Application of methodology

This section introduces the application of the above approaches through the two case studies. Primary and secondary data was used and collated for the purpose of this thesis.

Two field seasons with a total of nine months was spent in rural Lombok to collect primary data from household surveys, focus groups, and key informant interviews. Permission to conduct research in Lombok was granted by the Ministry of State for Research and Technology (RISTEK), Indonesia with institutional support on Lombok from the University of UNRAM and CSIRO, Australia. Between November and December 2011, preliminary focus groups and pilot household surveys were completed. This first field season introduced the researcher and the study to the communities involved, and refined the research methodology. A second season of research was conducted between May and November 2012 during which time in- depth questionnaires, focus groups, and informal informant interviews were conducted in case study communities across Lombok.

Different approaches to reasoning may evoke different interpretations to be drawn. Inductive reasoning was used for both of these case studies to determine causation. This approach enabled open-ended and exploratory observations of rural communities to be made and behavioural patterns to be deduced by the researcher. The data alone was used as the basis to derive empirical generalisations and theoretical conclusions

(Miller and Brewer 2003).

Lombok – Questionnaire-based interviews

Two separate household surveys were conducted on Lombok. The first was based on RRA principles to collect baseline data from ten households in 30 villages across Lombok, totalling 300 surveys. These villages, and the household respondents, were randomly selected. This selection aimed to generate a representative sample of communities and their use of natural resources across the different land types on Lombok (Kothari 2004). This survey used semi-structured interviews to determine socio-economic status, access to and availability of water resources, and agricultural revenue across the island in relation to effort to obtain water as a unit per household.

as Fauna Flora International (FFI), and BAPPEDA (Badan Perencana Pembangunan

Daerah, or Regional Body for Planning and Development) were used to generate

spatial analysis of environmental data using ArcGIS, included in Chapter 3. This data included information on vegetation type, average annual rainfall, elevation, and water availability. Analysis of both questionnaires and environmental data was conducted at village level.

The second survey used PRA principles and methods to obtain baseline data and an in-depth understanding of values and social norms for both communities with and without incentive-based institutions. Approximately 30 households were surveyed across six villages, totalling 171 respondents. A comparative case study approach was used between communities with incentive-based institutions and appropriate control communities (Yin 2003). This survey used both semi-structured interviews and focus group discussions to determine socio-economic status, access to and availability of natural resources, and impacts and perceptions of institutions to manage the environment. Analysis was conducted using both community and household level responses. Triangulation through focus group discussions and informal interviews provided more in-depth understanding of contexts and institutional functions.

One of the research assistants, Dipta Sjah, translated questions into Bahasa Indonesian. Prior to conducting interviews, it was ensured that all research assistants understood the information required from the survey. It was also often necessary to translate the Bahasa Indonesian questionnaire into Sasak. In translating the questionnaires twice, however, it was apparent that some information and colloquial understanding might have been lost in translation and cultural understanding. However, this bias could not be avoided, as it was essential to communicate in both languages in rural areas of Lombok.

i. Socio-economic status

Data on household structure was obtained regarding, age, years in education, occupation, religion, and time in village. Information regarding livelihoods was also gathered to identify the natural resources obtained from the environment. A wealth ranking proxy was used within both surveys. Land tenure, area of land farmed, and crop type grown were also an important indicator of land use across the study sites.

Determining socio-economic status through wealth ranking is useful to identify households’ responses in relation to their wealth and perception of wealth (Chambers 1994a). This can be deduced using indicators such as household income, assets, education levels, expenditure, and housing characteristics (Rutstein and Johnson 2004). Due to time constraints and the easy access to credit across Lombok, it was not feasible to conduct rigorous wealth ranking, as standardisation proved difficult. Therefore, both surveys generated a wealth proxy of house size (number of rooms) to determine household socio-economic status, under the assumption that the larger the

house, the wealthier the household. This was developed following pilot focus group discussion of household wealth indicators.

ii. Water and land resources

This section of the questionnaire was conducted to establish a base understanding of availability of, and access to, water resources for household consumption. These questions were included in both household surveys. Information was obtained on water infrastructure, effort to obtain water, water quality, and extreme water events such as flooding and drought that had affected households. Data was also collected on direct use benefits from the environment, such as NTFPs, timber, and agricultural revenue. This data were used in the first survey to determine revenues across the island in relation to effort to obtain household water.

iii. Values

Respondents’ values of the environment and their perception of institutions (see paragraph below) were included in the second survey. Identification of environmental values was useful to establish the context in which natural resources were used, and, therefore, to later understand the role of institutions, their ‘fit,’ and equity outcomes. Questions examined respondents’ perceptions of the environment, the benefits obtained from its services, and where they believed institutional responsibility was held.

iv. Incentive-based institutions

It is difficult to untangle the complex and dynamic roles of multiple institutions within rural communities. It is likely incentive-institutions are influence by, and interact with, other existing institutions. To understand the impact of incentive-based institutions, and whether they were aligned within local contexts, respondents were asked questions on the existence of, and their participation in, local institutions. For the purpose of this study, respondents’ participation was defined as being a member of, or adhering to, the belief system and socio-cultural norms of an institutional group. Following focus group discussions, these institutions were grouped as: Village management, Religious, Farmer groups, Traditional/ Awiq-awiq/ Adat, and Other. Data was also collected on respondent perception and understanding of environmental management in their communities: Why it had emerged; What the rules were; Who is involved in decision-making; and, Whether compliance was enforced.

Alta Floresta – Spatial analysis

Spatial analysis was used to examine land-use decisions under changing policy requirements in Alta Floresta. Spatial analysis was useful to identify relationships

For Alta Floresta, this method enabled trade-offs between conservation and economic gain to be examined, and the implications for the efficiency and equity of ecosystem management to be understood. This was conducted using eight 2008 QuickBird images of 10m resolution to determine land cover, and two LANDSAT-5/TM images of 60m resolution to determine deforestation rates between 2002-2011. The images were classified using band 3 (0.63-0.69µm), band 4 (0.76-0.90 µm), and band 5 (1.55- 1.75 µm) in IDRISI and ArcGIS, and projected on UTM 21S (datum SAD69). The high-resolution images allowed distinct land cover to be categorised as: forest, pasture, scrubland, water, and bare-ground. Ground-truthing of property boundaries was conducted by the municipal administration of Alta Floresta, which determined geographic position and property size.

Data illustrating deforestation rates between 2002 and 2011 in Alta Floresta were obtained from PRODES, the deforestation monitoring program at the Brazilian National Institute for Space Research (INPE). Two LANDSAT-5/TM images dated 2008 and 2011 of the municipal district were used and overlaid onto the QuickBird images.

i. Socio-economic status

Within Alta Floresta, cattle ranching accounts for more than 95% of revenue from land use. Cattle-herd size was therefore used as a proxy to determine wealth ranking between properties. Based on property interview data, pasture area explained 86.7% of cattle-herd size and a mean density of 2.07 head per hectare of pasture was calculated for each property (M. Medeiros, unpublished data).