Watched others work Planted seedlings/ saplings Figure 9-1: Types of timber project activities that were carried out by Porto DiasÂ’ rubber tappers

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300 DECISION-MAKING ACTIVITIES N = 11 OPERATIONAL ACTIVITIES N = 23 SUPPORTING ACTIVITIES N = 7 Demarcated harvest area Tagged trees Identified trees for regeneration Cut vines Mapped skid trails Opened up skid trails Cut trees Measured logs Participated in courses Paid taxes Transported timber to city Helped with road maintenance Transported timber to dirt road Sold timber Hired sawyer Helped find buyers & trucks Helped other participants Signed documents Received wages Have equipment Provided food Bought materials for project Provided information about forest/trees Selected trees to cut Acted as facilitator Helped define rules Negotiated price Picked new participants Voted on new participants Voted on project decisions Made recommendations to foresters Attended project meetings Recommended trees to cut Recommended location of skid trails Accompanied other to harvest area Visited harvest area Washed clothes Took care of workers Lent materials for use in project Visited sawmill/ woodworkers Planted seedlings/ saplings Figure 9-2: Types of timber project activities that were carried out by CachoeiraÂ’s rubber tappers Porto Dias In Porto Dias, the definition, planning, implementation, and administration of timber project activities have been carried out mainly by CTA. Over the past three years, however, Porto DiasÂ’ manejadores have become more actively involved in some of these activities. This has been the result of CTAÂ’s effort to decentralize decision-making processes, primarily by setting up monthly meetings with the manejadores, and to strengthen rubber tappersÂ’ technical and administrative skills through workshops, internships, and technical visits. On the one hand, this process of decentralization has opened up spaces (e.g., the meetings) and opportunities (e.g., the opportunity to speak oneÂ’s mind at these meetings) for rubber tappers to express what they want and need from the timber project. Along with capacity-building, this has led to a greater sense of

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301 empowerment among rubber tappers involved in the project. “The knowledge passed on to us in conversations with CTA, in partnerships with people from outside has helped us be able to talk about the project, has helped the community elaborate the project,” stated José, one of the new manejadores. With this sense of empowerment has come a greater sense of entitlement to the decisions being made about the project. Manejadores have become more assertive in demanding from CTA that they have a greater role in defining, implementing and administrating the timber project. I witnessed this on several occasions during monthly meetings, although the majority of decisions, such as those regarding the annual volume of trees to be harvested and marketing plans for the timber, continued to be made and introduced by CTA. And, while I had not seen nor heard of (which, in themselves, do not negate the possibility) manejadores refusing or sabotaging an action suggested by CTA, I had seen, on a number of occasions, manejadores raising their voice in frustration and anger and completely disagreeing with CTA foresters. In several meetings, rubber tappers outwardly challenged CTA. They even managed to convince CTA to fire one of its own foresters who, they claimed, was incompetent and disrespectful. As a consequence of these vocal challenges, along with failures and problems arising from decisions made by CTA, CTA has been forced to better prepare and defend any suggestion they make; in the end, to be more accountable for their actions. Over the past couple of years, CTA has increasingly solicite d the assistance of other individuals and organizations with expertise in certain areas. This has included economists to help carry out cost-benefit analysis of manejadores’ timber and non-timber production systems and to put together business plans. Manejadores’ more assertive stance has also pressed CTA

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302 to take a more critical look at their relationship with Porto Dias’ rubber tappers and to adopt a more reflexive and collaborative position. In turn, manejadores have embraced opportunities to have a stronger role in the timber project. This was explained to me by Roberto, a manejador and rubber tapper leader: “We must learn (to cut trees, etc.) so that when CTA is no longer here we can continue. We must learn in order not to be dependent…The community must walk on its own two feet.” In addition to observations of project meetings and informal conversations with manejadores, responses to my open-ended question “how do you participate in the project?” and to the index of project activities (see Chapter 6) also show that manejadores have participated in decision-making activities that provided opportunities for greater input in project objectives, activ ities, and organization (see Figure 9-1). All 10 of the male manejadores I talked to, participated in the monthly project meetings with CTA, and 6 said that they had voted on decisions regarding the project, which included whether or not to buy a truck, to contract out for skidder drivers, and to sell to a buyer in the south of Brazil. Three of their wives, as well as the only female manejadora harvesting timber, Ireni, participated in these meetings. None of these women, however, stated that they had voted on project decisions. Two manejadores (men) stated that they had helped pick the new manejadores (those that entered in 2002) and another two (also men) said they had voted on whether or not to accept these new project participants. In addition, five manejadores and two of their wives had made recommendations to CTA foresters about different aspects of the timber project. For example, Sebastião recalled that we asked for new personal security equipment since the boots we got the year before were too short. I asked for taller boots and a hardhat that was more

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303 comfortable and then came a hardhat with ear pads that reduce the noise and a protecting shield for the eyes! Reinaldo made recommendations about the sawmill that had been abandoned at the time: “I told them that we should fix the sawmill because we lose 50% of our profits because the wood is not processed in Porto Dias. It would also generate employment here.” In 2003, the sawmill was up and running. Two women did make recommendations but they did so to their husbands who later brought up the suggestions in meetings. Maria suggested, “that the salary of the truck driver [should] be based according to the amount of timber he carries…R$15 per meter.” Regarding decisions about which trees to cut and the location of skid trails, 7 manejadores made recommendations. In addition, Dalia, the wife of one of these manejadores, had recommended to a CTA forester not to cut trees with medicinal properties. Finally, 8 of the 10 manejadores I talked to said that they had selected which trees to cut: “If I don’t want to cut a certain tree, then I have the right not to cut it,” said Roberto. This was repeated by Sebastião, who said, “in my area there was only one black itaúba (tree). They (CTA) wanted to cut it and I said no because there was only one and I didn’t want to.” Cachoeira From the very start of the timber project in Cachoeira, the produtores de madeira have been actively involved in practically all decision-making processes. As a particularly well-organized group with experience in dealing with professionals and projects and with strong political and personal ties to powerful individuals and institutions in Xapuri, Cachoeira’s produtores have had an impressive capacity to negotiate the terms of their and the orga nizations’ (CTA’s, SEFE’s, and SEATER’s)

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304 participation in the timber project. When CTA first approached them about the possibility of implementing a timber project, Cachoeira’s rubber tappers accepted on the condition that CTA carry out only inventories of a select few colocações. Only after that, they insisted, would they decide if they wanted to go ahead with the timber project. When, in the end, they decided to continue the project they did so without CTA. As Arnaldo, whose colocação was one of the 10 inventoried by CTA, explained, “CTA came at the beginning to start the project because none of us knew how to do it…they left because we knew how to do it.” The community coordinator of the project added, “their approach was different, industrial scale, and we did not like their methodology (of identifying saplings for regeneration).” When SEFE replaced CTA and the produtores were not satisfied with the way their foresters had handled some situations, they asked SEFE to replace the foresters. Upon SEFE’s refusal, Cachoeira asked the government agency to withdraw from the project. Ma nuel explained to me what happened: “The forester wasn’t filing the documents necessary for the timber to be transported out of the reserve.” But the real issue at hand was power and, specifically, who was in charge of the timber project. Manuel added, “the forester wanted to boss around the community.” This was clarified by Marciana who stated that , “their (SEFE’s) foresters did not want to do the things that the community wanted. So the community met and decided to kick the foresters out.” The SEATER forester curren tly working in Cachoeira was hand picked by the produtores, who wrote her a letter inviting her to work with them and negotiated with the state government to help pay her salary. Cachoeira’s produtores have also influenced decisions made by the companies buying their wood. Ivandro described how “we insisted that we wanted to sell all types

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305 of woods (not just the ones with existing markets) and gave samples to AVER and the Pólo and now they buy (other types of wood).” The produtores also have obliged AVER to offer higher prices: “I had arguments with Etel (partial owner of AVER) in front of all the produtores,” said Jesus, adding that “this was good for us people because AVER improved the prices.” Cachoeira’s produtores’ influence in the timber project stems not only from their self-organization, connections, and experience. During the two years that SEFE worked in Cachoeira, emphasis was placed on capacity building to increase rubber tapper involvement in the execution and administration of timber project activities. As a result, rubber tappers, primarily forest extension agents (paraflorestais) jointly with the community project coordinator, carry out the majority of project activities that take place in the reserve. When I was in Cachoeira, it was not uncommon for rubber tappers to do most of the pre-harvesting and harvesting ac tivities on their own, without the presence of the SEATER forester. The relationship between Cachoeira’s produtores and outsiders involved is also quite different from the one encountered between Porto Dias’ manejadores and CTA. In Cachoeira, everybody’s role in the timber project – rubber tappers’, foresters’ and Dr. Viana’s, and AVER’s and the Pólo’s – seems to be well defined with the produtores emphasizing that the project is theirs, to be run by them. “Virgilio (Dr. Viana) is the scientific coordinator. That is his role,” stressed one of the produtores. Another added, referring to the incident with SEFE, “I don’t think foresters should get involved in disputes about values. The foresters should have left the community fight for themselves. The forester getting involved only harms the community members.” This was echoed by

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306 another produtor who added, “the forester interfered in a dispute that was between us and AVER and it wasn’t her place. We fight our own battles.” All of the above was also reflected in the responses given to the open-ended question and index on participation. These revealed that produtores had participated in at least 11 activities that offered opportunities to influence the decision-making processes underlying the timber project (see Figure 9-2). Specifically, thirteen of the fourteen produtores I talked to and six of their wives had participated in meetings held with foresters, Dr. Viana, and/or AVER and the Pólo. Out of these, eight produtores and three of their wives stated that they had voted on decisions regarding the project. These included whether or not to implement the timber project and to hire the new SEATER forester, as well as whether or not to accept prices set by AVER. One of these produtores, the community project coordinator, discussed how in these meetings he “facilitates” discussions and helps “define the rules” of the project. Other activities rubber tappers had been involved in included decisions regarding the selection of new project participants. Two individuals, one a produtor and the other the wife of a produtor, said that they had been involved in choosing the new project participants. Four produtores stated that they had voted on whether or not to accept them.1 Others were involved in price negotiations with AVER and the Pólo. “Everyone together (produtores, the forester and the buyers) decides (the price) in the meetings,” told me Jorge, one of five produtores who stated that they had participated in this process. 1 Other produtores I talked to said that they did not vot e but rather “discussed it until there was a consensus.”

