The Diversity and Dynamics of
Shifting Cultivation:
Myths, Realities, and Policy Implications
LorI Ann Thrupp, Susanna Hecht and John Browder
wIth Owen J Lynch, Nablha Megateh and WIlham O'Bnen
WORLD RESOURCES INSTITUTE
September 1997
Carollyne Hutter
Acting Pubhcatlons DIrector
Hyacinth Bllhngs
ProductIOn Manager
Cover photograph courtesy of Harold C Conkhn
(RICe, mazze, mamoc, pigeon pea, and banana plants surround two Hanunoo shiftmg cultIVators as they weed their
extensively mtercropped hlllside swldden for a second time on Mmdoro Island m the Ph,llppmes)
Each World Resources Instltute Report represents a tImely, scholarly treatment ofa subject of
pubhc concern WRI takes responslblhty for choosing the study tOPICS and guaranteemg ItS
authors and researchers freedom of mqurry It also SOhCltS and responds to the guIdance of
adVlsory panels and expert reVlewers Unless othefWlse stated, however, all the interpretatIOn and
findings set forth in WRI pubhcatIOns are those of the authors
Copynght © 1997 World Resources InstItute All nghts reserved
ISBN 1-56973-230-2
LIbrary of Congress Catalog Card No 97-80524
Pnnted in the Umted States of Amenca on Recycled Paper
The Dlverslty and Dynannes of Sluftmg Cultivation Myths, Reahties, and Pohey Impheahons
111
Contents
Acknowledgments
IntroductIOn
I
The BasIcs of Shlftmg CultivatIOn Systems
What, Where, Who
Meanmg of Shtftmg CultlvatIon
Extent of Shtftmg Cultivation
Mam Features of Shtftmg CultlvatIOn
Dynanucs of Shtftmg CultivatIOn
n
Myths and ReahtIes
PerceptIOns of Agncultural Development Stages
Dlverslty of Shtftmg CultivatIOn
Subslstence and CommerClal Farmlng ActlVltles
ProductIVlty Levels
EnVlronmental Impacts and Resource Use
Levels of Productive Technologles and Agroecologlcal Knowledge
Tenure and Property Systems
InterventIOns of Governments, Agencles and Pohcles
ill
ConclusIOns
ReconcIlmg Pohcy with RealIty
References
v
1
3
3
3
4
7
9
9
11
15
17
18
21
25
25
33
37
The Diversity and Dynanues of ShIftmg Culnvanon Myths, Reahtles, and Pohey Impheatlons
v
Acknowledgments
Tills report IS a product of collaboratIve work
between World Resources Institute staff
members and close collaborators--all concerned
about sillftmg cultIvatIon and socIal dynamICS of
land use change The research was ImtIated as a
part ofWRI's work With the InternatIonal
Center for Research on Agroforestry (ICRAF),
and other orgamzatlOns mvolved m the
"AlternatIves to Slash and Bum" (ASB)
Imtlatlve supported largely by the Global
EnVlronment Faclhty through the Umted Nations
Development Programme, and coordmated by
ICRAF We are grateful to ICRAF and ASB for
support and mterest We appreCIate the valuable
reVlews and suggestIons by Harold Conkhn,
MIchael Dove, Jams Alcorn, Chnstme Padoch,
Harold Brookfield, and Sam FUJlsaka on an
earher verSIon of tills paper We are also grateful
for the comments and mput proVided by WRI
staff, mcludmg Walter ReId, Thomas Fox, NIgel
Sizer, Peter Velt, Paige Brown, Paul Faeth, and
Jake Brunner Thanks also go to Seth
Beckerman for edltmg, to Roberto Colque for
program aSSIstance and desktoppmg, and to
Hyacmth Bdhngs and Valene Schwartz for
production assistance
The Authors
The DIversity and Dynarmes of Sluftmg Cultlvatlon Myths Reabtles and Pobey Impheatlons
Introduction
Shtftmg cultlvatlOn IS the most complex and
multIfaceted form of agnculture m the world Its
htghly dIverse land use systems have been
evolvmg smce as early as 10,000 BC m a WIde
range of dIstmct SOCIOeCOnOmIC and ecologIcal
condItlons, from montane to lowland
ecosystems, and from tropIcal forests to
grasslands (Spencer, 1966) Shtftmg cultIvatlon
encompasses croppmg systems such as
hortIculture and annual croppIng, perenrual tree
crops, arumal husbandry, and management of
forests and fallows m sequentIal or rotatIonal
cycles, It IS currently practIced m a WIde vanety
of forms by 500 mIlhon to one bIllIon people
around the world
Shtftmg cultlvatlOn has been a subject of
debate and mterventlOn smce the colomal era,
and It has often been subject to pubhc
mIscOnceptIons and stereotypIng Many In the
enVIronment and development commumty have
cntIcized shtftmg cultlvatlon as a pnmItlve,
backwards, destructlve, or wasteful form of
agnculture, and as a mere precursor to what are
perceIved to be more modem, sustamable and
sedentary forms of agnculture Contemporary
cntlcs and the medIa often call It "slash and
bum" agnculture--a peJoratlve term that
perpetuates mIsperceptlons about shtftmg
cultIvators
Thts publIcatlon htghlIghts the multlfaceted,
dynamIC charactenstlcs of shtftmg cultlvatlOn
and IdentIfies SOCIOeCOnOmIC and polIcy factors
that affect shtftmg cultIvators It challenges
prevrulmg mIsconceptlons by htghlIghtmg the
dIverSIty, myths, and realItles of shtftmg
cultIvatlOn The concludmg sectIon summanzes
reasons for supportmg agroecoiogical pnncipies
and lIvelIhood secunty and aVOldmg listoncal
mIstakes It also draws on mSIghts based on
field research and makes recommendatIons for
polIcy change as well as other opportumtles for
supportIng sustamable and eqUItable land use,
mcludmg partICIpatory commumty-based
approaches for mtegratmg local knowledge m
research and development
The DlVersity and Dynarmcs of Shrllmg Cultivation Myths ReahtIes and Pohcy ImphcatIons
3
I. The Basics of Shifting Cultivation Systems:
What, Where, Who
Meanmg of Shlftmg CultivatIOn
Extent of Shlftmg Cultivation
Shtftmg cultlVatlOn consIsts of many dIverse
land use actIvItIes and IS, therefore, dIfficult to
define Broadly speakmg, the term refers to any
temporal and spatIally cychcal agncultural
system that mvolves cleanng ofland-usually
with the assIstance of fire-followed by phases
of cultIvatIon and fallow penods Most shtftmg
cultivatIon systems blend agnculture WIth
huntmg, fishtng, gathenng, and resource-use
systems m multI-ruche strategIes that make
econOffilC and SOCIal sense m many settmgs
TypIcally, shtftmg cultIvators mcorporate
perenmal crops such as fruit, medlcmal, nut, and
resm trees Some shtftmg cultIvatIon systems
are actually forms of agroforestry systems
(Ramtree, 1986, Dove, 1985, Peluso,1992,
Denevan and Padoch, 1988, Alcorn, 1990a,
1990b, Brookfield and Padoch, 1994)
The total land area affected by shtftmg
cultIvatIon IS difficult to assess because the
practIce mcludes many land use actIVItIes A
reasonable estImate of the global area IS 2 9
bIlhon hectares (StIles, 1994) Hauck (1974)
and Sanchez (1976) estimate that vanous types
of shtftmg cultlVatlOn are practiced on about 30
percent of the world's explOItable soil Dove
(1985) suggests that roughly one half of the land
area m the tropICS IS modIfied by shtftmg
cultIvatlOn
The colloqUlal term "slash-and-burn
agnculture" refers to the method of cleanng and
prepanng land, common among shtftmg
cultIvators Tills term, however, has pejorative
connotatlOns and IS aVOlded m tills report The
term "sWldden farmmg" IS preferred by
anthropologIsts as a neutral concept, It IS drawn
from the Old Enghsh word swldden, meamng
burned cleanng (Conkhn, 1957, Peters and
Neuenschwander, 1988) SWldden farmtng as a
term does not adequately capture the dynaffilc
quahty and stages of sluftmg cultIvatIOn,
however
Shtftmg cultIvatlOn was common m the
temperate zones of the MedIterranean and
Northern Europe untIl the 19th century, as well
as m the southwestern and northeastern pme
woodlands of North Amenca until the 19408
(Dove, 1983, Brookfield, 1996, Warner, 1991)
Currently, It occurs almost exclUSIvely m the
tropIcs of AfrIca, ASIa, and Latm Amenca
Figure 1 shows the mam areas m whtch shtftmg
cultIvatlOn systems are practIced today Other
agnculturalland use systems are practIced In
these areas, but sillftmg agnculture IS the
prevalent system
ShIftmg cultIvatIon IS found m a vanety of
topographtes, rangIng from steeply sloped htlly
areas to flat lands and low-lYIng valleys (Sarkar,
1982) LIkeWIse, It IS found In diverse
ecosystems that range from troplcal mOIst
forests to dry troPiCal forests and savannas,
grasslands, and even seasonal floodplams (See
4
The Dlverslty and Dynannes of Shlftmg Cultivation Myths ReahtIes, and Pohey hnpheatIons
Chapter II) Land uses denved from shIftmg
cultlvatlOU often blend With or are mtstaken for
natural forest Some forest formatIons, as m the
Babassu forests m northeastern Brazil, are the
results of resource management by sluftmg
cultIvators (Bahck et ai, 1991) Many forests m
Kahmantan, IndonesIa, are dotted With forest
and frUIt gardens planted over tIme by smftmg
cultIvators (padoch and Peters, 1993) The total
number of people engaged m some form of
smftmg cultIvatIon system has been only loosely
estImated Three hundred mtlhon (Russell,
1988) and five hundred mtlhon (Lanly, 1985) are
conservatIve estImates frequently cIted, but some
have argued that more than 400 mtlhon people m
ASIa alone are forest dependent and that a
maJonty of them engage m sluftmg agnculture
(Lynch, 1992b) It IS probably not unreahstic to
estunate that as many as one bIlhon (22 percent
of the populatlOn of the developmg world m
tropIcal and subtropICal countnes) rely dIrectly
or mdlrectly on some form of sluftmg
cultIvatIon These shiftmg cultIvators belong to
at least 3,000 dIfferent ethmc groups (Stiles,
1994)
Mam Features of Shlftmg Cultivation
Smftmg cultIvatIOn IS cychcal, and ItS cycles
encompass an array of land use actIVItIes The
speCIfic stages and features of each cultIvatlOn
cycle vary and are sometImes dIfficult to
dlstmguish In woodland and montane forms of
smftmg cultIvatIOn, for example, the cycle IS
often compnsed of SIX stages sIte-selectIon and
cleanng, burmng, plantmg, weedmg and
protectmg, harvestmg, and successIOn In other
forms, the stages do not follow such a clear
pattern Grapmc portrayals of sluftmg
cultIvatIon nsk overslmphficatIOn of ItS
compleXitIes, but attempts to show the mam
general stages and theIr relatlOn to vegetatIon
regrowth m common cychc sequences are m
FIgures 2 and 3
Figure 1 Areas of Shlftmg CultivatIOn
Source ApproXImation based on Warner, 1989 With estimated update by WRI
The Dlverslty and Dynanues of Shrlbng Cultlvatlon Myths, Reahtles, and Pohey Impheatlons
Figure 2 Example of BasIc ShiftIng CultivatIOn Cycle
Forest
,
\n
~nd
cycle (pasture
old plots)
~f~
Animals
~
Source From DubolS,I990 and OTS/CATIE,I993
Figure 3 Example of Fallow VariatIOn In ShiftIng CultIVatIOn
SWIDDEN PLOT
ENRICHED FOREST FALLOW
Source From DubOIS, 1990
5
6
The DIversIty and Dynarrnes of Sluftmg Cultivation Myths ReahtIes and Pohey ImpheatIons
The croppmg cycle m sInftmg cultIvatIon
refers to the "plantmg, care, harvestmg, and
protectlOn of mtentIonally mtroduced flora"
(Conkhn, 1957, p 72) The types of crops and
the manner m wInch they are planted diverge
greatly among sInftmg cultIvator groups (Hecht
and Posey, 1989) In South Amenca, for
example, "mtercroppmg of many vanetles of the
same crop speCIes may take the place of the
mtercroppmg of many speCIes of different crops"
(Beckerman, 1983, P 3) In some areas, sWldden
plots are hke ffilruatunzed tropIcal forests or
complex agroforestry systems (Geertz, 1963,
Alcorn, 1991, 1990a, 1990b) Even mdlvldual
households commonly manage a vanety of crops
and trees, dependmg on the local economy and
ecology (Eden, 1993)
In general, the croppmg cycle m any gIven
system lasts at least several years and IS followed
Box 1 Burning and Fallow Key Stages Itt ShIfting Cultivation Cycles
Burning Bummg IS the typiCal method employed by
sb.rl'tmg cultivators for cleanng vegetation and
prepanng Ii site for plantll1g There are at least seven
benefictal effects of bunnng, all ofwhtch contrIbute to
mcreased food prOOuctlOn (based largely on Rambo
1981 Peters and Neuenschwander. 1988)
bummg area Broadcast bummg IS preferred by many
groUpS because It reqmres the least Jabor (peters and
Neuenschwander, 1988) The land 18 subsequently
planted Wlth a bastc staple crop, such as cassava. nee,
nullet, or malZe, or some combmatlon of these crops.
Fallhw The fallow stage follows the croppmg
• Cleanng of unwanted vegetatton and weeds from
the field,
• Ehmmabon ofunwanted InSects and plant diseases
from crops,
• Alteratton of SOli structure to make plantmg easter,
• Increase m avadable sol1 nutnents,
• Decrease m sou aCIdIty,
• Enhancement of soli feruhty With nutnent~nch
ashes from burnt plant b10mass (1 e , creatmg a
natural ash fert1llZer).
• Stenhzatlon of sou and reductton ofllllCroola1
pathogens, and
• Reduction of labor reqwements compared Wlth
other forms of cleanng
Tools $\lcb as machetes and axes are usually used
to fell trees, whtch are typtcally secondruy growth.