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307 As far as making recommendations, six produtores had helped decide where the skid trails would go in their harvesting areas and ten had made recommendations to foresters, Dr. Viana, and others. These fo cused on the price of wood and faster release of documents necessary to transport the wood out of the reserve: “We made recommendations to Virgilio (Dr. Viana) and Patricia (SEATER forester) about increasing the price of the wood and to get better organized to push IBAMA to release the wood faster.” Another produtor recommended to Dr.Viana “that he not be involved in discussing the price of wood,” since he was a partial owner of AVER and there was a conflict of interest. Three women, all wives of produtores, said that they also had made recommendations about the timber project. Gita told the forester “that the wood (should) be released for transportation and sold faster,” while the two others said that they “discuss(ed) the project a little” with their husbands. Finally, 10 of the 14 produtores I talked to said that they had both recommended and selected which trees to cut. As it was explained to me, “each produtor decides for himself” which trees he wants to cut, despite AVER’s and the Pólo’s requests for certain species and volumes. Broadening the Scope of Agency: Struggles for Securing and Improving a Traditional ‘Way of Life’ The gradual shift towards greater participation of rubber tappers in timber project activities, particularly those pertaining to decision-making processes, reflects the most visible way in which rubber tappers’ in Porto Dias and Cachoeira have not been simply passive recipients of but also agents in the timber projects. However, the notion of agency is not simply about decision-making capacities (Long 1992). Rather, agency includes “particular actions (that) make a diffe rence to a pre-existing state of affairs or

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308 course of events” (Long 1992: 23). And it is expressed in individuals and organizations as they attempt to solve problems, learn how to in tervene in the flow of social events around them, and monitor continuously their own actions, observing how others react to their behaviour and taking note of the various contingent circumstances (Giddens 1984: 1-16 paraphrased in Long 1992: 23). In the pages that follow, I show how Porto Dias’ and Cachoeira’s rubber tappers have used the timber projects as a means to fight against gradual deforestation from agricultural production. In both reserves, rubber tappers see this process as posing the greatest and most pressing threat to their traditional extractivist-based livelihood and, with that, their ability to secure the former rubber estates as extractive reserves and their rights to the forests and to the traditions, values, and sense of identity that are intricately enmeshed in them. Porto Dias: the struggle against a growing population of small-scale agricultural producers Despite Porto Dias’ legal status as a PAE, the reserve’s rubber tappers’ traditional livelihood system based on extractivism and subsistence agriculture has come under increasing threat from competing production systems, notably commercial agriculture and cattle ranching. Although this reflects the general experience of rubber tappers in Acre and other states, Porto Dias’ rubber tappers have been hit especially hard by virtue of the reserve’s location in the southeastern co rner of Acre. It is the region of the state that has seen the greatest impact from land tenure and land-use policies favoring cattle ranching and agricultural production and, consequently, has suffered high rates of deforestation and land tenure conflicts, and seen the creation of some of the Amazon’s largest colonization settlement projects.

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309 Geographically, the rubber tappers of Porto Dias are concentrated in the center of the reserve (Area I and bordering regions of Areas II and III, Figure 9-3). They are surrounded, inside the reserve, by small-scale agricultural producers (colonos) and, outside, by colonization settlement projects, abandoned rubber estates, and a cattle ranch.2 AREA II AREA I AREA III ABUNA RIVERBOLIVIA (former rubber estates) Rubber estate Porto Luiz (converted to a cattle ranch) Rubber estate Santo Antônio doPeixoto Rubber estate Triunfo Colonization settlement project Nova CaliforniaHIGHWAY Colonization settlement projectSão Joãode Balanceio AREA I Figure 9-3: Map of Porto Dias Prior to the establishment of the area as a reserve, the rubber tappers had been under significant pressure by populations residing both inside and on the margins of Porto Dias’ boundaries to have the area declared a colonization settlement project, or PDA (see Chapter 5). Despite having succeeded in getting INCRA to establish Porto Dias as a reserve, rubber tappers continue to face pressures by agriculturally-oriented families 2 The forests across the Abuña River, in what is Bo livia, are owned by one of Porto Dias’ rubber tappers, who was a former middle-man and rubber baron. With the exception of a few rubber tappers tapping rubber and collecting Brazil nuts, the area is largely uni nhabited. This, however, may soon change with the increasing number of concessions bei ng opened up in Bolivia for logging.

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310 largely due to the lack of assistance from external institutions, both governmental and grassroots, and the relatively weak Rubber Tappers’ Association. The politically conservative (pro-agriculture and ranching) municipal government has virtually ignored Porto Dias, providing little to no assistance such as access to education, health care, and credit. In addition, traditional allies of rubber tappers such as the Rural Workers’ Syndicate (STR) and the National Rubber Tappe rs’ Counsel (CNS) have not been very active in this part of the state, highlighted by the relatively small percentage of Porto Dias’ rubber tappers who are affiliated and/or familiar with these grassroots organizations. Finally, INCRA and IBAMA have done little to help the Rubber Tappers’ Association enforce the reserve’s Natural Resource Utilization Plan, which significantly restricts the amount of land that can be placed under agricultural production and pasture. These factors combined have increased the migration, both legal and illegal, of small-scale agricultural producers into Porto Dias. This has been occurring on three fronts. Some colonos have been invading and settling on already occupied colocações. The worst incident of land squatting occurred on the border between Areas I and II (see Figure 9-3), when a group of more than 20 families settled in the forests of rubber tappers. The road that had been opened up, by hand, by these families to get into the reserve was named by rubber tappers the “Armpit of the Snake” to refer to the fact that in the same way that snakes do not have armpits, the road “did not exist” in the eyes of INCRA.3 Other agriculturalists have been “buying”4 colocações and subdividing them to 3 In 2002, INCRA finally relocated the families to colonization projects in other parts of Acre. 4 Since PAEs are federal lands, individua ls do not have land tenure titles to their colocação and, therefore, cannot sell or buy colocações. They are, however, allowed to sell the assets on the colocação (house, animal pen, etc.).

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311 “sell” to other colonos. This second type of “invasion,” in the words of rubber tappers, has resulted in an increasing fragmentation of colocações into smaller areas resembling the typical colonization landholdings (100-hect are rectangular plots). The regions of Porto Dias that have been affected the most by this process are Area II and, to a lesser extent, Area III near the border with the Nova California colonization settlement project (see Figure 9-3). Finally, INCRA also has settled families, many of whom do not have a tradition of rubber tapping, in abandoned colocações. On repeated occasions, this was carried out without the consent of the Rubber Tappers’ Association and included colocações located in Area I, the region with the greatest concentration of rubber tappers.5 INCRA’s (and IBAMA’s) lax enforcement of and, at times, total disregard for the reserve’s regulations regarding settlement and natural resource use have strengthened the call, by agriculturally-oriented families, to “cut”6 Porto Dias into a PDA. Many of these families came from failed colonization settlement projects and lands under dispute. In their view, converting Porto Dias into a col onization project would give them what they never had—access to government agricultural credits and basic services (schools, health care, etc.).7 Although their position is understandable, these small agricultural producers pose a very real threat to the reserve’s rubber tappers. With each increase in the number 5 INCRA reserves the right to place a family in a colocação that has been abandoned by its owner for a considerable amount of time (2 years or so). However, regulations stipulate that the local association first approve the settlement of any new resi dents. Usually, the proposed settler is interviewed by the association to see if s/he will abide by the reserve’s Natural Resource Utilization Plan. One of the most important criteria for the Rubber Tappers’ Association is that the individual has a histor y of rubber tapping. 6 “Cut the land” (cortar a terra) is a phrase used to refer to the establishment of a colonization settlement project. It makes reference to th e subdivision of the land into 100-hect are plots for agricultural production. 7 Under PAEs, agricultural credits are not provided. Basic social services tend to be few and in shabby condition. In Porto Dias, health posts have fallen to disarray and, in 2002, were no longer functioning. In addition, one of the schools had been closed down b ecause of difficulties encountered in finding a teacher.

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312 of these families settling in Porto Dias, there has been a corresponding increase in the number of votes necessary to have the reserve overturned by INCRA into a colonization project. At the same time, as forests were being burned down for agricultural production and pasture, the harder it has been for rubber tappers to make a living off of the forest and the weaker the justification, in the eyes of INCRA, to have the area remain a reserve. In fact, a portion of Porto Dias (prior to its status as a reserve) had been turned into a colonization project due to the area’s high leve l of deforestation (São João do Balanceio, see Figure 9-3). A rubber tapper I talked to mentioned this incident, seeing it as a forewarning of what was to come. It was under these conditions—a growing population of small agricultural producers and, with it, increasing deforestation and mobilization for a colonization project—that Porto Dias’ rubber tappers firs t heard from CTA about the possibility of implementing a timber management project. Although rubber tappers at first strongly opposed any form of logging, reduced-impact or not, the timber project quickly became seen as an opportunity to secure their livelihood systems and, with it, Porto Dias’ status as a PAE. “If we did not have this project, the forest would certainly be totally deforested. Without the project, a lot of wood would be taken out. This still continues with those not involved in the project,” Roberto, a manejador and founding member of the Rubber Tappers’ Association, told me. He added that the timber project was the last hope for them: “If it fails, I will leave. I don’t want to leave but if it fails this place will turn into a colonization project.” This was echoed by many others, including Celia, whose husband, born and raised in Porto Dias, is one of the veteran manejadores: “If it

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313 weren’t for the project I would have already left. With the project, I am thinking there is an advantage, so I stay.” Since the project was first initiated in 1996, the Rubber Tappers’ Association has used the timber project as an effective means to slow the rate of agricultural expansion and corresponding deforestation in certain areas of the reserve. In general terms, it has accomplished this by securing not only access to but also control over the only major resources—material, human, and social—entering the reserve, all of which are part and parcel of the timber project and CTA. Specifically, the association diverted the construction of the dirt road from passing through areas of the reserve inhabited primarily by agriculturally-oriented families (Area II, Figure 9-3) and blocked the opening of a second road in that region. At the same time, only rubber tappers have been given access to other resources also derived from the timber project, such as income, vehicles, and training workshops. This has improved the quality of life of many rubber tappers, many of whom previously had been considering abandoning their colocação in search of a better life in the city. One rubber tapper reflected, Throughout the project, so many good things have come for this community. The association’s store is up and running again…there is the tractor, the road, the repair of the boat’s motor, the repair of the boat, and the kitchen utilities for the association. By making Porto Dias a more attractive and viable place to live, the migration of colonos into colocações that may have otherwise become available has been prevented as well as the further weakening of the Rubber Tappers’ Association and rubber tappers’ struggle to secure the PAE that may have resulted from a diminishing rubber tapper population. In addition, agricultural families’ exclusion from not only material resources but also from

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314 access to CTA has made residing in Porto Dias a much harder and less attractive option for these families as well as other colonos that may be considering settling in the reserve. The importance of these resources and the impact they have had (or, for some, hope will have) on improving material and social conditions in the reserve was emphasized, repeatedly, in my conversations with rubber tappers, particularly those that have been most involved in the timber project. All of the ten households I visited whose colocações were being managed for timber, had decided to get involved in the project because of its promise of an additional source of income. “I wanted to participate because I couldn’t make ends meet to survive and the project was one more source of income. I was tapping rubber but it wasn’t providing money,” explained to me Manuel, one of the first manejadores to get involved in the project. The other manejadores stated similar reasons for deciding to experiment with timber harvesting. “I want to be able to build a house, a small lake for my cattle and other animals...the project is an additional source of income,” stated Alfonso. Ivanilda explained, “We wanted to see if there would be income...a future.” Although income was not the only motivating factor for participating in the timber project (for example, “preserving the forest” was also brought up), it was the reason most frequently mentioned primarily because it represented the most direct and tangible means for improving the quality of life. João, who after much hesitation decided to participate in the project in 2002, explained why he decided to get involved: Many people (inside the reserve) would like to work with only rubber and not see their lands converted to a colonization project. Almost everyone who lives in the forest would like to live off of rubber but since rubber isn’t enough (to survive on), people have to do other things (timber). The timber project as a source of money and other material resources was emphasized not only by manejadores but by the majority of individuals I talked to, as

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315 indicated in Table 9-1. Table 9-1 lists all of the perceived benefits from the timber project that were listed more than once by the 47 individuals that were interviewed.8 Material assets and/or means to access material resources made the top of the list and dominated the list with 17 of the 23 items that were mentioned more than once being related to material resources. Specifically, a little less than half (45 percent) of those I talked to felt that the greatest benefit of the timber project was the dirt road. The road was considered important primarily because it offered a means to access other resources, particularly other sources of income: “CTA, by opening the road brought several projects – seeds, copaiba (oil)—that gave us an opportunity to make money,” said one rubber tapper. The road was followed by money (30%), tractor (23%), chainsaw (19%), and truck (19%). Other material assets included: the boat (repaired with money from the project) (15%); the association’s store (which sells staple goods such as oil, coffee, gas and was reopened with money from the project) (13%); transportation (usually CTA’s jeeps which individuals often hitch a ride on) (11%); personal security equipment (hardhats, pants, gloves, and boots) (6%); the sawmill (6%); and loans (offered, usually in cases of emergency, by CTA) (4%). Several references were also made to the timber project’s role in providing a means by which to increase one’s income, specifically by offering: an additional way to use the forest productively (4%), another economic activity (4%), a better source of income than 8 A total of 68 types of benefits were menti oned, 45 of which were mentioned only once (by one individual).

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316 forest and agricultural products (4%), the possibility of selling a product9 (4%); a source of employment (4%); and an alternative prof ession (e.g., woodsman, chainsawyer) (4%). Table 9-1: Most frequent advantages of the timber project listed by all Porto Dias residents interviewed (N=47) ADVANTAGES TOTAL (number of individuals who listed item) TOTAL (percentage of individuals interviewed who listed item) Dirt road 21 45% Money 14 30% Tractor 11 23% Chainsaw 9 19% Truck 9 19% No advantages 8 17% Repair of boat 7 15% Reopening of the store 6 13% Access to transportation 5 11% Learn to use chainsaw 4 9% Security equipment 3 6% Little destruction of the forest 3 6% Sawmill 3 6% Courses 3 6% CTA loans money 2 4% Use the forest productively 2 4% School 2 4% An additional economic activity 2 4% Alternative profession 2 4% Increases knowledge 2 4% Employment 2 4% Better source of income than other products 2 4% Possibility of selling a product 2 4% The timber project as a source of material resources was emphasized not only by individuals with harvest areas in their colocação (Table 9-2) but also by individuals, rubber tappers and colonos alike, who were not harvesting timber (Table 9-3). 9 Prior to the timber project, it was extremely difficult for rubber tappers in Porto Dias to sell what they produced. Part of the problem was the lack of a road to transport products out of the reserve and the low market value of many of the products (rubber and agricultural crops, in particular).

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317 Table 9-2: Most frequent advantages of th e timber project listed by individuals harvesting timber (manejadores and spouses) (N=20) ADVANTAGES TOTAL (number of individuals who listed item) TOTAL (percentage of individuals interviewed who listed item) Dirt road 13 65% Tractor 9 45% Chainsaw 8 40% Money 7 35% Truck 7 35% Repair of boat 5 25% Reopening of store 4 20% Learn to use a chainsaw 4 20% Access to transportation 4 20% Sawmill 3 15% Courses 3 15% Increases knowledge 3 10% Security equipment 2 10% Alternative profession 2 10% CTA loans money 2 10% Better source of income than other products 2 10% Table 9-3: Most frequent advantages of the timber project listed by individuals not harvesting timber (heads of households and spouses) (N=27) ADVANTAGES TOTAL (number of individuals who listed item) TOTAL (percentage of individuals interviewed who listed item) Dirt road 8 30% No benefits 7 26% Money 7 26% Use the forest productively 2 7% Reopening of the store 2 7% Little destruction of the forest 2 7% Repair of the boat 2 7% Tractor 2 7% Truck 2 7% For most, the value of having money and other material resources, including the road, is in their contribution to improving social conditions in the reserve. In the eyes of some, it has strengthened the association and mobilization of Porto Dias’ rubber tappers. For Roberto, the reopening of the association’s store, which was done with money from the timber project, was especially significant: “The store is the heart of the association.

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318 When it was closed, it was because the association was not doing well.” Improvements in access to health care were also mentioned. The timber project has not only made loans available for emergencies, such as in the case of the hospitalization of a manejador’s father-in-law for cancer, but the road has made it possible for CTA’s nurse to come more frequently to Porto Dias: “The best thing has been the road. It has brought vaccines and medical consultations. Those have been the greatest benefits from the project,” affirmed Ivandro, one of the new manejadores. Access to income has also improved access, for some, to education. For children interested in continuing their education (the schools in the reserve offer only 3 years), the only choice is to go to the city. Roberto decided that “with the money from the timber I want to construct a house in the city for my children so that they can study” adding, “but I want to continue living here (in Porto Dias).” The advantages of the timber project in providing access to much needed material resources also were complemented by other perceived benefits. The project’s contribution to preserving the forest and to increasing knowledge and skills were the most notable. “Before the project, rubber trees did not have any protection. Today the rubber trees are protected,” said one rubber tapper. This was echoed in other comments, including this one also made by a manejador: “within the rubber tapper struggle the (timber) project was a victory. The project gives us more knowledge. We won the land and the knowledge to survive from it.” Finally, one added benefit has been the increased presence in the reserve of INCRA, IBAMA, and IMAC (the state equiva lent of IBAMA). “If it weren’t for the project, the forest would be destroyed. With the project, there are visits from IBAMA,

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319 IMAC, INCRA. Therefore, they (colonos) are scared to be penalized,” stated Roberto. Reinaldo felt the same way, believing that The invasions have slowed down because representatives of IBAMA and IMAC came with the police to remove the invaders and they saw that the (timber) project was working to secure the area. We only take out trees permitted by the (IBAMA) license. This is the way to secure (the reserve) – it will never be destroyed. Cachoeira: a “new empate (standoff)” against deforestation As noted throughout previous chapters, the personal and collective histories of Cachoeira’s residents are unique among rubber tapping populations in Acre and the Amazon. Highly mobilized, with a strong local association and impressive alliances with local and national political representatives and grassroots organizations, Cachoeira’s rubber tappers are also in the unusual situation of residing in a reserve that, at least since the empates or standoffs against deforestation in the 1970s and 1980s, has not faced considerable pressures from ranchers or agriculturalists. Echoing the opinion of the majority of individuals I interviewed, Francisco told me, “We don’t have problems with our neighbors—everyone is a rubber tapper like us.” Unlike Porto Dias, Cachoeira is bordered on all of its sides, including its frontier with Bolivia, by former rubber estates (Figure 9-4).

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320 XIPAMANO RIVERBOLIVIA (former rubber estates) Rubber estate Nova Esperança Rubber estate Santa Fé Rubber estate Porto Rico (partially converted to a cattle ranch) Agroextractive Settlement Project (PAE) Equador Rubber estate SãoJoséHIGHWAY Figure 9-4: Map of Cachoeira Although one of these rubber estates was partially converted into a ranch (Porto Rico), I was told that the ranchers “don’t help but don’t get in the way either” and that many of the rubber tappers that continued to live in Porto Rico’s remaining forests were born or had relatives in Cachoeira. The conversion, in 2002, of one of the other rubber estates (Equador) into an agroextractive settlement project (PAE) also provided, in the views of Cachoeira’s residents, an additi onal protection from possible agricultural and cattle ranching expansion. While illegal logging was occurring in several of these former rubber estates it did not seem to pose a significant threat to Cachoeira because “they respect Cachoeira.” Nonetheless, illegal l oggers have been known to smuggle timber out, under the cover of the night, using Cachoeira’s road.

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321 Also, unlike in Porto Dias, the practice of “selling” colocações to outsiders or strangers is rare.10 This is due, in part, to the relatively little out-migration of families from Cachoeira to nearby cities or other rural regions. Cachoeira’s inhabitants are all rubber tappers by tradition, the majority of whom can trace their family’s residence in the area back two or three generations. Among those I talked to, nobody expressed a desire to leave the reserve. Although the subdivision of colocações does occur, it is done mostly for the purpose of passing on land to children.11 At the same time, AMPPAE-CM’s has been successful in enforcing its strict rules discouraging the “selling out” of colocações. The association’s ties to and its members’ affiliation in politically powerful grassroots organizations, notably STR and CNS, have helped legitimate AMPPAE-CM’s role in enforcing the reserve’s rules and regulations. Finally, Cachoeira rarely sees abandoned colocações, a common occurrence in Porto Dias. Among those I talked to, nobody recalled INCRA ever having placed anyone in a vacant colocação. Despite Cachoeira’s relative secure tenure and lack of land-use conflicts, many I talked to expressed the same concern as Porto Dias’ rubber tappers—that INCRA would eventually “cut the land” into a colonization project. The basis for this concern was also the same—deforestation stemming from agricultural production. Some made reference to Brazil’s growing population of landless people and feared that reserves, like Cachoeira, would come under increasing pressure to be converted into colonization 10 On the other hand, it is not uncommon fo r families residing in Cachoeira to swap colocações amongst themselves. 11 The fragmentation of colocações is of some concern to rubber tappers in Cachoeira. Some of the new colocações created as a result of subdivisions are very small and often without the proper documentation from INCRA.

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322 projects. References to landless people usually were made in general terms, without specifying any particular groups such as the colonos in the case of Porto Dias. However, a concern was expressed about the possibility of land-squatting by small-scale agricultural producers once the main dirt road leading to Cachoeira was covered with gravel, a project proposed by the state government to improve access for Cachoeira’s residents. Presenting a different perspective, I was told by Ricardo, one of the poorest rubber tappers I talked to, that the “colonization” of Cachoeira was unavoidable not because of illegal settling by colonos but rather as a result of what he thought was an inevitable fragmentation of colocações: “the population in the reserve is growing…we have our children and only a certain amount of land.”12 To my surprise, however, several of the rubber tappers I talked to did not worry about colonos or overpopulation but, rather, about themselves and their agricultural production systems. This was best expressed in the words of Jedsun, one of the produtores: “We were destroying the forest with our agricultural plots.” This was echoed by others, including Jorge, also involved in the timber project: “We fought for this forest and, yet, we rubber tappers have continued to destroy it.” Rubber tappers in Cachoeira traditionally have cultivated staple crops, such as rice, beans, and corn, for both subsistence and, in limited amounts, commercial purposes. While some rubber tappers insist that deforestation due to subsistence cultivation is not a significant problem because of the small size of the plots (on average, 1 hectare per household/year), others argue that all agriculture needs to be stopped. “There are 79 families living in Cachoeira and every year each one destroys 1 hectare for 12 This is becoming a serious problem in reserves a nd is not isolated to Cachoeira. In the case of Cachoeira, many sons and daughters are moving to th e city (for the most part, Xapuri) or across the Xipamano River to Bolivia, where many former colocações remain uninhabited.

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323 agriculture…We ourselves are destroying our forests because of our agricultural plots,” I was told by Arnaldo, among others. It is within this context that the timber project has acquired importance for Cachoeira’s rubber tappers, or for at least a group of them. This was no better expressed than by Manuel, one of the produtores: “The timber project is a second empate (standoff). People now are carrying out a peaceful empate against agricultural plots and deforestation.” Evoking Cachoeira’s historic empates against cattle ranchers who threatened to burn down the forest, Manuel expl ained: “Chico Mendes wanted to keep the forest standing. This (timber management) project reflects Chico Mendes’ plan. It is a new empate.” For many in the reserve, the timber project has become the new rallying call against deforestation, but one aimed not at ranchers or colonos but at themselves, their neighbors, and their children and grandchildren. But the importance of the timber project in reducing deforestation is not simply an ideological or moral issue. In the eyes of many of Cachoeira’s rubber tappers, it has very real implications. In 1998, INCRA and AMPPAE-CM signed a “Concession Use Contr act,” a type of conditional lease of the reserve that, I was told, eventually might lead to joint ownership by Cachoeira’s rubber tappers.13 Extending the lease and consideration of possible ownership (up for review in 2008) are, however, conditional on compliance with the reserve’s Natural Resource Utilization Plan, including limits placed on the percentage of the reserve that can be deforested. Thus, the timber project has come to represent a tool for not simply reducing 13 The “concession use contract” (Contrato de Conceição de Uso) differs from the conventional usufruct rights given to a PAE’s residents. Rather than providing each resident with a “settlement card” (cartão de assentamento) giving s/he usufruct rights to his/her colocação, the contract is a single document that gives all residents, as a community, usufruct rights to reserve. I was told that one of the objectives of this type of contract was to strengthen local asso ciations’ ability to enforce natura l resource use plans. Apparently, Cachoeira is the first and only PAE where a “concessi on use contract” has been signed. The event even warranted the presence, in the reserv e, of Brazil’s president at the tim e, Fernando Henrique Cardoso.