Sometunes, only tree crowns and some branches are
lopped off (C1:udumayo. 1987) Shifhng cultivators
use dWerse recluuque~ for bunung, fire protecbon. and
rebummg (peters and Neuenschwander, 1988)
Chttemene (dry forest) systems m northern ZambIa
(Stromgaard. 1989) and Bhutanese grass~fallow
systems (Roder et ai, 1992). for example, use
supplementary fuels brought 10 from outsldethe
stage, typlCally after a sWldden field has been used for
several years The natlve vegetatlOn 1S allOWed to
regenerate to unprove the phySiCal properttes of the
SOlI and capture nutrIents from deep m the sou
Fallow ftelds are often percetved by outstders as
abandoned or wasted land, but usually shiftmg
cultivators manage fallows, usmg them for plantmg
trees <>r crops, coUectmg edlble and conunetclal
products, or htmbng and pasturmg arumals Certam
trees valued for therr products or pnces are often
protected Wlthm sluftmg cultlvatlon fields both durmg
burmng and the fallow cycle Sluftmg cultlvators also
observe, weed, transplant, and carefully manage
vegetabon regrowth dunng the fallow cycle in
preparatton for the next plantmg. Fallow tlDles vaty
greatly m sb.rl'tmg cultlVabOn systems (Kunstadter and
Chapman, 1978, Bose et at • 1982), and they are often
adapted to demograpruc presSW"e and socloecononuc
oonrubons (Bawn. 1968, Ruthenburg 1980) In many
ram forest areas. slufimg cultivaMn systems
tradltlonally have lOvolved long fallow cycles ofone to
three decades and cultlVatIon cycles of at least two to
four years (Ruthenburg, 1980, Miracle. 1967) In
many parts of the world. however. fallow lengths are
becommg progressively shorter
The Diversity and Dynarmes of Shtftmg Culhvahon Myths Reahhes and Pohey Impheahons
"rehglous behefs and practices are mtImately
hnked to sWlddemng, espeCially m relation to the
vanous phases of the annual cycle such as site
selection, cleanng, finng, plantmg and
harvestmg" (Bennagen, 1983, p 257 and
personal commumcatlOn) The cultivators
generally have detalled knowledge about local
ecological factors and constramts and adapt their
practices accordmgly (Collier, 1975) Such
compleXity of culture and knowledge has been
documented m many countnes, such as
MalaYSia (See Box 2 )
by a fallow penod, dunng wlnch land IS seldom
cultivated, the natural vegetation regenerates,
and soll nutnents are restored The fallow
penod, cleanng of vegetation, and burmng are
particularly Important (See Box 1) The
cultivators sometimes practice horticulture m the
fallows as well (padoch and Peters, 1993)
SuccessIOn refers to the multiple stages or
cycles of vegetation regrowth, m the fallow or m
other land adjacent to the cultivated plots
Slnftmg cultivators tYPically manage and use
such succeSSlOns for multiple purposes to
protect valuable species, plant deSired speCies,
and weed, bum, tlnn, and prune to manage
fallows and the remalmng forest or woodland
(Anderson and Y ons, 1991, Denevan and
Padoch, 1988, Alcorn, 1982, Redford and
Padoch, 1992, Hecht and Cockburn, 1989,
Balee, 1992, Posey and Balee, 1989) Tlns
allows them to extract an array of forest
products from the land The products of the
mampulated succeSSlOn can equal or exceed the
returns generated from the annual croppmg
phase or wage labor (Hecht et ai, 1988,
Anderson and Y ons, 1992, Denevan and
Padoch, 1988, Hecht, 1993, Padoch, 1988,
Dove, 1983, Brookfield and Padoch, 1994)
DynamiCs of Shlftmg Cultivation
The features, stages and lengths of cycles of
slnftmg cultlVatIon have changed over time The
pace of change has been rapid dunng the last 30
to 50 years, largely due to the pohtlcal,
econOffilC, and cultural transformatlOns discussed
here In particular, the length of time that fields
are left m fallow IS mcreasmgly shortened, wlnch
leaves less time for restoratlOn of soll fertlhty
(patnatk, 1982) In northeast India, for example,
fallow times lnstoncally were as long as 40
years, but are now an average of five years, well
below the time reqUIred (10 years or more) to
allow soll fertlhty to recover m a a fallowed site
(Ramaknshnan, 1992, GoSWaffil, 1985) In
Zambia, chltemene slnftmg cultIvatlOn systems
have shortened fallow penods from 25 years to
12 years (Clndumayo, 1987, p 23)
In most traditional forms, slnftmg cultivation
practices are closely tied to cultural and spmtual
actIVltIes For example, among traditional
cultivators m many Plnhppme upland regions
Box 2. Culture and Ritual an Ihan ShIftang CultivatIon
Among the tradluonal Iban sluftmg cultivators of
Malays1a, nee producnon 1S mterwoven Wlth therr world
View, bebe:fs. and SOCial orgaruzatlon (MaJld, 1983)
RttuallUld religlon are tntegratoo mto all aspe¢ts of
sWlddenmg-from appeasmg the "spl11ts of the earth
JUllgle» Wlth the manggo ntual before clearing. to ntuals
asSOCIated With the storage ofhatvested rice The rice
Itself IS Viewed as sacred Vanous ntuals before and
during reaping ensure that the spirit of the paddy IS not
fughtened away, that there wtll be suffiClent nce for the
oonung yellt. and that the ~op Will be abundant and easy
7
to reap RIce IS also harvested so that the paddy sptnt
followmg the reaper w1l1 not get lost RIce 1S not just a
staple food, 1t has a spmt, a soul. and the proper ntuals
must be roJlowed m order to Wln the esteem and faV()f of
the paddy spmts for a plenttful supply of grau'l5" (MBJld.
1983, P 196) Land use practices and rebgIOus ntes are
closely mtegrated because the Than perceive the world as
one shared wltb other orders ofbemgs. each ofwbtch
plays a cruCIal role m the success of therr agnculture
Gtven tlus close mtegrat~ changes to fannmg systems
mevltablyaffect aspects of native cultures
8
The DIVersIty and Dynannes of Slnftmg Culhvahon Myths, Reallhes, and Polley Imphcahons
At the same tIme, shtftmg cultivators generally
have been mtenslfymg their land use practIces
over tIme, m many cases through the
mtroductlOn of new crops and technologies In
some reglOns, they have also been expandmg
their practIces mto forested areas Such changes
can sometImes mcrease the cultIvators'
Immediate mcomes, but the agncultural results
have been adverse or unsustamable, especially If
unsUltable land IS overused or mappropnate
mputs or crops are used
These changes have resulted m disruptIons or
mstabllttles m previously well-adapted shtftmg
cultlvatlOn and resource use, and they have made
the systems unsustamable ecologically and
econoffilcally m some cases (Ramtree and
Warner, 1986, Warner, 1991)
The mam factors contnbutmg to such changes
mclude government restnctlOns of forest use,
changes m land tenure systems, demographtc
pressures mcludmg large-scale ffilgratIon and
resettlements, and pohcles that promote cash
crops (Nair and Fernandes, 1984, p 169) These
factors have also raised concerns about the
sustamablhty of shIftmg cultivatIon and have led
to research and development efforts on
alternatIve land uses
Such unstable, changmg conditIons are not
found m all shtftmg cultivation systems, but they
have remforced publIc ffilsconceptIons about
shtftmg cultivators The ecological and
SOCloeconOffilC sustamabdlty of shIftmg
cultivatIon needs to be understood m relatlOn to
local conditIons and the causes of change to
these conditIons The general pnnclples that
underlIe shIftmg cultIvatlOn must also be
appreciated (Klemman et aI, 1993)
The DIversity and Dynarmes of Sluftmg CultlvatlOn Myths, Reahtles and Pohey hnpheatlons
9
II. Myths and Realities
Sluftmg cultivatlOn and the people who
practice It are often negatively stereotyped
They are wIdely perceIved by many sCientists
and pohcy-makers, as well as the general pubhc,
to be pnffiltive, backwards, unproductive,
wasteful, and explOitative and destructive of the
enVIronment Regardless of the 10catlOn, they
are beheved to be destitute and to lead
subsIstence-based hves They have been blamed
for most of the world's tropICal deforestatlOn,
land degradation, and chmate dIsruption Thus,
many current national laws and pohcles that
affect sluftmg cultivators are antagorustic toward
them and aIm to replace sluftmg cultivatlOn Wlth
forms of farmmg consIdered to be more modem
The result m many areas has been the assertIon
of state control over lands used by sluftmg
cultivators, and the forced dIsplacement oflocal
people
NegatIve attItudes toward sluftmg cultivators
are also prevalent m agncultural research and
development mstitutlOns m both henuspheres
Many research analysts and deCISIon-makers
presume that modem agnculture always means
agnculture that IS settled, mtensIve, and makes
use of mono cultures and Western technologIes
They often overlook opporturuties to learn from,
use, and Improve some of the effectIve features
of shIftmg cultivatlOn (Ramaknshnan, 1992,
Alcorn, 1991, Redford and Padoch, 1992,
Padoch, 1982, Brookfield and Padoch, 1994)
These perceptions of sluftmg cultivatlOn and
cultIvators, wluch have led to polICIes and laws
adverse to the practice and ItS practitioners, are
based on ffilsInformatIOn and oversimplIficatlOns
that have deep lustoncal roots EIght common
myths about sluftmg cultivatIOn are summanzed
and refuted below ImplIcatlOns for research and
polIcy are also summanzed
PerceptIons of Agricultural Development
Stages
MYTH 1 - Shifhng culhvahon IS a pnm,hve
precursor to more commercIal ('fmodern"
forms ofproductIOn In the theorehcal stages of
agncultural development
Perceptions of sruftmg cultIvators as
pnmltive are rooted m the SCIentific and
colomal encounters of the 17th, 18th, and 19th
centunes that followed European expanslOn
mto the trOPICS (Wolf, 1982) TYPICal
descnptIons of trOPICal peoples, mcludmg
shlftmg cultIvators, were of "savages",
"backwards," "Ignorant," "stubborn," "chlldlIke," or "aggressIve" pagans, or "mfidels"
(Hecht, 1993) BntIsh explorers such as SIr
Walter RaleIgh thought that "mdolent local
populatlOns" m areas bemg coloruzed needed the
"gUldmg hand of cIVIhzatlOn" to convert theIr
natural resources mto productive enterpnses
(RaleIgh, 1597, Stanley, 1899) Another early
analyst asserted that "shIftmg cultivation ought
not to be tolerated except m a very Wlld and
It leads to unsettled
unpeopled country
habIts and takes away from the regular
cultIvatIon of a fixed spot It IS carned on by a
set of savages who would be more profitably
employed on publIc works or coffee plantatlOns"
(Cleghorn, 1851) Such perspectIves have been
mfiuentlal for decades and remam so today
10
The DIversity and Dynanues of Slnftmg Cultivation Myths, ReahtIes and Pohey Impheabons
Dunng contemporary tImes, shIftmg
cultIvatIon has also been descnbed m lInear
evolutIonary terms as part of an mevitable,
mstoncally determmed progressIon from
pnffiltIve to modem forms of agnculture
ConventIonal models of change Wltmn
development and agnculture typically suggest
lmear movement through stages, from
huntmg/gathenng to smftmg cultivatlOn to
settled agnculture (Greenland, 1974) In this
mterpretatIon, low-denSIty smftmg cultIvatlOn IS
seen as the most pnffiltIve agnculture and
mtensive sedentary agnculture as the most
advanced LIkeWIse, much of the assOCIated
lIterature suggests that smftmg cultIvators are at
the far margms of cIvIhzed, modem SOCIetIes,
thus justrfymg external mterventlOns mto theIr
way ofhfe
The lInear models sometImes present
populatIon pressure as a dnvmg force m the
stages ofagnculture (Boserup, 1965, Greenland,
1974), suggestmg that mcreasmg populatIon
denSIty leads to more frequent cultivatlOn of
fields, shortenmg of fallows, and, eventually,
degradatIon If ffilgratlOn does not remove the
populatlOn pressure, the theory states, the only
alternatIve IS to mtroduce technologIes or
methods that promote mgher ytelds per urnt of
land or greater croppmg mtensity
REALITY 1 - Shifflng culflvators respond to
agroecologlcal and SOCIOeconomIc factors m
dynamIC, nonlmear ways
Smftmg cultIvators are too dIverse to fit neatly
mto any determtrnstIc econOffilC or demograpmc
tranSItIon model Theones of lInear agncultural
development stages rest on a set of assumptIons
that can be ffilsleadmg, are unsupported by
empmcal eVidence, and reflect ethnocentnc
Views (Shnre, 1984) Lmear models hffilted to
speCIfied stages of development are not urnversal
generahzatlOns, they are "baSIcally untestable m
[and] essentIally ambIguous" (HIll,
the field
1986, P 24) Suggestmg natural lInear stages of
agncultural evolutlOn neglects the compleXities
of mstoncal change In realIty, tranSItIons
between dIfferent types of agncultural
productIon Involve dynamtc processes rather
than categoncal dIViSIons For example, Punan
hunter-gatherers In Borneo once moved from
shIftmg cultIvatlOn to huntmg and gathenng,
wmch would be seen as an ImpossIble step
backward accordmg to lmear models (Hoffman,
1984) This shift occurred not because of
populatlOn pressure or evolutIonary agncultural
regresslOn, but because huntIng and gathenng
became more profitable than shIftmg cultIvatlOn
m the Punan's relatlOns WIth Cmnese traders
Other groups m Southeast ASIa, such as the
Kubu of Sumatra and the Toala of Celebes, were
agncuituralists who became nomadIC huntergatherers (Hoffman, 1984) The Dayaks In East
Kahmantan, IndoneSIa, have changed theIr
agncultural practIces In ways that have dIffered
dependIng on the degree of theIr mtegratlOn m
the monetary economy (Inoue and LahjIe, 1990,
Dove, 1985, 1993) (See also Myth 3 below)
Another problem Wlth the hnear model IS that
It IS rooted In a theory of mternal populatlOn
dynaffilcs wmch overlooks the potentIally
destabIlIzIng effects of markets and tenunal
changes among other factors (padoch, 1982,
Bray, 1985, Descola, 1993) (The development
of cattle ranching In Central Amenca and In the
Amazon are examples of senous degradatIon
Independent ofpopulatlOn pressure) Moreover,
populatIon IS not the only factor promptIng
IntensificatlOn of land use Assuffilng that
cultIvators rely exclUSIvely on the short-cycle
successlOnal phase of smftIng cultIvatlOn
overlooks the contnbutlOns of fallow and forest
resources that proVide both products and
Income Assuffilng an empty fallow Ignores the
dIverse practIces and human mnovatlOns that
permtt much mgher populatlOn denSItIes In
vanous troPICal enVironments to functIon In
complex econOffiles In addItIon, less mtensIve
land uses can be vastly more destructIve on a
reglOnal scale
The Dlverslty and Dynarrues of Shlftmg Culhvahon Myths, Reahtles and Pohey Impheahons
IMPLICATIONS DecislOn-makers and
researchers need to dIscard sImpltstic stereotypes
about the "pmmtlveness" of shIftIng cultivatlOn
and aVOId lInear models of agncultural stages
To make ratIonal decIsIons and land use
Improvements, they need to better understand
the complex dynamtcs of land use, both
temporally and spatIally The agncultural
practIces of shIftIng cultIvators should be
understood as adaptatIons to ecologIcal,
soclOecOnOmtc, and structural constraInts
Lessons can be learned from these systems that
are useful to modem agnculture and the
promotIon of sustaInable development Better
knowledge of these factors should be
Incorporated mto planrung, poltcles, and
programs for land use
11
background Often tradItIonal and IndIgenous
cultIvators are lumped together With mtgrant
cultIvators LIttle attentlOn IS gIven to the
dIfferentIal m groups of shtftmg cultIvators'
dIstnbutlOn of productIve resources both wlthtn
and between mdlvldual households and
commurutIes (Thapa and Weber, 1991)
REALITY 2 - Shifting cultivation systems
encompass a remarkably d,verse range of land
use practices developed and changed over time
by farmers In vaned SOCial, ecological,
economiC, and polltical sethngs
ShIftmg cultivatlOn IS often VIewed as sImple
and homogeneous by several SCIentIsts,
enVIronmentalIsts, government deCiSIon-makers,
and the media TYPIcal mtsconceptIons are that
"all shtftIng cultivatlOn techruques are sImtlar
everywhere" and that "shIftIng cultIvatIon IS a
waste ofland" (Watters, 1971, p 3) Thts
notIon, expressed m htstoncal studies and m
mfluentIal reports from the Food and Agnculture
OrgaruzatlOn of the Uruted NatIons (FAO),
remams pervasive Shtfhng cultivation systems
are also often lumped together as the cause of
deforestation and other forms of enVIronmental
degradation worldWIde (Bandy et al, 1994,
Myers, 1994, UNDP, 1992)
"To speak of shIftIng cultIvatIon as a smgle
system shows our mtsunderstandmg of ItS
dIverSIty" (peters and Neuenschwander 1988,
p 77, Ruthenberg, 1980) Shtftmg cultIvatlOn
systems are more vaned than almost any other
type ofland use, a logIcal occurrence gIven that
over 3,000 ethruc groups practIce shIftmg
cultIvatIon (StIles, 1994), m dIverse
enVIronmental condItIons (Dove, 1993, 1983,
Padoch, 1982, Hoffinan, 1984, Shnre, 1984,
Spencer, 1966, FUJIsaka et al ,1995) Recent
research IndIcates that conSIderable mtra-ethruc
dIverSIty and vanabIhty m settlement and
croppmg patterns, populatlOn denSIty, and fallow
practIces eXist among shIftIng cultIvators
mhabltmg dIfferent reglOns Such dIfferences
eXist even among groups In the same reglOn,
such as the Tanghkhul Naga of northeastern
India, the Dayak of KalImantan and the Hmong
of Thatland (Bose et al, 1982, Kunstadter and
Chapman, 1978, Dove, 1993, Hungyo, 1982,
Inoue and LahJle, 1990, Padoch and Peters,
1993) In one region of northern ThaIland there
are SIX dlstmct shtftmg cultlvatlOn systems, three
each practiced m evergreen and deCIduous forest
(Smttm et al, 1978)
Many analysts also assume that shtftmg
cultIvators belong to poor and undIfferentiated
commuruties Commurutles of sluftmg
cultIvators are rarely desegregated or analyzed
by SOCial class, gender, ethrucIty, or hIstoncal
Although shtftmg cultIvatlOn today occurs
mostly m the troPICS of AfrIca, ASia, and Latm
Amenca, It IS not restncted to tropIcal
ramforests It extends mto woodlands, savannas
and dry tropIcal and subtropIcal forests and
DiverSity of Shlftmg CultivatIOn
MYTH 2 - Shifting cultivation systems In
tropical rainforests are uniform and
unchanging, and shifting cultivators are
homogeneous poor peoples
12
The Diversity and Dynarrnes of Shrlhng CuluvatlOn Myths, Reahues, and Pohey Impheauons
grasslands Contrary to popular behef, there are
shIftmg cultivatlOn systems muse m the mwmbo
grassy woodlands and the grasslands of
Southern AfrIca (ChIdumayo, 1987, Stromgaard,
1989), as well as m the grasslands of Southeast
ASIa (Dove, 1985) and Bhutan (Roder et al,
1992) Even pastorahst groups m East AfrIca,
such as the BarabaIg, practIce maIze sluftmg
cultIvation m the savanna plams ofTanzama
(Lane, 1994) In the Congo Basm, savanna
vegetation covers a large portlOn of the shIftmg
cultivatlOn areas (MIracle, 1967) Other
examples mclude the grassland systems of the
Hanq m the Sudan (MIracle, 1967) and
chltemene among the Mambwe m northern
ZambIa (RIchards, 1937, Stromgaard, 1989)
DiverSity m Croppmg Systems and Cycles of
Shiftmg CultivatIOn Sluftmg cultivatlOn
systems conSIst of a vanety of croppmg systems,
cultural practices, and components WlthIn each
reglOn where they are found ShIfhng cultlvatlOn
can be seen, therefore, as a mosruc of land and
resource uses, that IS adapted to local ecologIes,
cultures, and regIonal economIes These
mosaICS are dIfferentIated by a range of shIftmg
and unshIftmg elements, managed and
unmanaged succeSSlOns, and varyIng levels of
mtenslty m croppmg systems (See Box 3 for
examples)
Moreover, shIftmg cultivators tYPIcally manage
a vanety of cultivated crops and wild plants
Studies have found that an mdlVIdual plot can
mclude more than one hundred species per
hectare (Descola, 1993) The Kantu m
Kahmantan, for example, plant over 44 vanetles
of nce, averagmg 17 per household (Dove
1993) Congo Basm farmers often "grow tlurty
or more dIfferent crops-and as many as SIxty
[have been] recorded" (MIracle, 1967, p 283)
In East Kalimantan, IndoneSia, Dayak sluftmg
cultivators use over 22 vaneties of upland nce
and rune of glutmous nce (Colfer et al , 1988)
In SIerra Leone, 98 sluftmg cultlVator
households were found to use 59 dIstmct nce
vanetIes, each partIcular field IS mamtamed WIth
four to eIght vaneties (McNeely et al, 1995)
Dozens of nce vaneties have been found m
sWldden plots m other parts of AsIa and AfrIca
as well (Dove, 1993, McNeely et aI, 1995)
ApproXImately 5,000 vaneties of sweet potato
are found m shIftmg cultivatIon systems of Papua
New Gumea, Wlth up to 20 vaneties used wItlun
a smgle garden (Wood and LInne, 1993) Some
shIftmg cultivators also mamtam wIld relatIves of
cultIvars and overall levels of speCIes dIverSIty
that are close to those of older growth forests
(padoch and Peters, 1993)
Many of the groups mamtam and manage
sedentary farmIng plots, such as home gardens
and plantatlOns, along WIth cyclIcal sWIdden
plots They mtensIvely manage such production
systems to complement sluftmg cultIvatIOn, often
domesticatmg and expenmentmg WIth many of
the wIld plants found m the succeSSlOns of
shIftmg cultIvatlOn In fact, managed
succeSSlOns may have hIgher speCIes dIverSIty
than unmarupulated successlOnal SItes (Irvme,
1989) Many IndoneSIan farmers, for example,
manage theIr fallows to enhance dIverSIty
(padoch, 1988)
Polycultural home gardens often have very
hIgh speCIes dIverSIty Documented cases have
reported more than one hundred plant speCIes,
mcludmg roots, tubers, vegetables, fruItS, herbs,
medIcmals, dyes, ods, fodder, and fibers (padoch
and de long, 1993, Fernandes et al , 1988,
Soewarmoto et ai, 1985, Padoch and Peters,
1993) In thIs context, the cultlVators may
mtenslvely grow grams and carbohydrates such
as taro, cassava and paddy nce, the last of whIch
often rehes on nutnents transported from forest
systems or Via swamp or ImgatlOn waters
(Saldanha, 1990, Miracle, 1967, Guyer, 1984)
The Diversity and Dynanucs of Sluftmg Culhvahon Myths, Reahhes, and Pohcy Imphcahons
Box 3 VarIations in Shlfimg Culttvatton- Examples from Afncan mLOmbo Woodlands
Sluftmg cultIvatIon systems have pemsted for
centunes throughout the ecosystems of Southern
MnC&'s mJombQ woodland wluch lS chat"actenzed by
herbaceous layer and .sennclosed tree canOPles,
generally on tnferttle aCid solls that spread across
Angola. MalawI. MozambIque. Tanzama. Zau:e,
ZambIa and Zl1Ilbahwe AU mlOmbo sbrltmg
cultivation systems have made use of fire to clear land,
and drl'ferent natural plant blOmass fertil1zers.
mcludmg cattle manure, to wprove soll ferttlity
(Cludumayo. 1987, Stromgaard, 1989)
Probably the most well-known and successful
the ctrCle
chltemem:. system pracbced by the Bemba. Lamha, and
Lala ill the northern wetter mlombo of Zambta
(Trapnell. 1957, Chtdumayo, 1987. p 37,
Stromgaard. 1989) Crops such as finger mtllets and
cassava are grown, wtthout tillmg the sou, m ash
gardens averagmg eight hectares A pIle of branches
tnmmed and lopped from trees m a large woodland
area ("outfield") IS burned to make the ash
(Cludumayo, 1987, Stromgaard, 1989) The Lamba
and Bemba tend to pracbce a block chllemene m whtch
brushwood 1$ burned m part of a cleared garden area
The Lala practtce a circle crutem.ene WIth smaller
cuhlVated gardens. and sometl1Iles larger outfield areas
serve as a source of ash (Stromgaard, 1989) The
practIces allow stumps and trunks m the outfield to
qUlckly regenerate back to woodland (Chtdumayo,
1987) TrmhtlOnaUy, a new ash garden WM made
every year, and dunng the second year cassava
succeeds millet before the plot 18 abandoned for 25 to
30 years (Trapnell. 1957)
m~ombQ sluftmg culhvatlOn system. 1S
Thejundzlala (or chihela) system IS another form of
sruftmg cultlvation found m rmombo woodlands, It 18
practlced by the Mambwe and others m northeastern
Zambia It IS more mtenslve, adapted to lugher
populatIOn densIties, up to 30 people per square
kllomeler (Stromgaard, 1989, Cludumayo, 1987), and
depends on DUtnents m grass bIOmass compost
mounds and a legume-cereal crop rotahon that
mamtams fertility and productlon for longer penods
than the chllemene system allows Nltrogen.-fixmg
legume crops (beans or groundnuts) are sown on grass
mounds. often wuh cow manure Crops are rotated
for three to Sll( years before abandonment. Without any
SIgnificant change in the soll nutnents (Chldumayo,
1987, p 36)
The Ben!ba. Mwambe, Lamba. Laht. and other
rmombQ sluftmg culhvators supplement their sbrltmg
fields m VatlOUS ways In theu:- garcllimS near the
homestead, for example, they mterplant diverse crops
such as sorghum. mau;e, nee, cassava. pwnpkm,
sweet potatoes. groundnuts, bull-rush mtllet. cow
peas, castor ou. and tobacco They also harvest
wetland fish, hunt game, and use numerous wild
herbaceous vegetables. edible 1DSeCts such as
caterpillars and tetmltes. over 28 mushroom SpecIes,
106 tree specieS that mclude medlCmal functions, and
some 25 edible fnnts (Chtdnmayo and Slwela, 1988,
Stromgaard, 1989)
ParadoJUca1ly. even though these culhvahon systems
have been relatively effechVe and are well adapted for
the local people, the BntlSh colomal and postcolorual
governments have attempted to ban the USe of rue and
settle the sbtftmg cuhlvators Smce the 1980s, they
have also unposed use of soll tillage and hybnd IIlIllZe
based on subSldtzed morgamc acId fertll1zer and
encouraged slnftmg cultlvators to clear trees to ground
level Such attempts are seldom successful, as people
contmue to prachce the methods that have ensured
then! of tbeu hvellhoods
In recent years, however, the clutemene and
fiuuklika systems have come under stress, as fallows
are shortened and soll ferb.hty has been reduced For
example, Bemba househoWs now tend to clear fields
every two years, fallows are mamtaIDed for 12 rather
than 25 years, and oullet has been replaced by
sorghum Such changes are due to mcreasmg
populahon density and mlgrahon. nsmg use of the
mlOmbo for charcoal, growth of agroexport crop
plantatIOns, and urbamzahon Consequently, these
systems may need external asSIstance to mtenstfy
sustamably Integration of tradltlonal shtftmg
cultIvabon land use patterns and contemporary
agncultural methods m a balanced way could support
culbvators as they cope With changmg COndItiOns
(Stromgaard. 1989b)
13
14
The Dlverslty and Dynannes of Slufung Cultlvatlon Myths, Reahtles and Pohey Impheatlons
Some groups mtenslvely manage plantatlOns of
perenmal cash crops, such as rubber, cacao,
rattan, coffee, palm, and coca as part of the
shrfimg cultIvatIon system (Hecht, 1982, Alcorn,
1982, Denevan and Padoch, 1988, Plotkm and
Farmolare, 1992, Dove, 1985) Many of these
vanatlOns are ffilxed agroforestry systems that
are weeded and fertIhzed, usually wIth locally
acquIred orgaruc substances
DiverSity of SOCIOeconomic and Labor
Characteristics Wlthm smftmg cultlvatlOn
commurutles, there are differences m SOCial
posltlOns, subgroupmgs of the people, labor
arrangements, and mstoncal and SOCial
expenences Contrary to popular perceptIon,
these commurutles are often stratIfied rather than
homogeneous and egahtanan Smftmg
cultlvatlOn systems do not clearly fit mto Simple
ethruc and SOCial categones (Kundstater and
Chapman, 1978, Atal and Bennagen, 1983)
Although httle research hterature addresses tms
Issue, several cases demonstrate the tmportance
of SOCial dlfferentlatlOn m resource management
In Onssa, India, for example, "tnbals"
practIcmg shIftmg cultIvatIon pursue dIfferent
productIon strategies, accordmg to their class
and SOCial status (Fernandes et al, 1988,
Sachcmdananda and Pathak, 1983)
Labor arrangements m smftmg cultIvatIon are
also diverse m different regions, and even wltmn
a given culture, but systems are usually
mtegrated mto labor and commodity markets
Even Isolated shtftmg cultivators are connected
to labor markets Labor may be mred or
exchanged for cleanng land and other labormtenslve tasks In Afhca, where large portlOns
of the male workforce may not be m the rural
zones, mnng labor and exchanges oflabor are
common Labor arrangements are also often
hnked Wlth customary ntuals or SOCial relatIons
m a given commuruty In the Congo Basm, for
example, the most common way for households
to supplement their own labor IS to orgaruze a
"workmg bee" (or a work party) m wmch beer
or food IS offered to anyone wIlhng to help Wlth
tasks
Off-farm employment IS becommg mcreasmgly
Important for both traditIonal and newer smftmg
cultivators Throughout Latm Amenca, for
example, sruftmg cultIvators typIcally engage m
off-farm work dunng parts of the year SWldden
groups m IndoneSIa often work for loggmg
comparues (Inoue and LahJIe, 1990, Soewardl,
1983) In ThaIland, among the northern
sWlddeners off-farm labor IS for timber cuttmg
and charcoal productlOn (Chapman, 1978)
Among the Lua and Karen sWlddeners m
ThaIland, many work as wage laborers for
ffilrung or loggmg compantes (Kunstadter,
1978b)
In nearly all smftmg cultIvatIon systems, labor
IS typically diVided among household members,
women, men, elders, and cmldren participate m
dlstmct tasks The diVISion of labor by gender IS
pronounced m many of these systems (Colfer et
al, 1988) Men are mostly responSible for cashcrop actiVities and tasks such as cleanng land
Women play an Important role m mamtammg
subslstence-croppmg components, but their
contnbutlOn IS generally not recogruzed and IS
rarely researched Among the Mmang of West
Sumatra, IndoneSia, for example, women are
almost entIrely responSible for sWIdden nce
productlOn, formtng work parties for plantmg,
weedmg, and harvestmg (Colfer et ai, 1988)
Gender based roles, therefore, shape the
conditIons and Impacts of smftmg cultIvatlOn
systems
In recent years, some analysts have noted
differences betweeen traditIonal (or longerresldmg) smftmg cultivators and ffilgrant smftmg
cultIvators, appropnately called smfted
cultivators Increasmg numbers of ffilgrants
have moved mto frontier zones, particularly
hUffild, tropical forest areas Many are forced
there by econOffilC needs or demograpmc
pressures and are m search of avaIlable land and
The Diversity and Dynarrues of Shrl'tmg Cultivation Myths Reahties and Pohey Impheations
resources for therr hvehhoods (Kane, 1995)
Some are resettled or are paid by larger wealthy
landholders to clear land for cash crops (Myers,
1994, Peters and Neuenchwacher, 1988, Alcorn,
1994, Dove, 1994) Tlus diVIsion can be overly
slmphstlc, but generally the slufted groups have
less knowledge than mdlgenous groups of
effective sluftmg cultivatIOn land-use and labor
practices (Moran, 1993) They tend to use fire
more frequently and practice sequential annual
croppmg more often than IS done m mdlgenous
systems
In sum, the diverse, mosaic patterns of smftmg
cultIvatlOn systems have been consistently
overlooked, partly because sCientific analysts and
deCISion-makers have tended to focus on smgle
dlmenslOns of the short-cycle agncultural plot
The standard dlsclphnary separation between
forestry and agnculture also tends to hmIt
understandmg of smftmg cultIvatlOn In fact,
components of smftmg cultIvatlOn are mghly
vanable and mterconnected
IMPLICATIONS The tremendous diverSity of
sluftmg cultivatIOn systems, agroecologlcally,
regIOnally, SOCially, and economIcally, IS valuable
and has strong potential for the sustamable
management of local environments Tms fact
should be acknowledged and addressed m the
deSign of agncultural development programs and
pohcles DeCislOn-makers and analysts must not
Ignore or restnct the great vanety ofland use
types, cultural knowledge, and species
aSSOCiated With shrftmg cultlVatlOn Further
research and programs are needed to Identify
and enhance the diverse mdlgenous
agroecologlcal practices and pnnclples m smftmg
cultivation systems In addition, the analyses of
smftmg cultIvatlOn systems should account for
the labor of both men and women, as well as
differences m their control over land, produce,
and other natural and finanCial resources (Colfer
et al , 1988)
15
SubSistence and CommerCial Farmmg
ActiVIties
MYTH 3 - Shifting cultivation IS the sole
activIty among rural subSIstence farmers m
forest margms and IS unconnected to
commercial market activIties
Smftmg cultlVators are often assumed to be
subSistence-based producers who barely eke out
a hvmg and are unconnected to the market
(cash) economy (Watters, 1971) Slmdarly, they
are seen as Isolated from modern econOmIC
mfluences Contemporary reports, as well as
lustoncal studies, have perpetuated tms
stereotype, wmch IS tied to conventIOnal theory
about categoncal agncultural stages (Todaro,
1989, based on Boserup, 1965)
REALITY 3 - Shifting cultivators engage m
a WIde vanety of activIties m subSIstence and
cash economIes and often merge subSIstence
production WIth commerCIal surplus-onented
production.