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324 deforestation from agricultural production by rubber tappers but for guaranteeing that INCRA will extend their contract and, with it, rubber tappersÂ’ right to remain in Cachoeira. As such, CachoeiraÂ’s produtores have focused on trying to demonstrate and convince other rubber tappers that timber management is not only a viable alternative production system to agriculture but one that better enhances the material and social conditions in the reserve. The importance of the timber project as a means to improve the overall quality of life of rubber tappers was repeatedly emphasized in the conversations I had with rubber tappers involved and not involved in the project . CachoeiraÂ’s rubber tappers perceive the timber project as providing key material, environm ental, and social benefits (Table 9-4). Table 9-4 lists all advantages listed more than once by the 51 individuals I interviewed. Out of the 19 benefits listed by more than one individual, 9 were had to do with material benefits. These included: money (57%), the road (31%), wages for community paraflorestais (14%), employment in general (12%), television (10%), solar panel (10%), money for the association (6%), motor to pump water (6%), and money for improving basic services for all Cachoeira (4%). Also mentioned were ecological benefits, such as the reduction of deforestation and protection of the forest (14%), the reduction in the size of agricultural plots (8%), increasing the value (both monetary and non-tangible) of forests and trees (4%), and using (as opposed to letting rot) branches from harvested trees (4%). Finally, several social benefits were also listed, the most interesting being that the project involved people from the community (a s opposed to outside professionals) (8%). Other social benefits included: improves the quality of life (which included material wellbeing) (8%), project is open to all interest ed in getting involved (6%), and fewer worries

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325 (4%). Interestingly, a little more than a fourth of those interviewed (27%) felt that the timber project either had not or would not bring any benefits to Cachoeira. Table 9-4: Most frequent advantages of the timber project listed by all Cachoeira residents interviewed (N=51) ADVANTAGES TOTAL (number of individuals who listed item) TOTAL (percentage of individuals interviewed who listed item) Money 29 57% Road 16 31% No advantages 14 27% Reduces deforestation/pr otects the forest 7 14% Wages for community paraflorestais 7 14% Employment 6 12% Television 5 10% Solar panel 5 10% Improve quality of life 4 8% Reduction in size of agricultural plots 4 8% Involves community members (not just outsiders) 4 8% Money for the association 3 6% Motor to pump water 3 6% Project open to everyone 3 6% Can sell timber 2 4% Less worries 2 4% Give value to the forest and trees 2 4% Money for improving basic services for all Cachoeira 2 4% Use branches of trees 2 4% Comparing rubber tappers whose colocações had been demarcated for timber harvesting and rubber tappers without harvesting areas in their forests, the former mentioned a mix of material, ecological, and social benefits (Table 9-5) compared to the latter who, aside from not seeing any advantages (43%), emphasized material resources (Table 9-6). The road, money, television, and solar panels are some of the benefits derived from the timber project that are not only the most visible in the landscape of Cachoeira but are also the focus of conversations and disputes among rubber tappers.

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326 Table 9-5: Most frequent advantages of th e timber project listed by individuals harvesting timber (manejadores and spouses) (N=28) ADVANTAGES TOTAL (number of individuals who listed item) TOTAL (percentage of individuals interviewed who listed item) Money 19 68% Road 11 39% Reduces deforestation/pr otects the forest 7 25% Employment 6 21% Wage for community paraflorestais 6 21% No advantages 4 14% Money for the association 3 11% Improve quality of life 3 10% Television 3 10% Solar panel 3 10% Motor to pump water 3 10% Reduction in size of agricultural plots 3 10% Involves community members (not just outsiders) 3 10% Project open to everyone 3 10% Give value to the forest and trees 2 7% Money for improving basic services for all Cachoeira 2 7% Table 9-6: Most frequent advantages of the timber project listed by individuals not harvesting timber (heads of households and spouses) (N=23) ADVANTAGES TOTAL (number of individuals who listed item) TOTAL (percentage of individuals interviewed who listed item) No advantages 10 43% Money 10 43% Road 5 22% Television 2 9% Solar panel 2 9% Although it is useful to separate these bene fits according to types, many of them are interrelated and overlap with one another, as in the case of the benefits mentioned in Porto Dias. For example, Antônio, a produtor, stated, “We can’t cultivate. The area is only for (timber) management. I can’t take out one tree even for me. This is preservation. It also helps if the money is good – you don’t need to put in a plot, you can avoid cultivating. This will preserve the forest.” This was echoed by Marla, the wife of another produtor, who told me: “The dirt road and people receiving money (from the timber

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327 project). These help protect the forest because it is not longer necessary to open up an agricultural plot in order to sell crops.” Agency of Other Local Actors: New Associations and New Challenges Porto Dias: The Agricultural Producers’ São José Association Frustrated by the lack of assistance from CTA and rubber tappers’ increasing monopolization of resources coming into the reserve, a group of agriculturally-oriented families mobilized and formed, in 1998, the São José Association. As one member, Romario, explained to me, “The area of Palhal (headquarters of the Rubber Tappers’ Association) gets a lot of assistance but Mosso ró (where the headquarters of the São José Association is located) has been forgotten.” With assistance from the LUMIAR project,14 the São José Association was initially formed by small agricultural producers residing both in Porto Dias and on the borders of the reserve. While the São José Association has not posed any significant challenges to the Rubber Tappers’ Association, it did restrict the latter’s political and enforcement capacity to the central area of the reserve, where the majority of rubber tappers reside. Efforts made by the São José Association to join forces with the Rubber Tappers’ Association were met with considerable skepticism. “They wanted to work with us in order to get access to a road but that will bring in more colonos,” said a member of the directorate of the Rubber Tappers’ Association. He also went on to explain why it was impossible for the two associations to work jointly: 14 LUMIAR is a federal government project whose objec tive is to provide residents of settlement projects (agroextractive settlement projects, or PAEs, and col onization settlement projects, or PDAs) with technical assistance and capacity-building services ranging from commercialization, applica tion of new technologies, and animal husbandry to community organization. The LUMIAR project is implemented by INCRA in cooperation with rural organizations (associations, cooperatives, etc.), government and private technical assistance organizations, universities, res earch institutions, and NGOs (INCRA 1998a, 1998b).

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328 São José has different traditions….There they buy a colocação and divide into three. That is colonization. Here, in this association, the forest is preserved and there it is deforested. There is a difference. There exist differences…you can’t have a concrete union. The São José Association was only able to get a school up and running before, in 2002, it collapsed allegedly due to corruption and internal conflicts between members. While this brought relief to some rubber tappers, the collapse of the association, combined with the continued lack of assistan ce from CTA and other organizations and, in the eyes of agricultural producers, the monopolization of resources by the Rubber Tappers’ Association may pose greater challenges for the rubber tappers and for the future of the timber project and everything that is attached with it. For one thing, it has fueled resentment among the colonos. Several I talked to felt that they had been abandoned by CTA and were being punished for their agriculturallyoriented livelihood systems and identity. In one case, frustration and anger led one colono to falsely denounce CTA and the Rubber Tappers’ Association for illegally taking wood out of the reserve. In the end, the matter was resolved but not without first bringing the timber project to a standstill and exposing CTA and the rubber tappers to considerable unfavorable media coverage. At the same time, the absence of assistance from organizations such as CTA and local a ssociations, has made it difficult for many of the families living in the front part of the reserve (Area II), some of whom are rubber tappers by tradition and do not want to see the reserve converted into a colonization project, to make ends meet. Many of the houses I passed were some of the poorest I had seen and several had been completely abandoned. The frequency with which many colocações were inhabited and then abandoned, primarily due to hardships, indicated how difficult the situation was for the families living in this region. “We are a region that

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329 has been forgotten,” Romario told me, adding, “we here need the same help (as rubber tappers in Area I are provided)”. It is not a surprise, then, that several of these families had recently “sold” their colocações to a company allegedly planning to carry out “reduced-impact” logging. Known as the “Portuguese,” this company owned two sawmills in nearby cities and was, in 2002, negotiating with 6 families to sell their usufruct rights for R$6,000-R$8,000, as much as four times more than what a colocação usually fetches. “They are better (than the CTA timber project) – they will give me my money all at once,” said one of those dealing with the Portuguese. He listed other benefits: permission to stay in the colocação and continue rubber tapping and collecting Brazil nuts, not having to do any of the work of harvesting timber, and options to be hired to assist with harvesting activities. Thus, one of the unintended consequences of the increasing isolation and continued lack of assistance to agriculturally-oriented families has been the opening of opportunities for outside actors, such as this logging company, to take advantage of the situation. This new actor in Porto Dias already attracted two manejadores, who withdrew from the timber project in 2003 and were selling their wood to the Portuguese, fed up with the timber project’s repeated marketing problems and delays in receiving the profits. Cachoeira: The Rubber Tappers’ Fé em Deus Association In 2002, a second association was founded in Cachoeira by the name of Fé em Deus. All of its members were rubber tappers previously affiliated with AMPPAE-CM who simply had become “fed up,” as one of them said. André, a member of the directorate of Fé em Deus, explained to me: “projects arrive here (in Cachoeira) in the name of everybody but for us here (in the back regions of the reserve) the benefits don’t arrive.” He went on to cite a long list: startup monies from INCRA to help build one’s

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330 home and pay for food; a game animal husbandry project, Mãe de Mata (Mother of the Forest); two fish ponds constructed as part of a fisheries project; the lodge and revenues from an ecotourism project; the Brazil nut small processing facility; the telephone; and the road. Jesus, a rubber tapper who previously had been affiliated with AMPPAE-CM, stated: “I paid (membership dues) for 7 years and got not even a drop…. Fazendinha gets everything in our names and we are left with nothing. We serve as mules for others. They have become more powerful and we have weakened.” Another rubber tapper echoed a similar sentiment: “in all the time that I was part of AMPPAE-CM, I never got anything. Not even a T-shirt.” Almost every Fé em Deus members I talked to expressed similar opinions and repeated a variation of the same list of benefits they never saw, ending usually with a comment along the lines of “all goes to Fazendinha.” Fazendinha, actually the name of a colocação at the front of the reserve, is the location of AMPPAECM’s headquarters. It also is used commonly to refer to the Mendes family, the majority of whom reside at the front of the reserve. Frustration and anger at not having a fair share of these resources is what, in the end, fueled the creation of Fé em Deus. The final straw was the timber project and, specifically, the road which was diverted, allegedly by produtores, to benefit only those involved in the timber project (the veteran produtores). AMPPAE-CM’s reaction to the establishment of Fé em Deus revealed the enormity of such a move and the extent to which the formation of a second rubber tappers’ association was perceived by AMPPAE-CM as a possible threat. One Fé em Deus member recalls that “the fight was big. ” AMPPAE-CM made significant efforts to change their mind, including offering to imme diately elect their most vocal opponent as president of AMPPAE-CM. Allegedly, when they refused, AMPPAE-CM provided them

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331 with false information, such as telling them that an association legally could not be created with less than 30 when, in fact, only 15 were actually required. Prior to the creation of the Association of Fé em Deus, AMPPAE-CM, through its geographically widely-distributed members, exercised political and administrative control over the entire region of Cachoeira. This di minished with the establishment of Fé em Deus, which divided the community geographically. But the establishment of the Fé em Deus association created an unprecedented rift in what historically was a strongly united rubber tapper community for other reasons as well. The challenge posed by this second association went beyond the struggle of one group of rubber tappers with another. In soliciting assistance from the municipality of Epitaciolândia, whose government was affiliated with a rightwing party traditionally considered an enemy of the Workers’ Party, Fé em Deus members have been accused of betraying rubber tappers and their historical allegiance to the Workers’ Party and the municipality of Xapuri (also of the Workers’ Party). Members of Fé em Deus, however, have argued that as the municipality to which Cachoeira geographically pertains, Epitaciolâ ndia is the only source of government social and economic assistance to which Cachoeira has access.15 Another added complication further dividing the two associations has been religion, with AMPPAE-CM members being mostly Catholic and an increasing number of Fé em Deus members converting to Protestantism. For some, the existence of two associations is a serious fragmentation of Cachoeira’s community. “We inside here (Cachoeira) are one family. It can be 15 Although historically Xapur i provided assistance to Cachoeira, afte r municipality lines were redrawn in 1998 and Cachoeira became part of Epitaciolândia, Cachoeira rubber tappers are no longer entitled to government assistance packages from Xapuri.

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332 dangerous. Every person thinks one way. Different rubber tappers worry me. It’s strange,” said Jorge. For Marinalva, the creation of Fé em Deus represented a “lack of union because the people (in Cachoeira) are one people only. We were partners. This is one community only, everybody is one Cachoeira even if distances breaks people into groups. It doesn’t make sense.” Maria echoed similar words, adding that members of Fé em Deus were “the type of people who want things only for themselves…they will not want to help us.” The fact that some produtores, among those that do not have access to the road and had not been able to harvest wood, would consider becoming affiliated with Fé em Deus if they initiated their own timber project, is a hint of serious problems to come.16 However, for others, two rubber tappers’ associations did not present a threat. “There is not much fighting with our Mendes brothers,” said one member of Fé em Deus. “The two associations are friends, they work together,” an AMPPAE-CM member stated. Some believed that relations among rubber tappers actually had improved since the creation of Fé em Deus. Sebastião, a member of AMPPAE-CM, explained to me “Cachoeira is too big for only one association. I don’t think it’s a bad thing to have two associations especially since Fé em Deus has been able to achieve some things.” But he adds that it will be difficult for both associations to work together since each works in such a different way and this worried him since he saw more conflicts arising in the future. He prefered that they work together: “the two associations working in partnership, working along the same lines would be great.” 16 As of 2002, the majority of Fé em Deus me mbers were against implementing a timber project.

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333 Despite Fé em Deus’ accomplishments (among them, a school and a rice husking machine), families that are isolated in the back regions of the reserve have seen few of these benefits and do not appear to have any more faith in this association than in AMPPAE-CM. One of the consequences has been that in 2002 in one of the most isolated regions of the reserve, a group of rubber tappers living in Cachoeira and across the river in Bolivia was contemplating creating their own, and thus third, association.

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334 CHAPTER 10 CONCLUSIONS, LESSONS, AND CHALLENGES The recent emergence of projetos de manejo florestal comunitário in the Brazilian Amazon reflects a change in Brazil’s national forest management policies and practices. Most notably, these projects represent the first time in the nation’s history that channels have been opened up for popular participation in a sector that has been tightly controlled by the state and industries. However, the extent to which these small-scale, nonindustrial projects, such as those in Port o Dias and Cachoiera, have provided an opportunity for smallholders and forest communities to become key participants and key players in the production of commercial timber remains an open question. The general premise of participatory development initiatives, such as these community-based timber management projects, is that involving local people in the supply and management of resources, services and facilities while at the same time reversing control and accountability from external authorities to the community, contributes to democratization, empowerment, and equity both vertically (across hierarchical levels of social organization) and horizontally (within the community). For advocates of participation as an “end in itself,” local participation is an end-goal of development; that is, participation is a strategy for effecting structural change, notably transforming existing power structures, not only economic but al so social and political (Cleaver 1999; Veltmeyer 1997). It emphasizes not only voice but agency, the capacity and power for local people to define development according to their aspirations, problems and needs and to negotiate, vis-à-vis other actors (be it, government agencies, NGOs, private

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335 businesses, or other local groups), the conditions of their participation in all aspects of a development project. To what extent have these processes occurred in the case of Brazil’s projetos de manejo florestal comunitário, and why or why not? This are the central questions that this dissertation has attempted to address. To answer these broad questions, I focused on the case studies of Porto Dias and Cachoeira and examined the impact of political, socio-economic, and forestry policies and practices at the international, national and state levels; and political, socio-economic, demographic, cultural, and ecological characteristics at the level of the reserves, households and individuals in shaping these communities’ participation in the timber projects. In addition to analyzing the role of these social structural constraints, I looked at some of the ways local people took advantage, sometimes in innovative and unexpected ways, of the timber projects and their participation in these projects to respond to their own interests, needs, and objectives. The short answer to the questions is: it depends. The projetos de manejo florestal comunitário, including Porto Dias and Cachoeira, unquestionably have led to greater participation of local people in reduced-impact timber management initiatives. However, to what extent depends on the level of analysis: All the community-based timber projects versus other actors involved? Porto Dias ve rsus Cachoeira? Households? Individuals? Thus, greater community participation is a relative concept, one that needs to take into consideration the pluralistic and continuously contesting set of actors involved, which range from internally heterogeneous communities to private businesses, NGOs, and government agencies. I discuss this in further detail in the sections that follow. I then conclude with a look at some of the lessons learnt from this study, and opportunities as

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336 well as challenges that exist for greater community participation in Brazil’s production of commercial timber. Communities Vis-à-Vis Other Actors: A Leveling of the Playing Field? Access to and control over the Brazilian Amazon’s commercial timber remains concentrated in the hands of those with political and economic power, notably logging companies. Few in number and involving smallholders and forest communities with little bargaining power, the projetos de manejo florestal comunitário produce an insignificant amount of commercial timber in the larger scheme of timber production in Brazil. Nonetheless, these projects signal a noticeable change in Brazilian forestry policies and practices. Not only do these projects represent the first time in the country’s history that smallholders and forest communities have been given the opportunity to participate in the (legal) production of commercial timber, but they are doing so with government endorsement as well as technical and financial assistance. Three macro socio-political processes played a particularly significant role in facilitating the emergence of these community-based timber projects in the Brazilian Amazon: (1) “from above” (from the national government)—the democratization of political institutions and increases in government administrative and decision-making authority over forest management; (2) “from below” (from groups and organizations organized within civil society)—pressures, demands, and initiatives for greater involvement and voice in the development of the Amazon; and (3) from partnerships between international and national organizations (government, private, NGOs, etc.)— programs and initiatives for sustainable forestry. These were discussed in detail in Chapter 3 and are summarized in Table 10-1.

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337 Table 10-1: Socio-political processes that facilitated the emergence of community-based timber management projects in the Brazilian Amazon PROCESSES SPECIFIC EVENTS IMPACTS Political democratization Transition from military government to democratic rule (mid-1970s) Opened up spaces for action by political parties, community-based grassroots organizations, research institutions, and NGOs Election of Jorge Viana as governor of Acre and Luis Inácio Lula da Silva as Brazil’s president (Workers’ Party) Placed historical alleys of forest populations as heads of key national environmental agencies and financing institutions Increased government control over forests & forest resources Creation of parks and reserves (1980s – present) Increased government access and rights to forest resources and land Provided greater tenure security for some forest populations (rubber tappers , indigenous peoples) Helped maintain large areas of the Brazilian Amazon under forest cover Attracted funding from international donors for sustainable development and conservation projects Revision of 1965 Forestry Code (1996) Decreased area of forest for future logging Permitted logging in parks and reserves areas using sustainable manage ment techniques (subject to the approval of IBAMA and state environmental agencies) Represented the first time forestry policies reflected interests of NGOs and grassroots groups over ranchers’ and larg e landowners’ interest groups IBAMA’s PMFSimples (1998) Permitted, for the first time, smallholders and populations with communal land regimes, such as indigenous peoples and rubber tapper populations, to legally manage forests for commercial timber National Forest Program (PNF) (2000) Increased total area of forests under management Outlined basic steps for developing instruments for sustainable forest management Improved dialogue between the government and different interest groups w ithin the forestry sector as well as other sectors Grassroots social mobilization Rubber Tappers’ movement, Indigenous Peoples’ movements Led to the creation of extractive and indigenous reserves Attracted international attention to environmental destruction and social injustices in the Brazilian Amazon Research and projects by private research institutions IMAZON’s and FFT’s research on reduced-impact logging Generated technical know ledge and technologies for implementing sustainabl e logging initiatives in the Brazilian Amazon

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338 Table 10-1 continued PROCESSES SPECIFIC EVENTS IMPACTS Programs, workshops, and initiatives for sustainable forest management Pilot Program for the Conservation of the Brazilian Rain Forest (PPG7) Promoted the adoption of sustainable forest management systems in the Brazilian Amazon Provided significant sour ces of financial and technical support for sustainable forest management initiatives, including communitybased models FSC Certification Program Complemented weak government structures and strategies for moni toring logging activities Opened up niche markets for timber extracted by means of reduced-impact technologies Annual workshops on community-based forest management (WWF/SUNY Program on Nature and Society and USAID; IIEB & IMAZON) Provided opportunities for community-based projects to exchange experiences and ideas Provided platform for br inging interested buyers and community groups Opened up the discussion of a national credit program for sustainable fo rest management (now available) Group of Community Forest Producers First local network/horizontal ties among community-based timber management projects First efforts to organize communities to sell timber One of the things that stands out about Brazil’s experience with projetos de manejo florestal comunitário is the relatively strong role, direct and indirect, that the government has played in facilitating smallholders’ and forest communities’ initiatives with reducedimpact logging. This has been on two simu ltaneous fronts: political liberalization during and following the military regime, and increased government control over forested lands and forest resources. Brazil’s transition to democratic rule in the late 1970s and 1980s was significant for creating the political and social conditions for political parties, community-based organizations, and NGOs to emerge (Keck 1995; Schmink and Wood 1992; White and Martin 2002). Some of these civil organizations were instrumental in getting the government to create extractive and indigenous reserves, and state and national parks where several of the community-based timber management projects have been