Although some sluftmg cultivatIOn systems are
largely subSistence onented m remote areas (as
m some parts of the Amazon and Congo Basms),
most are not confined to subSistence In fact,
smftmg cultivators are not pnmItIve people
resldmg outSide of broader econOmIC forces
Most are hnked to local and regIOnal commodity
and labor markets and the cash economy
Smftmg cuitlvatlOn systems have been tied to
markets for mIllenma (Hecht, 1982, Alcorn,
1982, Denevan and Padoch, 1988) Over time,
many srufimg cultlvatlOn systems have
mcreasmgly mtegrated cash crops mto the
croppmg cycle and m fallows They have
produced a complex array of commodities,
mcludmg rubber, nuts, rattans, medlcmals, ods,
and dyes, as well as food, fuel, and constructlOn
matenals that have been traded locally,
regIOnally, and mternatlOna1ly over centunes
(Barlow and TOmIch, 1991)
16
The DIverSIty and Dyn81TIlCS of Shtftmg CuluvatlOll Myths, Reabtles, and Pobey Impbcauons
The cash crops m sInftmg cultivation systems
often mclude tree products, wInch are part of
agroforestry systems Tree crops, mcludmg
cocoa, 011 palm, and coffee, are often marketed
m the domestic, village, reglOnal, national, and
mternatlOnal econOffiles (Rtchards, 1937, De
Scruhppe, 1956, Alcorn, 1990a, 1990b,
Padoch, 1982, Dove,1985, and Kundstater,
1978b) In some areas, the producers mtegrate
tree crops spontaneously m response to market
opporturutIes (Dove, 1985) The mcorporatlOn
of trees proVIdes an array of benefits, enabhng
cultivators to gam added value for new products,
to enhance ecosystem functlOns such as nutnent
cyclIng, and to Improve theIr lIvelIhoods
Furthermore, sruftmg cultIvators usually
engage m a Wide vanety of econOffilC purSUIts
besIdes cultIvatlOn per se In ThaIland, for
example, "the practItioners of sruftmg cultivation
partICIpate m many phases of the economy of the
North beyond the confines oftherr own VIllages
-m marketmg theIr agncultural products,
tradmg for supplIes, and most notably, m the
wage labor market of the reglOn" (Kunstadter
and Chapman, 1978) ThaIS m the lowland north
often supplement paddy nce, orchard fafffilng, or
off-farm labor With sruftmg cultIvation
(Chapman, 1978) In East KalImantan,
IndoneSIa, dIfferent VIllages of lIke ethrucity
pursue varymg econoffilc strategIes m addItion to
shIftmg cultIvation, rangmg from arumal
husbandry to wage labor for loggmg and ffilrung
comparues (Inoue and LahjIe, 1990)
Pursumg multiple econOffilC actiVIties IS also
typIcal among traditlOnal shIftmg cultIvators In
the IndIan state of Arunachal Pradesh, for
example, sruftmg cultivatIon IS practIced by
tnbals m dIfferent ecologIcal contexts m
combmatlOn With terrace cultivatlOn, plow
cultIvatIon, and Imgated agnculture (Sarkar,
1982) In many tropIcal rural areas, extractive
resources from natural forest areas, such as
rubber, nuts, fibers, and tImber, are cruCIal
sources of mcome for the commurutIes, as
Illustrated m the BrazIhan Amazon (Hecht et al ,
1988), Central Amenca (Alcorn, 1989, Starkey,
1993), and Southeast ASIa (Colfer et al, 1988,
Peluso, 1992, Denevan and Padoch, 1988)
A growmg body of field-based research IS also
challengmg the general assumption that shIftmg
cultivators are always matenally Impovenshed
Although many cultivators are relatively poor,
espeCIally m terms of cash mcome, It would be
Incorrect to assume that they are among the
poorest people In theIr socIeties In PulaI In
West Sumatra, for example, through
diversificatlOn and local adaptIveness, the people
"prOVIde us wIth an example of one way to lIve
reasonably well In these margmal upland areas of
the hUffild tropICS, standard of lIVIng-though
stIll lOW-IS noticeably rugher than that of the
transffilgrants who are tryIng, wIth government
encouragement, to transplant a settled
agncultural system " (Colfer et al , 1988,
P 206) In East KalImantan, the Benuaq Dayak
not only earn "relatively much mcome" through
theIr tradItional rattan production, but also
maIntam a sWidden system that IS "very
sustaInable" (Inoue and LajhIe, 1990, p 281) In
Onssa, IndIa, sruftmg cultIvation IS practIced by
members of all econOffilC classes of farmers,
Includmg the wealtruest landowners (Fernandes
et ai, 1988)
IMPLICATIONS The range m welfare and
econOffilC actIVItIes undertaken by sruftmg
cultIvators-IncludIng not only SubSIstence
faTffilng, but also market-onented
productIon-needs to be understood and
addressed by pohcy makers, project deSIgners,
and the general publIc Pohcles and projects
that affect land and resource users need to
respect shiftIng cultiVators' expenence and
Interests m accessmg commerCIal markets of
products and they must prOVIde eqUltable
opporturutIes (but not Impose oblIgatlOns) m
market development where appropnate and
deSIred by the local people
The Dlverslty and Dynarmes of Shrftmg Cultlvatlon Myths, Reahtles, and Pohey Impheatlons
Productivity Levels
MYTH 4 - Shifting cultivation IS always
charactenzed by low productivIty and low
YIelds and can support only low population
densIties
SCientific analysts and pohcy mstltutlOns
concerned about agncultural development have
generally perceived sht:ftmg cu1tlvatlOn to be not
only mefficlent and Simple, but also low
producmg and low Yleldmg It IS seen as Infenor
m companson With "modem" agnculture
Another common assumptIon IS that shIfhng
cultlVatlOn can support only sparse populatlOns
m remote areas These vlewpomts are
perpetuated m studies, pollcy reports, and by the
popular media
REALITY 4 - Shifang cultivation systems
are often productive, make relatively effiCIent
use of resources, and have supported large
populations
ShIftmg cultlvatlOn practlces have been qUite
productlve m many areas, supportmg relatlvely
large populatlons compared wIth some other
land uses Assessmg the number of people that a
system supports IS one mdlcator of resource
effiCiency and productlvlty In KalImantan,
IndoneSia, shIftmg cultivatlOn supports 23
people per square kIlometer, whIch is more than
tWice the number supported by commercial
loggmg (Dove, 1983) In Mesoamenca, sluftmg
cultivatlOn of the Mayans supported 100 to 200
people per square bIometer and 700 to 1,150
people per square bIometer With mtensive
agnculture (Gomez-Pompa, 1987, p 24)
Sluftmg agnculture produced 20 to 100 percent
of the subSistence needs ofMeXlco Today, the
people of thIs reglOn practice ranclung and
commercIal IDlxed fafIDlng, the populatlOn is
only 10 people per square kIlometer (GomezPompa, 1987, p 24) The population capacity of
shIftmg cultivatlOn also far exceeds that
17
supported by cattle-ranchIng For example,
Amazoruan cattle ranches, With an average size
of 5,000 hectares, support only 10 laborers
(Hecht, 1996) The move to permanent fields
does not necessarily tmprove output m the longterm
Furthermore, gross YIeld IS only one cntenon
for evaluatmg fafIDlng systems ProductlOn
should be seen m relatlon to nsk reductlOn,
consumptlOn, and resource management as well
as crop Yields The diverSIty of shIftmg
cultIvators' land use methods and the vanety of
the crops they produce reduce nsks posed by
drought, pestilence, and other weather-related
phenomena ShIftmg cultIvators eat much of
what they produce, whIch contnbutes to selfsuffiCiency and hvellhood secunty TheIr
multIple outputs, such as fuel and medicmals,
have added values for fafIDlng systems When
the cultIvators engage m cash-croppmg, they
also contnbute to broader econOIDlC growth
Some shIftmg cultIvators proVide resourcerelated servIces-beneficIal to themselves and to
socIety-through their watershed management,
conservatlOn of plant dIverSity, and use of tree
cover Such benefits are seldom measured, but
are nonetheless Important cntena for evaluatmg
shIftmg cultlvatlOn
IMPLICATIONS DeCISion-makers and
analysts need to understand and learn from
sluftmg cultivators' abihty to produce and use
resources effectively and sustamably m many
cases, and to analyze when and why the systems
sometimes lose productIVIty over time Sluftmg
cultIvators' use ofland and resources should be
Viewed and measured hohstIcally YIeld
measurement of a smgle given crop should be
replaced With measurements of the prodUCtIVIty
and effiCiency of the entire system-mclusive of
factors such as nsk reductlOn, nutntIon, mcome,
and sustamable management, as well as crop
Yields per se A holIstIc measurement of
productiVity needs to be used and supported m
agncultural development polICies and programs
18
The Diversity and Dynannes of Shtftmg Culhvahon Myths Reahhes, and Pohey Impheahons
Environmental Impacts and Resource Use
MYTH 5 - Shifhng cultivatIOn systems are
environmentally destruchve, wasteful,
unsustainable, and cause the maJonty of
tropical deforestation and SOli erosIOn
Another common generalIzatIOn related to
Myth 4 IS that shIftmg cultivatIOn practices are
environmentally destructive and need to be
elmunated or replaced ShIftmg cultivatIOn IS
blamed for between 50 and 75 percent of
tropIcal deforestation worldwIde (ASB, 1993,
Cleaver and Shneber, 1993, Myers, 1992, 1994,
UNDPIUNEP, 1992) One recent pubhcatIon,
claIms that" slash-and-burn agnculture IS one
of the greatest threats to the bIOdIversIty of our
planet, destroymg ten mllhon hectares of tropIcal
forest annually "(ASB, 1993, pp 1,5)
Smularly, studIes attnbute to the growmg
populations of shIftmg cultIvators a key role In
overall population Increase, whIch they CIte as a
cause of deforestatIOn (Myers, 1990, 1992)
Many foresters 10 the PhIhppmes, openly blame
shIftmg cultIvators for most deforestatIon 10 that
natIon (Lynch, personal commurucatlOn, 1997)
Some of these perceptIons are found In earlIer
reports as well, In the 1970s, F AO pubhcatlons
claimed that shIftIng cultIvators were by
defimtIOn "destructIve" (FAO, 1973)
ShIftmg cultIvators are also blamed for much
soll eroSIOn 10 the tropICS (Watters, 1971)
Recent studies particularly cntIcize and
dIsparage theIr use of fire burrung IS commonly
charactenzed as Inherently harmful
Furthermore, shIftmg cultIvators' fires are
blamed as the source of a major proportIon of
global carbon emlSSIOnS, whIch lead to global
chmate dIsturbances (ASB, 1993) Popular use
of the term "slash and bum" perpetuates thIs
negatIve stereotype of harmful fires
Such Views also lead to the related perspective
that shIftmg cultIvatIOn IS categoncally
unsustamable For example, a 1993 World Bank
pubhcatIOn on Afhca claIms that "TradItional
low mput low prodUCtiVIty farmtng With sharply
shortened fallow penods IS neIther
envIronmentally sustamable nor VIable 10 terms
oflong-term agncultural productIVlty Slow
technological mnovatlOn has mhIblted shIftmg
cultivators from SWitchIng from subSistence to
market crops "(Cleaver and Shrelber, 1993,
pp 4-7)
REALITY 5 - Shifting cultivation systems
are not responSIble for the maJonty of
deforestation or land degradation, and they
have varying and complex environmental
Impacts, some of which may be sustainable
and enhance bIOd,verSity
The enVlronmentalimpacts of shIftmg
cultivatIOn are dIverse, they depend on
cultivatIOn practices used, as well as
SOCIOeCOnOmlC and ecologIcal factors Fieldbased eVidence does not prove that shIftmg
cultIvation IS responSIble for the maJonty of
global deforestatIon, the general claIms noted
above are exaggeratIons (DIck, 1991, Angelsen,
1996, WRI, 1997) One analyst recently
concluded "Whde the contnbutIon of tradItional
shIftmg agnculture to overall tropical
deforestation IS clearly an Issue of concern, ItS
magrutude 10 relatIOn to other causes IS
sometimes put way out of proportIOn 10
aggregate figures for global deforestation whIch
are at best crude measures" (Angelsen, 1996)
RegIOnal and natIonal data confirm thIs
conclUSIOn For example, 10 IndoneSia, satelhte
data showed that shIftmg cultivators account for
only 22 percent of deforestatIon, whIle the
remammg 68 percent IS due to programs
supported by the government (DICk, 1991)
Refemng to thIs study, the World Bank (1994)
has concluded that these and other data
"challenge the conventIonal Wisdom that
tradItIOnal shIftmg agnculture IS the malO agent
of deforestatIOn" (World Bank, 1994, P 51)
The Dlversity and Dynanucs of Shlftmg CultivatIOn Myths ReahtIes, and Pohcy ImphcatIons
S1lTI1larly, m South India, data-based landsat and
aenal photographic images show that
deforestatiOn caused by shiftmg cultivators IS
less than 30 percent, whereas dams, reservOIrs,
and plantations have caused 70 percent of
deforestatiOn (Kamal Bawa, Uruverslty of
Massachusetts, personal commurucation) In
Nigena, recent assessments suggest that the
maJonty of deforestation IS due to large-scale
rubber and agroexport plantatiOns and the od
mdustry rather than shiftmg cultlVation
(Osemeobo, 1988) Other regiOnal and natiOnal
estimates have revealed SImIlar patterns (e g ,
Jarosz, 1993) EVIdence mdicates that shiftmg
cultivation systems are actually less degradmg m
many ways than settled "modem" farmIng,
because they do not convert vegetation
permanently-fallows usually allow regeneratiOn
of forests or other plant ecosystems
Shiftmg cultIvatiOn systems also do not
necessanly waste and degrade land As noted
prevIously, a look at the numbers of people
supported per area of land under shiftmg
cultlVatiOn shows that some systems use
resources more effiCIently and less wastefully
than many other forms of land use, and they can