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339 implemented. Also among these civil organiza tions are several of the NGOs and research institutions that currently have provided technical and administrative assistance to the smallholders and community groups involved in these projects. In addition, the leftist political party—the Worker’s Party (PT)—also emerged during this period from grassroots organizing, specifically from c hurch and union movements in Acre (Keck 1995). The PT, historically allies of rural populations and in power in the state of Acre since 1999 and in the federal government since 2002, has made significant policy changes, such as the opening of a credit line for forest management initiatives, that have facilitated community-based timber management initiatives. At the same time, the federal government gradually has been assuming greater administrative and decision-making authority over the management of forested lands. Compared to other Latin American countries that have decentralized government authority over forests, notably Bolivia, Brazil’s government retains considerable control over its forests and natural resources. Rather than withdrawing, over the past twenty years the Brazilian state has increased its access to and control over forested lands, particularly in the Brazilian Amazon. This has been most visible in the government’s creation of a national system of parks and reserves, the 1965 Forestry Code amendment increasing the area of forest reserves on private lands from 50% to 80%, and the requirement that logging companies adhere to and submit forest management plans. Government ownership of parks and reserves and control over the forest reserves on private lands has given the government the authority to restrict agricultural production, cattle ranching, and clearcut logging, among other intensive land-use systems. In doing so, the government not only has secured areas under forest cover but also has opened up

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340 opportunities and created incentives for populations residing in these areas, and interested external organizations, to experiment with selective logging using reduced-impact technologies. In addition, in extractive reserves, the government helped create formal communal organizations by making it a requirement that local associations be established as a pre-condition for creating reserves. Many of the most successful projetos de manejo florestal comunitário, including Porto Dias and Cachoeira, owe part of their accomplishments to these formal community organizations. Difficulties encountered by the government in enforcing and monitoring forest management regulations in reserves, parks, and forest reserves on private lands also have promoted experimentation with projetos de manejo florestal comunitário. More than twenty years of Amazon development policies providing political and fiscal incentives for agricultural production, cattle ranching, clearcut logging, and mining have meant that many of these government controlled forest areas have been under constant threat from these more intensive land-use systems. This has been exacerbated by the lack of government social services, such as health care and education, and viable forest-based (e.g., non-timber forest products) economic alternatives in these areas. Both have fueled land tenure conflicts, poverty, and environmental degradation and, in the process, have pressed (if not forced) forest populations, a nd grassroots and research organizations, to look for ways to help secure tenure rights and improve standards of living. Communitybased models of reduced-impact timber management have become an attractive option. In summary, a mix of “top-down” political democratization and increased forest management authority, with “bottom-up” grassroots mobilization and experimentation, opened up opportunities for projetos de manejo florestal comunitário in the Brazilian

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341 Amazon. However, the extent to which these projects will “level the playing field” for smallholders and forest communities vis-à-vis other actors, remains to be seen. As noted by Wollenberg et al. (2001a: 193), with the “democratization of forest management…the governance of forests has become contested, giving rise to competing claims of authority and legitimacy.” In the case of Brazil’s projetos de manejo florestal comunitário, these projects have opened the door for greater participation in reduced-impact logging initiatives for not only smallholders and forest community groups, but also non-local actors, including international organizations, government agencies, NGOs, research institutions, and businesses (see Figure 10-1). To date, these non-local groups have been the most involved in defining, planning, and administrating these projects, while smallholders and forest communities have been more involved in implementing project activities. As seen in Chapter 7, organizations and institutions such as INCRA, IBAMA, FSC, donors and the markets for timber have had a strong role in the projetos de manejo florestal comunitário. While they have not been significantly involved in the day-to-day implementation of project activities and, thus, their level of participation (or number of activities in which they are directly involved) is relatively low in comparison to other actors, they have significant power in st ructuring the overall design and the specific activities in these timber projects (Figure 10-1). Most of the technical, administrative, financial, and marketing rules and regulations for reduced-impact logging initiatives have been defined by these organizations and institutions. In addition, public and private research institutions not directly involved with community-based timber projects, such as IMAFLORA and TFF/FFT, also have been

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342 influential in structuring community-based timber projects, and how smallholders and forest communities can participate in them (Figure 10-1). They have done so by leading research efforts in Brazil on reduced impact technologies and practices appropriate for the Brazilian Amazon that are being applied in these projects. By making requests for certain timber species and qualities of wood, businesses (e.g., AVER and the Pólo) also have affected who participates in the timber projects and how. For the time being, however, the organizations directly involved in providing the technical assistance (e.g., CTA, SEFE) have been significantly involved in implementing project activities, at least while community members and smallholders are being trained (Figure 10-1). These technical assistance organizations also have had a significant role in promoting and introducing these projects to forest communities and smallholders, and in defining decision-making and administration structures adopted, and the types of benefits and objectives prioritized. LEVEL OF PARTICIPATIONQUALITY OF PARTICIPATION Participation in few project activities Participation in many project activities Less power More power GOVERNMENT AGENCIES (e.g. INCRA, IBAMA) FSC DONORS MARKETS for timber TECHNICAL ASSISTANCE ORGANIZATIONS (e.g. CTA, SEFE) FOREST COMMUNITY GROUPS & SMALLHOLDERS RESEARCH INSTITUTIONS BUSINESSES (e.g. AVER, Pólo) Figure 10-1: Community groups’ and smallholders’ participation in projetos de manejo florestal comunitário relative to other actors involved

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343 The Communities of Porto Dias and Cachoeira: The Importance of Social Capital The specific experiences of the Porto Dias and Cachoeira communities1 show that while communities are the main participants and beneficiaries of projetos de manejo florestal comunitário, their participation has consisted primarily of contributing resources, such as information and labor. As highlighted in Chapters 6, 8, and 9, Porto Dias’ and Cachoeira’s rubber tappers have been involved in implementing a significant number of project activities. However, the majority of these activities have been operational activities, related primarily to pre-harvesting and harvesting operations of the project (see Figure 10-2). By contrast, they have had a much smaller role in decisionmaking and administrative processes of the timber projects. This has been due largely to the complexity and rigidity of the technical and bureaucratic components of the timber projects. Although rubber tappers were explicitly defined as the intended primary beneficiaries and executors of these timber projects, these projects were also planned and designed by professional foresters in order to meet the strict ecological standards stipulated by INCRA, IBAMA, and FSC. 1 I use the term community to refer to a spatial unit defined by geophysical and administrative boundaries (in this case, PAEs), as opposed to a homogeneous so cial structure and/or co mmon interests and shared norms (see Agrawal and Gibson 1999).

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344 DECISION-MAKING ACTIVITIES N = 11 OPERATIONAL ACTIVITIES N = 31 SUPPORTING ACTIVITIES N = 8 Demarcated harvest area Tagged trees Identified trees for regeneration Cut vines Mapped skid trails Opened up skid trails Cut trees Measured logs Participated in courses Paid taxes Transported timber to city Helped with road maintenance Transported timber to dirt road Sold timber Hired sawyer Helped find buyers & trucks Helped other participants Signed documents Received wages Cut logs into sections Tagged cut sections Transported timber to highway Checked trees for defects Oversaw felling Got others to demarcate harvest area Distributed profits to participants Oversaw processing at sawmill Have equipment Provided food Bought materials for project Provided information about forest/trees Selected trees to cut Acted as facilitator Helped define rules Negotiated price Picked new participants Voted on new participants Voted on project decisions Made recommendations to foresters Attended project meetings Recommended trees to cut Recommended location of skid trails Accompanied other to harvest area Visited harvest area Washed clothes Took care of workers Lent materials for use in project Visited sawmill/ woodworkers Watched others work Planted seedlings/ saplings LEGEND Activities in italics : Activities mentioned only in Porto Dias Activities underlined : Activities mentioned only in Cachoeira All other activities: Activities mentioned in both Porto Dias and CachoeiraDECISION-MAKING ACTIVITIES N = 11 OPERATIONAL ACTIVITIES N = 31 SUPPORTING ACTIVITIES N = 8 Demarcated harvest area Tagged trees Identified trees for regeneration Cut vines Mapped skid trails Opened up skid trails Cut trees Measured logs Participated in courses Paid taxes Transported timber to city Helped with road maintenance Transported timber to dirt road Sold timber Hired sawyer Helped find buyers & trucks Helped other participants Signed documents Received wages Cut logs into sections Tagged cut sections Transported timber to highway Checked trees for defects Oversaw felling Got others to demarcate harvest area Distributed profits to participants Oversaw processing at sawmill Have equipment Provided food Bought materials for project Provided information about forest/trees Selected trees to cut Acted as facilitator Helped define rules Negotiated price Picked new participants Voted on new participants Voted on project decisions Made recommendations to foresters Attended project meetings Recommended trees to cut Recommended location of skid trails Selected trees to cut Acted as facilitator Helped define rules Negotiated price Picked new participants Voted on new participants Voted on project decisions Made recommendations to foresters Attended project meetings Recommended trees to cut Recommended location of skid trails Accompanied other to harvest area Visited harvest area Washed clothes Took care of workers Lent materials for use in project Visited sawmill/ woodworkers Watched others work Planted seedlings/ saplings Accompanied other to harvest area Visited harvest area Washed clothes Took care of workers Lent materials for use in project Visited sawmill/ woodworkers Watched others work Planted seedlings/ saplings LEGEND Activities in italics : Activities mentioned only in Porto Dias Activities underlined : Activities mentioned only in Cachoeira All other activities: Activities mentioned in both Porto Dias and Cachoeira Figure 10-2: Timber project activities carried out by community members in Porto Dias and Cachoeira As noted in Chapter 7, the technical complexity of reduced-impact technologies and practices, coupled with the bureaucratic process entailed for submitting required paperwork, have made it difficult for rubber tappers to get involved without substantial assistance from CTA, SEFE, and their foresters. With little formal education or even less knowledge of reduced-impact logging, Porto DiasÂ’ and CachoeiraÂ’s rubber tappers have needed a great deal of training to be able to participate in even the operational activities. However, as they have gained experience and training in reduced-impact logging methods and in administrating project activities, they have become more involved both in implementing activities and in the decision-making processes of the projects. This process, however, has differed for the two communities. Although both Porto Dias and Cachoeira have participated in similar numbers of project activities, CachoeiraÂ’s rubber

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345 tappers have had more success in participating and influencing the decision-making processes of the timber project (see Figure 10-3). LEVEL OF PARTICIPATIONQUALITY OF PARTICIPATION Less power More power CACHOEIRA PORTO DIASParticipation in few project activities Participation in many project activities Figure 10-3: Porto DiasÂ’ and CachoeiraÂ’s level and quality of participation in their timber management project As noted in Chapter 5, Cachoeira has greatly benefited from its nearly two decades of collective action, alliances, and networks, both among individuals and groups within the reserve and between Cachoeira and outside actors. In particular, residentsÂ’ shared culture, identity, and experiences as rubber tappers, and strong kinship ties have been important sources of social capital. Over time, this helped build trust, mutual obligations, consensus, and social cohesion within the reserve. It also enabled CachoeiraÂ’s rubber tappers to collectively organize and tackle shared problems, as in the case of the empates, the creation of AMPPAE-CM, and the multitude of organizational and institutional linkages with outside groups. Together, this wealth of social capital, in particular AMPPAE-CM and its strategic alliances and networks with individuals and organizations at multiple scales, has provided CachoeiraÂ’s residents with the means to access other forms of capital, including