also support more people (See Myth 5, Hecht,
1996, Dove, 1983) SImIlarly, blamIng clImate
change on shiftmg cultIvators does not follow
the eVidence Although carbon emISSiOnS from
burrung biOmass are partly from shiftmg
cultivatiOn, a focus on the emISSiOnS alone IS
mIsleadmg, as It Ignores another Important
parameter-carbon absorptlon (or sequestratlOn)
by vegetatlOn Both output and absorptIon must
be understood together Shiftmg cultivatlOn
systems have relatIvely high carbon absorptIon
because they typIcally mamtam and enhance
vegetation m the succeSSiOns and often mclude
trees m the croppmg cycle In other words,
shiftmg cultivation is closer to bemg carbonneutral than to bemg a major carbon contnbutor
It contnbutes to carbon disturbances less than
other forms of land use
Some studies that acknowledge differences
between shifted and mdlgenous shiftmg
cultlVators place most of the blame for
degradatlon on the mIgrants, although
mdigenous peoples are also sometImes
ImplIcated (Klemman et al , 1993, Kunstadter
and Chapman, 1978, Myers, 1994, Peters and
Neuenschwander, 1988, Borthakur et al , 1985,
Husam, 1981, Komkns, 1978, Roy and Verma,
1980) (See Box 4) But blamIng shifted
cultIvators for destructlOn IS SImplIstiC, partly
because It Ignores the underlymg econOmIC
causes that usually mduce them to use certam
unfamIhar practIces In parts ofLatm Amenca,
BOX 4 The Northern That Cultivators Example of Migrant PractJces and Conditions
The northern That are the largest ethmc group of
sluibng cultlVators ill thelf reglon of the ¢Ountry'
(Chapman 1978) Most are newcomers to s1ufung
cultivatlOn practIces They have been descnbed as
reluctant sWlddeners forced to SWitch from traditional
paddy nCe culUvanon (Chapman, 1978, p 222) For
most northern ThaI. sluftmg culhvatlon IS a cntlcaI but
romor, part of household mcome Economtc necesSity
has forced them to expand the land farmed through
sluftmg cultIvatlon because lumted land resources.
comhmed Wlth a relatively recent upsurge m the local
populanon, bas led to food shortages Development has
resulted tn two new econOmIC strategtes-employment
of men m otr~farm labor (mamly ttmber cuttmg and
19
charcoal productlon) dunng the dry season, and
mcreasUlg agncultural productlon (mamly nee,
groundnuts m3.lZe and cotton) vla sluftmg cultlvatton
dunng the ramy season Rates of return to labor ill the
sWldden system are often very low Yet. smce there IS
not much alternattve ~ployment aVIUlable dunng the
penod when field preparatIOn takes place. the SWldden
and wet-nee systems mtegrate wen Fallowttmes m the
reglon are typlCalJy short--3 to 4 years 10 areas where
they should exceed 10 years to mamtam soll ferttllty
Thus. the Northern thai appear to be caught m a
SItuatIon of decreasmg resources combined With
shorterung fallows and falhng Yields (Charley and
McOanty,1978)
20
The Diversity and Dynarmcs of Sluftmg CultJ.vatlOn Myths, ReahtJ.es, and Pohcy ImphcatJ.ons
for example, even colorusts who have had less
than a generation of tropIcal forest hvmg
expenence sometimes practice adaptIve and
mnovatIve srufimg cultIvatlOn strategIes,
contrary to popular perceptIons (Browder,
1994)
Of course, all systems of agnculture, mcludmg
srufimg cultIvatlOn, can contnbute to
deforestatlOn and other lands of natural resource
degradatIon-dependmg on the practIces and
surroundmg condItions Both tradItional and
mlgrant srufimg cultivatlOn systems proVIde
examples of both relatively degradmg
(unsustamable) and relatIvely nondegradmg
(sustamable) types (Browder, 1994, Inoue and
LahjIe, 1990, Kunstadter et al, 1978, Spencer,
1966) For example, m many areas of the world,
srufimg cultivatlOn systems have recently
evolved m ways that make certam practIces such
as burrung unsustamable and have become
poorly adapted to local condItions
Consequently, the sod erodes, nutnents are
depleted, and fertlhty declmes But such
condItions are not uruversal Nor do they reflect
meVltable patterns of enVlronmental destructlOn
What are the more Important causes of
deforestation and enVIronmental degradatIon? As
suggested above, commerclalloggmg and largescale cash-croppmg account for more
deforestation than srufimg cultivation (Thapa
and Weber, 1991, Del, 1992, Truesenhausen,
1991) The underlymg causes of enVIronmental
degradation are generally tied to skewed land
use and resettlement polICIes, meqUItable
national land tenure systems, and other
SOClOeCOnOmlC condItions, mcludmg the
extractIve practices of large scale enterpnses,
summanzed m Table 1 These factors, m turn,
can squeeze shlftmg cultIvators onto small areas
or pressure them to overuse resources Such
destabdizatlOn usually results over time from a
combmatIon of SOClOeCOnOmlC and polItical
changes, demographlc pressures, and blOphysical
factors that force cultIvators to change theIr
practices
TABLE 1 Causes of Destablhzatlon and Degradation m Shlftmg Cultivation Systems
Outcomes or Symptoms of
DestablhzatlOn and
Degradatu>D
Shorterung or ceasmg fallows
Over-explOItation ofland/sods
Dechnmg soli fertlhty
Decreasmg Yields
Increasmg deforestatJ.on
Loss of bIOdiverSity
Proximate Causes (agents)
Development of roads and other
mfrastructure
ExpanSIOn ofmonoculture agnculture
and tJ.mber mdustnes
Scarcity of land and other resources
avadable to cultivators
Changmg demograpluc trends e g ,
ffilgratlon and population growth
Lack of alternatives for production and
mcome for rural people
Resettlement of new groups m frontier
areas
Lack of access to stable markets for
sluftmg cultivators
Underlymg Causes (roots)
IneqUltable pohtlcal-econoffilc
structures affectmg use of resources
InternatlonaVnatJ.onal econOffilC
poilcles, esp trade hberahzatlon,
structural adjustment
Disrespect for or neglect of the
nghts of sluftmg cultivators
Lack of knowledge of enVlfonmental
factors m agnculture
Lack of sustamed econOffilC development and employment for poor
Lack of pohtlcal comrrutment for
poverty allevlatJ.on
Inadequate attention to SOCial
needs m envlfonmental poilcles
The DIverSIty and Dynarmcs of Slnftmg Cu1uvauon Myths, Reahtles, and Pohcy Imphcatlons
IMPLICATIONS Sluftmg cultivators should
not be blamed categoncally for deforestation,
enVIronmental degradatlOn, and chmate
disruptlOns Some sluftmg cultivatlOn systems
have clearly become contnbutors to resource
degradatIon, but tlus IS not uruversal, and many
forms and aspects of sluftmg cultIvatIon are
enVIronmentally sound The vanatlOns on and
evolutlOn of these land use systems need to be
apprecIated by deCISIon-makers and the pubhc so
that more effectIve programs and pohcles can be
developed to conserve and sustamably use
resources and Improve agncultural development
At the same tIme, the underlymg causes of
enVIronmental degradatIon need to be
understood and addressed More attentIon
should be gIVen to IdentIfymg and addressmg
degradatIon's roots, mcludmg bIased pohcIes,
market forces, and extractIve enterpnses
LIkeWIse, when sluftmg cuitIvatlOn does lead to
degradatIon, these econOffilC factors need to be
apprecIated so that the degradatlOn IS not blamed
categoncally on ffilgrant colorusts or tradItional
sruftmg cultIvators Methods for addressmg
such econOffilC factors mfluencmg sruftmg
cultivatlOn mclude ceasmg pohcles that dIsplace,
remove and, resettle sruftmg cultIvators, and
removmg legal mcentIves and programs deSIgned
to encourage colorusts to settle m margmal areas
that are unSUited for fafffilng
Levels of Productive Technologies and
Agroecologlcal Knowledge
Shifttng culttvators usually use
pnmlttve, low levels of technology, have
llmlted knowledge about agnculture and the
enVIronment, and rarely adopt new
technologIes
MYTH 6 -
A commonly CIted F AO study defines sruftmg
cultIvatlOn as technIques of farmIng "used by
those farmers who have only the most pnffiltIve
tools at theIr dIsposal
[ShIftmg cultIvators]
do not change because of passive acqUiescence
to mecilocre results of productIon and a low
21
standard of lIfe" (Watters, 1971) Other
studIes convey siffillarly pejoratIve VIews of these
methods A renowned agronomist stated that
"The poor fafffilng methods and soli depletmg
practIces prevalent among Afncan peasant and
sruftmg cultIvators stem from Ignorance, custom
and lethargy the mam obstacle to overcome IS
the natIve's lack ofunderstandmg for the need
for the preventlOn of soli erosion" (Clayton,
1974, p 12) In discusslOns of sWIdden systems
m northeast IndIa, wnters have cntically stated
that "no arumal or Implement IS used by the
farmers for the preparatlOn of the land The only
tools used are the choppmg krufe, dIbbhng
stIcks, a small hand hoe, and a sIclde/krufe The
only mputs are seeds and human labor"
(Borthakur et al , 1985, P 150, Srukia, 1982) In
1993, World Bank analysts wrote that Afncan
sruftmg cultIvators have "hffilted technIcal know
how" and that theIr "slow technologIcal
mnovatlOns mhIbit farmers from SWItchIng from
subSIstence to market crops" (Cleaver and
Shneber, 1993, pp 4-5) Such stereotypes have
led many analysts to beheve that sluftmg
cultIvators always have hffilted knowledge
REALITY 6 - Techmques used m shifttng
culttvatlOn systems are generally appropnate
for theIr agroecologlcal contexts (although not
'fmodern '" and cultivators often have complex
and useful knowledge about resources, land
use, and su"oundmg environment
Sruftmg cultIVators employ an array of
technologIes and land use practIces, mcludmg
modem technologIes when appropnate,
dependmg on the avadablhty of alternatIves,
markets, and resources The practices used are
tYPIcally well adjusted to local enVIronments and
have been adapted to econoffilC, enVIronmental,
and technologIcal changes over tIme
Htstoncally, three types of tool-based systems
were common dIggmg-stIck systems, hoe
systems, and plow systems But the range of
technologIes has expanded over time
22
The Diversity and Dyn8IllicS of Shrllmg CultIvatIon Myths, ReahtIes and Pohcy ImphcatIons
In the Congo Basm, for example, as mother
areas of sluftmg cultivation, "a common type of
technological change has been the mtroductlOn
of new crops or new vanetles of eXlstmg crops"
(Mtracle, 1967, p 287) In chlteme systems of
Zambia, cultivators have mtegrated legumes and
compo stIng to Improve soll fertlhty (Chtdumayo,
1995) In IndoneSia, some sluftIng cultivator
groups have Incorporated rubber trees Some
Afhcan sluftmg cultlvatlOn systems mclude
external mputs such as compost, arumal manure,
and ImgatlOn (Mtracle, 1967) Sluftmg
cultivators m grass-fallow systems m Bhutan add
collected pIne needles and arumal manure to
mounds of top sOli used as fuel for burrung
(Roder et al ,1992) Purchased fertIhzers,
peStiCIdes, and herbicIdes are used less
frequently because they are not accessIble to
many shIftIng cultivators, although thIs IS
changmg The Sanbas Than sWlddeners of
Sarawak, MalaYSia, for mstance, use small
amounts of dlammoruum phosphate fertdlZers
and the herbicide paraquat to supplement
weedIng (Cramb, 1989) In India, "most of the
tnbes, at least m Onssa, Andhra and Madhya
Pradesh or even m Meghalaya, Nagaland,
Marupur and Tnpura, have adopted technology
of modern agnculture, though not on a very
large scale" (Bose et al , 1982, P 223) Some
cultIvators employ cham saws to clear forest
(Del, 1992)
Furthermore, studIes show that sluftIng
cultIVators usually have a wealth of knowledge,
-based on theIr expenence and
expenmentatlOn-about theIr blOphyslcal
conditIons, agronomIc practIces, and the
environment and economy that Influence them
(Alcorn, 1994, Warner, 1991, Brookfield and
Padoch,1994) Some have detaIled and complex
knowledge about the management of vegetatIve
regrowth, and management of forest resources
and medlcmal plants (Alcorn, 1989) They are
commonly knowledgeable about ecologIcal
pnnclples such as nutnent cychng, soIl fertlhty,
decompositlOn, and use of orgaruc matteralthough they do not use such terms (Ghessman
et al , 1981, Warren et al, 1989, Brookfield and
Padoch, 1994, KleInman et al, 1993)
Box 5 Sblfting CultlVat.on and Complex Knowledge - An Example from MeXICO
(adapted from Colber, 1975)
The classic sWldden agncultural cycle practiced by the
Zmacantecos In Chtapas, soutbemMeXlco. lS adapted to
lO¢al ¢ondlUOIl.S Thes¢ people have iX>mplex knowledge
about the resources and the methods needed to mamtam
production and bave adjusted their practices ()ver ttm<; m
response to vanous kmds of change Therr swldden fields
ate generally located m steeply sloped and htgh·altltude
areas (3.000 to 8,000 feet)
tassels appear and 18 mtended to aVOid damage from
Wmd The mam farmmg operations -such as plantmg
and harvestmg-are adjusted to the phases of the moon
(coordmatIon With the lunar cycles IS common m sWldden
systems III many parts of the world and has a sClentIfic
bastS for opturuzmg growth) Products gathered from the
fallow areas or forests, such as pme boughs and needles.
are used m ntuals
Zmacantecos generally have complex: knowledge of
agroeoologtcal features and practices fur sW1dden fanrung
and have partIcularly soplushcated mSlghts (based on
expenence) about sotls~ plants. and management orthe
fallow Such knowledge has helped mamtam therr
hvehhood as well as $OCud coheSlon Cultural tradlttons
and spmtuai be:befs are also unportant m the Zmacantecos
swidden cycle RItuals are performed at certain stages in
honor of the sptnts. mcJudmg Wmd, Ltghtnmg, and Ram.
For ex~ple. a mdpa ntualts perfotrtted when com
Not all of the Zmacanteco's practices are m hannonyWlth
theenvtronment, however Many of the people'stands
have suffered from sod erOSlOn and declmmg fertihty
partly owmg to Scarcity of land and mcreasmg mtenSlty or
famung Such changes have occurred WIth population
slnfts and polittcal and econonuc developments. espeClally
the expanSlOn of wage labor, Illcreasmg market pressw-es
and meqwtable land tenure
The DIversIty and Dynarrucs of Sluftmg CultIvatIon Myths RealItIes, and Pohey ImplicatIons
Mayan sInftmg cultIvatIon practIces, for
example, reflect complex knowledge, not
slmphclty (See Box 5) Women, elders, and
cluldren, as well as men, have specific
knowledge about these factors m the sluftmg
cultIvatlOn cycle
StudIes from the fields of botany, geography,
agroecology, cultural ecology, ethnography, and
archeology have shown that smftmg cultlvatlOn
systems are complex, reslhent, and dynamlc m
the context of environmental and SOCIal
constramts (AltIen, 1997, Gieissman, 1989,
Ghessman et al, 1981, Conkhn, 1963, Warner,
1991, Posey and Balee, 1989, Denevan and
Padoch, 1988) In many areas, sInftmg
cultlVatIon may be seen as managed
deforestatIon, bUlldmg around patchy cleanngs
where fire IS carefully controlled and
regeneratIon aided through marupulatlOn of
succeSSlOn by the selective weedmg, fertIhzmg,
and protectmg of particular plants (Alcorn,
1991) In other cases, as m West Kahmantan,
smftmg cultivation IS a form of tropical forest
management (See Box 6 )
Simllariy, smftmg cultivators are often
sopmstIcated managers of bIologIcal dIverSIty
As noted earher (m Myth/RealIty 2), they may
plant dozens of vaneties m a smgle garden and
conserve and use wIld vanetles m fallows (See
Box 6) These cultural practIces contrast sharply
WIth modem agncultural systems, wInch usually
erode dIverSIty and aIm for homogeneIty For
example, forests that may contam as many as
400 speCIes per hectare have been replaced by
pastures With only 10 or 20 speCIes, or
plantatIons With only one speCIes
SInftmg cultIvators use a vanety of sod
management methods to sustam productiVity,
usually adJustmg to low sod fertIhty m large
areas of the tropics The most pervasive types
of sod management practices are the sInftmg
(rotatIon) cycle, wInch restores sod fertilIty, and
burrung, wInch creates a useful ash fertlhzer
(Nye and Greenland, 1963) ManyaddltlOnal
methods are used, as noted m Table 2
BOX 6. Forest Gardens Managed by Tara'n Dayak ShIfting CultIVators 111 West Kalnnantan
Dayak slufung cultrvator groups m Kalunantan IndoneSia,
use sopmstlcated agncultural practices to manage three
dIVerse forest vegetatIon types forest gardens, managed
forests, and agroforestry plots, detailed as follows a.
Tembaweng Forest Gardens are home gardens of 10 or
more hectares that begm as muted pIantmgs of fiult trees
23
All of these forest systems may look ahke but each bas
dtffetent btstones and management practices. Each type
IS Species I'lch The Dayak managed forest gatdens. for
examp~ eootain upwards of 42 tree species maO 2 ha
plot and tanah adat upwards of 51 tree specws per 0 2 ba
plot (By contrast, Dlpterocarp forests m Kahmantan can
around dwellmgs. and later COntam additiOnal planted
oontam from 200-250 tree Species per hectare) These
SpecIes (such as ruhber, rattans, and mecitcmal plants) and culbvlltots promote m sltu conservahon of u:nportant
also a nuxture of spontaneous vegetation that grows up
culttvars and thelt' WIld relattves and m81Dtam bIOdiversity
around fnut trees, b Tanah Adat Forest Reserves are
forest gardens whtle feedmg themselves TIns dtversIty
preserved by ttadiuonallaw. set IiSlde many generlltlons
management could be an e'lternplaty fortil of sustaInable
ago and have never been cleared However, the TlU'a~n
reSource use Such systems coold be good alternatives to
Dayak ofBalat manage these tanah adat by removwg
the present practlces of loggmg and total forest
unwanted weeds or less useful specles while plantmg
conversion
tunber and fmlt trees such as tlhpe nut, rattan, sugar
palm, bamboo, hmgsat, rambru, mentawa and dunan, c
Source C Padoch and C Peters, 1993 "Managed F()test
Tanah Usaba Agroforesty Plots are typlcally commerCIal
Gardens m West Kabmantan. jj In C Potter, J Cohen. D
plantmgs that are usually part of the cychc agroforestry
Janezewskt, (eds) Perspectives on Buxlwers'iIy Case
system Rubbet is the IIiOst lII1J:>Ortant tree planted along
StudteS oj GenetiC Res.ouree Conservanon and
With other commercial trees
Development MAS Press, Wasbmgton DC pp 167.. 176
24
The Dlverslty and Dynanucs of Shrftmg Culbvabon Myths Reahbes and Pohcy Imphcabons
Table 2 SoIl Management Methods m Shlftmg CultIVatIOn
,
Management Category
SpeCIfic Method
PhYSICal modIficatIOn
for sOlI protectIOn
and erosIOn control
Moundmg
RIdgmg
Contour structures for erOSIOn control
Terraces (made oflogs, grass balks, etc)
SoIl protectIon
Plantmg ground covermg vmes
MultI-story agncultural arclntecture
Mulclnng
Wmdrows
FertIlIty enhancement
Use of short cycle legumes
Use of bush or tree legumes
MultI-level resource use by crops
Nutnent adchtIOns from outsIde the plot
Nutnent added from plants m the plot
Compostmg and manures
Use of Insect nests as fertIlIzer
Reburymg Wlthm the plot
Mampulated fallows
Source Hecht and Posey, 1989
IMPliCATIONS DeCISion-makers, mstitutIons,
and the WIder pubhc need to understand that
many smftmg cultIVators have complex
knowledge of and expenence With natural
resources and agroecoiogical condItIons Tms
know-how should be respected, understood, and
supported m research and development It can
play an Important role m enVironmental
management and agncultural projects (posey
and Balee, 1989, Redford and Padoch, 1992,
Thrupp, 1989, 1994, Thrupp et ai, 1994,
Rhodes, 1994) At the same tIme, the
dIsplacement of local knowledge and the
ImpOSItIon of Western technologIes should be
aVOIded Smftmg cultIvators' tradItIonal
agroforestry and soli management techruques
can be benefiCIal and need to be mcorporated
mto contemporary proJects, as they encompass
agroecoiogical pnncipies that complement
modem SCIentIfic findmgs The use of
partICipatory methods such as Participatory
Rural AppraIsal (PRA) can help make effectIve
use of peoples' local knowledge PartICipatory
methods have proven to benefit research and
development, contnbute to conservatIOn and
hvehhood secunty, and can also help empower
local people (lIED, 1990-1995, Thrupp, 1994,
Chambers et ai, 1989, Famngton and Martm,
1987) (See also Reallty 8) The use of such
partICipatory methods m research can also
Improve understandmg of why some of the
practIces have become unstable, such as
shorterung fallow penods, and can help deSign
measures that need to be taken to mttIgate
adverse changes
The Dlversity and Dynarrues of Slnftmg Cultlvatlon Myths, Reahtles, and Pohey Impheatlons
Tenure and Property Systems
MYTH 7 - Shifhng culhvahon systems exist
in empty, open-access forests without any form
of legal nghts or controls, thereby
necessltahng state and pnvate control for
management
As m colomal times, contemporary analysts
often regard the fallow penod of sluftmg
cultlvatlOn as abandonment, and lands used by
sluftmg cultivators as unused open-access or
empty lands (Dove, 1985, 1993, Peluso, 1992,
Lynch and Talbott, 1995) In the Bnttsh Emplre
anytlung that dld not look hke a cleared
agncultural field was considered terntonum
nullzus (Lmdley, 1926) Furthermore, many
analysts presume that sluftmg culttvators do not
have tenure systems or property nghts and are
not attached to any particular land
REALITY 7 - Shifhng culhvatlOn cultures
embrace a vanety of tenure regimes that
mediate access, use, and transfer of resources,
including informal communzty-based,
household, and mdlvldual nghts that overlap
with state authonty
Sluftmg cultlvatlOn systems rarely eXIst m
open-access sltuatlons Instead, most are based
on commumty property nghts, wluch are
tYPlcally dlfferentlated as mdlvldual, gender,
famIly, lmeage, and commumty nghts of access
(Berry, 1993, Peluso, 1992, Guyer, 1991, 1984,
Rocheleau, 1991, Stamp, 1989) A commonproperty nghts pattern consists of communal,
lIneage holdmgs of land areas, With famtly and
mdIVldual members haVlng usufruct nghts, as
occurs m the case of patnhneages m Garo,
northeastern Indla (Ramaknshnan, 1992,
Majumdar, 1980) The Mmangkabau ofPulru m
West Sumatra have a matnhnealland holdmg
system Wlth dlVlslons oflabor, nee product lOn,
and rubber tappmg occumng along gender hnes
(Colfer et al , 1988)
Desplte the presence of commumty-based
25
property nghts, most shtftmg cultlvators are
treated as squatters under national laws,
regardless of theIr length of occupancy Lands
used for sluftmg culttvatlOn, particularly fallow
areas, are often classlfied as pubhc forest land or
condemned as empty or unused and appropnated
or enclosed by state agencies (Lynch and
Talbott, 1995, Dove, 1993, 1985, Bryant, 1994,
Peluso, 1992, KIng, 1988)
IMPLICATIONS Pohcy-makers, governments,
and analysts need to respect and legally protect
diverse tenure arrangements of shtftmg
cultlvators, partlcularly tradlttonal, commumtybased property nghts and management systems
Laws and pohcy-makers should not treat fallow
areas as unused land, because these areas are an
mtegral part of the sluftmg cultIvatton cycle
State authonty should not be Imposed over
commumty-based systems (Lynch, 1992a)
More analysls IS needed to understand the
compleXItles of the dlverse tenure systems
among sluftmg culttvators and how they are
changmg over ttme as a result of pohcy
mterventlOns, market forces, and other factors
The protectlOn of local nghts can reinforce local
mcenttves for sluftmg culttvators to manage
resources appropnately Upholdmg the wlder
legal and pohttcal nghts of these people IS
equally lmportant and necessary
InterventIOns of Governments, AgenCies and
PoliCies
MYTH 8 - State and internahonal agencies
use intervenhons and poliCies to brmg about
benefiCial agncultural and environmental
changes affechng the prachce of shifhng
culhvahon.
It lS wldely assumed that government
mstltutlOns, development agencles, agncultural
research centers, and non-governmental
orgamzattons proVlde the best methods for
replacmg or moderruzmg the practtce of sluftmg
cultlvatlOn Pohcy offiCials m such mstItutIons
26
The Diversity and Dynarrucs of Shrllmg Cultivation Myths RealIties and Pohcy ImplIcations
usually see themselves as objective or as agents
of positive changes (Bladae, 1985) The
mstltutIons themselves are considered to have
SCientifically supenor knowledge and are valued
as a major mformatlOn source for the Western
techmques that are mtroduced to shtftmg
cultivators They are also seen as agents of
progress able to transform shtftmg cultivation
systems mto modem and sedentary forms of
agnculture
REALITY 8 - Mainstream programs and
policies influenCing shifting cultivators are
biased and not neutral, they have often been
Unilaterally deSigned to stop, alter, or replace
shifting cultivation or Introduce land use
practices that may not be appropnate for or
deSired by local people.