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346 physical (e.g., human-made assets such as roads, schools, etc.), natural (e.g., renewable and non-renewable resources and environmental services), financial (e.g., savings, credits, cash), and human (e.g., skills, knowledge, health) (see Figure 10-4). These included the establishment of Cachoeira as an extractive reserve (natural capital), the construction of the dirt road (physical capital), and leaders with experience interacting and coordinating actions with other organiza tions (human capital) (see Figure 10-4). Social capital Human capital•Formal education •Training opportunities: e.g. paraflorestais (1990, 2000) •Literate leaders •Leaders with experience negotiating with outsidersPhysical capital Natural capital•PAE Cachoeira –preservation of forests •Dirt road (with gravel) •Association headquarters •Bar •Eco-tourism lodge •Brazil nut processing centers •Telephone •Electricity (front area) •Schools •Health post •Fish rearing ponds •Animal pen for rearing game animals •Municipal truck to transport produce •Timber project: Personal safety equipment; availability of truck to transport timber; access to AVER & PoloFinancial capital •State government funds •International funds (e.g.WWF) •Credits and subsidies (e.g. rubber subsidy, PRODEX) Shared culture, identity, and experiences as rubber tappers Strong kinship ties Empates (standoffs) AMPPAE-CM Strategic alliances with outside organizations (civil grassroots organizations -STR, CNS; national, state, and municipal government agencies and representatives INCRA, IBAMA, SEFE, SEATER, municipal government of Xapuri; Political parties and representatives -PT; NGOs -CTA; international organizations-WWF; and the Catholic Church) Figure 10-4: The contribution of social capital in Cachoeira in accessing other forms of capitals The accumulation of these multiple resources played an important role in Cachoeira’s timber management project and rubber tappers’ participation in it. In particular, Cachoeira’s long-standing ties with politically powerful outside organizations and individuals, especially those affiliated with the Worker’s Party (PT), and their role in

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347 introducing the timber project to Cachoeira, cr eated a powerful vested interest in ensuring a successful project. As a result, an impre ssive amount of financial, human, and physical resources was invested in the project and in Cachoeira. This included the technical expertise of a professional forester with a Ph.D. and experience with reduced-impact logging, and guaranteed buyers (AVER and the Pólo). These organizational and institutional ties, coupled with Cachoeira lead ers’ experience working with outsiders, also provided rubber tappers with greater negotia ting leverage vis-à-vis powerful groups and individuals, including Dr. Viana, AVER and th e Pólo. As a result, Cachoeira’s rubber tappers have been able to not only influence the decision-making processes of the timber project but also to create spaces within the project to pursue their own objectives, as seen in Chapter 9. Cachoeira’s negotiating power, organizational and institutional linkages to important sources of human, financial, and physical resources, and experienced and knowledgeable leaders also have facilitated the community’s capacity to respond to unexpected problems or changes regarding the timber project. Whether it the knowledge that they can draw on these assets or a sense of empowerment that is derived from having these assets, Cachoeira rubber tappers’ have adopted a flexible and adaptive approach to project administration and implementation. Compared to Cachoeira, Porto Dias has had a much harder time accumulating social capital and accessing other forms of capital (Figure 10-5).

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348 Social capitalShared culture, identity, and experiences as rubber tappers (Area I of reserve) The Rubber Tappers’Association of Porto Dias Kinship ties (Area I) Some assistance from outside organizations (National, state, and municipal governme nt agencies and representatives -INCRA, IBAMA; NGOs –CTA; International organizations –ITTO, WWF) Physical capital•Dirt road •Association headquarters •Boat •Schools •Health posts •Donkey •Timber project: truck, tractor, chainsaws, personal safety equipment Human capital•Formal education •Literate leaders •Leaders with some experience negotiating with outsiders Natural capital•PAE Porto Dias – preservation of some areas of forested lands Financial capital •Government funds (e.g.ProManejo) •International funds (e.g. ITTO, WWF) •Credits and subsidies (e.g. rubber subsidy, PRODEX) Figure 10-5: The contribution of social capital in Porto Dias in accessing other forms of capitals One major obstacle has been Porto Dias’ heterogeneous population, divided culturally and geographically between rubber tappers and small-scale agriculturalists. These groups’ starkly different livelihood systems a nd visions regarding the future of the reserve have rendered it particularly difficult for residents of Porto Dias to trust one another and collectively organize their efforts to mobilize resources, solve problems, and form strategic alliances with external groups. Consequently, the main local association— Rubber Tappers' Association of Porto Dias—rem ains a small organization with relatively few members and not much leverage to negotiate with and get assistance from external actors. In addition, the Rubber Tappers' Association has spent much of its time and energy fighting small-scale agriculturalists’ efforts to turn the reserve into a colonization project.

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349 Other major obstacles have been Porto Dias’ location in the politically conservative (pro-agriculture and ranching) municipality of Acrelândia and the relative absence, in this area, of organizations traditionally supportive of rubber tapper causes, such as the Rural Workers’ Syndicate (STR). In addition, the timber project in Porto Dias was implemented prior to the election of Acre’s “Forest government” and its policy shifts towards forest management. Thus, in the early years of the project, CTA had difficulties securing potential sources of political, financia l, and technical support. Given that CTA had no previous experience in reduced-impact logging, these circumstances made it all the more difficult for CTA and the rubber tappers in Porto Dias to implement the timber project. Together, Porto Dias’ divided population, the Rubber Tappers’ Association’s isolation from the wider political arena, and the lack of significant support from organizations other than CTA limited Porto Dias’ rubber tappers’ access to other resources and services and its capacity to have a more pro-active role in the timber management project. While CTA provided c onsiderable funds for technical assistance and material assets, the absence of significant institutional networks for providing resources towards capacity-building and political empowerment resulted in an association and group of rubber tappers that remained dependent on CTA. However, as noted in Chapters 6 and 9, this has been gradually changing as a result of CTA’s emphasis on capacity building and training in an effort to devolve control and administration of the project to the rubber tappers. In addition, CTA’s adoption of a more reflexive process of iterative learning and adaptive management has provided opportunities for Porto Dias’ rubber tappers to take on a more pro-active and assertive role in the project.

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350 In summary, the experiences in Porto Dias and Cachoeira highlight that while both communities’ participation in the timber projects has consisted primarily of providing resources (information and labor) to implement project activities, they are gradually getting more involved in the decision-making processes of the project. However, in Porto Dias this process has been slower primarily because of the rubber tappers’ weaker social capital. On the other hand, despite differences in quality of participation in the timber projects, both Porto Dias and Cachoeira have been successful in using the timber projects to meet practical needs, particularly access to material assets and income. As noted in Chapter 9, this has helped rubber tappers increase their control over the lands and forests they have traditionally inhabited. Thus, ev en if Porto Dias’ and Cachoeira’s rubber tappers do not have full agency in defining and administrating all aspects of the project, the timber projects ha ve contributed to greater empowerment and self-reliance. This is particularly significant, considering that Porto Dias’ and Cachoeira’s rubber tappers once lived under conditions of semi-enslaved labor. Households and Individuals: Heterogeneous Communities and Diverse Participation The previous section highlighted the advances Porto Dias and Cachoeira, as communities, have made in terms of their participation in the timber management projects. However, the term “community” masks the multifaceted ways in which rubber tappers, and their participation in the timber projects, have been differentiated along socio-demographic, economic, political, and other social lines. Participation in the timber projects in both Porto Dias and Cachoeira was not equally distributed among households and i ndividuals. There were differences among households and individuals not only in terms of their quality of participation (decision-

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351 making, operational, and/or supportive activities) but their level of participation (number of activities) (see Figures 10-6 and 10-7). In general, households and individuals that had better access to social (e.g., the main association), human (e.g., education), physical (e.g. the dirt road), financial (e.g., socio-economic status), and natural (e.g., forests rich in commercial species) capitals had greater levels and quality of participation in the timber projects. LEVEL OF PARTICIPATIONQUALITY OF PARTICIPATION Affiliated with main association Officially recognized participants (new & veteran) Closest to dirt road Higher socio-economic status Forests rich in commercial timber species, not flooded and not on slopes Affiliated with new association or not affiliated with any association Not officially considered project participants Furthest from dirt road Lower socio-economic status Forests poor in commercial timber species, flooded and/or on slopesParticipation in many project activities Participation in few project activitiesMore power (decisionmaking activities) Less power (supporting activities) Figure 10-6: Level and quality of partic ipation by households with different characteristics in Porto Dias and Cachoeira

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352 LEVEL OF PARTICIPATIONQUALITY OF PARTICIPATION Less power (supporting activities) More power (decisionmaking activities)Members of main association Adults & adolescents trained as paraflorestais Men Leaders Powerful Literate individuals Born in a rubber estate Frequent trips out of reserve Members of new association and individuals not affiliated with any association Children Women Not considered leaders Not considered powerful Illiterate individuals Born in a city or town Few trips out of reserveParticipation in many project activities Participation in few project activities Figure 10-7: Level and quality of participation by individuals with different characteristics in Porto Dias and Cachoeira Thus, the timber projects have involved, and benefited the most, a small group of families and individuals. These were community members who, to begin with, were the most advantaged—socially, politically, and economically—in the community. However, the majority of those most actively involved in the timber project also had been the communities’ most active members in seeking assistance and resources from external organizations and in investing time and labor in the project. In particular, community leaders and other politically active community members were instrumental in bringing the timber projects to the reserves. Moreover, although the gap—in terms of accumulation of material resources and empowerment—between those most advantaged by the project and groups less advantaged has increased, the latter have benefited from

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353 the implementation of the timber projects in the reserve. Households and individuals not involved in the projects have had access to project-related resources, notably the road. Nonetheless, inequities in the distribution of project benefits and difficulties encountered by some households and individuals interested in getting involved in the project have created conflicts. The intention of project participants and the foresters to gradually expand the projects to include a greater number of families in the harvesting of timber and individuals in project-generated employment opportunities, and to use funds generated by the sale of timber for community works (e.g., schools, health posts, etc.), most likely will decrease conflicts and diminish inequities in access to project benefits. The Challenge: Scaling Up Participation Via Horizontal and Vertical Linkages of Co-Participation The above discussions highlight the need to integrate different levels of analysis (macro, meso, micro) in order to understand the opportunities and constraints that shape the ability for greater participation of local actors in the implementation, administration, and decision-making processes of community-based projects. The projetos de manejo florestal comunitário in the Brazilian Amazon, in general, and Porto Dias and Cachoeira, specifically, are embedded in a web of social relations of power that are constantly negotiated by a pluralistic set of actors. In Porto Dias and Cachoeira, the participation of communities, households, and individuals have been impacted by structures of inequities at the community-level all the way to political decisions made in the offices of the Ministry of the Environment. “Who makes the laws is not us but the politicians. We need to talk to IMAC and IMAFLORA to tell them all the things that are being done wrong. We also need to get involved and negotiate with companies,” Adelvir, a rubber tapper in Cachoeira, told me in response to my question regarding the challenges that lay ahead.