1 Coloma) Laws and Land-Use Pohcles
Dunng the colomal penod, officers of
agncultural and forestry departments,
mlSSIOnanes, and sCIentists often VIewed shtftmg
cultivators as pnmltIves, whtch often proVIded a
moral Justification for theIr subJugatlOn
(Comaroffand Comaroff, 1991, Pagdon, 1993)
Dunng the 16th century, for example,
Portuguese colomal ehtes and JesUIt mlSSlOnanes
mandated that IndIans learn agnculture so that
they could be htred by colo mal plantatlOn owners
(Alden, 1968, Gott, 1992) In early colomal
enterpnses, the colomahsts sold products from
shtftmg cultivation systems to traders who
cIrculated extractive tropIcal products, sugar,
and slaves They mtervened m local practIces
when they thought these products directly
competed With the pnmary extractive resources
and SIphoned labor away from the more
commercial sectors of the economy (Dove 1985,
1993,1994, Peluso, 1992)
Smce the colomal penod, many regulations
have aImed to stop, prohtblt, and transform
shtftmg cultlvatlOn They have also tned to
replace commumty tenure systems and practices
of shtftmg cultIvatlOn WIth state control,
extraction, and commercIal tree plantatlOns
(Chadran and Gadhtl, 1993, Dove, 1985, 1993,
1994, Kmg, 1988, Husam, 1981, Mtllmgton,
1985, Lmdley, 1926, Peluso, 1992, Ratanakhon,
1978, Lynch and Talbott, 1995) Colomallaws
Box 7 Taungya as an Approach to Transform Shlftmg Cultrvatlon
Taungya comes from the Bunnese word for sbiftmg
<)u}tlvatlOl'l, Taung (lull) and ya (culbvabon) It is a
system used to develop plantabon forestry and
agroforestry inexpensively. and lt was wldely promulgated
throughout countnes of the Brlbsh colomal and
post..colomal emplte, Ulcludmg Borneo. Nlgena,
Thatfand. Nigena. Ghana and Sn Lanka Taungya m
BnbshBurma's forests was mtended to wean the
In£bgenous Karen siuftmg cultlVators from what was m the
coloruahsts' perspectlve a rude culture. and destructlve
and wasteful ways that placed teak resources m danger
(Bryant. 1994) In IndoneSlil, the taungya system was
adopted by Dutch coloruahsts and mtegrated moo the
Agrartan Law ofl870 and the Forest Law ofl927
Taungya has be¢ome a coaunon 20th century
mternattonal forestIy practICe (Kmg. 1966) and generally
ConsiSts of the foUowmg practices the state or a forest
company removes marketable trees. then culttvators cut
and burn the reSIdues and plant short..cycle crops for thelt
own use for a few years and concurrently, plant and tend
tree seedImgs {usually tunber trees), wblch are harvested
by the state or company
For modern states. thts model has been consIdered
successful m consohdatmg admmLstrattve and polItiCal
control over shtftmg cultivators and thelf forests and for
produemg revenUe through tunher sales Adaptation of
the taungya system also reshaped the nature of forest
control and management Local VIllagers lost land nghts
for slnftmg <)uluvauon,legal ac¢ess to forest resources,
and the potentlaJ autonomy of forest settlements. The
taungytl system operates Wlthin a coerclve legal
framework ofhtUtted access to forest resources and labor
and often results m the concentratlon of wealth (KLo
1978, Peluso, 1992) Consequently, the system has
provoked a great deal of reSistance from rural people such
as the Karen (Adas, 1986)
The Diversity and Dynarrues ofSluftmg Cultivation Myths Reahhes and Pohey Impheabons
were passed to formalIze such mterventlOns
The Indonesian Agranan Law of 1870, for
example, stipulated that customary property
nghts (known as ada!) on Java, Madura, and
later the Outer Islands were only recogmzed on
lands that were contmually cultivated (Lynch and
Talbott, 1995) Tms excluded smftmg
cultIvators from possessmg property nghts
IndonesIa's 1927 Forest Law declared state
forest lands to be lands owned by the state to
wmch no other people have nghts or control
(Wemstem, 1993, Peluso, 1992, Lynch and
Talbott, 1995) In Uttar Kannada, IndIa, the
BntIsh colomals prombited smftmg cultIvation,
and SImultaneously cleared, extracted, and
depleted deCIduous hardwoods hke teak
(Chandran and Gadgd, 1993) These kmds of
agranan and forestry laws have remamed m
force up to the present day
Startmg m the late 19th century, the colomal
governance systems m the tropICS were
orgamzed accordmg to European models
(DaVldson, 1992) Intervention m productlOn
processes became one of the pnmary endeavors
of colomal governments, often through
promotion of commerCIal agnculture and
forestry projects Efforts were focussed on
controllIng sh1fimg cultIvation m forest areas,
producmg export commodItIes, and makmg local
people practIce permanent cultIvatlOn Such
pohcles have often coerced smftmg cultlVators
mto labor at extraction and commercIal
plantations (Dove, 1993, 1994, 1995, Kmg,
1988, Peluso, 1992, Mllhngton, 1985) In
Madagascar, for example, French colomal
authontles banned shlftmg cultlvatlon practIces
and tned to resettle the people to grow cash
crops (Jarosz, 1993) A forest management
model called taungya was among the mam
approaches to transform smftmg cultIvatlOn
Most of these colomal methods of mterventlOn
have largely contmued up to now (See Box 7)
27
Many other examples of pohcles adverse to
smftmg cultIvatlOn are found throughout AsIa In
the PmlIppmes, General Order 92 Implemented
by the US colomal regIme m 1900 promblted
unauthonzed cleanng of "publIc" lands by fire
or fellIng of trees With fines of up to US$100
and 30-day Impnsonment VlOlators were also
charged for the timber destroyed or an additlOnal
day m pnson for each dollar of unpaId damages
(Lynch, 1992) Tms prombitIon, With much
stiffer penalties, contmues today based on the
ReVlsed Forestry Code of 1975 (Lynch and
Talbott, 1995) The Bhutan Mmstry of
Agnculture, m an effort to sedentanze
cultivators, mtroduced finanCIal mcentIves for
estabhsmng orchards, terraces, bunds, and
contours m permanent fields (Roder et al ,
1992) Thadand's government has been
attemptmg to resettle the Northern ThaI people
mto the lowlands for a long time, often usmg
coerclOn, m order to extract tImber from or to
develop permanent agnculture m therr regIon
(Chanphaka, 1986, Kmg, 1988) The myths
descnbed m tms paper have been used to JustIfy
governmental efforts to expropnate the
cultIvators' property nghts and grant nghts to
loggmg and mImng enterpnses (Dove, 1983)
StrategIes for agncultural commerClahzatIon
have also been prevalent, startmg m colomal
tImes, for transformmg sh1fimg cultivators, and
also to help fund the state For example,
groundnut schemes m Western and Eastern
AfrIca by the BntIsh and French colomal
governments were attempts to modermze
agnculture and sedentanze cultlvators (SEDES,
1965, Borget, 1986), although they were largely
unsuccessful The Senegal groundnut project,
wmch mcluded 30,000 hectares under
mecharuzed agnculture and used local smftmg
cultIvators and mIgrants as wage laborers, turned
out to be uneconomIcal and senously degraded
sods (Borget, 1986) In some cases, colomal
regImes used coerClOn to enforce the mtegration
28
The Dlverslty and Dynarrues of Slnfung Cultlvatlon Myths, Reahtles, and Pohey Impheatlons
of cash crops such as rubber, cacao, 011 palms,
tea, coffee, tImber, and frU1t trees m the fallow
(Berry, 1993, Chadran and Gadgll, 1993, Dove,
1993)
2 Contemporary Settlement, ColoDlzatlOn,
and Agriculture Schemes
In the contemporary era, resettlement and
coioruzat1On programs mtended for poor people
are frequently used m attempts to transform
agnculture, allevIate SOCIal 111s outsIde
coioruzat1On areas, and generate reg10nai growth
(Hecht, 1995) They have been a key part of
rural development pohcles m ASIa, Latm
Amenca, and AfrIca Resettlement programs are
typIcally rumed to reconstruct the hvehhoods of
cultivators as sedentary In Brazd, coioruzat1On
programs have been used as a means of aVOldmg
agranan reform and have become an escape
valve to aVOId addressmg the SOCIoeconOffilC
cnses m the northeastern and central west
reg10ns of the country (Hecht and Cockburn,
1989, Mahar, 1989, Bmswanger, 1989) In the
Amazon regIon, shtftmg cultIvators such as
rubber tappers have frequently been settled mto
agranan reform areas or colorues m an attempt
to compensate for loss of theIr holdmgs
elsewhere
IndonesIa has developed elaborate programs
for resetthng shtftmg cultIvators They are
Justified by the state as promotmg forest
conservat1On, econOffilC growth, and SOCIOpOhtiCal control For example, the IndonesIan
forestry department drrected a resettlement
program from 1971 to 1981 that resettled some
13,058 households-mamly shtftmg cultIvators,
who were moved to new frontier areas
(Wemstock, 1992) Most of these people were
moved mto the transffilgrat10n regions, and
households typically received a small plot (about
two hectares of land) and an 8-day short course
on sedentary farmtng Smce the 1980s,
IndoneSIa's resettlement and reforestat1On
program have also brought Javanese farmers to
the Outer Islands to start modem permanent
agnculture m areas used by shtftmg cultIvators
(peluso, 1992, SoewardI, 1983, Wemstem,
1994, Lynch and Talbott, 1995) Other
coloruzatIon projects m IndoneSIa mvolve
contract farmtng and wage labor for people who
formerly were shtftmg cultIvators, and the
promotion of export crops Another project,
affectmg approXimately 200,000 households,
aImed to develop sedentary and productive
sources of hvmg and to mtegrate these people
mto the regIonal and provmclal market economy
Along WIth such proJects, the modem
governments often Impose authonty over tenure
and property systems, repeatmg colorual
patterns They generally eltffilnate the
commuruty-based tenure arrangements of
shtftmg cultIvator commurutIes For example,
the state may allocate legal nghts to outSide
enterpnses or mdIVIduals who coopt the land of
shtftmg cultivators and dIsplace them In much
of Southeast ASIa and m areas of the Amazon
Basm, state agenCIes proVIde the legal nghts to
vast areas ofland to large parastatal,
mternatIonal, and domestic corporations such as
tImber and ffilrung comparues, whtch then explOIt
forest and land resources Typical mducements
for cooptmg land mclude favorable tax rates,
low export fees, ffilrumal stumpage costs for
forest removal, and mfrastructure development
In reg10ns where cultIvators' land has been
coopted, the people have often reSIsted, and
conflIct has ensued over access and ownershtp of
resources (Lynch and Talbott, 1995, Peluso,
1992, Tapp, 1989, Hecht and Cockburn, 1989,
Guha, 1989)
Although many development and coioruzat1On
projects are well-mtentloned, and can benefit
certam comparues and well-off producers, they
have seldom been successful at achtevmg thetr
alms and often are unsustamable and fraught
WIth dIfficultIes, espeCIally for shtftmg cultIvator
commurutIes CultIvators are usually at a
dIsadvantage, because they generally lack
The Diversity and Dynarmes of Shrltmg Culhvahon Myths, Reahhes, and Pohey Impheahons
econonnc resources and power, get displaced
under unfannhar conditIOns, lack formal tenunal
secunty and pohtIcal mfluence, and seldom are
allowed to participate m the deSign of projects
As stated m a recent World Bank report,
resettlement frequently Imphes landlessness,
Joblessness, margmahzatlOn, food msecunty, loss
of access to common property, and SOCial
disarticulatIOn (World Bank, 1994) Other
problems result from meffiCient orgamzatlOn of
the programs, lack of SOCial services, and poorly
adapted crops and development models for local
needs and conditions (Wemstock, 1992) They
usually result m out-nngratlOn by the people,
who may end up unemployed m poor urban
areas or seekmg out new pOSSibilities m frontier
areas
3 InternatIOnal Development and Research
InstItutions and Programs
Efforts to transform smftmg cultivatIOn m
developmg countnes are also shaped by
mternatlOnal development agencies, such as
FAO, and multtlateral banks such as the World
Bank As noted before, early F AO reports
Judged shiftIng cultIvatlon to be Inherently
"pnmltIve," "backward," and Incapable of
supporting "clvlhzatlon" (FAO, 1973, Watters,
1971 )-behefs that have formed the baSIS for
many F AO projects aImed at replacmg shIftIng
cultlvatlOn
One of the predonnnant approaches to
econonnc growth used by F AO and other
agencies IS a market-led development model that
focusses on the export of tImber, nnnerals, and
agncultural products as mecharusms to proVide
state revenues Development agencies, along
With many state mstItutlOns, tend to favor those
actors deemed most dynannc as commercial
entities, and backed by powerful econonnc and
pohtlcal groups (Berry, 1993) Slnnlarly, they
have prescnbed and estabhshed pohcles for
large-scale agnculture to open new frontIer areas
29
and expand markets, for tms purpose, they have
prOVIded mcentIves such as favorable credit
pohcles, tax and fiscal mcentIves, mfrastructure
development, and techmcal services for new
productlOn technologies
Thls predonnnant VIew has been modified to
some extent m certam F AO projects For
example, the F AO' s recent program on
Commumty Forestry reflects mcreased respect
for smftmg cultivator practIces "SWlddeners'
knowledge can be apphcable to both sustamable
mtenslficatlOn of smftmg cultivation and
development of other sustamable land use
systems With pnnclples ofmtegratIon of trees
mto the agncultural system, utIhzatIon of nncro
enVironments, nncro Sites, multiple crops and
multi vanetIes and stablhty mamtamed by the
many components of the system" (Warner,
1991) The program IS very small, however, and
represents an unusual perspective m the F AO
mstItutlOnal structure
InternatIOnal and natIOnal research and
development mstltutIons, mcludmg the
ConsortIUm for InternatIOnal Agncultural
Research (CGIAR) (conslstmg of over a dozen
large agncultural research mstItutes throughout
the world), umverslty systems and NatIOnal
Agncultural Research Institutes have also
estabhshed programs over several decades that
have generally aImed to directly or mdlrectly
ehnnnate or transform mdlgenous agncultural
practices F or example, they have developed
and spread the Green RevolutIon model, whlch
promotes the use of mono cultural productIOn
systems, hlgh-yteldmg crop vanetIes and htgh
mput chenncal technologies worldWide
Although these mstItutIons do not have a general
pohcy statement on smftmg cultivation, they
have been leadmg supporters of technologies
mtended to replace traditIonal systems through
Green Revolution systems CGIAR has
developed slgruficant techmcal mnovatlOns that
contnbute to nsmg agncultural productIVity and
has been mfluentlal m shapmg rural development
30
The Diversity and Dyn8lll1CS of Sluftmg Cultivation Myths Reahties and Pollcy Imphcahons
programs Yet, some patterns of agncultural
research and moderruzatlOn have also
contnbuted to adverse social and enVIronmental
effects such as those descnbed m thIs paper
ConventIonal research approaches have seldom
mvolved full participatIon of farmers as well
Dunng the 1990s, several of the mternatlonal
and national agncultural research centers have
become mcreasmgly concerned about declImng
productiVIty, deforestation, and shorter fallows
m shIftIng cultIvatlOn and have developed
specific projects to address these problems
(UNDP, 1992, ASB, 1993) These centers have
generally assumed that shIftmg cultivators need
to be settled, develop alternatIve practIces, and
mtegrated mto modem, hIgh-mput mono cultural
agnculture (El Moursl, 1984, FAO, 1985, Nair
and Fernandes, 1984, Oktgbo, 1981, 1983,
1984) Recent research efforts m thIs field have
helped to Improve understandmg of land use,
resources and specific crops A relatively small
number of sCientIsts have also given attentIon to
the value of traditIonal practices, partIcularly
mdlgenous agroforestry used by cultivators (e g ,