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354 This study and the comment made by Adelvir highlight the importance of “scaling up,” or institutionalizing, participation to give those directly engaged in the timber projects—be it as communities, households, and/or individuals—opportunities to impact decisions made by powerful organizations and institutions. These include forestry policies and practices defined by IBAMA, business marketing decisions made by AVER and other buyers of wood, and certification pr e-conditions and criteria stipulated by FSC certifying bodies such as IMAFLORA. In Porto Dias and Cachoeira, the immediate concern has been on “scaling down” participation, or decreasing the participation of the assisting organizations and increasing rubber tappers’ role in all aspects of the timber projects. While this is essential, the danger is losing sight of the importance of also “scaling up” participation. Participation in decision-making processes at the local community level, in which Cachoeira has made considerable headway, is crucial. However, communities’ bargaining power and agency to define the timber projects, and their participation in them, according to their interests and needs, always will be limited unless they can scale up their participation to access and influence higher levels of decision-making. This is particularly important given concerns that have been voiced regarding the projetos de manejo florestal comunitário. Some argue that these projects have provided a loophole, cloaked in the name of participation, for the market and powerful interest groups to access commercial timber from forests previously forbidden by strict environmental regulations. They view these projects as reflecting less a conquest of grassroots mobilization and empowerment of fo rest populations then that of the market, favored by Brazil’s neoliberal structural adjust ment programs. As evidence, they point to

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355 the emphasis placed on the economic value of timber over non-material values (e.g., spiritual, religious, political, etc.), and the lack of venues for local people to voice their priorities and interests and put them into action at the level of policies. These are valid concerns. In both Porto Dias and Cachoeira, a great deal of emphasis has been placed on accessing markets, particularly niche markets for certified timber and “ecologicallyand socially-sensitive” wood products. This has been spearheaded largely by actors external to the communities. While access to markets is vital to the economic viability of these projects, and needs to be a priority, it also exposes local communities to national and global economic competition and introduces them to new sets of economically and politically power ful actors and power struggles that they must first be equipped and have the power to negotiate with. In both Porto Dias and Cachoeira, the main rubber tappers’ associations are gradually assuming greater responsibility and accountability for administrating the timber projects and negotiating with outside actors, including buyers. However, as noted by Bray (2000), Bryant and Bailey (1997), a nd Livernash (1992), among others, local organizations typically are restricted in their actions because of their small scale and limited power. Pointing to the success of community-based timber management projects in Mexico, Bray (2000:20) emphasized the role of “inter-community organizations (in) help(ing) build negotiating capacity, reduc(ing) the cost of technical assistance provision and training, and increas(ing) the supply of marketable product that is being developed.” The experience in Mexico, particularly communities’ appropriation of significant decision-making and administrative control over forest management, can offer important insights and lessons for Brazil. Bray (1995: 190) notes that Mexican forest populations,

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356 specifically ejidatarios and comunidades indígenas, moved from being “defensive movements” fighting for local control of natural resources to “proactive institutionbuilding resource management efforts.” The multi-institutional arrangement and networks that were built were comprised of both horizontal ties (i.e. between community groups) and vertical ties (across different t ypes and scales of organizations, including community groups, NGOs, government agencies, and international organizations). These “pro-grassroots development coalitions” (Silva 1994) have been, according to Bray (1999: 6) “a very substantial social and organizational capital.” These alliances gave forest populations in Mexico access to powerful arenas of forestry policy-making and administration. They also increased their negotiating capacity vis-à-vis state and federal governments as well as logging interest groups and provided them with significant experience in leadership and negotiation with external authorities. As a consequence, many of Mexicos’ forest populations were tran sformed from “objects that were exploited by external forces” into “communities involv(ed) in deciding for themselves how their forests would be used” (Moros and Solano 1995: 99) or, in other words, from “‘objects’ of externally directed programs” to “‘subj ects’ of their own self-directed, sustainable programs” (Bray 1997: 4). Galletti (1998: 43) ar gues that this allowed them “to confront frequent and arbitrary changes in external policies and institutions with a degree of institutional and strategic consistency on their part.” In Brazil, the forest community groups and smallholders involved in the projetos de manejo florestal comunitário have yet to build any significant local, regional or national level organizations founded on a network of intra-community organizations, NGOs, government organizations, companies, and/or other actors. Nonetheless, the experience

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357 of Cachoeira, particularly the community’s linkages to both public entities (e.g., the Xapuri municipal government and the Acre state government) and private actors (e.g., Dr. Viana and AVER), is noteworthy. In a ddition, the creation of the Group of Forest Producers and the yearly workshops on community-based forest management represent recent efforts to build regional networks that involve multiple communities and different organizations. Although still incipient, these initiatives appear to be providing communities with greater access to resources, particularly financial and technical. Also noteworthy, are efforts in the past three years to foster and strengthen international ties between community-based timber management projects in Mexico, Bolivia and Brazil. These network initiatives, and other potential alliances, have potential for success and for helping forest communities and smallholders to scale up their participation in Brazil’s efforts to manage its rainforests (s ee Colchester 2003). Hasler (1997: 1) notes that lower levels of social organization “are more likely to effectively participate in the direct management and benefits of ecological resources if selected institutions at higher levels of social organization, such as global lobby groups, national politicians, government departments and local authorities themselves have a political and economic vested interest in these lower levels.” The presence of historically allies of forest populations such as Luis Inácio Lula da Silva, Jorge Viana, Marina da Silva, and Mary Helena Allegretti in key government, and hence powerful, positions is promising. However, while scaling up participation can be valuable for Brazil’s communitybased timber management initiatives, equally important are the day-to-day, and seemingly insignificant, alliances and conflicts between groups and individuals that occur at the community-level. The challenges posed by the São José Association and Fé em

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358 Deus Association in Porto Dias and Cachoeira, respectively, serve as poignant examples. The opportunity to participate in a project has more than symbolic value; it offers access to very real and tangible resources, such as income and chainsaws, as well as ties to organizations that can provide crucial political ties. In Porto Dias and Cachoeira, the participation of only a small, select group of families and individuals in the timber management projects precipitated the creation of the São José and Fé em Deus associations. The establishment of these associations represented a strategy for residents who felt excluded from the timber project and its benefits, to challenge and respond to the increased inequities created as a result of the timber project. These examples highlight the importance of recognizing the complexities of community participation and the disparities and inequities that can arise, and the need to anticipate and find ways to accommodate and/or incorporate groups and indi viduals who feel (and are) marginalized or excluded.

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APPENDIX A THE MAJOR PHASES OF PARTICIPATORY DEVELOPMENT: A HISTORICAL OVERVIEW

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360Table A-1: The major phases of participat ory development—an historical overview 1950s-1960s Late 1960s-early 1980s 1980searly 1990s 1990s – early 2000s Dominant development paradigm Modernization theory (classical and neoclassical theories of economic growth emphasizing capital formation & technological transfer) Modernization theory BUT challenged by: Theoretical critiques (theories of underdevelopment and Marxist and neo-Marxist theories) + Grassroots socio-political resistance/movements + Global economic crisis (1974) Modernization theory (neoliberalism) BUT challenged by: Critiques of modernization theories + Failure of conventional development projects + Grassroots opposition & mobilization + Structural Adjustment Programs + Political democratization Modernization theory BUT challenged by: More complex critiques: postructuralists & postmodernists + Grassroots socio-political resistance/movements (local, regional, national, international levels) + Deregulation, Privatization, Shrinking Public Budgets & Role of public entities + Failures of participatory development projects

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361Table A-1: Continued 1950s-1960s Late 1960s-early 1980s 1980s-early 1990s 1990s-early 2000s View of local/traditional/ rural peoples Development viewed as something done by the West for/to people of “lesser developed’ nations Viewed as inherently unable to make decisions Traditional people seen as “backward” and needing to be incorporated in modern societies & national and world economies Disenfranchised from development decisions and actions Not necessarily irrational Traditionally marginalized, deprived, excluded populations have the capacity and right to define and implement “development” in their own terms View of popular participation in economic development Popular participation argued to not be essential to the ‘development’ of Third World societies Popular participation seen as potentially dangerous (could lead to political instability & deter economic growth) At most, local people can participate in the benefits of accrued capital (via trickledown-effect) Traditional societies believed to become more participatory as they became more modernized Conditional participation: Popular participation in economic development considered unnecessary unless “controlled” by the governing elite “Beneficiaries” of development projects and programs can participate in implementing project activities because important to economic growth and project effectiveness Participation = mobilization of local people’s labor and other resources Participation as a means to improve project objectives and effectiveness Participation as an end in itself key – empowerment (leveling the playing field) Participation not only of “community” but groups within communities and “external” stakeholders (NGOs, municipal governments, etc.)

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362Table A-1: Continued 1950s-1960s Late 1960s-early 1980s 1980s-early 1990s 1990s-early 2000s Development projects Top-down Technocratic Centrally planned Capital-intensive Large-scale Top-down, technocratic, centrally planned, capital-intensive, large-scale World Bank & USAID incorporates poverty-oriented and basic needs programs (rural development, health, nutrition, education) 1970s: First “participatory” development projects but superficially participatory (e.g., membership on boards without decision-making power) Local, “bottom-up” implementation of projects Decentralization (access to decision making processes & resources) Making other stakeholders accountable to local communities Bottom-up (community-driven, demand-driven) Decentralized (local control of resources & decisions) Local capacity-building Sustainability of local actions & institutions Smaller projects, less capital Development project planning and implementation Top-down Carried out by professionals from the West RRA (Rapid Rural Appraisal) (late 1970s) Project conceptualization and planning defined largely by professionals from the West Local people (intended beneficiaries of project) serve as providers of information PRA (Participatory Rural Appraisal) Participation of project participants and beneficiaries in providing resources Interactive, inventive, flexible, exploratory: learning from, with and by local people, eliciting and using their criteria and categories Western professionals as facilitators PRA (Participation, Reflection, and Action) Participation of local people in defining and administrating the project Co-participation Focus on processes of reflection, flexibility, adaptability, innovation, mutual learning, and conflict management

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363 APPENDIX B CHRONOLOGY OF IMPORTANT EVENTS FOR COMMUNITY-BASED TIMBER MANAGEMENT IN BRAZIL Table A-2: Chronology of important events for community-based timber management in Brazil DECADE YEAR EVENTS 1960s 1965 1965 Forestry Code decreed 1970s 1970-1974 First National Development Plan (PND I)—Amazon opened up to highways, colonization projects a nd large-scale exploitation of minerals 1980s 1988 Federal Constitution of 1988 recognizes indigenous peoples’ tenure rights to their lands and natural resources 1985 Rubber tapper movement succeed s in getting the federal government to establish extractive reserves 1990s 1992 Rio UNCED conference IMAZON initiates first NFM projects for the sustained production of timber in forest plantations and natural forest estates managed by timber companies PPG7 Program launched in Brazil 1993 First community-based NFM timber project initiated in Pará with smallholders 1995 Coalitions between NGOs, rural unions, and rural communities for community-based NFM projects established 1996 1965 Forestry Code amended (but passed on as a provisional measure) Friends of the Earth, IMAZON and IMAFLORA establish first Brazilian certification body

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364 Table A-2: Continued DECADE YEAR EVENTS 1998 Committee of the Chambers of Deputies (lobby for large landowners) submits to National Congress a revised Forestry Code IBAMA approves PMFSimples giving smallholders and communities in the Amazon the right to carry out reduced-impact logging First Community-Based Forest Management Workshop 1999 Second Community-Based Forest Management Workshop 2000s March 2000 Technical Committee of CONOMA (Ministry of the Environment) submits to National Congress its own draft of a new Forestry Code April 2000 President announces the Forest Program May 2000 National Congress shelves Committee of the Chambers of DeputiesÂ’ draft of the Forestry Code 2000 Third and Fourth Community-Based Forest Management Workshops 2002 Cachoeira and Porto Dias receive FSC certification

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394 BIOGRAPHICAL SKETCH Samantha Sara Stone was born on April 23, 1973, in Athens, Greece. Daughter of a French mother and an American father, she attended Greek, French, and English schools until she graduated, in 1991, from the International Pinewood Schools of Thessaloniki, Greece. She received, in 1995, a Bachelor of Arts degree in sociology at Princeton University with a minor in environmental studies. While at Princeton, she spent a semester abroad in the Brazilian Amazon, which sparked her subsequent interests and research in Brazil. After taking a year off, she decided to continue her studies at the University of Michigan in the Department of Sociology. Wanting to incorporate an applied component to her research, she decided to transfer, after completing her masterÂ’s program at the University of Michigan in 1998, to the University of Florida where she pursued a doctoral program in anthropology. She did her doctoral fieldwork in Acre, Brazil, in 2001 and 2002. Her research looked at the role of participation and agency of rubber tappers in two community-based timber management projects.