FUJlsaka et al, 1995, Smtth et ai, 1995,
Brookfield and Padoch, 1994) However, many
of the sCientIsts mvolved stdl tend to overlook
the tradItIonal fanrung practices of shIftmg
cultIvators, who are often stdl assumed to be
technologically mcompetent (Benneh, 1996,
lecture at IFPRI, Balee, 1989, 1992, Irvme,
1989, Hecht et aI, 1988, Dove, 1993, Padoch
and Pe~ers, 1993) Agncultural research centers
and SCIentists have an opporturuty to better
appreciate and buIld upon the agroecologlcal
knowledge and practIces of mdlgenous shIftmg
cultIvatIon- and to aVOId the mtsperceptlOns of
the past (UNDP, 1992) Such an approach can
Improve the potentIal for sustamable agncultural
development
World Bank programs that Influence
agnculture and land use generally have aImed to
develop mdustnal patternsJ of commerCIal
agncultural development, and, by ImphcatlOn, to
replace shIftmg cultlvatlOn and other traditIonal
systems Agatn, local reSidents are generally
excluded In the design and development of such
conventIonal programs In recent years, some
programs and mdlvlduals withIn the Bank have
changed their VIews and given more positive
attentlOn to Indigenous practices For example,
a recent World Bank publIcation on IndoneSia
recogruzes that shIftIng cultivators are not
necessanly the mam cause of deforestation
(World Bank, 1994) Such changes may help to
overcome predomtnant perceptlOns
4 Environmental and Forest Management
Programs and Pohcles
IncreasIng numbers of programs and polICies
have been estabhshed that attempt to deal With
the environmental Impacts of shIftIng cultlvatlOn
They are agaIn based on assumptIons that all
forms of shIftIng cultlvatlOn are destructIve and
must be ehmtnated or replaced Interventions
have mcluded projects for reforestation, forest
management and conservation, parks, forest
reserves (Conelly, 1992), and forced
resettlements mto reservatIons (ASB, 1993,
Lynch and Talbott, 1995, Padoch and Peters,
1993, Stewart, 1992) Some programs are
specifically directed to halt shIfted cultIvators
who are perceived to be particularly culpable for
enVIronmental destructlOn
Estabhshmg forest reserves has also been
used to move shlftmg cultIvators One example
IS 10 Nagpana, Phlhppmes (Stewart, 1992)
Also, the recently created Mantadla NatlOnal
Park m Madagascar has excluded and prohIbited
shIftmg cultlvatlOn, despite hIstoncal property
claims by cultivators Agroforestry alternatives
are part of the park plans (Sodlkoff, 1996)
Ugandan parks have eVIcted all local shIftmg
cultivators even though traditIonal shIftmg
cultIvatlOn was less ecologically harmful than
cultIvatlOn by mtgrants patd by wealthy patrons
mterested m tImber (Alcorn, 1994) The Karen
In Burma
and the Azande In ZaIre are other
The DIVerslty and Dynannes of Slnftmg Cultivation Myths, Reahbes, and Pohey hnpheabons
sluftmg cultivator groups who have been
pressured off theIr tradItional lands by nature
conservation programs
Resettlement programs are sometimes
promoted to protect tImber m gazetted forests
and for conservatIon areas Such projects are
ongomg m ThaIland, IndonesIa, MalaysIa,
Uganda, Cote d'IvOlre, IndIa, Ghana, Tanzarua,
Gabon, and ZaIre, and mvolve over 2 mIllIOn
people In the K.1bale forest reserve m Uganda,
35,000 people were VIOlently dIsplaced and
eVicted m 1992 and theIr houses, food, and
posseSSIons burned by the forest police guards
They were resettled some 150 mIles away In
Cote d'IvOlre, 200,000 forest reSIdents were to
be removed and proVided With small agncultural
plots In projects financed by the World Bank
for forestry and enVironmental protection, at
least 109,000 famtlies have been mvoluntanly
resettled In addItion, dam constructIOn
programs have affected close to one mIlhon
people (World Bank, 1994)
Such enVironmental mterventIOns, both past
and present, have seldom succeeded m
catalyzmg posItIve reforms for envIronmental
and SOCIOeCOnOmIC purposes They rarely
account for the needs and expenences of sluftmg
cultIvators Although such efforts may be
deSIgned With the well-mtentIOned alms of
conservation or development, they tend to lack
practIcallty and the partlclpatIOn and support of
local commurutIes (Bass and Momson, 1994) In
fact, they often dIsplace and dISrupt sruftmg
cultIvators and aggravate enVlronmental
degradatIon and poverty The adverse effects
are further aggravated by meqUltable politlcal
and SOClOeCOnOmIC structures that work agamst
the local peoples' Interests
For example, many of the reforestatlon
programs undertaken In the South benefit large
forest Industnes and dlsplace local people who
do not have secure tenure In the area In
Indonesla, for example, tradltIonal dlverse rattan
31
gardens that provlde hvelIhoods for sluftmg
cultivators are bemg destroyed to accommodate
reforestation projects controlled by timber
comparues (Stepharue Fned, personal
commurucatIOn, 1997) Monocultural forest
plantations reduce bIOdlverslty and assoclated
econOmIC values, as well as dlsrupt the lives of
Indlgenous people (Jarus Alcorn, Pat Durst, Alex
Moad, personal commurucatIons, 1997)
SlmIlarly, some forest protectIOn programs, such
as forest reserves and parks, have led to the
eVlctIOn of sluftmg cultivators and other rural
populatIOns, who tend to lack nghts (Lynch and
Talbott, 1995, Wells and Brandon, 1992)
Moreover, government agencles have
estabhshed other pohcles and programs that
contradlct conservatIOn and forest protectIOn
programs, and that Instead are almed to
stimulate deforestation Examples are
coloruzatlon proJects, road development, and
credlt programs In Latm Amenca, one
incentive to farmers t-o clear forest lands and
maIntam them as pastures lS that domg so
establishes theIr legal clalms to land (Hecht,
1993, MacDonald, 1992, Ledec, 1992 )
Some groups have reacted to the
enVironmental or forest-related policles
descnbed above by trymg to defend thelr nghts
For example, some have resorted to poaclung
from the reserve areas (Wells and Brandon,
1992, Peluso, 1992) In an effort to meet thelr
food needs IndIgenous peoples have also
undertaken polItical efforts to regam nghts In
BohVla, for example, the tradItIonal lands of the
Crumane (forest-based sruftmg cultIvators)
became part of a debt-for-nature swap Intended
to convert the lands to a state-controlled
protected reserve Tlus provoked great
reslstance from thousands oflocal people, who
marched from the Amazon to La paz tnggenng
the largest popular demonstration In modem
Bohvian lustory They were successful m
affirmtng theIr nghts
32
The Diversity and Dynarrnes of Shrlbng Culhvahon Myths Reahhes, and Pohey Impheahons
On the other hand, certam types of
reforestation efforts have, mdeed, helped to
Improve forest management and lIvelIhoods, or
at least they have the potential for poslttve
outcomes, If they mvolve social forestry
acttVlttes or agroforestry directed to benefit and
mvolve sht:ftmg cultivators and other rural
people (Gradwohl and Greenberg, 1988, Warner
and Wood, 1993, Wells and Brandon, 1992)
Such projects are more environmentally
sustamable and socially benefiCial, but have been
few and under-funded compared With other
forest projects
IMPLICATIONS Development mstltutlOns
and researchers can no longer contmue to Ignore
the IDlstakes, deletenous effects, and myths that
have been common to development and
enVlronmental programs and pohcles They
must reform polICies and programs, to stop the
mappropnate patterns of displacement and
resettlement of smftmg culttvators, and mstead
budd mcenttves for sustamable management,
mcludmg tenunal secunty and opportumttes for
cultivators to Improve their well-bemg In
attempts to develop alternattves and pohcles that
can benefit smftmg cultivators, local
commumttes must be respected and mtegrated m
pollcles and projects LikeWise, the diverSity of
smftmg culttvatlOn systems, and the
agroecologlcal pnnclples upon wmch they are
based, need to be better understood and
appreCiated It makes sense for people to
participate m deCISIOns that affect thelr lIves As
noted earher (See Myth 2 ), the use of
partiCipatory research methods, and the
mvolvement of local people m planrung and
polley-makmg can help towards acmeVlng
benefiCial results (lIED, 1990-1995, Chambers
et al, 1989, Thrupp, 1994) Yet, beSides tms,
more substantial reforms are also urgently
needed m land use pohcles and agncultural
development paradigms, to Improve hvelIhoods
and empower local people Developmg effective
changes m pohcles and programs for land use by
smftmg cultivators Will also help m promotmg
broader goals related to sustamable development
The Dlverslty and Dyn81TIlCS of Shtftmg CultlvatlOn Myths, Reahtles, and Pohcy Imphcatlons
33
III. Conclusions:
Reconciling Policy with Reality
From thts analysIs emerge lessons about polIcy
Issues, research approaches, and development
programs related to shtftIng cultivatIon and ItS
alternatives Clearly, change must come from
many actors, particularly development agenCIes,
governments, and research Institutes These
groups must overcome myths, acknowledge
realIties, and focus on the implIcations Identified
In thts paper RecogruzIng the dIverSIty, nghts,
and knowledge of shtftIng cultIvators IS essential
programs An InterdISCiplInary systems
approach to research and development IS
needed
• Respect Local Knowledge
UnderstandIng and bulldIng on the knowledge
and expenence of shtftIng cultIvators (and the
polICIes that Influence them) IS useful and
needed for agncultural development
• Enhance DIverSIty
Many of the dIverse forms of shtftIng
cultlvatlOn have been and still are effectIve
adaptatIons to troPICal conditlOns They have
evolved dynamIcally in different patterns over
time In the face of adverse InterventlOns and
regulations, shtfhng cultivators have surviVed
and thnved, often contInuIng theIr strategIes for
nsk reductIOn Even though some shIftIng
cultivatlOn practIces have become unsustaInable
In recent times, the knowledge upon whIch
shIftIng cultivatIOn systems are based offer
InSIghts useful to agncultural development
strategIes
Four crosscuttmg general pnnciples-lessons
that can be used In developmg changes to
research, development, and poltcy Irutiativesfollow
• Use an Integrated Approach
The IntegratIOn of SOCIOeCOnOmIC, polItical,
and agroecologIcal factors affectIng shtftIng
cultIvators IS central to the deSIgn and
Implementation of effective pohcles and
DIverSIty and fleXlbIhty are VItal pnncipies for
both agroecoiogical and SOCIOeCOnOmIC
purposes, In developmg effectIve optIons
• Confront Root Causes of Problems
Attempted SolutIons should confront the
underlYIng causes of problems and should
ensure that the rural poor have faIr access to
resources and opporturutles to Influence
decislOn-makers, and partICIpate actively In
agnculture and land use programs
In addItlon to the pohcy suggestIons
mentIOned throughout thIs paper, some final
general recommendatIOns on pohcy optIons are
reIterated as suggestIons for government and
development agenCIes
1 Develop partICIpatory approaches to polIcy
deCISIons, research, and development actIVIties
to support the Involvement of shtftIng cultIvatIOn
populatIOns, as well as other farmers, extractIve
enterpnses, and researchers
2 EstablIsh Incentives for commuruty-based
34
The Diversity and Dynarmcs of Shrl'tmg Culbvabon Myths Reahbes and Pohey Imphcabons
approaches to resource management (Tins
should mclude the strengthemng of legal nghts
and protectIons and the creatIon of opportumtIes
for poor rural men and women to acqUIre secure
land tenure)
3 Ratlonahze (and when necessary repeal) laws
that restnct shIftIng cultIvatIon practIces
4 ElImmate mappropnate land settlement and
coloruzatIon programs that can lead to land
explOItatIon or otherwIse dISrupt shIftIng
cultIvator populatIons
5 Reform market polIcIes to buIld market
opportumtIes for shIftmg cultivators (e g , nontImber forest products or agroforestry products)
where appropnate
6 Promote sustamable land use practIces and
approaches, mcludIng agroforestry,
agroblOdiversity soIl conservatIon, cover crops,
mtercroppmg, and use of orgamc matenals, m
shIftmg cultIvatIon systems, taking advantage of
local knowledge of such methods
7 Enforce regulatIons to control explOItatIve
practIces and dOmInatIon by extractive mdustnes
that are often responsIble for large-scale
deforestatIon and dIsplacement of shIftmg
cultIvators
8 Develop trrumng programs and commumty
actIVItIes on land use practIces and optIons for
local shIftmg cultIvator populatIons and new
ImmIgrants, agam buIldmg on local knowledge
All of these polIcy suggestIons reqUIre
elaboratIOn and adaptatIon m partIcular national
and local CIrcumstances Each needs to be
conSIdered on a case-by-case basIs by local
declSlon-makers The ImplementatIon of such
strategIes reqUIres concerted actlOns by both
publIc and pnvate entItles
Among these suggestIons, agroforestry IS often
upheld as a solutIon on ItS own Although
agroforestry systems are promIsmg, plantmg
trees alone m farmIng systems IS not adequate to
address land use problems The other pohcy and
SOCIOeConOmIC changes noted above are also
needed, partly to enable the ImplementatlOn of
appropnate agroforestry optIons Furthermore,
smce agroforestry IS well known to many shIftmg
cultIvators, It IS vItal to take advantage of and
budd upon shIftmg cultIvators' local knowledge
of trees and resources Hybnd strategies that
Include pnncipies from local technIques as well
as SCIentIfic methods are more lIkely to be
adapted successfully
Further research can make a sigruficant
contnbutlOn to understandIng and taking
advantage of slnftmg cultivatlOn systems and
pnnciples, and to developmg sustrunable and
productIve use of natural resources wlnle
ImproVIng the lIvelIhoods of rural people But
research needs to be mterdlsciplInary, and IS
more constructive If It IS apphcable to polIcy and
development processes The contnbutlOns of
anthropologIcal studIes and studIes of the
polItICal economy of land use change are
especially valuable At the same tIme, research
IS hkely to be more beneficial If It mvolves
partIcIpatIon of poltcy decIsion-makers and local
people from project deSIgn through follow-up
and evaluation actIVItIes
It IS also essentIal for researchers, as well as
poltcy decIsIon-makers and development
officers, to assess and learn from past and
eXlstmg research and development programs m
order to better understand what has been
effective and meffectIve m Improvmg
sustamablhty, SOCIal well-bemg and eqUIty, and
prodUCtIVIty Understandmg the dIversity,
dynamICS, and SOCIal processes underlymg land
use change can be an Important contnbution
toward more sustamable and eqUItable
development patterns
The DIversIty and Dynanucs of Shrftmg Cultivation Myths, RealltIes, and Polley ImphcatIons
About the Authors
Lon Ann Thrupp
DIrector of Sustainable Agnculture, Center for InternatlOnal
Development and EnVIronment, World Resources Institute,
Washmgton, D C
Suzanna Hecht
Professor, Urban and RegIonal PlannIng Department, Umverslty of
Cahforma, Los Angeles, CA
John Browder
Professor, Department ofReglOnal PlannIng, Vrrglma Polytechnic
Umverslty, Blacksburg, VA
Owen Lynch
Fellow, Center for International EnVIronmental Law, Washmgton,
DC
Nablha Megateh
Doctoral CandIdate, Anthropology Department, Johns Hopkins
Umverslty, Baltimore, MD
Wilham O'Bnen
Research ASSIstant, Department ofReglOnal PlannIng, VlrgIma
Polytechnic Umverslty, Blacksburg, VA
35
The Thverslty and Dynamics of Shtftmg Culttvatton Myths Reahttes, and Pohey Irnpheattons
37
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WashIngton, D C World Bank
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The World Resources InstItute (WRI) IS an mdependent center for
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